contents of the issue - Forum for World Literature Studies世界文学 ...

Editors in ChiefHuang Tiechi, Shanghai Normal University, ChinaNie Zhenzhao, Central China Normal University, ChinaCharles Ross, Purdue University, U.S.AEditorial AssistantsYang GexinZheng JieBo LingShanghai · Wuhan · West Lafayette

Forum forWorld Literature StudiesVol.5 No.1 April 2013Cultural Literacy StudiesEdited by Charles RossRamón del Valle-Inclán StudiesEdited by Arturo CasasA Perspective of Ethical Literary Criticism onIbsen’s PlaysEdited by Zhang LianqiaoKorean Literature StudiesEdited by Rhee Young SuckShanghai·Wuhan·West Lafayette

世 界 文 学 研 究 论 坛文 化 认 知 研 究查 尔 斯 • 罗 斯 ( 栏 目 主 持 )拉 蒙 · 德 尔 · 巴 列 · 因 克 兰 研 究巴 图 罗 • 卡 萨 斯 ( 栏 目 主 持 )易 卜 生 戏 剧 的 文 学 伦 理 学 批 评张 连 桥 ( 栏 目 主 持 )韩 国 文 学 研 究李 英 石 ( 栏 目 主 持 )上 海 · 武 汉 · 西 拉 法 叶

Editorial BoardValerie Babb/ University of Georgia, USAMaassimo Bacigalupo/Universita' di Genova, ItalyElleke Boehmer/ University of Oxford, UKTy Buckman/ Wittenberg University, USAKnut Brynhildsvoll/ University of Oslo, NorwayArturo Casas/Universidade de Santiago de Compostela, SpainChen Zhongyi/ Chinese Academy of Social Sciences, ChinaChen Wei/ Shanghai Normal University, ChinaFan Pik Wah/ University of Malaya, MalaysiaFan Xing/ Wuhan University, ChinaMargot Hillel/ Australian Catholic University, AustraliaMartin Humpal/Charles University in Prague, Czech RepublicKoji Kawamoto/Tokyo University, JapanHank Lazer/University of Alabama, USALee Nam Ho/Korea University, KoreaLeevi Lehto/FinlandLiao Kebin/Peking University, ChinaLiu Jianjun/ Northeast Normal University, ChinaLuo Lianggong/ Central China Normal University, ChinaRoland Lysell/ University of Stockholm, SwedenAnne-Marie Mai/University of Southern Denmark, DenmarkRana Nayar/ Panjab University, IndiaJale Parla/ Ìstanbul Bilgi Üniversitesi, TurkyElizabeth Ramos/ Universidade Federal da Bahia, BrazilJohn Rathmell/ University of Cambridge, UKDerek Parker Royal/ University of Nebraska at Kearney, USAStephan Michael Schröder/University of Cologne GermanyRAkesh Mohan Sharma/ SPN Mahavidyalaya, IndiaMonica Spiridon/ Bucharest University, RomaniaSun Jian / Fudan University, ChinaJüri Talvet / University of Tartu, EstoniaKwok-kan Tam/ The Open University of Hong Kong, ChinaJørgen Veisland/ University of Gdansk, PolandTatiana Venediktova/ Lomonosov Moscow State University, RussiaTomo Virk/ University of Ljubljana, SloveniaClaire Connolly/ University College Cork, IrelandWang Xiaoping/ Tianjin Normal University, ChinaWang Lixing/ Nankai University, ChinaYin Qiping/ Hangzhou Normal University, ChinaZheng Kelu/ Shanghai Normal University, China

编 委 会瓦 莱 丽 · 巴 布 / 佐 治 亚 大 学 ( 美 国 )马 西 姆 · 巴 斯 加 拉 珀 / 热 那 亚 大 学 ( 意 大 利 )艾 雷 克 · 博 埃 默 / 牛 津 大 学 ( 英 国 )泰 · 巴 克 曼 / 威 登 堡 大 学 ( 美 国 )克 努 特 · 布 莱 恩 希 尔 兹 沃 / 奥 斯 陆 大 学 ( 挪 威 )阿 图 罗 · 卡 萨 斯 / 圣 地 亚 哥 - 德 孔 波 斯 特 拉 大 学 ( 西 班 牙 )陈 众 议 / 中 国 社 会 科 学 院 ( 中 国 )陈 伟 / 上 海 师 范 大 学 ( 中 国 )潘 碧 华 / 马 来 亚 大 学 ( 马 来 西 亚 )樊 星 / 武 汉 大 学 ( 中 国 )玛 格 特 · 希 勒 尔 / 澳 大 利 亚 天 主 教 大 学 ( 澳 大 利 亚 )马 丁 · 罕 帕 尔 / 布 拉 格 查 理 大 学 ( 捷 克 )川 本 皓 嗣 / 东 京 大 学 ( 日 本 )汉 克 · 雷 泽 尔 / 阿 拉 巴 马 大 学 ( 美 国 )李 南 浩 / 高 丽 大 学 ( 韩 国 )利 维 · 利 托 /( 芬 兰 )廖 可 斌 / 北 京 大 学 ( 中 国 )刘 建 军 / 东 北 师 范 大 学 ( 中 国 )罗 良 功 / 华 中 师 范 大 学 ( 中 国 )罗 兰 · 利 塞 尔 / 斯 德 哥 尔 摩 大 学 ( 瑞 典 )安 妮 - 玛 丽 · 梅 / 南 丹 麦 大 学 ( 丹 麦 )瑞 那 · 内 亚 尔 / 旁 遮 普 大 学 ( 印 度 )基 尔 · 帕 拉 / 伊 斯 坦 布 尔 比 尔 基 大 学 ( 土 耳 其 )伊 丽 莎 白 · 拉 莫 斯 / 巴 赫 亚 联 邦 大 学 ( 巴 西 )约 翰 · 拉 斯 梅 尔 / 剑 桥 大 学 ( 英 国 )德 雷 克 · 帕 克 · 罗 亚 尔 / 内 布 拉 斯 加 州 立 大 学 科 尼 分 校 ( 美 国 )斯 蒂 芬 · 迈 克 尔 · 施 罗 德 ( 德 国 )瑞 凯 士 · 莫 汉 · 夏 玛 / SPN 大 学 ( 印 度 )莫 里 卡 · 斯 普 里 顿 / 布 加 勒 斯 特 大 学 ( 罗 马 尼 亚 )孙 建 / 复 旦 大 学 ( 中 国 )居 里 · 塔 尔 维 特 / 塔 尔 图 大 学 ( 爱 沙 尼 亚 )谭 国 根 / 香 港 公 开 大 学 ( 中 国 )乔 根 · 维 斯 兰 德 / 哥 但 斯 克 大 学 ( 波 兰 )托 莫 · 维 尔 克 / 卢 布 尔 雅 娜 大 学 ( 斯 洛 文 尼 亚 )卡 莱 尔 · 康 纳 利 / 科 克 大 学 ( 爱 尔 兰 )王 晓 平 / 天 津 师 范 大 学 ( 中 国 )王 立 新 / 南 开 大 学 ( 中 国 )塔 吉 亚 娜 · 维 涅 季 克 托 娃 / 国 立 莫 斯 科 大 学 ( 俄 国 )殷 企 平 / 杭 州 师 范 大 学 ( 中 国 )郑 克 鲁 / 上 海 师 范 大 学 ( 中 国 )

Forum for World Literature Studies(ISSN 1949-8519) is a peer-reviewed academicjournal sponsored by Shanghai Normal University, Purdue University and the WuhanInstitute for Humanities, and co-edited by Professor Huang Tiechi of ShanghaiNormal University, Professor Nie Zhenzhao of Central China Normal Universityand Professor Charles Ross of Purdue University. This journal provides a forumto promote diversity in world literature, with a particular interest in the study ofliteratures of those neglected countries and regions. With three issues coming outevery year, this journal publishes original articles on topics including theoreticalstudies, literary criticism, literary history, and cultural studies, as well as book reviewarticles.Forum for World Literature Studies accepts submissions in English or Chinese byauthors from all over the world. The manuscript is expected to be of about 8000 wordsand must follow the MLA style. Submission should be made including an abstractof about 200 words, a short biography of the author, and three to five keywords, aswell as the main body of the essay. Manuscripts from America shall be submittedto Charles Ross (Email: cross@purdue.edu; Mailing address: 500 Oval Drive, WestLafayette, IN47907; Phone :765-4943749), and those from outside America shallbe submitted to the office in Wuhan: FWLS Office, Wuhan Institute for Humanities,#19-2-1-103, Wanke Meilizhicheng, Fourth Gaoxin Road, No.1, Donghu Hi-TechDevelopment District, Wuhan, 430205, P.R. China. Phone: (86) 2787920279. Email:fwlstudies@gmail. com.Forum for World Literature Studies was indexed by Scopus and also included in thedatabases of Ebsco, Gale, MLA(MLA International Bibliography) and ABELL(TheAnnual Bibligraphy of English Language and Literature).To subscribe to this journal or purchase any single issue, please contact us atfwlsmarket@gmail.com or fwlstudies@gmail.com. Phone: (86) 27 61370847.This journal is registered under its ISSN with the Copyright Clearance Centre, 222Rosewood Drive, Danvers, MA 09123 (www.copyright.com). Copyright ©2009 byForum for World Literature Studies. All rights reserved. No copy shall be madewithout the permission of the publisher.

ContentsCultural Literacy Studies1 Cultural Literacy StudiesCharles Ross2-12 Finding Caleb: Review of Historical Novel Caleb’s CrossingKristina Bross13-26 “Deconstructing Epidermal Art and the Female Goth in Nordic MillenialFiction: The Joys of Vulgarity in Stieg Larsson’s The Girl with the DragonTattooCharles Ross27-35 In Search of Heidi Durrow within a Black Woman’s Literary Tradition: OnReading The Girl Who Fell from the SkyJennifer Freeman Marshall36-51 Poe’s Landscape:Dreams, Nightmares, and Enclosed GardensJin LeiRamón del Valle-Inclán Studies52-53 Valle-Inclán: Comparative and Thematic ApproachesArturo Casas54-72 Carlist Carnage: War in Valle-Inclán’s Carlist Novels and in Voces de gestaDru Dougherty73-93 Renderings of Don Juan in Valle-InclánCarmen Becerra94-121 The Literature of Valle-Inclán Transposed to the Screen: A ProblematicRewritingJosé Antonio Pérez Bowie122-140 Damaged in Transit? Valle-Inclán’s Tirano Banderas between Two World-LiteraturesCésar Domínguez

A Perspective of Ethical Literary Criticism on Ibsen’s Plays141-143 Introduction to A Perspective of Ethical Literary Criticism on Ibsen’s PlaysZhang Lianqiao144-151 The Ethical Dilemma and Choices in Lady Inger of OstratGuo Jingjing152-163 On Julian’s Apostasy and Destruction in Emperor and GalileanBo Ling164-173 Pillars of Society:An Ethical Drama of Satire and RedemptionGuo WenKorean Literature Studies174-177 Chong Yag-yong’s “Howling of a Woman, with the Penis Cut off HerHusband,” A Poem of Old KoreaLee Si Hwan178-191 A Study of A Selection of Literary Essays by Korean Writers Living inManchuriaOh Yang Ho192-199 Sol Jungsik’s Early PoemsKwak Hyo Hwan200-212 Perfecting Mind and Its Qualia of Silence in Korean Sŏn PoetryHan Tae HoBooks Review213-216 A New Breakthrough in Studies on the History of Foreign Literature inChina: A Review of Studies on the History of Academic Research ofCervantesNie Zhenzhao217-221 She Speaks as an Individual: Review of Art and Morals: Iris Murdoch’sFictional WorldHu Quansheng222- 228 Realistic yet Illusive: Features of the Writing Techniques in The StoneDiariesKedong Liu Huanhuan Hu

目录文 化 认 知 研 究1 文 化 认 知 研 究 导 言查 理 斯 · 罗 斯2-12 寻 找 卡 莱 布—— 评 历 史 小 说 《 卡 莱 布 的 抉 择 》克 里 斯 蒂 娜 • 布 罗 斯13-26 穿 刺 艺 术 与 女 性 哥 特 的 解 构—— 论 《 龙 纹 身 的 女 孩 》 中 的 粗 俗 之 乐查 尔 斯 • 罗 斯27-35 追 寻 黑 人 女 性 文 学 传 统 中 的 海 蒂 · 杜 尔 劳—— 对 《 从 天 空 掉 下 来 的 女 孩 》 的 解 读詹 妮 弗 · 弗 里 曼 · 马 歇 尔36-51 艾 伦 · 坡 笔 下 的 风 景—— 梦 , 梦 魇 与 隔 绝 的 花 园金 磊拉 蒙 · 德 尔 · 巴 列 · 因 克 兰 研 究52-53 比 较 与 主 题 视 角 下 的 巴 列 · 因 克 兰巴 图 罗 · 卡 萨 斯54-72 卡 洛 斯 拥 护 者 的 大 屠 杀—— 巴 列 · 因 克 兰 的 卡 洛 斯 拥 护 者 系 列 小 说 与 戏 剧 《 契 约 之 声 》 中 的战 争德 鲁 · 多 尔 蒂73-93 巴 列 · 因 克 兰 对 唐 璜 式 人 物 的 多 维 呈 现卡 门 · 贝 塞 拉94-121 搬 上 荧 屏 的 巴 列 · 因 克 兰 作 品—— 一 种 值 得 商 榷 的 改 写何 塞 · 安 东 尼 奥 · 佩 雷 斯 · 博 伊122-140 翻 译 对 文 学 作 品 有 损 伤 吗 ?—— 两 个 世 界 文 学 中 的 巴 列 · 因 克 兰 小 说 《 提 拉 诺 班 德 拉 斯 》 研 究凯 撒 · 多 明 格 斯

易 卜 生 戏 剧 的 文 学 伦 理 学 批 评141-143 易 卜 生 戏 剧 的 文 学 伦 理 学 批 评 导 言张 连 桥144-151 论 《 英 格 夫 人 》 中 的 伦 理 困 境 与 伦 理 选 择郭 晶 晶152-163 论 《 皇 帝 与 加 利 利 人 》 中 朱 利 安 的 背 叛 与 毁 灭柏 灵164-173 《 社 会 支 柱 》—— 一 部 讽 刺 与 救 赎 的 伦 理 剧郭 雯韩 国 文 学 研 究174-177 论 丁 若 鏞 的 古 诗 “ 哀 絶 陽 ”李 是 煥178-191 《 客 居 满 洲 的 韩 国 作 家 文 选 》 研 究吳 養 鎬192-199 楔 正 植 的 早 期 诗 歌郭 孝 桓200-212 韩 国 禅 诗 中 完 美 的 思 想 境 界 及 宁 静 的 感 受 力韩 泰 浩书 评213-216 中 国 外 国 文 学 学 术 史 研 究 的 新 突 破—— 评 陈 众 议 新 著 《 塞 万 提 斯 学 术 史 研 究 》聂 珍 钊217-221 她 作 为 个 体 在 说 话—— 评 《 艾 丽 丝 · 默 多 克 小 说 研 究 》胡 全 生222-228 亦 真 亦 幻——《 斯 通 家 史 札 记 》 中 的 写 作 特 色刘 克 东 扈 欢 欢

Cultural Literacy StudiesCharles RossCollege of Liberal Arts, Purdue University101 N Grant St #110, West Lafayette, IN 47907, AmericaEmail: rosscs@purdue.eduAt an annual series of talks on current books, titled “Books and Coffee” and held atPurdue University in 2012 each Thursday from February 2 to February 23, CarolynJohnson, the director of the Diversity Resource Office, made the point that whatshe called “cultural literacy” was required of readers who would make sense of thevarious viewpoints represented in the book The Immortal Life of Henrietta Lacks, byRebecca Skloot, a white woman who wrote about the unacknowledged use of a blackwoman’s DNA for medical research.Due to a previous publication commitments, we are not able to publish CarolynJohnson’s talk, but we present here revised versions of three other talks in the series,which also celebrate the theme of cultural diversity. The first article about the bookCaleb’s Crossing, which was discussed during the 2012 series by Professor KrisBross. It argues that certain acts of historical imagination are necessary for readers toregister what it once meant for non-white person to attend Harvard University. Thesecond article is based on my humorous discussion of world-wide responses to StiegLarsson’s best-selling book The Girl with the Dragon Tatto ( 龍 紋 身 的 女 孩 ). Theaudience laughed throughout and enjoyed selections from the music of Elvis Presleythat were played on cue with the project of the PowerPoint slides. (Readers of FWLScan hum along as they suck the sweets of this article.) The third article we presentis by Professor Jennifer Freeman-Marshall, who uses an analysis based on culturalliteracy to discuss the book The Girl Who Fell From the Sky by Heidi W. Durrow.Readers will find this important concept defined in each context, whether the cultureof tattoos or ethnic divisions.

Finding Caleb: Review of Historical NovelCaleb’s CrossingKristina BrossCollege of Liberal Arts, Purdue University101 N Grant St #110, West Lafayette, IN 47907, AmericaEmail: bross@purdue.eduAbstract Caleb’s Crossing by Geraldine Brooks is a sophisticated example of recenthistorical fiction that mines the archives of colonial America. Brooks persuasivelyimagines the experiences of women and Native people, figures who are rarelyrepresented in our special collections and history books.Keywords Wampanoags; Puritans; archives; historical fictionIf, as I do, you run with the early American studies crowd, you probably know allabout Caleb’s Crossing, the most recent novel by novelist Geraldine Brooks. It seemswe are in a (new) golden age of historical fiction rooted in colonial American archives.Scholars of early America have been having regular discussions of the widespread,serious, historical fiction interest in the American colonies and the new republic, aphenomenon that reoccurs periodically and is itself subject to speculation about whatsuch an interest can mean in American culture.It is, perhaps, too early to make grand meta-claims about what the latest turn tothis brand of historical fiction might mean, but I can commend to you the books I’vebeen reading recently: The Widow’s War by Sally Gunning, The Heretic’s Daughterby Kathleen Kent, Island Under the Sea by Isabel Allende. 1Young Adult books havelong taken an interest in “time travel”—usually for thinly-veiled didactic purposes, butrecent books, such as The Astonishing Life of Octavian Nothing, Traitor to the Nationby M.T. Anderson, the first volume of which won the National Book Award for YoungAdult literature in 2006, exemplifies the genre at its best. All of these novels take upissues of power and gender or race in 17 th - and 18 th -century America in challengingways, a trend that is perhaps most notable in Toni Morrison’s A Mercy, an acclaimedwork that imagines slavery in colonial New York. 2Early American studies listservsand blogs suggest that almost every scholar of early American literature has taught thebook.Despite this recent flowering of well-researched, inventive and ambitious

Finding Caleb: Review of Historical Novel Caleb’s Crossing / Kristina Bross3fiction, the flipside of historical fiction is always with us—the escapist romances setin crumbling castles, the time-travelling romps, countless “you are there” children’sbooks. Some of this fiction is worth the reading—for pleasure, for plotting, as a spurto learn more about a past time and place. But at best, most such books are a guiltypleasure and, quite often, not worth even that.On the spectrum of historical fiction writers, of course, Brooks is on the seriousend. Her 2006 novel March won the Pulitzer Prize in literature. Her other novelsengage history and fiction in important ways. At its best, this book also achievessomething important—more on that note below. But I’d like to clear the ground formy discussion of what goes so well in this novel by talking about the elements I likethe least. In short, the first half of the book flirts—seriously flirts—with the baserinstincts of the historical romances.Don’t get me wrong, I value escapist fiction (“comfort-food” reading, I call it;the macaroni-and-cheese of the world of literature). I have spent my fair share oftime reading on the beach, and no (contra my survey students’ expectations perhaps),you won’t find copies of Puritan election-day sermons next to the sunscreen in mybeach bag. But I think we’re on dangerous ground, fictionally speaking, when—as theopening chapters of Caleb’s Crossing seem to do—we posit unrequited love, or evenrequited heavy breathing between imagined historical actors whose representationhas for centuries tended toward the stereotypical and whose actual relationships havebeen pegged as misguided at best, miscegenation (and illegal to boot) at worst.Consider this passage from early on in Caleb’s Crossing: our narrator,Bethia Mayfield, a young Puritan growing up on present-day Martha’s Vineyard,describes a group of Wampanoag teens—a group that includes the eponymous CalebCheeshahteumauk—playing a ball game:I had to look away then, for they were clad in Adam’s livery, save that their figleaf was scrap of hide slung from a tie at their waists. . . . These youths were allof them very tall, lean in muscle, taut at the waist and broad in the chest, theirlong black hair flying and whipping about their shoulders. . . . you could see thelong sinews of their thighs working as they ran.(21)A voyeuristic description of luscious, exotic, at least to to Bethia, and nearly nakedmale bodies. It’s no wonder one review of the book described the narrative toneas “breathless”(Kirkus Reviews). If this book were being targeted to a young adultaudience—and really, in many ways it could have been, as it tells the story of theyouth and education of its main characters—I might be more forgiving on this point:after all, Brooks is telling the tale of 17 th -century teenagers. From that point of view,

4 Forum for World Literature Studiesit should come as no surprise that the fifteen-year-old girl protagonist is taken by thegood looking boy next door.But there are easier ways to tell such a tale than mining 17 th -century colonialhistory. Happily, Brooks retreats from the brink. It’s clear that as much as Bethiaadmires Caleb, in the end she finds in him a brother rather than a lover—a replacementfor her beloved twin Zuriel, killed as a child in a farming accident. More kin to herthan Makepeace, her older, at-times abusive brother, whom she describes in contrastto the lean and sinewy youths playing ball on the beach as a young man who “cannotforebear from shearing sugarloaf anytime he feels himself unobserved, is of milkycomplexion, slight at the shoulders, soft at the middle and pitifully tooth shaken” (21).I found the siblings’ relationship interesting, and I wonder what this book might havebeen like if Brooks had made Makepeace the narrator—Makepeace, who sees Calebas an inferior but also a potent rival, who occupies the place of villain through muchof the book, but who is revealed in the end to be a human being capable of makingkind as well as selfish gestures.But I digress. Back to the book we have. That last passage, the “soft at themiddle and pitifully tooth shaken” illustrates one of the best qualities of the novel: itsjudicious use of jarring diction and syntax—at time historically accurate, at times not.Compare this moment to that in a real 17 th -century text, John Josselyn’s Two Voyagesto New England, which he published in 1674. Josselyn was an Englishman whoprovides a minutely detailed account of the colonies through which he travelled: “Menand women keep their complexions, but lose their Teeth: The Women are pittifullyTooth-shaken; whether through the coldness of the climate, or by sweetmeats of whichthey have store, I am not able to affirm”(Josselyn). In historical fiction, this element oflanguage often goes awry. Short of all-out, invented dialect (Toni Morrison’s approachfor the character Florens in A Mercy, for instance), how does a writer create an effectof the real, a sense that we are immersed in another time, without distracting us withtoo many “thees” and “thous”? 3Brooks does it through a mix of archaic syntax, selective (even creative) use ofhistoric terms, and by adapting period genres to her own telling. Brooks’s cadencesring true, from the opening, cryptic lines, “He is coming on the Lord’s Day. Thoughmy father has not seen fit to give me the news, I have the whole of it.” “He” is CalebCheeshahteumauk, son of a Sachem—a political leader—on the island known todayas Martha’s vineyard, nephew of a powerful Powwow—a religious leader—amongthe Wampanoag people of the island. “He” is also called by Bethia and her Puritancohort “pagan,” “brutish” and “salvage” (even “wanton young salvage”), all words incommon use in the 17 th century.Despite their reputation for (and pride in) unadorned plain style, Puritan

Finding Caleb: Review of Historical Novel Caleb’s Crossing / Kristina Bross5preachers and writers could turn a good metaphor, and Brooks makes good use ofsuch phrasing. Bethia describes Caleb’s thirst for knowledge: “he brims like a streamin spate, gathering all the knowledge that floods in upon him” (109). Master Corlett,tutor to Caleb and the holder of Bethia’s indenture, warns her from a similar thirst,telling her that she risks poisoning her mind reading of the exploits of the notorious“heretic” Anne Hutchinson: “you would not, I hope, drink from a spring that wasbefouled by a rotting corpse. Why then foul your mind with the rantings of a heretic?”(235). Such language bespeaks Brooks’s immersion in period sources: neithermetaphor is lifted directly from any 17 th -century text as far as I know, but they easilymight have been.As befits a novel narrated by a colonial woman, much of the flavor of thelanguage comes through the vocabulary of household chores and of childbirth. Cowsare “beeves”, sheep are “tegs”. Bethia ascribes the dingy state of the young scholars’linens in the house in which she is put to work to the previous housekeeper’s neglectof “blue starch and boiling kettle” (105). Women in labor are given “groaning beer”and they all sleep on straw-stuffed “shakedowns”. What makes this work, I think, isthat Brooks chooses words that are legible to us as twenty-first century readers even ifwe haven’t seen them: we don’t need to know what blue starch is to get the gist of hercriticism. 4 And at times, Brooks even seems to choose words that are more authenticsoundingthan authentic—and that’s not a criticism on my part, but recognition ofgood craft. For instance, the Oxford English Dictionary traces “shakedown” only tothe 18 th century, and “groaning beer” was a strong drink brewed, not to lessen thepains of the woman about to give birth (although it may have been so used!), but toreward the labor of the midwives, ease the wait of anxious male family members, andentertain well-wishers who descended on the house to congratulate the family. 5There are many such examples, but I’ll just suggest, quickly, one moreinteresting adaptation of historical sources. Aside from the flavor of word choice or agood turn of phrase, the form of the whole book—a three-part personal journal writtenon carefully husbanded scraps of paper—merges the authentic with the anachronisticin productive ways. There is no way that a young woman of Bethia’s upbringing inthe seventeenth century could have (or would have, or should have) written the kindof first-person journal that we want to read. Journals and other personal accounts weremeant to record evidence of God’s providence or serve as business ledgers. It wouldhave been considered the height of self-indulgent arrogance to make a detailed recordof one’s emotions and feelings. First-person works from the seventeenth-centurycontain elaborate explanations and apologies for publication. And so, although thisnovel gives us the access to Bethia’s interior that we demand as contemporary readers,it is presented to us as Bethia’s spiritual diary, a genre that is grounded in historical

6 Forum for World Literature Studiesprecedent. Colonists did compose accounts of God’s doings with them, published asexamples or warnings to others or—more commonly—delivered in church beforethe community in order to demonstrate readiness for church membership. Bethia’sjournal partakes of the conventions of such conversion narratives. She writes early on,“Break God’s laws and suffer ye his wrath. Well, and so I do. The Lord lays his handsore upon me, as I bend under the toil I know have—mother’s and mine, both[...].At fifteen, I have taken up the burdens of a woman, and have come to feel I am one.Furthermore, I am glad of it” (6). All this is perfectly in keeping with the expressedsentiments of Puritan women’s writings that have come down to us from the 17 thcentury. 6 If in later pages the fiction of the spiritual journal wears thin and we clearlyunderstand Bethia to be railing against her lot and expressing sentiments more in tunewith our own than with any early modern Englishwoman, well, that’s what historicalfiction is for, after all—to be a window on both the past and reflection of the present.Such measures of Brooks’s technique are impressive, and so too is her use ofthe historical record both as inspiration for the character of Caleb and for the settingin which she places him. In her Author’s Note, Brooks warns that “the character ofCaleb as portrayed in this novel is, in every way, a work of fiction” (ix). A necessarycaveat, both because the archival traces of Caleb Cheeshahteumauk are few andpiecemeal and also because of the dangers inherent in making those traces speakwith authority or authenticity for individuals and peoples historically marginalized orsilenced. In his meditation on the origin and makeup of the archive, Jacques Derridanotes the coercive nature of historical research—archives are forced to acquiesce toour questions, to our probing, a form of (what he calls) “archival violence” made allthe more distressing by the fact that the man we know as Caleb Cheeshahteumauksurvives in the archive primarily through the production of a printed text within acolonial system that stripped his kith and kin of traditional lands and customs. 7Inshort, however rich the oral tradition or other sources of information about him, inthe print archives of colonial America we have only a brief essay, written by Calebto prove his worth as a student, preserved because it was sent to financial backers inEngland as a kind of dividend on their charitable investments. What, if anything, canit really tell us about Caleb?We can glean something of his experiences with careful attention to the printrecord. At a minimum, it tells us that at the time of its composition he had someclassical education, as he compares the relationship of English supporters with Nativeconverts and students to that of Orpheus and “the forests and the rocks [that] weremoved by his song.” 8 He was well schooled in the conventions of correspondence,addressing the letter to his “Most honored benefactors” and signing it “Most devotedto your dignity: Caleb Cheeshateaumauk”.

Finding Caleb: Review of Historical Novel Caleb’s Crossing / Kristina Bross7At first glance, these elements of his essay—and indeed the whole discussionwithin it, seems hopelessly coopted by the colonial mindset. In the book even Bethiashares our contemporary sense of disappointment with the rote/conventional natureof Caleb’s scholarship. During the commencement ceremonies, she escapes the pressand heat of the University hall and misses his presentation: “Although I was keento hear Caleb, I knew he would do admirably with the hoary old topics of thesesphilosophicae and philologicae. Indeed, nothing was said that afternoon that had notalready been said a dozen times previous in the same place” (287). But against ourdisappointment that his surviving writing doesn’t give us more of his lived experiences(and as a consequence that his story needs must be filled in with our imaginationstoday), I note that few students in any time submit aggressively iconoclastic essays forcredit. And few teachers would favorably grade an essay that ignored the assignmentand went off the rails to attack, say, the foundations of the university system.I won’t try to launch into a full reading of the essay here—a reading that I thinkmust go both with and against the grain to gain some real purchase on the work, butI will suggest the directions I might take in a couple of broad strokes: first, surelyit’s meaningful that Caleb chooses the example of Odysseus to examine here. In thistest of Caleb’s writing and compositional skills, he chooses to laud a singer, a poetof the oral tradition. Thus a fuller reading of his essay would need to consider theanimation of trees and rocks that were “moved by his song”—a reflection, perhaps,of the concept of Manitou, in which the Western binary of human/nonhuman does notsuffice to describe agency in a world in which everything partakes of the spiritual tosome degree. 9 I’m interested as well in the way that Caleb wraps up the letter. Thoughhe signs it dutifully enough, in the last sentence of the body of the letter, he reducesthe honored benefactors to instruments with less animation than the rocks and treesof Odysseus’s tale, calling the Englishmen who paid for his education “instrumentslike aquaeducts in bestowing all these benefits on us .” While there’s nothing insuch an image that is challenging—strictly speaking—to the world order of thosebenefactors, it does hint at a reordering of importance: the English benefactors arepurely instrumental, and men like Caleb rather than his financial underwriters are thefully human recipients of their generosity.Beyond this scrap of Caleb’s own writing we glimpse him a very few times inwritten sources—just a mention of a name here and there, in contexts that suggest thatalthough Brooks restricted the circle of Native friends in Cambridge to three people,there was a small but vibrant community of young men—and at least one woman—from the Nipmuc, Wampanoag, and other peoples living and working together in themid-seventeenth century. 10 But that’s about it; so much for the print archive.There’s a second approach that has been gaining currency among scholars:

8 Forum for World Literature Studiessearching beyond the print archive, to oral histories, material culture, non-alphabeticsignification systems to glimpse more of the lived experience of historical figures,especially those who did not leave behind letters, diaries, poems, or sermons (or whoseletters, diaries, poems and sermons weren’t valued enough to keep). Take, for instancea textile bag held in the collections of the Peabody museum at Harvard. Althoughthere is nothing intrinsic to the artifact identifying it as Caleb’s—its collection title is“small bag”—when the bag was acquired by the museum, it came with a handwrittenlabel identifying it as Caleb, and museum publications explicitly call it “Caleb’sbag.” 11Whether or not he ever carried this particular bag, its provenance as an objectfrom the right time and place suggests another approach to understanding his life.We can research the plant fibers and dye that make up this 8 by 5 inch bag, and othermaterial objects from the region and time. We can compare it to Algonquian textilesand to English textiles from the same period and note the similarities and differencesin its decoration. We can turn to Native Studies scholars who consider what meaningtraditional and new patterns carry during the colonial period. We know from suchscholars that Algonquian textile patterns encode the spiritual and cultural alongsidethe practical, and our picture of what life was like for him in 1660s Cambridge mightthen include the fact that he was not completely cut off from all memories of hischildhood and family. 12We might remember that alphabetic literacy does not eraseother forms of cultural literacies, even if some of us are literate in only one language,only one form.There’s a third approach to Caleb, an approach that Brooks shares with historians,though we don’t always recognize that historians share many of the narrativetechniques of fiction writers. Carolyn Steedman, in her meditation on archival theoryargues that partial historical records are not dead ends to understanding. In her words,“an absence is not nothing, but is rather the space left by what has gone: how theemptiness indicates how once it was filled and animated”(Steedman 11). Scholarsdevote their intellectual lives to speculation about what once inhabited such spaces.Likewise, Caleb’s Crossing re-fills and re-animates the emptiness of the historicalrecord. I’ll conclude with a brief sketch of two examples from the book, both of whichcould be fictional missteps, but which in Brooks’s treatment transcend mere sentimentin the way that they work together. In the first, we learn that when Solace, Bethia’sbeloved younger sister is buried, Caleb, by then a member of her household, slipssomething into her hand before she is buried. Bethia seeks him out the next day “fearingthat whatever he had put into her hand might be an unchristian thing. He told me thatit was a scrap of parchment on which he had made a fair copy of the scripture of ourLord, Suffer the little children . . . he had tied it up with his own wampum-beadedthong of deer hide, around the peg doll that Makepeace had fashioned for her and that

Finding Caleb: Review of Historical Novel Caleb’s Crossing / Kristina Bross9had been her chief plaything.” Bethia questions him: “A medicine bundle, such as thepawaaws use?” (115) Such a bundle would have been anathema to a good Puritan, asit should have been to Caleb by this time in his Christian education. But he finds a waythrough the spiritual impasse, arguing that this object is “not quite” a medicine bundle,but an acceptable amalgamation of his traditional and new belief systems. We have noway of knowing, of course, whether Caleb’s belief and practices were this syncretic(consider the orthodox sentiments of his essay), but it seems worth imagining that hewas, given his background, given that we know of real funeral objects, such as theone Brooks imagines, that combine traditional Native and Christian elements. In acollection of New England Native primary texts that I have edited, for example, KevinMcBride analyzes an object, excavated from a Pequot burial ground at the behestof the Pequot nation and subsequently reburied. Interred with a 12-year-old Pequotgirl, the object was a cloth bag that included the left paw of a bear and a page from aKing James Bible referencing the right hand of God. 13 It seems plausible Caleb wouldhave been attracted to this kind of mixed media, that Solace’s fictional bundle fills thespace in the archive that once was filled and animated by Caleb’s consideration of thebeliefs to which he was born.The second example is that of Caleb’s deathbed, in which scene Brooks againbrings in material culture. The flyleaf of the hardcover book has an image of Caleb’sLatin essay. But the title page is illustrated with a black-and-white drawing of awampum belt, that is, a belt of beads made from shell. Although “wampum” has beenmisunderstood as “Indian money” because English colonists adapted it as a mediumof exchange, wampum also had a spiritual meaning, and it functioned as a mnemonicor symbolic technology for commemorating agreements and treaties. 14As Caleb lies dying from consumption, Bethia seeks out his powwow uncle,receives instruction from him about how to ease him into the next life and is givena wampum belt to bring to him. Much like the stifled romance between Caleb andBethia at the beginning of the book, Caleb’s deathbed scene risks cliché, but I thinkit is both powerful and effective because it is hard won—we’ve followed Caleb andBethia through the halls of the prep school and the Indian college, for me the mosteffective scenes, possibly because Bethia no less than Caleb was on alien territory.We’ve witnessed miscarriages, suffering, death. In this scene as in her book as awhole, Brooks brings together the archival traces of Caleb’s life, which is the evidencethat in the academy we are trained to privilege, with the evidence of his life that isimplicit in the material culture of 17 th -century Native peoples and the oral histories oftheir descendents. The afterword makes clear that Brooks has sought out the stories ofthe Wampanaog community as well as scouring colonial print and archival materials.And so Bethia, who has been our narrator and guide into this time and place, acts

10 Forum for World Literature Studiesas another sort of go-between for Caleb, who lies dying in an English town, and hispowwow uncle, who lives apart from the English on his natal island. Bethia receivesritual acts and words from the uncle, which she brings to Caleb, and she brings himthe wampum belt, with “the whole history of the Nobnocket band . . . encoded in itspattern, for any wise enough to read it” (297).This description of the wampum belt and its significance exemplifies what I likebest about the book. Brooks has managed, by carefully searching out, husbanding,and then distilling her historical and personal sources, to give us a tragedy that doesn’tfeel like “the end”. The last line of the narrative proper calls the story a “dissonantand tragical lament” (300). But if we have a lament, we must have a lamenter, afact that at least carries with it the idea of a future beyond immediate grief. Theafterward suggests one thread of the future initiated by Caleb Cheeshteumauk, andit’s a future carried forward not by well-meaning and sentimental white friends, butby contemporary Wampanoag people: “Tiffany Smalley, the first Martha’s VineyardWopannak since Caleb Cheeshahteaumauk to complete an undergraduate degree atHarvard College” received her diploma last spring(Rohr) .Notes1. For a book-length treatment of an earlier moment of fictional interest in the English coloniesin America, see Philip Gould, Covenant and Republic: Historical Romance and the Politicsof Republicanism (Cambridge: Cambridge University Press, 1996). For examples of and shortdiscussions of poetry inspired by early American archives, see the ongoing feature, “PoeticResearch” in Common-Place .2. See the forthcoming roundtable on teaching A Mercy, which will appear in the journal EarlyAmerican Literature with an introduction by Lisa Logan.3. In her review of the book, Jane Smiley also praises Brooks’ imagined 17 th -century language,making the point that such linguistic representation serves not only to immerse us in another, distanttime but also to remind us how much our identities depend on the words and phrases we use: “ Aserious historical novel like Caleb’s Crossing always proposes that consciousness is at least in part afunction of language, and that as language changes, so does thought, understanding, identity.” See“Geraldine Brooks’ Pilgrims and Indians” New York Times, Sunday Book Review. 13 May, 2011.Nytimes, 12 July, 2012 .4. For the record, blue starch was made by combining cobalt or indigo with starch and that afterlinens had been washed, they were boiled an additional period with the mixture in order to whitenand stiffen them. And you had to stir the pot the whole time to avoid scorching the clothes.5. The expectant mother prepared the beer (and groaning cakes, groaning pies, etc.) for the midwives

Finding Caleb: Review of Historical Novel Caleb’s Crossing / Kristina Bross11and others who would come to help her, though Judge Samuel Sewall, notes in his diary that hebrewed his wife’s groaning beer some two months before she delivered. See M. Halsey Thomas, ed,The Diary of Samuel Sewall 1674-1729, Vol. I (New York: Farrar, Straus and Giroux, 1973) 36.6. The textual antecedent most early Americanists know is Mary Rowlandson’s 1682 publishedaccount of her captivity and ransom during King Philip’s War, and Brooks writes that she reliedon Rowlandson’s account to help her construct Bethia’s voice (305). Rowlandson concludes heraccount of loss, suffering and redemption with this reflection: “I hope I can say in some measure,As David did, it is good for me that I have been afflicted.” See Neal Salisbury, ed, The Sovereigntyand Goodness of God (Boston: Bedford Books, 1996) 112.7. See Derrida, Archive Fever: A Freudian Impression. Trans. Eric Prenowitz (Chicago: TheUniversity of Chicago Press, 1995) 7.8. For a translation and transcription of this essay as well as a consideration of its context andmeaning, see Wolfgang Hochbruck and Beatrix Dudensing-Reichel, “Honoratissimi Benefactores:Native American Students and Two Seventeenth-Century Texts in the University Tradition.” EarlyNative American Writings: New Critical Essays, ed. Helen Jaskoski (Cambridge: CambridgeUniversity Press ,1996) 5.9. See Neal Salisbury, Manitou and Providence: Indians, Europeans and the Making of NewEngland, 1500-1643 (Oxford: Oxford University Press, 1984).10. For a fuller analysis of Caleb’s essay and a discussion of his New England surroundings, seeChapter 2, “Praing Indians, Printing Devils” in Drew Lopenzina, Red Ink: Native Americans PickingUp the Pen in Colonial America (Albany: State University of New York Press, 2012).11. Christina J. Hodge, Senior Curatorial Assistant, Peabody Museum, Personal communication.February 14, 2012. See “Native Student Biographies ” 10 July, 2012. .12. On the analysis of colonial Native textiles, see Stephanie Fitzgerald, “The Cultural Work of aMohegan Painted Basket.” Early Native Literacies in New England, eds. Kristina Bross and HilaryWyss (Amherst: University of Massachusetts Press, 2008): 52-56; and Ann McMullen, ed. A KeyInto the Language of Woodsplint Baskets (Institute for American Indian Studies, 1987).13. See Kevin McBride, “Bundles, Bears, and Bibles: Interpreting Seventeenth-Century Native‘Texts’ .” Early Native Literacies in New England, eds. Kristina Bross and Hilary Wyss (Amherst:University of Massachusetts Press, 2008): 132-141.14. For discussions of the significance of wampum among Algonquians and in New England moregenerally, see Lisa Brooks, The Common Pot: The Recovery of Native Space in the Northeast(Minneapolis: University of Minnesota Press, 2008); Matt Cohen, The Networked Wilderness:Communicating in Early New England (Minneapolis: University of Minnesota Press, 2010); andGermaine Warkentin, “In Search of ‘The Word of the Other’: Aboriginal Sign Systems and theHistory of the Book in Canada.” Book History, Vol. 2 (1999): 1-27.

Deconstructing Epidermal Art and the FemaleGoth in Nordic Millennial Fiction: The Joys ofVulgarity in Stieg Larsson’s The Girl with theDragon Tattoo 1Charles RossCollege of Liberal Arts, Purdue University101 N Grant St #110, West Lafayette, IN 47907, AmericaEmail: rosscs@purdue.eduAbstract Stieg Larsson’s best seller is purportedly about the violence men inflict onwomen, but it also can be read, at least humorously, as an essay on the recent culturalphenomenon of tattoos. It turns out The Girl with the Dragon Tattoo is more aboutElvis Presley than ink.Key words Best seller; crime; rape; tattoos; Elvis Presley; cultural literacy(slide 1) Let’s start with what we really want to know about Sweden. (slide 2) InSweden “a small, secluded island reachable from Stockholm only by ferryboat” costsa couple of million dollars. 2 You can find in the accompanying illustrations a pictureof the island house of Elin Nordegren, Tiger Wood’s ex. (slide 3) You can also see apicture of her tattoo, at least according to one website. 3slide 1 slide 2

14 Forum for World Literature StudiesI am sure, dear listeners, that you will be as disappointed as I was to learn thatThe Girl with the Dragon Tattoo has almost nothing to do with tattoos. The book ispart mystery, uncovering the identity of a serial killer of women; part what is comingto be called the workplace novel, with a journalist hero; and part super female actionhero story. There are only three references to Lisbeth Salander’s body art, one ofwhich comes when she applies make-up to cover her neck, where she has the tattooof a wasp; the dragon is on her back. (slide 4) In Swedish the title of the book isMen Who Hate Women: Män som hatar kvinnor, (slide 5) as it is in Spanish, Italian(Uomini che odiano le donne), and (slide 6) French, which does have a word for hate,but instead reads men who don’t “love” women (Les hommes chi n’aiment pas lesfemmes), which is very different. I can’t say exactly why the British editors changedthe title, but I suspect sex had something to do with it. The American publisherfollowed suit, as did the Chinese. (slide 7) In Chinese the title is the girl (nü hai)with the dragon character (long wen) on her body (shen). The de is the all purposepossessive marker: 龙 纹 身 的 女 孩 (Long Wen Shen De Nü Hai).slide 3 slide 4slide 5 slide 6

Deconstructing Epidermal Art and the Female Goth in Nordic Millennial Fiction:The Joys of Vulgarity in Stieg Larsson’s The Girl with the Dragon Tattoo / Charles Ross15slide 7 slide 8Lisbeth Salander does not add any tattoos during the course of the three volumesof the Milennial trilogy, but she does hack into many computers. (slide 8) One of thecharacters compares her to Pippi Longstocking, the adventurous heroine of a series ofSwedish stories. But where Pippi wants to ride her horse, Lisbeth, also a natural redhead,fights injustice. The evils she fights are men who use macho instead of emotionto get her into bed first, and second, the workplace and the world at large, except formotorcycles small enough for her to ride.“It’s hard not to like Lisbeth Salander,” wrote Louise Roug in Newsweek, whenthe new movie version starring Rooney Mara and Daniel Craig came out in December.“For one thing, her sense of purpose is admirable.” Roug then quotes director DavidFincher:“Horrible things happen to her. And she wanders home. And she sits there. Shelights a cigarette, and she fumes. And you don’t know what’s going on in herhead. The next time you see her, she’s got a Taser and a 30-pound chrome dildo,and she’s got a plan. You don’t need her to say ‘This is not right what’s happenedto me, and I have to make it right.’ You see her at the hardware store, buying tapeand zip ties and black ink.” (Roug)Actually—this is me talking—you do need to hear her say “This is not right”, whichis why the book is much better than the film, which my wife and I walked out ofhalfway through. We got bored with the violent sex scenes. She said, “Can we go?”And I said: “This is not a make-out movie. Let’s leave.”The book is as vulgar as the movie, but in all the right ways. By vulgar I meancommon, of the people, with a nice tang of indecency, from indecorous, not right,unsuitable. It goes with another word I will be using, louche. The word means seedy,unrefined. It comes from Latin “luscus” or one-eyed. When something is louche, we

16 Forum for World Literature Studiessquint at it, or turn our eyes away. Lisbeth is wonderfully louche. For example, wherein the movie after Lisbeth decides to get revenge on her guardian who sexually forceshimself on her, we can only watch her smoke; in the book, we read her thoughts,which seem logical but are really not what a nice person thinks:“She rejected the option of using a gun. Acquiring a gun would be no greatproblem, but the police were awfully good at tracking down firearms. … Sheconsidered a knife, which could be purchased at any hardware store, but decidedagainst that too. … She thought about using a bomb of some sort. Building abomb itself would not be a problem.” (Larsson, The Girl with the Dragon Tattoo242)Lisbeth’s Salander’s ability to think gives her agency. She knows about right andwrong, but she’s not so sure it applies to her. She is like a vengeful goddess out ofHomer or Euripedes’ Medea, or one of those wicked medieval French fairies, whoseexcessive anger and revenge are often out of proportion to the offenses they perceiveagainst them. Her name conjures up the old snake women of the house of Lusignan,who held Cyprus against the infidels during the Crusades: Salandar sounds likeSalamander.For snakey-skinned, louche Lisbeth, tattoos are some kind of homeopathicdefense again violence. She is also a self-fashioning voodoo doll. She sticks needlesinto herself to harm others. 4 Her charms work because the book’s audiences believein action at a distance, a form of popular science, like warp speed. Lizbeth not onlyhacks computers, she hacks people—and if you think I’m kidding, wait till you getto the end of the third volume. All forms of violence are mystically connected in thisbook.Because of some horrific experiences as an adolescent Lisbeth is a ward of thestate, and a nasty man named Advokat Bjurman has charge of her bank account.Nonetheless that bomb she considers building would have been the revenge not ofinnocent girl of fourteen, which is how old Lisbeth looks, but of a twenty-four-yearoldwoman who engages in oral sex because she decides she needs the money. Sheis as ready to blow up Bjurman as she was willing, admittedly under duress, to—andhere I will follow Humbert Humbert in Lolita and not repeat the disgusting phraseLisbeth uses. In the event, Lisbeth manages to make a video of their second sexualencounter, which is much more violent than she bargained for. When she returns fortheir third meeting, she tasers Bjurman, sodomizes him in return for what he did toher, tells him her video makes him her slave, and then takes two hours to tattoo hischest and belly with the words “I am a sadistic pig, a pervert, and a rapist.”

Deconstructing Epidermal Art and the Female Goth in Nordic Millennial Fiction:The Joys of Vulgarity in Stieg Larsson’s The Girl with the Dragon Tattoo / Charles RossNaturally the movie messes things up. The voyeuristic movie leads us to thinkthat Lizbeth has that certain sexual device, which so intrigued the director, as theresult of a lesbian affair, a one-night pick-up in the book which the movie starts withand lingers over. In the book the device belongs to Lizbeth’s tormenter, not to her.She finds it in his roomful of sex toys, right along with a whip, which she gets to flickover his, shall we say, sensitive area—way too much for our macho movie makers toinclude, but the reason, I take it, why reviewers agree that the ladies love this book.(slide 9) “I think,” says Edward Kastenmeier, Larsson’s American editor, “many ormost of those readers are women worldwide and so I do think it speaks to them.”“You know,” he says, “we would love to have her strength. We would love to have herindependence. This is a woman who no one really tells her what to do and I think weadmire that and I think that it appeals to us. And I think also the role she’s put in bysociety and particularly men in society fills us with righteous outrage. We’re outragedon her behalf” (Kasternmeier).I love the subtle shift from “women worldwide” to “us”. Edward knows wellenough that men like to read about vulgar women, and not all women admire thebook. Diane Rehm, on National Public Radio, reads an email from Delaney, whosays: “I’m disapppointed that you highlighted this book on your show. It’s not greatliterature. It’s just popular, in part, because of the titillating nature of sexual sadismdirected at women. Yuck. Bad taste.” At which point Diane, who loves the book, turnsto Deirdre Donahue, another guest, for support:“I have to say,” says Ms. Donahue,the book critic for USA Today, “I really enjoyed the first two books and I found themfascinating page-turners. I have to say I am slightly astonished that people seem tothink that this has—I found them, frankly, better written, more interesting, but I thinkthey’re in the same genre, frankly, as Silence of the Lamb and The Da Vinci Code. It’sall about secret conspiracies.”Now I have to confess that I read this book because my son recommended it tomy wife, who wanted me to read it so that I would have read something that normalpeople read, and not be so English professorish. For the record Clare says that TheGirl with the Dragon Tattoo “is exciting. It is a good book you can get lost in, and itis not so badly written that you can’t bare to read it.” This is true enough. I finishedall three volumes of the Milennial Trilogy two summers ago and therefore I think Isurprised Venetria when she called to ask if I would review this trashy little book.I hope I surprised her. For the fact is that when I finished all three volumes, I feltsomehow unclean after wading through so much vulgarity. To purify myself, I readthrough all of Faulker, which I had been meaning to do. Faulkner offers a superiorversion of what is still arguably a trashy approach to fiction, which is to weave amisty attack on what everyone in his right mind would never deny is an ultimate evil.17

18 Forum for World Literature StudiesIn Faulkner’s case that is slavery as practiced in America, particularly the Mississippiversion before and after the Civil War. In Larsson’s case, the surface issue is violenceagainst women. Neither exposé makes much sense at the practical level. Faulkner onlytells musty horror stories, with a few biblical echoes to make them seem like, well,The Da Vinci Code. Larsson claims there are 4000 wards in Sweden whom the statehas found unfit to control their own bank accounts, a couple of whom might be femaleand vulnerable to nasty men like Advocat Bjurman, who in the book by the way isfifty and fit, not fat and horrible as in the movie.slide 9 slide 10(slide 10) 5 As Ms. Donahue said on the Diane Rehm show, “You know, the twoprotagonists have super human abilities to punish the evil. I mean, it’s the – they’recertainly very fun, but this is not great literature. . . . On one hand, [Stieg Larsson is]Mr. Feminism, there’s a very strong feminist tone. On the other hand, though, this isa very sexually graphic disturbing book about really creative ways to torture and killwomen.”“Edward,” intones Diane Rehm, referring to the editor in charge of the booksat Alfred Knopf. “Well,” says Edward, “[Larsson] felt very strongly about the issueshe worked for. He obviously was supremely dedicated to helping women and thedisenfranchised in his society.” Well, hello “disenfranchised”—of whom, I can report,the most disenfranchised in the book are the villainous Russian muscle men whowander about after the break-up of the former Soviet Union, but no one, I can assureyou, cares a whit about the rights of Baltic Sea gangsters. No, Mr. Kastenmeier knowsit is time to drop the subject of Larsson’s ideas, and move on instantly, without a telltalepause, to Larsson’s craft : “He [Larsson] also was steeped in mysteries. He hadread a huge number.” The suggestion is that Larsson was a superhero himself, to gowith this two protagonists, who according to Deirdre Donahue, “have super humanabilities. . . . We want Lisbeth to be our friend,” she says, “to help her because she isreally kinda the 21 st century computer hacker. She could help you do anything, but

Deconstructing Epidermal Art and the Female Goth in Nordic Millennial Fiction:The Joys of Vulgarity in Stieg Larsson’s The Girl with the Dragon Tattoo / Charles Rossmen want to be Mikael Blomkvist. He—you know, James Bond had to at least chasethe women. This guy, he is just some sort of healer out there. I mean, to meet him is totake off your clothes and jump on him. I mean, it’s astonishing. It’s actually charming,but at a certain point, you do begin to roll your eyes, at least we females—I mean, heis like the bumble bee of love.”Well, I’m rolling my eyes, and not only because I prefer “female” to be usedadjectively, not nominatively. I have a deliciously horrible book here and so manyways I can go, so many miles of vulgarity. Shall we review all the women with whomMikael Blomkvist sleeps? We shall not. Instead, we shall talk about meaning. Ourtheme is vulgarity. We shall talk about tattoos.Personally, I can’t stand them. Of course, I am sure, very sure, that no one careswhat I think. I have not taught English for thirty-four years at Purdue for nothing;sometimes I don’t even care what I think myself. But let’s try to see both sides ofthe issue. These days this is called not fairness but cultural literacy, a term that hasbeen well illustrated in the first two Books and Coffee talks this year. Two weeks agoCarolyn Johnson used cultural literacy to explain how we understand a black womanwhose mother’s genes have been stolen and sold by white doctors. And Kristen Brossused this approach to reconstruct the experience of a Native American at Harvard in1670. Seems just the thing for a tattooed 4’11” computer genius daughter of a Russianmobster mixed up with Swedish fascists and whose brother is some kind psychoterminator—that’s just a hint of what you have to look forward to if you make it tovolume three, The Girl Who Kicked the Hornet’s Nest.Looking at tattoos from the viewpoint of the culturally literate, we can saythat they are a fashion, and like fashion, beyond reason. Fashions change with thetimes, all the rage one day, ridiculous the next. Who can stand in judgment of whatpeople wear? There is no right or wrong. You might as well tell the sea waves tostop. Fashions are vulgar, because vulgarity is of the people, by the people and forthe people. Whether your view of a particular bit of vulgarity is positive or negativedepends on your culture, or, if you are an outsider to the culture, your cultural literacy.(slide 11) Being an outsider, I sought out an insider. His name is Ryan, and he workson Main Street in Lafayette, Indiana. I forgot to ask him if these places are still cozilycalled “parlors.” But he was very genial, eating his lunch there. Aunt Polly couldhave been in the back room, although I don’t think that was she pressing the triggerintermittently on the tattoo machine that was buzzing the whole time we talked.Ryan said he was not the owner of the place but an artist. He said he was fromEl Paso, Texas, and described himself as Mexican American. He said Latino was asuitable term. He considered tattooing a Latino art form, although others do it too.When asked how he got started, he said everyone where he was from was into art.19

20 Forum for World Literature Studiesslide 11 slide 12He considers his tattoos a personal expression of himself. He wears them forhimself, not for others to look at, which is why he generally keeps them covered andwears fingerless gloves; also the sun is not good for tattoos, as they will fade. He hada kind of Homeric nostos or longing for home about his tattoos; modern inks anddesigns are improving, he said, but even so he has a deep affection for his earlier, lessartistic and less well done designs.He grinned when I asked about whether people still asked for Chinese symbols; heliked the “still”, was surprised they haven’t faded out completely, like arm- and neckchains,which he regards as passé.He agreed that many customers are military, who favor battle crosses: the gun withthe helmet. Not really art, in his view.On whether women should get tattoos, he was contradictory. He says tattoos makewomen beautiful, but if a woman is already beautiful, he admits she doesn’t need atattoo, and if she isn’t, a tattoo won’t really help her.I couldn’t really get him to say whether tattoos were meant to put people off, toestablish one as part of a group, to thumb one’s nose at authority. He insisted theywere personal expressions. He was very nice, soft spoken, and he let me take hispicture. At first he posed rather covered, but was willing to push up his sleeve when Iasked him to. I stopped there.(slide 12) 6 I think I have given a fair case in favor of tattoos. The other pointof view is that they are disgusting. They are not beautiful. They are for gangsters orpeople who are nuts. What will they look like in forty years? In America the old viewwas that tattoos are OK for sailors or soldiers who get drunk on leave. The army isa prison without walls. You had to wear a dog tag. The tattoo was the enlisted man’spersonal answer to his oppression. The argument for tattoos is the same as for usingdrugs. Hey, man, it’s cool. But we know it’s not, even if it feels cool. The Bibleforbids graven images on the body, although it’s amazing how ingenious people are on

Deconstructing Epidermal Art and the Female Goth in Nordic Millennial Fiction:The Joys of Vulgarity in Stieg Larsson’s The Girl with the Dragon Tattoo / Charles Rossthe internet finding ways around that particular prohibition. Still there is something tothe warning against worshipping the flesh. If tattoos are art, then they are like graffitti.You can defend graffitti, but everyone knows you need to erase it. And erasing BillyBob Thornton after you’ve met Brad Pitt is not so easy.Despite the attempts of the editors to glamorize tattoos by retitling this book,Stieg Larsson regards Lisbeth’s tattoos as the products of her misfortunes as a socialward of the state. In the same way, Lisbeth herself considers tattooing a punishmentfor her attacker. Young ladies of all ages in the audience will ask themselves whetherthat batch of ink they want to mark themselves with is really a sign of your ownpersonality, or rather the shadow of your prison bars.Lisbeth is not immune to the sin of pride, by the way. At the end of the book shedisguises herself as a voluptuous woman to steal funds from a particular villain’sSwiss bank account. When she is done she throws away her wig, black tights, andexpensive clothes but keeps the fake latex breasts she bought in a transvestite shop inCopenhagen. Larsson’s own vulgarity about what he regards as proper to a womanpeeks through here, for of course Lisbeth is just his fictional puppet.Larsson does give Lisbeth some saving graces. For the most part Lisbeth isactually much more interested in good prose than vulgar tattoos. At work “Her reportswere in a class by themselves . . . thorough and grammatically correct” (The Girl withthe Dragon Tattoo 41). When necessary she can speak “Oxford English” (563). Also“impeccable German” (564), with a Norwegian accent, for good measure. At anotherpoint in the book we are told that “Salander could see that Blomkvist was a finewriter” (101-102).It is no stretch to assume that in having Lisbeth praise Blomkvist’s writing, StiegLarsson is having her praise his own book. Before he wrote his novels he was anace investigative reporter too, and he knew how to write a paragraph. His style is inthe Hemingway mold, and Hemingway was a very good reporter before he turnedto fiction. Larsson’s prose is easily translated into foreign languages, the mark ofworld literature today. It is paratactic, with limited lexis; that is, short sentences andparagraphs, easy word choice. A sample from just after the second assault on Lisbethshows that the Swedish is almost too simple for the English translator, who introducessynonyms, such “remember what” instead of the first use of “kommer.”21“Remember what we agreed. You’ll come back here next Saturday.”“Du kommer ihåg vad vi com överens om. Du kommer hit nästa lördag.”She nodded again. Cowed. He let her go.Hon nickade igen. Kuvad. Han släppte henne.(Larsson, Män som hatar kvinnor

22 Forum for World Literature Studies251)Just as the translator has freedom to work in the target language, so readers write theirown code and read what they want into Lizbeth, or as Nora Ephron calls her, the girlwho fixed the umlaut:Lisbeth Salander was entitled to her bad moods on account of her miserablechildhood and her tiny breasts, but it was starting to become confusing just howmuch irritability could be blamed on your slight figure and an abusive father youhad once deliberately set on fire and then years later split open the head of withan axe. (Ephron)(slide 13) Nora Ephron’s point is that Larsson’s prose is not perfect. People are alwayssitting down to eat gurkins at breakfast. They smoke too much and they drink coffeeevery other paragraph, one of the many ways Stieg Larsson handed bits of himself tohis characters and the reason he died of a heart attack after trudging up seven flightsof stairs the day he delivered his final manuscript to his publisher.slide 13 slide 14I have said little about Blomkvist’s investigation into the shabby goings on of awealthy family of industrialists, so I should mention that the true heroine of the bookis not Liz but Blomkvist’s teenage daughter, who has grown up well despite beingabandoned by her absent father. She is a regular church goer and therefore able torecognize that a series of cryptic numbers associated with a serial killer of womenactually refers to biblical verses, allowing Lisbeth and Blomkvist to crack the caseand make the world safe for sex.No doubt that if Larsson had lived to write all ten volumes of his projectedBalzackian opus, Lisbeth would have turned out to be a superior mother, but in thefragment we have she tends to fall for men who would be described in French as

Deconstructing Epidermal Art and the Female Goth in Nordic Millennial Fiction:The Joys of Vulgarity in Stieg Larsson’s The Girl with the Dragon Tattoo / Charles Rossfarouche, a word that means both timid and fierce, like an animal in the wild. Wemight say “dangerous” in the Michael Jackson, panther-video, sense. The word occursin Jean Racine’s seventeenth-century tragedy Phèdre, where the heroine experiencesthe thrill of forbidden love when she falls for Hippolytus, the son of her husbandTheseus. She is a so very vulgar she could be before Judge Judy. But also passionate,and the French do vulgarity so well I hardly even need to translate this passage, wherefired by her mad love, she opens her heart to her step-son, whom she compares to hisfarouche father:23Oui, Prince, je languis, je brûle pour Thésée. / Je l’aime, non point tel que l’ontvu les enfers, /… Qui va du Dieu des morts déshonorer la couche, / Mais fidèle,mais fier, et même un peu farouche, … Tel qu'on dépeint nos Dieux, ou tel que jevous voi.” (Racine, Phedre 121)Yes, I languish (je languis), I burn (je brûle) for Theseus, he who traveled to helland slept with the wife (déshonorer la couche) of the king of the dead, a manfaithful (fidèle) but also proud (fier), even a little wild (farouche). . . just as wedepict the gods, and just the type of man I see in you (ou tel que je vous voi). [mytranslation]By the end of this book, Lisbeth, our modern Phaedra action hero, has fallen hard forMikael Blomkvist. She buys her man a present and heads over to his apartment, butis dashed to find a rival, Mikael’s boss Erika Berger, already in bed with the butterflyof love. A quick word about the workplace novel. According to a recent New Yorker,the workplace novel is the bestselling genre of fiction in China today, and spreadingaround the world. 7 Its features naturally include how to negotiate the roadblocks tosleeping around inside an organization, but just as important, how to get ahead, howto handle the person who wants your job, when to quit, and how to get revenge. Itis the modern version of the old 1930s Soviet worker fiction, where God has beenreplaced by the Soviet State, and the happy jack hammer operator thinks only of thegreater good, such as the dam they are building at the end of Doctor Zhivago. But thenew workplace novel is even more proletarian, and bows to even falser gods, suchas just keeping your job no matter what because you can be so easily displaced. Theword proletarian comes from Latin proles, or seed. All seeds are the same, so if youare in the proletariat, you don’t matter.The Girl with the Dragon Tattoo is more moral than that. I’ve mentionedBlomkvist’s daughter, and there are some discussions about the ethics of journalism,the villains are generally brutal enough that in our unthinking moods we accept

24 Forum for World Literature Studiesthat they deserve whatever they get, and Lisbeth herself is certainly unique, not areplaceable proletarian, which is why we love her. But the book is vulgar, and so itneeds a god more suitable than strained ideas of right and wrong, or three tattoos onits female action hero. The false god suitable for this book of fiction, it turns out, isthat quintessence of farouche, that epitome of vulgarity both good and bad, ElvisPresley. (slide 14)At the end of the book Lisbeth buys a present for Michael to cement their lovedespite twenty years age difference—and remember Mikael is a stand-in for Larsson,and so should be considered ten years older, and she looks fourteen, and so might bethought to be ten years younger, which gives a satisfyingly biblical vulgarity to theforty-year age difference between them. The Latin Bible is not called the Vulgate fornothing. But let us finish:She needed some excuse to knock on his door. She had not given him anyChristmas present, but she knew what she was going to buy. In a junk shop shehad seen a number of metal advertising signs from the fifties, with embossedimages. One of the signs showed Elvis Presley with a guitar on his hip and acartoon balloon with the words Heartbreak Hotel. (click slide button to play10 seconds of the song Heartbreak Hotel) She has no sense for interior design,but even she could tell that the sign would be perfect for the cabin in Sandhamm.It cost 780 kronor, and on principle she haggled and got the price knocked downto 700. She had it wrapped, put it under her arm, and headed over to his place onBellmansgatan. (Larsson, The Girl with the Dragon Tattoo 589)You will notice that the words “Heartbreak Hotel” are not in the balloon. And what istranslated as a sign in metal is in the original Swedish a “reklamskytar”, or billboardon a placard, or poster, in short, a regular movie poster. Larsson’s problem was thatthere is no such object because Heartbreak Hotel was never an Elvis movie. It was a1956 record, Elvis’s second big hit. (slide 15) There was a poster for the movie LoveMe Tender (play music for Love Me Tender for 10 seconds, including what CliveDavis calls the money note: “all my dreams come tru-u-u-e”) but that would be tooobvious. Larsson wants us to feel that tough-guy Lisbeth is going soft but not that sheis quite yet on the path to middle-class motherhood. He has to save her for two morenovels.To maintain her mystery, and to show his superhero literary technique, Larssondoes a switch. (slide 16) It turns out there was Elvis movie in 1957 called KingCreole that fits all the facts of Liz’s case perfectly. In it Elvis plays a singer who doesnot know much about the world. He is mixed up with mobsters in a seedy southern

Deconstructing Epidermal Art and the Female Goth in Nordic Millennial Fiction:The Joys of Vulgarity in Stieg Larsson’s The Girl with the Dragon Tattoo / Charles Rosstown, just like the Arkansas Bill Clinton grew up in at the same time—that’s the sameformer president who played Heartbreak Hotel on his saxophone on Arsenio Hall’sshow in 1992. In a key scene Clinton—I meant Elvis, is such a nice guy that he relentswhen the woman he has cornered in a flop house sheds tears. And that, it seems, iswhat Lisbeth wants, R-E-S-P-E-C-T—not another tattoo. She flirts with tender love,but winds up in Heartbreak Hotel, and Larsson has to keep her there for now, whichis why he gives the name of Elvis’s record to the hot-sheet joint in King Creole. Thetruth we find when we tear away the veils of Stieg Larsson’s moral posturing is that hedoes not want Lisbeth to escape from the imaginary world where the louche—you cansee it in Elvis’s woman, looking just like Liz—can hook up with the farouche, MikaelBlomkvist, alias Stieg Larsson, alias their idol, the king himself (start music for songBurning Love and read over Elvis singing the lyrics “hunk a hunk of burninglove”), that hunk a hunk (VOLUME UP) of vulgarity in all its glory, the reason youread (“HUNK A HUNK OF BURNIN’ LOVE”) this book!25slide 15 slide 16Notes1. I would like to thank Judy Ware for explaining all the hard parts of the book to me. Judy Ware,who will retire in May, 2013, has been the indispensible schedule deputy for the English Departmentfor much of the time that I have taught at Purdue University.2. For more information, see http://www.huffingtonpost.com/2009/12/11/tiger-woods-swedishhome_n_388814.html.3. At least one internet site identifies the woman in slide 3 as Elin Nordegren, but according toSnopes.com, the photograph is not of Elin Nordegren but a nude model pretending to be her.4. Lisbeth tests her tattoo machine on herself before going after Advokat Bjurman.5. Clockwise from the right: Samus Aran, Wonder Woman, Sock’er Mom, Storm, and Zelda.6. The man with tattooed arms in the accompanying slide is Brian Qualley

26 Forum for World Literature Studiesr=1&pagewanted=2>.7. For more information, see Chang, Leslie T. “Working Titles: What do the most industrious peopleon earth read for fun?” The New Yorker, February 6, 2012: 30-32.Works CitedEphron,Nora. “The Girl Who Fixed the Umlaut.” The New Yorker. 5 July2010.Larsson, Stieg. Män som hatar kvinnor (English and Swedish). Stockholm: Norstedts, 2005.---. The Girl with the Dragon Tattoo. New York: Random House Vintage Books, 2008.Kastenmeier, Edward. Readers’ Review: “The Girl with the Dragon Tattoo” by Stieg Larsson. TheDiane Rehm Show. 27 Dec. 2012 .Racine, Jean. Phedre. In Oeuvres de J. Racine. 3 vols. London, 1788. Volume 3.Roug, Louis. “The Girl With the Dragon Tattoo”: An Interview With Rooney Mara, DanielCraig, and avid Fincher. The Daily Beast. 18 Dec. 2011 .责 任 编 辑 : 邹 晶

In Search of Heidi Durrow within a BlackWoman’s Literary Tradition: On Reading TheGirl Who Fell from the SkyJennifer Freeman MarshallDepartment of English, Women’s Studies Program, Purdue University500 Oval Drive, West Lafayette, Illinois 47907, USAE-mail: jlfreem@purdue.eduAbstract A version of this paper was delivered on February 23, 2012, as part of theBooks and Coffee Series at Purdue University. This paper presents Heidi Durrow’sThe Girl Who Fell from the Sky, and it discusses the role of biography in both thewriting and receptions of her novel. In addition, it argues that Durrow’s novel revisesand expands received ideas concerning the black women’s literary tradition in theU.S.Key words black women’s literary tradition; Heidi Durrow; The Girl Who Fell fromthe SkyIn the novel The Girl Who Fell from the Sky (2011), author Heidi Durrow tellsthe story of Rachel Morse’s search for self following the traumatic death of hermother and siblings: Rachel, her younger siblings, and her mother, Nella, fallfrom the rooftop of their Chicago apartment, and Rachel is the lone survivor.Much of the novel’s tension involves a complex narrative (told in both shiftingand alternating character and narrative voices) of the unfolding events thatsurround this tragedy, including the dramatic question of whether Nella andher family were pushed from their rooftop. Did Nella push her children fromthe rooftop? If so, how could a mother do such a thing? Where was Doug,Nella’s boyfriend, on that fateful evening, and what role did he play in the tragicevent? Rachel is the lone survivor of the fall, but she is traumatized physically andemotionally, and so the details of what happened are largely unknowable, althoughthey are hinted at throughout the narrative. Readers learn the circumstances of howthe family falls from the rooftop through at least four different narratives: Rachel’ssudden memories; Rachel’s confession to Brick; Doug’s confession to Laronne;and Nella’s sobriety journal. These narratives come at the end of the novel and

28 Forum for World Literature Studiesreveal that Nella’s jump from the rooftop is influenced by her desperate desireto protect herself and her children from the violence of her racist and sexistboyfriend. Rachel, under duress, chooses to jump after her brother is pushed andher mother jumps with her infant sister. The story of Rachel’s search for self, forher new identity in the wake of this tragedy, however, is framed by the specterof this unspeakable event, and so these questions loom large over the centralnarrative.Virtually orphaned, given her father’s absence, Rachel is sent to live with herpaternal grandmother and aunt in a predominately black community in Portland,Oregon. Since Rachel is the “light-skinned-ed,” blue-eyed, biracial daughter of awhite Danish mother (who she refers to as Mor) and Roger, her African Americanfather, pressing questions concerning the nature of racial and cultural and genderidentity also largely shape her search for self. She is not only recovering fromthe trauma that brought her to Portland, she’s adjusting to living in a communitywhere her relatives, neighbors and peers find her outward appearanceremarkably different and potentially vexing. Within this Portland community,Rachel observes many implicit and explicit rules concerning how to perform race(blackness) and gender (femininity). Given Rachel’s seeming isolation from blackcommunities prior to moving to Portland, many of these rules are foreign to her.Therefore, Rachel’s narrative reveals, through an outsider’s perspective, howblackness and femininity are largely constructed and performed via expressionsof language, social customs, and beliefs. For example, early in the novel Racheldescribes her experiences with her new classmates in Portland, Oregon:I am light-skinned-ed. That’s what the other kids say. And I talk white. Ithink new things when they say this. There are a lot of important things I didn’tknow about. I think Mor didn’t know either. They tell me it is bad to have ashyknees. They say stay out of the rain so my hair doesn’t go back. They say whitepeople don’t use washrags, and I realize now, at Grandma’s, I do. They havelanguage I don’t know but I understand. I learn that black people don’t have blueeyes. I learn that I am black. I have blue eyes. I put all these new facts into thenew girl. (10)The “new facts”, this fictitious “new girl” are largely gathered from Durrow’s ownexperience of acculturation. Like Rachel, Heidi Durrow has a white Danish motherand an African American father who served in the military, and, like Rachel, Durrow’sparents divorced when she was an adolescent. More specifically, Durrow has reportedhow she hoped to capture in her novel, her confusion, and the confusion of others,

In Search of Heidi Durrow within a Black Woman’s Literary Tradition:On Reading The Girl Who Fell from the Sky / Jennifer Freeman Marshallabout her racial and cultural identity. Because Durrow was a biracial child with blueeyes, she was often asked about her racial identity:29“What are you?” People kept asking me this, and I thought it was so peculiar, soI would say the truth. I would say, “I’m the very best speller in my whole class.”And they would laugh, and they thought, “No, no, I mean, what are you?” AndI would say, “Well, I’m good at math, and I think I’m a good poet, and I like toread, and they’d say, “No, are you black or are you white?”A central theme of her semi-autographical novel is to provide a story aboutbiracial identity that reveals how race is socially constructed through the eyesof a young girl. Indeed, quite a bit of the popular interest and promotion of thisnovel (in reviews and interviews) hinge on parallel narratives that describe herown family background and biracial identity. 1However, in addition to Durrow’sown biography, critical readers should, of course, consider the literary worksthat might have influenced Durrow as she crafted the novel’s central themes andliterary elements. 2Durrow offers her audience a number of direct references andliterary allusions to other works of fiction, and I’d like to very briefly note someof them here: The novel’s epigraph is taken from Nella Larsen’s novel Passing(1929), which explored themes of racial passing and racism. Rachel’s mother,who is named Nella, is an obvious reference to this significant author. Morespecifically, the epigraph reads: “If a man calls me a nigger it’s his fault the firsttime, but mine if he has to do it again,” which foreshadows that Nella’s final actwas influenced by either her profound guilt at not anticipating and protecting herchildren from her lover’s racial hatred or by her possessive love and desperateintent to control her children’s fate…or both. Either of these motivationssignificantly links Durrow’s Nella to Sethe, another literary mother as depicted inToni Morrison’s Beloved (1987), who chooses filicide over the horrors of racismfor her children. In addition, falls from a rooftop figure in both Larsen’s Passingand Durrow’s The Girl Who Fell from the Sky. While Larsen’s Passing ends withthe uncertainty of the circumstances surrounding Clare Kendry’s fall, Durrow’sGirl holds these questions as one of its central critical tensions to be more fullyanswered at the novel’s end. Finally, as mentioned previously, Nella’s sobrietyjournal is one source that reveals the contexts of the family’s fall from the sky, and hermeditations and confessions give insight into Nella’s naïve and insightful perspectiveson race, gender and motherhood. Nella’s entries remind me, if somewhat tenuously,of the possible connections that might be made here to Alice Walker’s provocativecrafting of Celie’s letters to God in The Color Purple (1982).

30 Forum for World Literature StudiesI underscore here these cursory, and somewhat limited, intertextual connections,because I’d like to consider how Durrow, given her biracial and bicultural identity,might approach the question of whether (and how) her work fits into the literary andcultural production of a black women’s literary tradition. In search of an answer, Icame across an essay authored by Durrow titled, “Dear Ms. Larsen, There’s a MirrorLooking Back,” published in a 2008 issue of the literary journal Poemmemoirstory.Although her essay is titled “Dear Ms. Larsen, There’s a Mirror Looking Back,” Iimagine that it could have been titled “In Search of Nella Larsen” or “Looking forNella.” The essay clearly signifies on Alice Walker’s now classic essay that wasvariously titled “In Search of Zora Neale Hurston” (1975) and “Looking for Zora”(1983). Walker’s essay powerfully expresses her interest in reclaiming the life andliterary legacy of author and anthropologist Zora Neale Hurston via a travel narrativethat depicts Walker’s trip to Huston’s “birthplace” in Eatonville, Florida. Her searchfor biographical information frames her critique of Hurston’s marginal position inAmerican literature and literary histories, and eventually her search leads her toHurston’s gravesite, which is unmarked. Walker, in honor of a cultural and racial andliterary kinship that she feels for Hurston, purchases a marker for the grave that reads“Zora Neale Hurston, ‘A Genius of the South,’ Novelist, Folklorist, Anthropologist,1901 – 1960” (Walker, “Looking for Zora” 107). In addition to “Looking for Zora,”Durrow also references Walker’s “In Search of Our Mother’s Gardens: The Creativityof Black Women in the South” (1974), which asserts that black women writers mightlook for literary models in the creative legacies of their mothers and grandmotherswho left evidence of their “genius” in the “low” arts of quilting, gardening andstorytelling (237-243).Durrow uses direct references and allusions to Walker’s essays in “Dear Ms.Larsen” in order to critique Walker’s arguments concerning the cultural and racialgenealogies that define a tradition of creativity in black women’s literature. Whiledoing so, Durrow writes herself into that tradition. The essay is framed by an epigraphexcerpted from Alice Walker’s “In Search of Our Mother’s Gardens” that reads: “Theabsence of models, in literature and as in life, is an occupational hazard for the artist,simply because models in art, in behavior, in growth of spirit and intellect—even ifrejected—(my emphasis) enrich and enlarge one’s view of existence” (Mirror 101). Iemphasis the phrase, “even if rejected,” because Durrow’s subsequent narrative offersa partial rejection, at least, to the idea that a black woman writer must have a blackmother as her model. The essay begins:I am visiting the grave of someone I did not know. […] This visit is ahomecoming. It is the end of my long quest to make peace with an artistic

In Search of Heidi Durrow within a Black Woman’s Literary Tradition:On Reading The Girl Who Fell from the Sky / Jennifer Freeman Marshallancestor and literary role model. It is the end of my struggle as a writer to makemy racially-and culturally-divided past whole. […] I am looking for what onlyNella Larsen---a woman writer who is racially and culturally my twin—can giveme: a lineage, or as Alice Walker describes it, “continuity,” a place in a traditionof black women writers who are also white. (101-102)31Significantly, Durrow alludes to Walker’s visit to Zora Neale Hurston’s gravesiteto underscore the importance of her “homecoming” quest to Larsen’s unmarkedgrave. Like Walker, Durrow ends her essay with a description of a headstone placedon Larsen’s grave that reads: “Nella Larsen: A Novelist Remembered” (109). Thepowerful cultural meanings of kinship and lineage and funeral rights, across bothessays, give this real and literary practice its rhetorical power, and Durrow’s use ofthese motifs reveal her very personal search for self, as a bi-racial woman, within thisliterary tradition.Durrow suggests that Walker’s essays, and the literacy legacy that Walker andZora Neale Hurston represent, are reserved for black girls with black mothers, whetherfigurative or real. Durrow’s essay includes vignettes of memories and imaginations ofher white mother as a successful local writer, but these “imagi-memories” are notedas counterpoints to her daunted desire to be a part of the growing community of blackwomen writers of the 1980s and 90s. She states, “The most important lesson shelearns is unspoken: black girls become black women. She will never become whather mother is. She will be a great black writer” (103).In Durrow’s quest to be a black woman writer who is also white, I wonderto what extent does her first novel, The Girl Who Fell from the Sky, reviserepresentations of black girlhood within the black women’s literary tradition? Imentioned the possible intertextual connections with black women’s literaturepreviously, and Durrow’s novel makes a significant allusion to The Bluest Eye(1970) by Toni Morrison. The novel is about a little black girl who tragicallybelieves that blue eyes will make her beautiful and, therefore, more lovable to herfamily and community. Durrow gives high praise to this novel in her essay:My favorite book-the book that introduced me to the idea that stories could bewritten with the lyrical language of poetry, and to the power of a novel to reflectand heal; the deepest grief---was Morrison’s The Bluest Eye. How I lovedPecola. How I wept for her. “So it was. A little black girl yearns for the blueeyes of a little white girl, and the horror at the heart of her yearning is exceededonly by the evil of fulfillment.” 3 Not once, not ever in repeated adolescent orcollege-age readings of the book did it occur to me that I was Pecola’s mirror

32 Forum for World Literature Studiesopposite. I was the little black girl with blue eyes who yearned for my differenceto disappear. (104)That Durrow strongly identifies with Pecola as her mirror opposite suggests anopportunity to compare Rachel’s character (who Durrow has drawn from her ownexperience) with Pecola’s literary foil, Maureen Peal. In The Bluest Eye, MaureenPeal is the kind of girl who Pecola wants to be. The first mention of Maureen Pealcomes from Claudia who states: “This disrupter of seasons was a new girl in schoolnamed Maureen Peal” (62). From the perspective of the novel’s protagonist Claudiaand her sister Frieda, Maureen is “A high-yellow dream child with long brown hairbraided into two lynch ropes that hung down her back. She was rich, at least by ourstandards” (62). Maureen’s beauty and class privilege provide her with an “unearnedhaughtiness” that informs her social demeanor and her access to social praise, andMaureen never seems to lack for friendship among her peers: “She enchanted theentire school […] She never had to search for anybody to eat within the cafeteria[…]” (63). Claudia and Frieda are too young to understand “the Thing that made herbeautiful,” but her unearned privilege leaves Claudia and her sister envious at the verythought of Maureen, and they search for “flaws to restore our equilibrium” (63). Evenas they argue with Maureen, they know that their envy is misplaced, and they alsoknow that they “can not destroy the honey voices of parents and aunts, the obediencein the eyes of our peers, the slippery light in the eyes of our teachers when theyencountered the Maureen Peals of the world” (74).Claudia, the narrator of The Bluest Eye, and her sister Frieda remind me ofDurrow’s Tamika Washington and her clique of friends who envy Rachel’s differenceand taunt and torment her through grade school and high-school. There are, of course,a number of differences in their characterizations, but Claudia and Frieda are amongthe black girls in The Bluest Eye who, in response to Maureen, “stepped aside whenshe wanted to use the sink in the girls’ toilet, and their eyes genuflected under slidinglids” (62). Likewise, Durrow’s Tamika echoes Morrison’s Claudia, when she saysto Rachel, “You think you so cute!” (9-10). Despite her conflicts with Claudia andFrieda, Morrison’s “new girl” enchants all. However, Durrow’s “new girl” and hergreat difference, her blue eyes and her Danish heritage, isolate her from most of herpeers. She states, “There are fifteen black people in the class and seven white people.And there’s me. There’s another girl who sits in the back. Her name is CarmenLaGuardia, and she has hair like mine, my same skin color, and she counts as black. Idon’t understand how, but she seems to know” (9).Durrow revises Morrison’s figuration of “the new girl” as represented in TheBluest Eye. Her revision expands rather than contracts our view of “the Maureen

In Search of Heidi Durrow within a Black Woman’s Literary Tradition:On Reading The Girl Who Fell from the Sky / Jennifer Freeman MarshallPeals of the world.” While Maureen’s light complexion and hazel green eyes onlyhint at the “evil of fulfillment” that comes with the privilege of racialized beauty,there’s no indication that Maureen (like Durrow) wishes that her hazel green eyeswill disappear. Maureen knows she’s cute and, during an argument between the girls,she’s not above proclaiming that she is, as she retorts that Claudia and Frieda are “Blackand ugly black e mos” (75). Readers might be left with the feeling that new girlslike Maureen Peal simply revel in the “Thing” that makes them cute (74). However,Durrow’s Rachel, in contrast, is haunted by her “new girl” status. Rachel states at thevery beginning of the novel, as she leaves the hospital with her grandmother, “Mygirl in a new dress feeling has faded. My new girl feeling has disappeared” (1). Sheseems relieved that the fleeting feeling of specialness returns “briefly” when the busdriver comments on her “prettiest blue eyes” (1). But there are a number of instancesin the text when Rachel becomes the “new girl” to deflect the trauma of her past andpresent, as when she grieves the loss of her family and adjusts to the “new facts” ofrace and gender in her new home in a predominately black community. For example,she “pretends” to be the “new girl” to meet her grandmother’s gendered expectations,and she becomes the new girl to cope with her taunting classmates (6, 69). While TheBluest Eye allows readers to see the privilege that comes with the unearned status ofMaureen’s normative beauty, Durrow’s Rachel allows readers to explore this privilegeas impermanent and imaginary as a coping strategy to deflect the envy of her peers.There are far too many allusions to “new girl” to reference here, but their frequency inDurrow’s novel underscores the critical important of this allusion as a revision of “thenew girl” in The Bluest Eye.I began this talk by discussing the similarities in Durrow’s biography and herfictional narrative as a means to consider how Durrow challenges and revises racialdiscourse in her novel and, in the process, writes both to and against a black woman’sliterary tradition. Durrow’s novel and biography not only reveal the challenges of ayoung biracial girl, they also reveal the challenges of her white mother. In a 1994interview included in the anthology Black, White, Other, edited by Lise Funderberg,Durrow describes how, following her parents divorce, her mother, who had never helda job, returned to college and worked part-time. The family received welfare and “livedin a poor black neighborhood.” Durrow states, “And that’s when we became colored.I think” (351). I wonder if Durrow’s intends her mother to be included in that “we”and, if so, how might we read then, by extension, Nella’s racialized experience in thenovel? The term “colored” reminds me of segregated water fountains and bathroomswith black and white signage---the material evidence of racial prejudice during U.S.segregation. There is also, of course, a literary history of black writers documentingwhen they became colored. Zora Neale Hurston, for example, writes of becoming33

34 Forum for World Literature Studiescolored in her essay ”How it Feels to Be Colored Me” published in 1928. The phrase,and Hurston’s essay, represents an active making and remaking of race and racialdifference. One is not simply “of color,” but one is “colored.” Rachel’s mother, Nella,is neither black nor biracial, but her fate is linked to that of her “colored” children.Durrow’s novel, in linking the fates of Nella to her children, makes a literary allusionto Morrison’s Sethe and extends the permeable boundaries of social constructions ofrace and racism, since even a “white” mother can intimately and fatefully experienceracial prejudice if she has black children.If we read, then, the plight of Durrow’s “colored” Nella and the choice that shemakes to commit murder-suicide in light of the epigraph of Durrow’s novel, then thequestion of Nella’s racial guilt must also be considered. Nella is surprised to findthat her life is so difficult in the U.S., and she struggles to make a living for herbiracial children. When she comes to America, she expects to make good on theromance of the American dream. But when it comes to race, the American dreambecomes the American tragedy. This tragedy of American racism is not simplythat Doug (who is white) calls her children jigaboo and later, while beatingthem, the “n” word. Nor is it that Nella’s whiteness can’t protect her childrenfrom his racism or the racism and colorism of others. The other tragedy that thisnovel offers is that Nella’s whiteness, her racial privilege and cultural difference,unwittingly implicates her in the American tragedy of racism when she, withremarkable naïveté and great affection, refers to her own children in racist terms.Durrow links The Girl Who Fell from the Sky to a literary tradition of blackwomen writers through the use of direct references and literary allusions to theworks of writers such as Toni Morrison, Alice Walker, Zora Neale Hurston and NellaLarsen. As she revises Alice Walker’s influential essays on black women’s literarytradition, she decenters Hurston as central to that tradition and claims a kinship withNella Larsen who shares her distinctive biography as a biracial woman of Danish andAfrican-American descent, and she makes a room of her own within that traditionof black women writers. In the case of Toni Morrison’s The Bluest Eye, Durrowchallenges representations of light-skinned-ed and light-eyed black girls as theuncomplicated beneficiaries of racial-privilege through her representation of the “newgirl” in The Girl Who Fell from the Sky. Finally, as Alice Walker largely defined aliterary tradition in terms of creative matrilineal genealogies and, perhaps, imaginedall the mothers as black, Durrow’s novel offers an opportunity for readers to considerthe shared fate of white and black mothers of black children and the potential andparticular legacies of black writers who are also white.

In Search of Heidi Durrow within a Black Woman’s Literary Tradition:On Reading The Girl Who Fell from the Sky / Jennifer Freeman Marshall35Notes1. On the day this talk was delivered, Heidi Durrow was the keynote speaker for Intersections-AStudent Conference on Diversity at Purdue University. The conference theme was Living at theCrossroads: An Exploration of Multiracial and Multicultural Identities.2. Werner Sollors suggests that William Faulkner’s The Sound and the Fury (1929) and As I LayDying (1930) and Toni Morrison’s Song of Solomon (1977) are likely influences on Durrow’sexperimental point of view and tragic flying scene, respectively. See Sollors, Werner. “Obligationsto Negroes Who would be Kin if they were Not Negro.” Daedalus 140.1 (2011): 142,153,8-9.ProQuest Research Library; ProQuest Technology Collection. Web. 22 Oct. 2012.3. Durrow quotes The Bluest Eye. Emphasis mine.Works CitedDurrow, Heidi. “Dear Ms. Larsen, There’s a Mirror Looking Back,” Poem/Memoir/ Story (Numbereight, 2008).----. The Girl Who Fell from the Sky. Chapel Hill: Algonquin Books, 2011.Eight, Arizona PBS. “Books & Co. with Alberto Rios- Heidi Durrow,” Youtube. 12April, 2011.Web. 9 February, 2012. .Funderburg, Lise. Black, White, Other: Biracial Americans Talk About Race and Identity. New York:W. Morrow and Co., 1994.Hurston, Zora Neale. “How It Feels To Be Colored Me.” 1928. Zora Neale Hurston: Folklore,Memoirs, and Other Writings. Ed. Cheryl Wall. New York: The Library of America, 1995:826-829. Larsen, Nella. Passing. (1929) New York: The Modern Library, 2002.Morrison, Toni. The Bluest Eye. (1970) New York: Plume, 1994.----. Beloved. New York: Knopf, 1987.Walker, Alice. “In Search of Our Mothers’ Gardens.” 1974. In Search of Our Mothers’ Gardens:Womanist Prose. San Diego: Harcourt Brace Jovanovich Publishers, 1983. 231-243.----. “Looking for Zora (In Search of Zora Neale Hurston).” 1975. In Search of Our Mothers’Gardens: Womanist Prose. San Diego: Harcourt Brace Jovanovich Publishers, 1983. 93-116.责 任 编 辑 : 杨 革 新

Poe’s Landscape:Dreams, Nightmares, andEnclosed GardensJin LeiDepartment of International & Intercultural Studies College of Charleston SouthCarolina, USA66 George Street, Charleston, South Carolina 29424, USAEmail: jinl@cofc.eduAbstract: The continuation and innovation of Poe’s handling of landscape andlandscape gardens in Romantic and Gothic traditions can best be found in hisconstruction of both the landscape of Gothic nightmares and the landscape ofparadisiacal gardens. This article investigates Poe’s poetic visions — dreamscape,Gothic landscape, and the paradisiacal landscape garden, and reveals that thesefeatures thread through Poe’s poems, Gothic tales, and sketches, weaving Poe’s viewof man, nature, and the universe into an aesthetic theory of unity.Key words: Poe; landscape; poetic visions; theory of unityThroughout his literary career, Poe wrote a half-dozen landscape tales and asignificant body of poetry that deals with dream visions. 1 The dreamscapes depicted inPoe’s early poems anticipate the nightmare landscapes portrayed in his famous Gothictales. The epistemological question reflected in the poetic dreamscape is central tothe Gothic landscape. Therefore, before embarking on the quest to understand Poe’sGothic landscape and landscape garden images we should examine his early poems,moving from his early poems to Gothic tales, focusing on desolate landscapes,dilapidated mansions, haunted palaces, and the fear, horror, and terror they evoked.By focusing on Poe’s famous story “The Fall of the House of Usher” (1839) we candevelop an allegorical interpretation of outer and inner dark landscapes of Usherhimself to show that Poe employs the Gothic landscape as a vehicle to explorethe realm of the collective unconscious as well as conscious epistemological andpsychological perplexities. In contrast to Poe’s vision of terror illustrated by the darklandscape is the vision of beauty and the supernal elaborated by the earthly paradise.Finally, using “The Domain of Arnhem” (1846) as an example, I shall demonstratethat Poe’s apparently contradictory visions are two complementary parts of theauthor’s vision of the universe and man’s relationship with nature, which projects his

38 Forum for World Literature StudiesRomantic usually evokes an ideal world infused with internal energy and dynamicallyevolving toward a yet higher state, in which the single, separate self seeks unity withNature, itself symbolic of the aesthetic harmony of the cosmos” (“Introduction,” 1).In contrast, Dark Romantics evoke an isolated and mysterious universe, in which thelonely poet struggles to pursue the absolute truth of the universe and a supreme realmin vain. In Poe’s poetry, the ideal beauty and harmony of nature is either beyondgrasp or manifests and disappears suddenly like a shooting star, and the poet is leftforever tormented by the agony. Consequently, the harmonious unity between manand nature are lost, and the pessimistic poet views himself as surrounded by cold starsand dark trees of a mysterious landscape, suspended between faith and skepticism,horror and beatitude. Such vision is best illustrated in “The Lake__ To_____” fromhis first volume Tamerlane and Other Poems (1827) and “Al Aaraaf” from his secondvolume Al Aaraaf, Tamerlane, and Minor Poems (1829).“The Lake__ To_____” evokes a dark, isolated, and even threatening landscapeimage occupied by a wild lake, black rocks, and tall pines. His devoted love ofthe lonely wild lake reveals the poetic figure’s unusual character. The descriptionof the dark landscape conveys a mood of melancholy, loneliness, and isolation,characteristics of a cursed romantic poet. Blessed and at the same time blighted byhis youthful passion, powerful imagination, and poetic talent, the lonely speakerpossesses a different, often pessimistic and skeptical view of the world. On the onehand, the world appears weary and dark in Poe’s view, as indicated by the images of“dark unfathom’d tide” in “Imitation” (1827) and the “bright, cold moon” in “EveningStar” (1827). On the other hand, the poet strives to grasp a vision of ideal beauty andthe supernal, although such a vision often fades before it can be transcribed in earthboundwords. As seen in the last stanza of “The Lake__ To_____,” the poet’s powerfulimagination transforms the dim and poisonous lake into an ideal garden.Death was in that poisonous wave,And in its gulf a fitting graveFor him who thence could solace bringTo his lone imagining —Whose solitary soul could makeAn Eden of that dim lake. (86)To the persona of the lyric poet, isolation, melancholy, terror, and death do notnecessarily mean destruction. The transformation of the two apparently dramaticallydifferent images -- the dim lake and Eden -- illustrates Poe’s desire and ability totranscend the constraints of rationality, reason, logic, time and space, as well as his

Poe’s Landscape:Dreams, Nightmares, and Enclosed Gardens / Jin, Lei39pursuit of the ideal realm. Such desire and pursuit are further elaborated in poemsfrom Poe’s second volume.“Al Aaraaf,” one of Poe’s most complicated poems, is an important examplefor examining his poetic vision and theory from his early period. In the poem, Poe--the poetic dreamer--sets his “half closing eyes” and mind on a wondering star--arealm from which he strives to obtain a vision of supernal beauty and ideality (108).The supernal beauty and ideality might be reached by means of imagination and yetdisappear before the poet could transcribe it into earthbound words leaving mankindin a dark universe.Opening with an image of the harmonious ethereal dream garden, the poemnevertheless ends with dark annihilation. The dark image of “the night that waned andwaned and brought no day” powerfully reinforces Poe’s dark romantic vision (115).It also conveys the tense anxiety of a romantic dreamer who is empowered by freeimagination and yet is earth-bound. On the one hand, viewing the physical world as aprison, Poe struggles to transcend reality in pursuit of the ideality. On the other hand,although the supernal beauty (embodied in the image of the dream garden) revealsits brilliance to a romantic poet like Poe, it disintegrates after a sudden and briefappearance, like the mysterious star in the sixteenth-century. Like paradise, humanityis denied entrance to the dream garden. Later we shall see that the themes of selfannihilationand the horror of facing self-destruction emphasized in the end of thepoem become the essential consideration of Poe’s Gothic tales.The poetic concept of the supernal beauty and ideal realm (often visualized indream vision), as well as the images of the dream garden and indefinite mysteriouslandscape illustrated in “Al Aaraaf,” can be found in many of Poe’s other poems.Similarly definite, shadowy, and mysterious landscape and landscape garden imagesare also found in “Fairy-Land” (1829), “Alone” (1829), “The Sleeper” (1839), and“Ulalume”(1847), just to name a few. Among them is one of Poe’s most famouspoems, “Dream-Land” (1844). Compared to Poe’s early dreamscape and landscapegardens discussed earlier, the tone and the poetic vision in “Dream-Land” are muchdarker. It is a chilling, nightmare vision of the threatening and sinister. In this poemPoe cries out for a dream land “out of Space – out of Time” (344). In his questfor transcending reality and obtaining ideality, Poe is constantly tormented by thepessimistic view of nature, the universe, and man’s existential condition. Eventually,the pleasant dream garden image gives way to a Gothic nightmare landscape; andyet at the same time, one of the most beautiful imaginative landscape gardens innineteenth-century American literature is also composed in his sketch.Poe, in his most famous Gothic tale, “The Fall of the House of Usher” (hereafter“Usher”), depicts a memorable withered Gothic landscape. The mysterious desolate

40 Forum for World Literature Studieslandscape, the isolated and decaying mansion, and the imaginary and symboliclandscape garden evoke senses of mystery, fear, terror, and horror. Poe uses thenightmare landscape as a vehicle to explore the unconscious realm and psychiccrisis, project epistemological perplexity, and dramatize the fears of the soul. Forthe tale addresses itself to the central concerns of Dark Romantics, ranging from thequestionable mind, to existential anxiety, the uncertain universe, and the ambiguousrelationship between man and nature. The nightmare landscape depicted in “Usher”can be seen, therefore, as the epitome of the ruined Eden—the world in the skepticalview of the Dark Romantics. By such extension, the following discussion deals withUsher’s dark domain as an allegorical landscape garden.“Usher” offers a paradigm of Gothic themes, conventions, motifs, and thesensations evoked in Gothic writings. Its isolated and desolate landscape, and theexterior and interior of the house, sustain divergent interpretations and have drawnconsiderable scholarly attention. In the view of critics such as Darrel Abel, EdwardDavison, Richard Wilbur, and G. R. Thompson, the tale is also read as an allegory. Inone of the important articles written on “Usher,” Darrel Abel discusses the symbolicmeanings of the setting and suggests that “the tale is a consummate psychologicalallegory” (185), in which “all the symbols express the opposition of Life-Reason toDeath-Madness” (179). Davison asserts: “the tale is a study of the total disintegrationof a complex human being, not in any one of the three aspects of body, mind, andsoul, but in all three together” (197). Drawing several examples from Poe’s tales,poems, and aesthetic theory, Richard Wilbur provides a provocative analysis andargues that Usher is “a triumphant report by the narrator that it is possible for thepoetic soul to shake off this temporal, rational, physical world and escape, if only fora moment, to a realm of unfettered vision” (267). Thompson examines Usher in thecontext of Romantic irony and suggests that the tale dramatizes “a weird universe asperceived by a subjective mind” (“Preface”, 34); and moreover, “the ultimate ironyof this universe, however, is the ‘perversity’ of man’s own mind” (“Preface”, 37).Previous scholarship has cast light on our reading of Usher’s withered landscape—the nightmare vision of the Dark Romantic poet’s view of the blighted earth and animagined picture of ruined Eden.To discuss Usher’s dark and mysterious landscape as an allegorical gardenwe need to consider the tone and the mood of the tale in conjunction with the mainthemes and concerns of the story and the description of the landscape. Beginning withthe first line, readers are seized by an oppressive and gloomy feeling. In a surrealisticportrayal, nature takes on an unnatural appearance in the opening paragraph. Thewords “dull” and “soundless,” the scene of the oppressively low clouds, the imageof a lonely traveler in the dreary tract of country, and the sense of an oppressive and

Poe’s Landscape:Dreams, Nightmares, and Enclosed Gardens / Jin, Lei41insufferable gloom suggest that the narrator’s journey on horseback is a also trip to thedreamland of horrors.The bizarre landscape, indeed, reflects the view of the Dark Romantics, in whichnature is inscrutable, mysterious, and deformed. As Poe states, “the fair face of Naturewas deformed as with the ravages of some loathsome disease” (610). A typical Gothichero is often suspended alone within such an incomprehensible and deformed world,struggling in vain to understand the universe and his existential condition.The mysterious landscape and bizarre world is further mingled with theproblematic realms of the mind and spirit. Searching for reasons to substantiate hisirrational fear, the narrator rearranges his perspective by looking down upon thereflection of the mansion in the black and lurid tarn. Yet, instead of reaching a rationalexplanation as to why Usher’s house has “so unnerved” him, his effort only increaseshis fear. While puzzling to the narrator, the landscape provides some clues to solvingthe mystery. The “vacant eyelike” windows, the “rank sedges,” and the “whitetrunks of decayed trees” suggest an image of a head, more specifically, a symbolicrepresentation of a disintegrated mind, which is further elaborated by Usher’s poem,“The Haunted Palace”. Reflecting the dilapidated mansion—the symbolic image ofthe withered mind, the lifeless tarn thus brings together the inside and outside. Thewithered landscape also hints at the theme of “doubles”. Gazing down into the lifelesstarn, the narrator sees nothing but “the remodeled and inverted image of the graysedge, the ghastly tree-stems, and the vacant and eye-like windows” (398). We maysurmise that the narrator’s face is reflected with the distorted landscape image in thetangent water. Therefore, the narrator’s confrontation of Usher’s house and its invertedreflection can be read as a symbolic procedure of plunging not only into Usher’sdisintegrated mind, but quite possibly into his own as well. Thus, the isolated andwithered landscape not only mirrors the mysterious universe and incomprehensibleexistential condition of mankind, but also projects an isolated and disintegrating mind,and reflects the narrator’s distorted perspective.The allegorical reading of the withered landscape as a withered mind and darksoul is further supported by the appearance of the house and the ruined Eden motif isinternalized into the symbolic decaying house, starting with the pond’s reflection andmoving toward the fungi covered exterior of the house and then into the house itself.The famous description of Usher’s house establishes the relationship between physicalreality and the state of Usher’s spirit, specifically the correspondent relationshipbetween the withered landscape, the dilapidated mansion, and his withered mind,which together convey an image of a ruined Eden. 2 Like Usher’s domain, the mansionevokes desolation and isolation. The condition of the mansion mirrors its inhabitant’sdeeply troubled mental status. Like the mansion which is on the edge of collapse,

42 Forum for World Literature StudiesUsher’s mind is at the very brink of insanity. We noticed that the zig-zag split in frontof the building is emphasized. Poe reminds his reader that a “scrutinizing observer”may discover a “barely perceptible fissure” (400) which suggests a fatal flaw of theUsher clan: Usher’s incipient madness, as well as the psychic crisis embodied in thethree characters of the story. Although the exact meaning of the “fissure” remainsambiguous, we eventually discover that the house, Usher, and Madeline are three inone — the embodiment of madness and destruction. Thus, the dark landscape imageillustrates Usher’s, perhaps the narrator’s as well, psychic condition: instable, isolated,and disintegrated. The principal feature of the landscape, Usher’s mansion, visualizesand heightens the central tensions of the story — integrity and disintegration, orderand disorder, and rationality and madness. 3The themes of madness and destruction, and the central tensions of order anddisorder, rationality and insanity are further elaborated by the imagined landscapegarden — the haunted palace. Usher’s poem, “The Haunted Palace,” opens with animage of a beautiful landscape garden: “In the greenest of our valleys, / By goodangels tenanted, / Once a fair and stately palace – / Radiant Palace – reared its head”(406). In the rest of the poem, each stanza develops and reinforces the parallelsbetween facial and landscape images, the condition of the valley and the palacereflecting the mental condition of the composer of the poem, Usher. In the secondpart of the poem, however, the greenest valley and the fairest palace are haunted, asthe two “luminous windows” were replaced by the “red-litten” ones. At the end ofthe poem, hysteric laughter overwhelms the palace. As a result of developing andreinforcing the parallel relationships between the landscape-body and landscapegarden-mind, the character/s, structure, and environment of the tale form a unity.Through the unified image of the disintegrating mind, decaying mansion andmysterious and lifeless landscape, Poe brilliantly weaves together the psychological,existential, and epistemological anxieties which characterized the eighteenthcentury in the wake of its rapid development in science and its increasing emphasison materialism. Additionally, Poe’s portrayals of nature and his understanding ofmankind’s existential condition are also closely related with his concept of poetry andthe poet, and his aesthetic theory. Wilbur insightfully points out the reasons that Poeviews the earth as a ruined Eden.It [the Earth] has fallen away from God by exalting the scientific reason abovepoetic intuition, and by putting its trust in material fact rather than in visionaryknowledge. The Earth’s inhabitants are thus corrupted by rationalism andmaterialism; their souls are diseased; and Poe sees this disease of the humanspirit as having contaminated physical nature. The woods and fields and waters

Poe’s Landscape:Dreams, Nightmares, and Enclosed Gardens / Jin, Lei43of Earth have thereby lost their first beauty, and no longer clearly express God’simagination; the landscape has lost its original perfection of composition, inproportion as men have lost their power to perceive the beautiful. (258)Because Earth is a fallen planet, Wilbur suggests that escaping the physicalconfinement of the world and the body and gaining a glimpse of heavenly beautybecome the ultimate goal of Poe, the poet.Poe’s allegorical landscape is significant, not only because it interweaveslayered meanings together into a unity, but also because it is the manifestationof the main features of American Gothic fiction—the uncertain relationshipbetween man and nature, and the ambiguous duality between consciousness andunconsciousness. Traditionally, on the gloomy, desolated, and alienated Gothiclandscape, the lonely hero despairingly battles with various anxieties ranging fromfear of the supernatural to religious oppression, feudal tyranny, political revolution,industrialization, urbanization, scientific development, and sexual transgression.Adapting the European Gothic tradition to American history and culture, Poe andhis American contemporaries such as Charles Brockden Brown and NathanielHawthorne replaced the windswept castle with the dark frontier landscape, allegoricalgarden, and the antiquated house, which refers to both building and family line,and add new dimensions of epistemological and psychological perplexities to theconventional anxieties of the Gothic hero. As mentioned before, the epistemologicaland psychological concerns revealed in American Gothic writings mainly deal withthe nature of existence, the nature of the cosmos, the relationship between humanityand the world, between humanity and God, as well as the struggle between one’sconsciousness and unconsciousness. According to G. R. Thompson, Romanticfascination with the unconsciousness and epistemological problems of existence isinextricably linked with its obsession with their understanding of nature:Central to the Romantic mind-set is the sense that some further “nature” mysterywill always open out from a newly comprehended mystery, the whole serieshaving a total unity that is almost, but not quite revealed. One is always aboutto comprehend some never-to-be imparted ultimate secret. This sense of beingon the very edge of vast physical, psychological, and metaphysical discoveriespermeated the age. (Romantic Gothic Tales 1790-1840, 28)Poe’s explorations of the “ultimate secret,” the nature of existence, and the issue ofunconsciousness can be found in “Usher,” particularly his portrayal of the allegoricallandscape. In “Usher,” the nature of cosmos and nature are mysterious, and the

44 Forum for World Literature Studiesrelationship between humanity and the universe in which the protagonist lived isambiguous. Usher’s domain suggests some supernatural influence upon the landscapeand its tenants, and at the same time, it hints that the source of the mansion’s excessivedecay, the narrator’s insoluble fear, and the ultimate reasons behind Usher’s mentaldisorder are mysterious. It could be supernatural power, or the “the long-continuedillness,” the imagination of Usher’s disordered mind, or the uncertain combinationof all. Like many of Poe’s protagonists, such as the characters in “MS. Found in aBottle” (1833), “Berenice” (1835) “Ligeia” (1838) “William Wilson” (1839), “ThePit and the Pendulum” (1842), “The Masque of the Red Death” (1842), and “theBlack Cat” (1843), Usher is a victim of an external and internal power beyond humanintelligence. In other words, through the exploration of Usher’s mental condition andthe world in which he lived, Poe illustrates that the nature of the universe and ourexistence are beyond our understanding and control.Acting in the center of the dark psychological landscape, the three protagonistsof the story are allegorical figures. Represented as the conscious part of the mind,the narrator is anxious to rationalize the mysterious domain and the increasing fear itevoked, as well as Usher’s inconsistent behavior and mental instability. Needless tosay, his struggle for penetrating the dark secrets of the universe and mind are fruitless.While at the beginning of the story the narrator appears as a character of intellectualrationalism, as the story continues his friend’s irrational mind casts considerableinfluence on him, and his narrative becomes more and more unsteady. At one point,he is accused by Usher of being a “madman”. Consequently, the narrative authorityis brought under question. While the narrator/consciousness can be viewed as avictim of the irrationality, Usher and his twin sister Madeline can be understood asthe symbolic representation of the unconscious and irrational part of the mind. We aretold that Usher and Madeline live in a mansion “with no disturbance from the breathof the external air” (400), and for many years they had never ventured forth beyondthe impenetrable walls surrounding them. Although the narrator and Usher had beenintimate companions in boyhood, he knows little about him and he has no knowledgeof Usher’s twin sister. The strange bond between the three protagonists highlightsthe relationship between consciousness and unconsciousness—the former is initiallyunaware of the existence of and subsequently unable to reach a rational understandingof the latter. Madeline is prematurely buried in a vault. In order to understand Poe’sexploration of the unconscious realm the vault scene requires a close reading:The vault in which we placed it (and which had been so long unopened that ourtorches, half smothered in its oppressive atmosphere, gave us little opportunityfor investigation) was small, damp, and entirely without means of admission for

Poe’s Landscape:Dreams, Nightmares, and Enclosed Gardens / Jin, Lei45light; lying, at great depth, immediately beneath that portion of the building inwhich was my own sleeping apartment. (409-401)The details of the underground vault illustrate the symbolic meaning of the vault. Firstwe notice that there is no light—the symbol signifies a lack of reason, rationality,and knowledge; second, it is a realm of the unfamiliar; and third, it is located at agreat depth, immediately beneath the bedroom of the narrator. These details illustratethat the vault is the symbolic representation of the realm of the unconscious. It is notsurprising to find that the dark vault eventually becomes the destination of Madeline,who stands as a symbolic figure of the unconscious. The premature-burial andMadeline’s ghostly return vividly signify the nature of unconsciousness. Despite beingburied in the deepest part of the mind, the unconsciousness always creeps out andthreatens the rationality of the mind whenever there is a fissure in the guarding wall ofthe consciousness. “Usher” affects the reader at the unconscious level because it setsup unconsciousness on the central stage for investigation. Thus, the Gothic landscapeof “Usher” becomes the site of investigating the uncertain, incomprehensible, anduncontrollable part of the mind. Upon Usher’s Gothic external withered landscape—the symbol of the ruined Eden, the inner uncertainty of the mind is blended with theoutward ambiguity of the universe, and together they intensify the epistemologicaland psychological perplexities.The dark allegorical landscape depicted in “Usher”—the combination ofthe incomprehensible mind and world—evokes the sensation of fear, terror, andhorror. Analyzing the Gothic tradition and the complicated emotions it evokes,Thompson asserts: “terror suggests the frenzy of physical and mental fear or pain,dismemberment, and death (“Introduction” 3). Horror suggests the perception ofsomething incredibly evil or morally repellent; in addition to terror and horror,mystery is another important feature of American Gothic, which “suggests somethingbeyond this, the perception of a world that stretches away beyond the range of humanintelligence” (“Introduction” 3). These discussions of terror and horror should help usto see how Poe produced and manipulated the reader’s sensation on the level of bodyand mind. In “Preface” for Tales of the Grotesque and Arabesque (1839), Poe tellsus that “terror is not of Germany, but of the soul” (473). Poe was a master at evokingfear, terror, horror, and mystery, which were employed by him to explore the depths ofthe soul. The Gothic waste land best illustrates Poe’s purpose of conveying the terrorof the soul.The mysterious landscape functions as an epitome of the distorted physicaluniverse; consequently, the narrator’s attempted scrutiny only increases his fear.Gazing down the hellish water of the black and lurid tarn, “with a shudder even

46 Forum for World Literature Studiesmore thrilling than before,” the narrator sees “upon the remodelled and invertedimage of the gray sedge, and the ghastly tree-stems, and the vacant and eye-likewindows” (398). Here, “gazing down” is a meaningful gesture, is not a simple actionof curiosity. The gaze signifies a Romantic hero’s journey of inquiring Truth—thetruth of the universe and nature — even at the risk of doom and death, for what hesaw foreshadows the destructive fate of the narrator’s journey. The inverted imageof the landscape conveys the message that regardless of perspective (reason, order,and knowledge), the true nature of the universe is inscrutable, and what we see isno more than an inverted image of the world. The words “black and lurid” suggest ahellish quality of the tarn, and consequently the reflection of the house appears as ifit has been swallowed by the bottomless dark abyss—an image of annihilation. Herenature appears to conspire against the mansion and its’ inhabitants. In addition, theremodeled reflection also hints at the unfathomable depth of the unconsciousness andthe dark strata of the mind, which threatens to overwhelm its conscious and rationalcounterpart. It is upon the multiple levels that Poe’s Gothic landscape combines theouter darkness of withered landscape with the inner darkness of the withered mindand evokes “insufferable gloom” and increasing fear.Not only nature, but the mansion as well appears sinister. Moving ever closerfrom a distance, the narrator finds himself standing in front of Usher’s mansion witha better view of the house. As mentioned earlier, the detailed description of the houseestablishes the relationship between the physical body and spirit and the correspondentconnection between the landscape, mansion, and mind. The moment he enters themansion, the narrator plunges deeper and deeper into the realms of the unstable mindand the subconscious. From this point, the narrator’s thinking grows more and moreunsteady, and he soon realizes that he has become a victim of his friend’s insanity.The climax of the tale—Madeline’s ghostly return and the final destruction of themansion intensifies the sense of terror evoked by the image of nightmare landscape. Inthe second part of the story, Poe relies on the misgivings produced by insanity and theactions of a diseased mind to build up the climax and to terrify and horrify his reader.Incest between the twins is hinted. If we view the decaying mansion as representativeof a deteriorating mind, and Usher and Madeline as its unconscious occupants, thenthe narrator’s awareness of the incestuous relationship suggests the reorganizationof some morally repellent thoughts buried deep in our subconsciousness. Therefore,the twins are indeed the embodiment of terror (a frenzy of physical and mental fear)and horror (evil or morally repellent thoughts). The imagined picture of Madelinestruggling to get out of the coffin and dungeon intensifies the terror and horror to ahigher and higher degree. Madeline’s ghostly return illustrates the dangerous resultsof the repression of consciousness and the unleashing of the unconscious. The terror

Poe’s Landscape:Dreams, Nightmares, and Enclosed Gardens / Jin, Lei47and horror of body and mind eventually lead to a psychical breakdown, which isvisualized in the final scene. The powerful images of the rapidly widened fissure ofthe house and “the deep and dark tarn closing sullenly and silently over the fragmentsof the ‘House of Usher’” voice the final destruction of the mind and the annihilationof the clan of Usher. The mysterious dark and silent landscape is center stage, onceagain highlighting the Romanticist’s dark view of the nature of mind and universe,and the ultimate miserable existential condition of humankind.“Usher” constitutes a paradigm of the Gothic and Dark Romanticism’s visionaryterror. The withered Gothic landscape of the story stands as an allegorical pictureof the ruined Eden. Within a maligned universe and with deceptive perception,humankind is suspended in a despairing state of watching its mind breaking downand waiting for the moment of final destruction and annihilation. As a poet ofmankind, Poe’s lament over the ruined Eden—the earth — produces a drive to regainit. Profoundly dissatisfied with man’s miserable condition in the world, through thepower of imagination, particularly through his aesthetic sense as a poet, Poe strivesto transcend man’s despairing condition and transform the ruined Eden by creating animaginative earthly paradise.In his sketches and tales, Poe creates several paradisiacal landscape gardenimages. Among them “The Landscape-Garden” (1842), “The Domain of Arnheim”(1847), and “Landon’s Cottage” (1849) particularly illustrate Poe’s visionary beauty—a belief in artistic perfectibility. 3 By analyzing his principle paradisiacal landscapegarden image we shall be able to see how Poe, discontented with the limitations ofthe physical world and man’s condition, endeavors to seek supernal beauty with theassistance of poetic taste. Poe’s literary criticism and aesthetic theory shall help us tounderstand his concept of supernal beauty, as well as his belief in the artist’s role insaving man from the blighted earth. Our final discussion shall focus on “The Domainof Arnheim”, for it is Poe’s most explicit statement concerning aesthetic principles,and his search for happiness on the blighted earth.“The Domain of Arnheim”, a revised and greatly elaborated version of Poe’s“Landscape-Garden”, provides a splendid visionary image of the paradisiacallandscape garden. Before discussing Poe’s aesthetic principles, upon which thelandscape garden is created, we must first look at the earthly paradise Poe created.Like the isolated domain of Usher and many landscapes depicted in Poe’s poemsand tales, the location of the domain of Arnheim places an emphasis on solitude andenclosure, which entrusts the landscape with a dream-like and imaginary quality.Water, particularly the images of the narrow stream, gorge, and pond play a key role inaccessing Poe’s paradise. The usual approach to Arnheim is by the river which growsnarrow and takes thousands of turns. After some distance, the river becomes a gorge

48 Forum for World Literature Studiesbetween the walls of a high ravine. Finally, a sharp turn leads the water into a widecircular basin. Scholars have pointed out the sources and aesthetics of Poe’s landscapefiction have been neglected. 4 In addition to serving as a necessary step in separatingthe paradisiacal landscape from the rest of the mundane world, the hours wanderingin the narrow watery maze also implies a spiritual journey of purification and rebirth.The reader is told the whole chasm effuses “an air of funereal gloom”. Emotionally,the “funeral gloom” sets off by sharp contrast the ecstasy and happiness one is goingto experience. More importantly and symbolically, the hours’ long journey alongthe wandering, enclosed, dark and gloomy ravine indeed suggests the importance ofpurification before entering paradise.Poe’s thoughts on the concept of rebirth can be found in his earlier writings. Thedialogues between the blessed spirits in Heaven, “The Colloquy of Monos and Una”(1841), for example, illustrates that in Poe’s view “the dark Valley and Shadow” arethe boundaries that divide life from death and death from spiritual rebirth. In the voiceof Monos (one of the blessed spirits), Poe claims: “that man, as a race, should notbecome extinct, I saw that he must be ‘born again’” (611):And now it was, fairest and dearest, that we wrapped our spirits, daily, in dreams.Now it was that, in twilight, we discoursed of the days to come, when the Artscarredsurface of the Earth, having undergone that purification which alonecould efface its rectangular obscenities, should clothe itself anew in the verdureand the mountain-slopes and the smiling waters of Paradise, and be rendered atlength a fit dwelling-place for man: — for man the Death-purged — for man towhose now exalted intellect there should be poison in knowledge no more — forthe redeemed, regenerated, blissful, and now immortal, but still for the material,man. (611-612)The imaginative excursion described here is very similar to the one in “Arnheim”,and indeed the latter is a more elaborated version of the former. Viewed in such light,we see that the domain of Arnheim is divided into two parts. Permeated with “an airof funereal gloom” the enclosed and dark landscape in the first part of the journeyis a crucial stage of Poe’s construction of Paradise, since the only approach to theparadisiacal garden is the river. The journey indicates a process of purification andtransformation. Not only man but also the “scarred” Earth has to undergo this processbefore reaching immorality. After the ordeal of purification, the earth is redeemed andmen are exalted.In contrast to the first part of journey, the landscape in the second part of journeyis effused with an air of ecstasy and bliss. In Poe’s most elaborate description of

Poe’s Landscape:Dreams, Nightmares, and Enclosed Gardens / Jin, Lei49earthly paradise, the beauty of earthly paradise is conveyed by the image of a serenewater basin and its surroundings:This basin was of great depth, but so transparent was the water that the bottom,which seemed to consist of a thick mass of small round alabaster pebbles, wasdistinctly visible by glimpses – that is to say, whenever the eye could permit itselfnot to see, far down in the inverted heaven, the duplicate blooming of the hills.On these latter there were no trees, nor even shrubs of any size. The impressionswrought on the observer were those of richness, warmth, color, quietude,uniformity, softness, delicacy, daintiness, voluptuousness, and a miraculousextremeness of culture that suggested dreams of a new race of fairies, laborious,tasteful, magnificent, and fastidious; but as the eye traced upward the myriadtintedslope, from its sharp junction with the water to its vague terminationamid the folds of overhanging cloud, it became, indeed, difficult not to fancy apanoramic cataract of rubies, sapphires, opals, and golden onyxes, rolling silentlyout of the sky. (1280)The quality of the water is essential. Unlike the dark and impenetrable water of thetarn in front of Usher’s house, the water here is transparent and reflects “a miraculousextremeness of culture”. Poe implies that although slightly different, the earthlyparadise is a copy of heavenly beauty and therefore shares the brilliant radiation ofheaven. The reader is reminded that earthly paradise is the creation of mankind, forthere are no fish, birds, trees, or shrubs.The identity of the creator of the earthly paradise reveals Poe’s understandingof the role of the poet. It is not by accident that the blessed spirits in “The Colloquyof Monos and Una” and the designer and the few visitors of the domain of Arnheimare poets. In Poe’s view, poets are the only hope for the fallen earth and mankind.He believes that poets would lead us back to Beauty, to Nature, and to Life, if manwould submit to their guidance. In “Colloquy of Monos and Una”, Poe stresses theimportance of poetic aesthetic sense — “for, in truth, it was at this crisis that tastealone – that faculty which, holding a middle position between the pure intellect andthe moral sense, could never safely have been disregarded – it was now that tastealone could have led us gently back to Beauty, to Nature, and to Life” (610). In“The Poetic Principle,” Poe’s most elaborated statement on his aesthetic theory, hediscusses the crucial role of aesthetic sense (taste) and the relationship between “Pureintellect, Taste, and the Moral sense”:Dividing the world of mind into its three most immediately obvious distinctions,

50 Forum for World Literature Studieswe have the Pure intellect, Taste, and the Moral Sense….Just as the Intellectconcerns itself with Truth, so Taste informs us of the Beautiful, while the MoralSense is regardful of Duty. Of this latter, while Conscience teaches the obligation,and Reason the expedience, Taste contents herself with displaying the charms: –waging war upon Vice solely on the ground of her deformity – her disproportion–her animosity to the fitting, to the appropriate, to the harmonious – in a word, toBeauty. (The Complete Poems and Stories of Edgar Allan Poe, 1025-1026)Here we see, while relating moral sense with obligation, Poe sets Beauty as theultimate goal of the poetic mind. Inspired by poetic sentiment, guided by pureintellect and taste, the poet strives to reach the Supernal Beauty. “The PoeticSentiment”, Poe tells, “may develop itself in various modes—in Painting, inSculpture, in Architecture, in Dance … in the composition of the Landscape Garden”(1026).Viewed in such light, we see that Ellison, the designer and the owner of theearthly paradise, is Poe’s poet of the landscape. Under the assistances of enormousfortune he inherited and his refined aesthetic taste, Ellison creates a paradisiacallandscape of beauty and lives in bliss. The paradisiacal landscape garden is theembodiment of Poe’s visionary beauty, the realization of his aesthetic theory, and thetestimony of the power of the poet.Notes1. For an extensive discussion of this topic, see G. R. Thompson, Circumscribed Eden of Dreams:Dreamvision and Nightmare in Poe’s Early Poetry (Baltimore: The Enoch Pratt Free Library, theEdgar Allan Poe Society, and the Library of the University of Baltimore, 1984).2. The central tension of “The Fall of the House of Usher” has been discussed by critics such as E.Arthur Robinson and Kent Ljungquist. See E. Arthur Robinson, “Order and Sentience in ‘The Fallof the House of Usher’”, PMLA 76 (1961): 68-81; and Kent Ljungquist, The Grand and the Fair:Poe’s Landscape Aesthetics and Pictorial Techniques (Potomac: Scripta Humanistica, 1984).3. The central tension of “The Fall of the House of Usher” has been discussed by critics such as E.Arthur Robinson and Kent Ljungquist. See E. Arthur Robinson, “Order and Sentience in ‘The Fall ofthe House of Usher’”, PMLA 76 (1961): 68-81; and Kent Ljungquist, The Grand and the Fair: Poe’sLandscape Aesthetics and Pictorial Techniques (Potomac: Scripta Humanistica, 1984).4. For discussions on Poe’s earthly paradise and landscape fiction, see Robert D. Jacobs, “Poe’sEarthly Paradise” , American Quarterly 12.3 (Autumn 1960): 404-413; Jeffrey A. Hess, “Sourcesand Aesthetics of Poe’s Landscape Fiction”, American Quarterly 22, no. 2.I (Summer 1970):177-189; Joel R. Kehler, “New Light on the Genesis and Progress of Poe’s Landscape Fiction” ,

Poe’s Landscape:Dreams, Nightmares, and Enclosed Gardens / Jin, Lei51American Literature 47.2 (May 1975): 173-183; and Kent Ljungquist, The Grand and the Fair:Poe’s Landscape Aesthetics and Pictorial Techniques (Potomac: Scripta Humanistica, 1984)Works CitedAbel, Darrel. “A Key to the House of Usher.” University of Toronto Quarterly, (January, 1949):177-185.Davison, Edward H. Poe: A Critical Study.1957; reprint, Cambridge: The Belknap Press of HarvardUniversity Press, 1980.Poe, Edgar Allan. Collected Works of Edgar Allan Poe. Ed. Thomas Ollive Mabbott. Cambridge:The Belknap Press of Harvard University Press, 1978.---. The Complete Poems and Stories of Edgar Allan Poe. Ed. Arthur Hobson Quinn and Edward H.O’Neill. New York: Alfred A Knopf, 1982.Thompson, G. R. Romantic Gothic Tales 1790-1840. New York: Harper & Row, 1979.---. “The Introduction: Romanticism and the Gothic Tradition.” The Gothic Imagination: Essaysin Dark Romanticism. Ed. G. R. Thompson. Washington, D.C.: Washington State UniversityPress, 1974.---. “Preface.” Great Short Works of Edgar Allan Poe. Ed. G. R. Thompson. New York: Harper &Row, 1970.Wilbur, Richard. “The House of Poe.” The Recognition of Edgar Allan Poe: Selected Criticism Since1829. Ed. Eric W. Carlson. Ann Arbor: The University of Michigan Press, 1970.责 任 编 辑 : 柏 灵

Valle-Inclán: Comparative and ThematicApproachesArturo CasasFaculty of Philology, University of Santiago de Compostela, SpainNorth Campus – Burgo das Nacións, Santiago de Compostela, Galiza, 15782 SpainEmail: arturo.casas@usc.esIn issue 4/1 (April 2012) of Forum for World Literature Studies, we presented acollection of five essays focused on a comparative reading of some of the mainEuropean and Latin American referents of the vast literary output of Ramón del Valle-Inclán (1866-1936), one of the most important Spanish writers and playwrights ofhis time. The essays by Darío Villanueva, Robert Lima, Margarita Santos, AntonioPedrós-Gascón and Rosario Mascato-Rey allowed us to delve into the prose, thestage works, the thought, the poetry and the interartistic links that characterize Valle-Inclán’s work and make it so current. At the same time, we were able to show theunique way Valle-Inclán’s aesthetic integrated the key points of the historical realitythat the author experienced personally and intensely. It is an aesthetic that continuedto be reformulated over the years. The author did this to gain the public favour, buthe also felt a need to interpret with the most effective tools the historical and culturalchanges he was living, as well as their direct consequences in the public and politicalspheres and the private and local ones.In this second series of essays, four in total, we do not completely abandonthese perspectives, but the analysis and the problems we deal with are generallyless broad and focus on somewhat more tightly framed questions. Various of theperspectives to which I am referring appeared, in a way, in the previous series. Onecase is the attention paid to war. To war as a historic constant and also to some of theconcrete examples in which Valle-Inclán was interested as a writer and somewhatas a chronicler: the First World War, the Carlist Wars in 19th-century Spain, and thegreat European and Latin American revolutions at the beginning of the 20th century.Another case is the re-interpretation of some classical and modern myths and theexploration of the dramatic and narrative results of interartistic relations. However,as I have indicated, this time either the scope of the studies has been reduced or wehave introduced additional points of view in order to extend the critical debate about

Valle-Inclán: Comparative and Thematic Approaches / Arturo Casas53the author to very current issues. Among these issues, for example, are film-literaturerelations or the consideration of Valle-Inclán in light of the concept of world literature.The article by Dru Dougherty, one of the best-known international Valle-Inclánexperts, opens this issue and presents an analysis of the devices used by the authorin his prose and dramatic work—among others, situational irony—to reveal thebackdrop of interests, beliefs and political corruption that fed the last Spanish civilwar of the 19th century (1872-1876). Valle-Inclán managed to uncover like no oneelse the simulation of grand public discourses and the management of oft-manipulatedvalues, such as patriotism, heroism or progress.Carmen Becerra contributes to this issue with an essay on the modern emergenceof the Don Juan myth and its noteworthy persistence in Valle-Inclán’s work, with quitedifferent treatments in the turn-of-the-century tales of Feminines and the BarbaricComedies, completed in 1922. She draws a thematic-comparative analysis not only ofthe diverse critical orientations of the study of the myth in literature and the arts, butespecially of the various representations of Don Juan that have been produced fromthe Baroque to modernism, by way, naturally, of Mozart, Hoffmann and Mérimée,among others.The third article is by José A. Pérez Bowie and focuses on the seven televisionand film adaptations of Valle-Inclán’s dramatic and prose works, which are generallyapproached with reticence by specialists in the author’s work and even by film studiesscholars, despite the undoubted technical and artistic relevance of the directors whotook up the challenge. In particular, the essay notes the complexities inherent to thetransposition of literature to film, which scholars have been analyzing since Russianformalism, and which are accentuated in Valle’s case by his discursive and aestheticuniqueness and by the aesthetic specificity of the fictional worlds in question.Lastly, César Domínguez looks at the theoretical notion of world literature froma point of view in which translation becomes an axis, in practice to a measure, ofthe concept and of its very empirical applicability. He takes as a case study TiranoBanderas (1926), the novel that Valle-Inclán published in 1926 and that was translatedto English three years later, and uses it to argue for a stronger dialogue betweenComparative Literature and Translation Studies. In any case, it is a dialogue nuancedby an unavoidable contextualization that incorporates historical, cultural, institutionaland even commercial references in order to understand the inter-systemic switchimplied by any incorporation of a literary work into a different cultural system bymeans of translation.责 任 编 辑 : 杨 革 新

Carlist Carnage: War in Valle-Inclán’s CarlistNovels and in Voces de gestaDru DoughertyDepartment of Spanish & Portuguese, University of California, Berkeley, USABerkeley, CA 94720, USAEmail: enigma@berkeley.eduAbstract This study investigates Ramón del Valle-Inclán’s view of war in the Carlistseries (three novels and a tragedy) that appeared between 1908 and 1911. The subjectof the series was the Spanish civil war of 1872-1876 known as the last Carlist War, aconflict in which insurgent troops and peasant guerrilla bands revolted to defend theirtraditional forms of life against modernizing trends: secularization, republicanism,and bourgeois economies. Central to the argument is the focus on situational irony,a device that structures all four works and calls into question readings that discoveran heroic exaltation of war in the series. This essay proposes that Valle-Inclán“disenchants” such a view by presenting war as rooted in fratricidal murder, politicalcorruption and the passion for revenge, a vision that influenced the shift in his arttoward a poetics of the grotesque.Key words history and literature; irony; Valle-Inclán’s Carlist series; war in literatureIn 1916 Valle-Inclán visited the Western Front of World War I and shortly thereafterpublished La media noche. Visión estelar de un momento de guerra (Night on theWestern Front, 1917). That book has been credited with playing a major role inthe shift in his poetics from symbolist harmony—“the harmony of opposites”— togrotesque dissonance inaugurated in La pipa de Kif (The Marihuana Pipe, 1919).As John Lyon notes, La media noche “has generally been considered by critics as akey work for the understanding of the author’s transition from a heroic to an antiheroicvision of life… It has been inferred… that the shock of first-hand experience oftrench warfare must have been instrumental in producing the grotesque anti-academichumour of La pipa de Kif ” (Lyon, “Crossroads” 135). My intention is not to discusswhether La media noche marked the crossroads in the writer’s poetics, although thisessay casts doubt on that hypothesis. Rather, it is to amplify the inference mentionedby Lyon and investigate its force in an earlier series of works whose subject wasSpain’s nineteenth-century civil war known as the Carlist Wars. 1

Carlist Carnage: War in Valle-Inclán’s Carlist Novels and in Voces de gesta / Dru Dougherty55The linkage made by Lyon between war and a “anti-heroic” vision of life is a keyto uncovering the fundamental questions that the Spanish author asked in the worksjust mentioned: is war the crucible of heroism in Spanish history or its grave? Is it thearena in which tradition and national character are voiced and defended to the death,or the site of meaningless slaughter occasioned by humanity’s hubris, venality andbase cruelty? Valle did not have to visit the Western Front in order to seek answers tothose questions. Before his trip to France in 1916, he immersed himself in the historyof the Carlist Wars, which raged from 1833 to 1840 and again from 1872 to 1876. Thewar fought in the 1870s was the one he chose to novelize. To prepare the trilogy hevisited its terrain and interviewed veterans when possible (Fernández Almagro 127-37). Still within living memory, the Carlist Wars provided early access to both writtenand oral testimony of war’s glories and horror.Valle’s sustained interest in war derived, to some degree, from his circumstances:born two years before the Revolution of 1868, he was six years of age when thesecond Carlist War broke out in 1872, thirty-two when Spain surrendered its lastoverseas imperial colonies in the War of 1898, and fifty when he toured the WesternFront. For Valle-Inclán’s generation, warfare was part of the fabric of life, worthyof a serious writer’s attention. This was especially so for a novelist who consideredTolstoy a model (Dougherty, Guía 131-38) and cast himself as “the historian of aworld that ended with me” (Rivas Cherif 8) —a world that disappeared in the wake ofmodernity’s expansion in Spain during the nineteenth century.To address fully the question of Valle-Inclán’s vision of war inscribed in hisoeuvre would require much more space than is available for this essay. I havetherefore chosen to focus on the novelistic trilogy devoted to the second Carlist Warpublished in 1908 and 1909, La Guerra Carlista, as well as the tragedy on the sametheme, Voces de gesta, staged and published in 1911. 2The Carlist series is a key to clarifying Valle-Inclán’s vision of war during theyears prior to World War I. 3 Among the representational devices he employed in theseries, situational irony stands out most saliently. It is worth recalling that the commoneffect of irony is to evoke the opposite of what is stated. By “situational” irony I meanthe production of opposite meanings by agents who are situated in different locales,which may be spatial, ideological, affective, etc. Because irony generates contrarymeanings, it lends itself to the creation of dialectical polarities and thematic binaries, apractice found throughout the works examined here. Perhaps the principal conclusionI draw from the series is that Valle placed the origins of war in fraternal strife, as thestory of Cain and Abel reminds us, making all wars civil wars in which there are noheroes and no glory, only death and devastation.

56 Forum for World Literature StudiesUnholy Holy WarThe Carlist wars were sparked by a dynastic dispute among the Spanish Bourbons. Aschism arose in 1832 when King Ferdinand VII restored the ancient Spanish law thatallowed females to succeed to the Crown (it had been rescinded by Philip V in 1713).When Ferdinand died the following year, his brother, to be known as Carlos V, refusedto recognize Ferdinand’s daughter, who went on to reign as Isabel II, and claimed hisright to the throne. Declaring himself the legitimate successor, Carlos immediatelyfound support in Navarre and the Basque provinces from the ultra-absolutists and theapostolic Catholics who opposed Liberalism. As Edgar Holt writes, the ideals thatmotivated Carlos’s supporters to take up arms “were those of religion and absolutism,combined with an agrarian population’s deep-rooted suspicion of all innovations andeconomic developments coming from towns and cities” (44).It would be too simple to think of the Carlist wars as only a dynastic dispute.They may be best understood as a popular, fundamentalist rebellion against theforces of modernization that were altering Spain’s political and economic structuresin the nineteenth century. Margarita Santos Zas states that the civil wars representedthe “collective defense” of Spanish traditions still grounded in a semi-feudal ruralhierarchy composed of impoverished nobles, reactionary priests, peasant farmers andherders. Stirred by the threats perceived in Liberalism, these inhabitants of Navarre,the Basque provinces and sections of Catalonia “were united by feelings of solidarityto reject everything that the bourgeois revolution represented and brought about”(Santos Zas, Tradicionalismo 363). 4It was within that specific socio-historical context that Valle-Inclán set the initialnovel in the Carlist trilogy, Los cruzados de la causa (The Crusaders of the Cause,1908). The action begins, however, with a chorus of voices that characterize waras timeless, when considered by the mothers and wives left to keep the home firesburning:“No one will be left to work the fields. The young men who don’t volunteerto defend their faith [in the Carlist cause] will be forced to serve in the battalionsof the other King.”“No one has seen what we’re seeing today! Two Kings at war in thekingdoms of Spain!”“Not since the days of the Moors!” (Cruzados 671) 5Immediately war is given a double frame for Valle-Inclán’s twentieth-centuryreaders. It is foremost a sacred cause, a crusade to save the Christian faith from being

Carlist Carnage: War in Valle-Inclán’s Carlist Novels and in Voces de gesta / Dru Dougherty57corrupted by the doctrines of a foreign culture. “Two Kings who follow differentlaws. One is a good Christian, who rides with his troops and breaks bread with them.The other has more than a hundred wives, like a Moor, and never sets foot outside hisgrand palace in Castile” (Cruzados 672). The medieval allusions cast the conflict aspre-modern. The temporal removal from modern warfare could not be more obvious.Indeed, the anachronism is so pronounced that one suspects that modernity itself isbeing cast as the enemy.The “good Christian” King mentioned by the women was Charles VII, Carlistpretender to the Bourbon throne and rival of Isabel II who had been driven into exileby the Revolution of 1868. The “other” King alluded to was Amadeo de Saboya(Extramiana 220), an Italian prince who was invited to replace Queen Isabel andreigned briefly from January 1871 to February 1873. 6 However a symbolic readingof that “other” sovereign points in another direction, toward modern, politicalwarfare waged by a standing army for a powerful, competing faith sweeping acrossthe Americas and Europe since the late eighteenth century: liberal nationalism. Themodern nation —ever more secular, constitutionally grounded and devoid of royalty—and bourgeois capitalism were the new creeds threatening the traditional way of lifeembodied in the Carlist cause. They had shown their colors in the American andFrench Revolutions, in the debates over the Spanish Constitution of 1812 and inthe draft of the stillborn Constitution of the First Spanish Republic. Indeed, in thesecond and third volumes of the Carlist trilogy, the Carlist forces are fighting againstRepublican troops while the Third French Republic is taking shape only a few daysmarch across the Pyrenees. Against such stirrings of modernization in Spain, whatchance did the “feudal soul” of Carlism have? 7Numerous critics have held that the first Carlist novel expresses Valle-Inclán’snostalgia for the Carlists’ “heroic” defense of their traditional way of life. 8 They arguethat, doomed to fail, the Carlist cause was presented as a heroic resistance to theforces of modernization. However, as Gogorza Fletcher suggests, the cause and its“crusaders” had to seem oddly archaic to most early twentieth-century readers (85-86). A living anachronism, Carlism had sought to place on the Spanish throne a kingwho would rule according to Christ’s teachings, after purging the country of Jacobinpoliticians and their corrupt clients — such was the “legitimist” view conveyed by thegentry and clergy we meet in Cruzados. Their purpose in the novel is to raise moneyin order to purchase and ship arms from Galicia to guerrilla bands in Navarre. Thesemembers of the ancien régime, whose interests were in the balance, believe “thelegitimate King [Carlos VII] defends God’s cause” —reason enough to extend civilwarfare “like a great conflagration” across Spain (Cruzados 673-74). Christian faithsuffices to fan the flames of holy war.

58 Forum for World Literature StudiesYet all we see take place in the opening novel of the trilogy is a botched attemptto transfer rifles from a convent, where they have been cached, to a sailing ship thatfounders while the insurgents watch from the beach. The irony conveyed by thisaction —a storm extinguishes the crusaders’ holy flame— runs through the Carlistseries in whose pages grandiose visions of Spain’s spiritual deliverance are undercutby mundane scenes of discord, disarray and futile sacrifice. For Valle-Inclán, asMiguel Gil observes, “The Carlist War is not a glorious episode in the history of Spainbut a locus of misery and sorrow whose outcome is mourning and emptiness, not acelebrated victory” (124). 9On what grounds, then, do scholars (see note 8) base their claims that Valle-Inclán was a nostalgic apologist of Carlism? The main evidence is found in thewriter’s public associations with Carlist leaders (Fernández Almagro 128-36), his“traditionalist” speeches given in Spain and Buenos Aires (Alonso Seoane xxx-xxxix),and the epic allusions that appear frequently in the Carlist series. While such detailsframe Carlism as a “living force” that animated a collective tradition in the nineteenthcentury (Lyon, Theater 58-66), they take on a different hue when one considers thatby 1908-1911 that “living force” was long spent. The title of the second novel inthe series — El resplandor de la hoguera (The Bonfire’s Afterglow)— suggests asmuch, namely that only the “afterglow” of Carlism persisted in the first decade ofthe twentieth century (Nora 79). 10 The movement’s glorification in literature couldnot help but collide with the facts of history. Valle-Inclán’s feat was to focus on thecollision itself. Hence the ironic structure that opened a gap between the resurrectionof Carlism’s “heroic” cause and the post-war horizon of Valle’s reading and viewingpublic.Situational IronyThe situational irony deployed in the trilogy issues from the fractured structuredevised by Valle for his novels. By shifting the narrator’s gaze from one camp to theother and from one locale to another, the conventional forward moving plot is replacedby an episodic narrative in which events are often simultaneous and discontinuous(Juan Bolufer 215). Fernández Almagro observed early on that this mosaic structurecaptured the raw reality of war: “War, for those who experience it directly, is like lifeitself: fragmentary, bewildering, haphazard” (132-33). 11 The observation is significant,for it suggests that Valle-Inclán’s understanding of war was the opposite of ordered.It embraced a mix of actions and perspectives that the writer refused to meld into anartificially coherent vision. In this respect, he diverged markedly from Unamuno’sPaz en la guerra (Peace in War, 1897) whose narrator describes how the protagonistand his friends go about making an intelligible story out of their diverse experiences

Carlist Carnage: War in Valle-Inclán’s Carlist Novels and in Voces de gesta / Dru Dougherty59in different guerrilla bands once they are reunited in Bilbao:In the city, transformed into the home of Carlist forces, the impressions of eachof them were congealing as they talked to each other… In those gatheringsIgnacio became aware of the diverse characters of his comrades in arms andbegan to make his selection of their stories. (158)Although the war was experienced differently by each combatant, Ignacio joinsdifferent episodes he hears to make a composite narrative in his head. In fact, in hisnovel about the Carlist siege of Bilbao Unamuno sought to reconcile the dialecticalpoles of warfare —peace in war. Valle-Inclán’s answer to his predecessor’s model wasto leave the reconciling, if it were possible, to his readers.Thus, in the Carlist trilogy the narrator eschews a composite picture of thewar, a refusal that implies its impossibility. The numerous shifts from Republicanofficers to Carlist volunteers, civilian onlookers to peasant spies, etc., create a rhythmof contradictory positions on war (both intellectual and affective) that readers areasked to process. No single position is allowed to dominate; what is advanced as trueabout the campaign in one instance is challenged shortly thereafter by another. “Inalmost every reference to the ‘heroic,’ one glimpses an ironic nuance” (Ciplijauskaité191). 12 López de Martínez argues that the apparent irony is resolved “in the narrator’sperspective” (72), but I find just the opposite is true, that the narrator’s oscillatinggaze denies us a comforting resolution. 13A significant case of “zigzagging perspectives” (Mainer 331) is found in thesecond volume of the series, El resplandor de la hoguera (The Bonfire’s Afterglow,1909), whose main point of affective focalization is the Abbess of the convent inwhich the firearms were hidden in Cruzados. Guilt-ridden by the lives lost becauseof her conspiring with the insurgents, Isabel pledges to sacrifice herself by joiningthe conflagration whose glow she has seen in the eastern sky from her native Galicia.Anxious to reach the war’s purifying flame, she longs to feel the spiritual ardor of theCarlist volunteers fighting for the cause. Once in Navarre, however, the sacred aurashe seeks eludes her and is replaced by the grotesque reality of war:The war began to seem like a sad, drawn-out death throe, a painful epilepticgrimace. […] She had imagined a glorious and luminous war filled with thethunder of drums and the bright song of bugles. […] She yearned to reach thebonfire and be consumed in it. But she didn’t know where to find it. (Resplandor784, 785) 14

60 Forum for World Literature StudiesThis disillusion is soon countered by an unlikely example found in Julepa la deArguiña, a beggar who roams the roads as a spy for the Carlists. In Julepa the nuncontemplates the longed-for sacred experience she lacks: the beggar is “entirelyinflamed with the religious fervor of the common people, in whom the thirst forjustice was paired with resplendent hope to find at war’s end a merciful father in herKing” (Resplandor 787).Both the nun’s spiritual expectations and Julepa’s “inflamed” ardor correspondto what Sarah Cole has aptly termed the poetics of “enchantment” that celebratesviolence as a route to spiritual illumination:Enchantment refers to the tendency to see in [war’s] violence some kind oftransformative power. On the one hand, there is a strong impulse in literaryaccounts of violence to insist on resonant, elemental, often painful bodilyexperience: disenchantment. On the other hand, when the desire for spiritualplenitude meets the facts of historical violence, there is an equal and oppositetendency to see violence as the germinating core of rich, symbolic structures.(1633) 15One such symbolic structure is the sacred flame that would work the transformation inthe nun’s soul — an expectation that never materializes. Instead, her direct experiencegives the lie to the belief that war is an agent of “spiritual plenitude.” 16 Which of thenun’s visions are we to accept as war’s truth: death’s grotesque grimace that she findsin Navarre, or the sublime spiritual experience witnessed in Julepa la de Arguiña? It isuseless to look to Valle-Inclán’s narrator for a definite answer.A noticeably “disenchanted” character in Resplandor is the Duke of Ordax,a cavalry officer in the Republic’s army, whose “smiling cynicism” (760) stripshis profession, and the civil war, of any transformative value. “We will attack theCarlists,” he asserts, “not to defeat them but to merit a promotion in rank and salary”(760). The Duke’s crass cynicism provokes a principled retort from a seasonedCaptain of the Republic: “Like any soldier, I fight for the honor of my flag.” Andfor “the ideas of freedom and progress” he later adds. The Captain’s idealisticstatement prompts in turn a down-to-earth observation from a second Lieutenantin the Republic’s army: “if they could, our troops would throw down their riflesand go home” (763-64). Both officers ironically undermine the Captain’s appealto military honor. The Duke’s perspective in particular, as the narrative continues,recalls Clausewitz’s theory that although combat arouses intense feelings —“Even themost civilized of peoples, in short, can be fired with passionate hatred of each other”(76)—, war is but the continuation of political machinations by other means: “war is

Carlist Carnage: War in Valle-Inclán’s Carlist Novels and in Voces de gesta / Dru Dougherty61not merely an act of policy but a true political instrument, a continuation of politicalintercourse, carried on with other means” (87). Valle-Inclán’s narrator thus continuesto counterposition views on war in the second novel of the series. Pragmatic andself-serving attitudes challenge visionary and idealist motivations expressed by thebelligerents.The final novel in the trilogy, Gerifaltes de antaño (Gerfalcons of Yore, 1909),shows what happens when war’s enchantment fuses with religious fanaticism. Thenovel’s title alludes to falcons (gerifaltes) that in medieval times were trained tokill other birds. The suggestion of predation on one’s own kind is in keeping withthe novel’s protagonist, Manuel Santa Cruz, a warrior priest who organized andled a guerrilla band, engorging its files with volunteers from bands whose leadershe attracted and then murdered. The famous cabecilla (guerrilla-leader) embodiesthe messianic spirit that roused the common people to serve the Christian cause ofCarlism, a cause he betrays by becoming a Cain figure to his fellow insurgents. Valle-Inclán’s readers were familiar with the priest’s fame for being mutinous and for thepitiless atrocities he committed against civilians who sympathized with the Republic.In Resplandor even the Carlist partisans criticize him for defying the Carlist HighCommand: “Just today a courier told us that Santa Cruz disobeyed orders from KingDon Carlos”; “Santa Cruz wants to be in command, all alone, by himself”; “Envy is abad trait; and because of it, the men are calling him a traitor” (Gerifaltes 773-74). 17In the third novel we hear what the Republicans think of the Priest. Once again,the Duke of Ordax supplies a sardonic but acute view: “The Republic needs anotheratrocity by Santa Cruz. The Carlists are lobbying the European courts to give thembelligerent rights.” A fellow officer explains that if recognized by foreign powers, theCarlists would be able to purchase arms from them. The Duke of Ordax concludes: “Atpresent, the [Republic’s] most urgent diplomacy is to do all we can to help the Priest[persist in his savagery]” (Gerifaltes 831). Santa Cruz thus becomes a wedge betweenthe Carlist High Command and the guerrilla bands operating in Navarre, playing intothe hands of Republican politicians and generals (Holt 237-39). Verity Smith notesthat his cruelty “became so notorious that after a time there arose a paradoxical andironic situation. This involved both Liberals and Carlists pursuing Santa Cruz so asto put an end to his atrocities and anarchical behavior” (125). In short, the priest’sambition and bloodlust allow others to turn him into a political pawn — yet anotherironic device that distances the reader’s sympathies from the Carlist cause. War is nota holy cause after all; it is a game of political chess. 18In Santa Cruz’s mind, messianism becomes mania as illustrated when heorders the murder of Miquelo Egoscué in order to swell his own band with thepopular guerrilla leader’s volunteers. 19 This internecine assassination sets the stage

62 Forum for World Literature Studiesfor Roquito, a blind, seer-like beggar, to issue a biblical warning to Santa Cruz thatunderscores his violation of scripture: “The soldiers of the King must not battleamong themselves! Do not fight like Cain and give a bad example to Christianity!”(Gerifaltes 898). The warning prepares the reader for the novel’s climax while it posesthe ethical question at the heart of the trilogy: do any ideals, however holy, justify thedreadful violence of war?As predicted by the Duke of Ordax, the action depicted in Gerifaltes ends witha cynical reversal when the Republic’s High Command purposefully calls back itstroops that have encircled Santa Cruz’s band, in order to allow the priest to escapeand continue his butchery. When news of the retreat reaches Santa Cruz, he falls tohis knees and thanks God for saving him, a gesture immediately undercut by the blindbeggar who cries, “It’s Satan who is saving you!” (900). To the very end the narrativevoice withholds a definitive point of view, foregrounding war’s enchantment onlyto close with the warrior priest’s betrayal of its promise. Like Cain, Santa Cruz killshis own kind to further his ambition, weakening thereby the heroic narrative of theCarlist cause. Readers are left to ponder the biblical story that places the origin of warin fratricide. If one takes the Carlist war as a metonymy for all wars, Valle-Inclán’sliterary message would seem to be that only nationalism, and modern nation building,occlude the truth that all wars are civil wars. 20The ever shifting perspectives on war posed by the Carlist novels forestall asingle, reassuring point of view. In search of an interpretive standpoint readers areforced to attend to other signifying means deployed by the novelist: for example,the archaic frames given to war —medieval, epic, a holy crusade— in Cruzados; thesacred fire imagery that appears throughout Resplandor; and the symbolic pairing ofSanta Cruz with Cain and the Devil in Gerifaltes. Situational irony thus allows thehighly poetic and allusive language in the novels to work its magic and alert readersto the horror of war, especially the kind fueled by fanatical beliefs. Bermejo Marcoswas perceptive in drawing attention to the “antimilitarist and pacifist denunciation thatexposes the senselessness of all wars” in the Carlist novels (158). However, absurditymay not be war’s worst evil. As we shall see in the next section, deluding oneselfand one’s people about the heroics of futile combat opens the way to casting war as atragedy in Valle-Inclán’s Carlist tragedy.Farewell Pastoral Dream!When the curtain rose on Valle-Inclán’s Voces de gesta (Epic Voices, 1911) inBarcelona, 21 the audience learned that once again two sovereigns were disputingthe kingdom of Spain, “[a king] from another land is warring against King Carlino”(Voces 217). Avalle-Arce explains that Carlino is a diminutive form of both

Carlist Carnage: War in Valle-Inclán’s Carlist Novels and in Voces de gesta / Dru Dougherty63Charlemagne and Carlos, our first indication that the Carlist sovereign has suffereda degrading diminishment (363). Indeed, Carlino has been reduced to a fugitive who“pursued by his dire destiny / lives in the mountains like a goatherd” (Voces 212). InAct I of this “pastoral tragedy” we quickly see that King Carlinos’s kingdom, onceas bucolic as Virgil’s Georgicas, has been overrun by an invading army of vagueorigins and that his people are unable to save themselves. Indeed, as González delValle reasons, the inhabitants of this peaceful country —shepherds and farmers—would betray their pastoral nature, “defeat themselves,” if they fully imitated theiraggressive enemy (290).The scene is thus set for an advanced army to conquer a peace-loving communityand obliterate its way of life as in the Carlist novels. Against this legendary, premodernbackdrop (allusions are made to the Moorish invasion of Iberia in the year711), Valle-Inclán wrote a tragedy of ethnographic trauma wrought by a ruthless,militarized empire. As J. L. Brooks put it, “a modern military action is superimposedon an idealized, pastoral setting” (193).The protagonist of the tragedy, Ginebra, is introduced as the “naïve shepherdessof legend” (Voces 224), a sign that, in Valle-Inclán’s hands, Carlism was losing itspolitical specificity and acquiring a timeless, legendary semblance. 22 Cabañas Vacasdiscerns in the play a movement toward myth in this depiction of the Carlist wars, ashift from the historical frame of the earlier novels to “an allegorical level designed toemphasize the glory of the defeated, an heroic defense of their unconditional loyaltyto King Carlino” (181). Rubio Jiménez adds that Valle-Inclán’s essentialist poeticswere at work in the play, which is best read, he thinks, as a “symbolist tragedy” akinto Wagner’s operas (468). Like Cabañas Vacas, he claims that the rout of Carlino’sband of defenders is really a “triumph in defeat” (472). However, instead of attributingit to the peasants’ heroic stand, he discerns the triumph in the King’s sacrifice to freehis people from war. As with Moses and Jesus, “death brings salvation to him and tohis people” (472), a classic statement of war’s enchantment, that glorifies and rendersit symbolic (Cole 1639).It is true that in Voces legend and myth diffuse the mimetic referentiality of theearlier novels, but it is hard to believe that the play’s audience, and later readers,could erase from their consciousness the historical reality of Carlism’s political andmilitary defeat, a fact graphically mirrored by Valle-Inclán’s tragedy. In the contextof this essay, what stands out in Voces is the depiction of war as protracted, mercilessviolence, a return to the state of nature described by Hobbes in his Leviathan: the“continual fear and danger of violent death” (95-97). Over a twenty-year period,the populous is subjected to the invaders’ brutalities —kidnapping, rape, mutilation,murder of the defenseless civilian population. War’s spiritual enchantment disappears

64 Forum for World Literature Studiesand is replaced by the desire for revenge, which transforms Ginebra from a simpleshepherdess who would marry and raise a family into a victim bent on avenging thesavage atrocities done to her and to her bastard son. Where, one must ask, can victoryand glory be found in the tragic heroine’s doctrine of an eye for an eye?Situational irony is introduced in the play by the author’s pairing of tragedywith pastoral in its subtitle, “a pastoral tragedy.” Whereas in tragedy a good man’sactions occasion an hamartia that destroys him, in pastoral what little change allowedis synonymous with renewal, symbolized by the cycle of nature, often embodied in asacred oak. Tragedy is a genre of rupture and discontinuity, the opposite of pastoral’sreiterative harmony. Defying tradition, Valle-Inclán injected war into the domainof pastoral while simultaneously withdrawing heroism from the space of tragedy.The result is an anti-heroic tragedy in which brute force desecrates a vulnerable,consecrated realm. Most chilling is the fact that war’s violence continues unabated atthe play’s close instead of leading to cathartic closure. Myth and history, the pastoraland the tragic are thus paired in irreconcilable tension reminiscent of the ironicstructure found in the earlier novels.In Act III of Voces a singer of tales (Versolari) states that “Life is mortal, itshinge is change; / as the walls crumble, the trash heap grows” (Voces 253). One wayof understanding these words is as a reminder that our lives belong to the realm ofhistory’s flux, a condition overcome only in art. To the possible question “What forcesmove history’s hinge?” Valle-Inclán’s tragedy supplies a dismaying answer: all-outwar. The character who most embodies history’s flux is the naïve shepherdess whosedestiny is altered forever when King Carlino arrives at her door begging for food.His pitiful condition touches Ginebra’s heart so profoundly that when enemy soldiersarrive at her hut, pursuing the King, she refuses to tell them which path he has takenin flight. This brave decision has dreadful consequences that determine the play’saction, which is centered on torture and fruitless vengeance.For her loyalty Ginebra is held captive, raped and blinded at the end of Act I. 23Ten years later, in Act II, the shepherdess is accosted by the same warrior, now aCaptain, who fathered her bastard child. When Ginebra’s son (Garín) attempts todefend her, he is murdered by his father. The barbarous warrior kills his own kind,squeezing the breath out of Garín in a grotesque parody of a patriarchal embrace: thestage note reads “With his prey in his claws, he hugs the youth like a bear bellowingin his face.” The child falls to the ground “like a broken lily” (Voces 244). To avengeher son’s murder, and her own adversity, Ginebra reenacts the myth of Judith andHolofernes: after submitting to the Captain’s drunken advances, she severs his head,determined to present it to King Carlino as a sign of her fealty.Between Acts II and III another decade passes, and history’s downward spiral

Carlist Carnage: War in Valle-Inclán’s Carlist Novels and in Voces de gesta / Dru Dougherty65continues unabated for Carlino’s kingdom. After twenty years of devastatingoccupation it has become a wasteland. A choral intervention by the Versolari lamentsthe desolate conditions of the pastoral community:Ay, atrocious war, ignorant of pity,blood and pestilence are your ways!The vines are withered, the fences are down,twenty years without sowingwheat in my inheritance.Ay, atrocious war, ignorant of pity! (Voces 250)While the evocation of war’s devastation still echoes in the theater, King Carlinois carried on stage on his shield, wounded like the legendary Fisher King in Eliot’sWasteland. The peasant women begin their mourning chants while the wound iscauterized with a heated lance. Nearby a gravedigger opens the earth beside thekingdom’s sacred oak. The end is near. How will it be met?The King is taken off stage only to return transformed into a “beggar” wholaments the annihilation of his people. Ginebra appears and presents her balefuloffering. The severed head is now a naked skull whose gaping eyes open onto theopen grave, prophetically figured as “the tomb of races and religions” (Voces 265).Evoking the cemetery scene in Hamlet, the King contemplates the skull, recognizingin it an emblem of defeat, his own and that of his people. 24 However, Ginebra urgesthe King to continue the fight, saying that the enemy’s skull “should give voice tovengeance.” His response is to renounce the hatred that feeds her plea: “Let hatred’soffering be buried in that grave / next to the ancient oak of tradition” (Voces 266-67).To end the war, the King must guide his people, embodied by the blind shepherdess,away from vengeance, but he cannot do so as long as he remains King. Hence hisdecision to renounce that station and continue on as a simple man (the refugee andbeggar we have seen throughout the play), serving as Ginerbra’s guide: “Let my namebe forgotten, / and if I die a King, may I be reborn a man. / I will give you my handas we make our way, / wandering side by side /... It was my destiny to guide, / and bytaking your hand I fulfill my role” (Voces 266).The final scene has ambiguities —the King vacillates about continuing torecruit partisans— but, as Olstad observes, “Act III traces the decline and ultimatedestruction of myth as the weight of history becomes unbearable” (161). The simplepilgrim who will lead the blind away from vengeance, one of war’s most insidiousenchantments, emerges clearly at the end. The alternative is to remain in the circle ofwar’s promise of glory in the service of a lost cause. To drive home history’s response

66 Forum for World Literature Studiesto such dreams, the final stage direction calls for an arrow to pierce the shoulder ofone of the King’s faithful followers, who is left of stage, alone, howling in pain like awounded animal.DisenchantmentVoces de gesta thus registers an intensification of Valle-Inclán’s skepticism regardingthe heroic values attributed to war. In his tragedy he questioned the tradition ofglorifying combat, laying bare its savagery and dramatizing the pitiful defeat of apeople still enraptured by war’s promise of vengeful deliverance. Common to theCarlist trilogy and Voces is an ethical principle —Thou shalt not kill — that supplies areason for the author’s growing disenchantment with traditional exaltations of combat.In Gerifaltes and in Voces that reason takes the shape of an injunction to not wage waragainst one’s brother. War as fratricide, as cainismo, as it is also known, is denouncedin both works. In Voces the murder of his own son foregrounds the paradigm,prompting Ginebra to compare the Captain’s crime to Cain’s legendary murder:“Garín!... My son!... Ay, you killed him! / Your cursed hands drip with innocent blood!/ May you never wash away the stain of your sword, Cain!” (Voces 245). In Gerifaltes(898) it is Roquito who implores Santa Cruz not to kill Miquelo Egoscué, his fellowcabecilla in Carlism’s Christian cause, by evoking the story of Cain and Abel: “Donot fight like Cain and give a bad example to Christianity!”The two allusions to the biblical parable convey an ethical indictment of wargrounded in the Christian values that Carlism defended but that were betrayed inthe works studied here. In that regard, if there is a sin to be atoned for in Voces, asRubio Jiménez suggests (472), it isn’t the King’s weakness but Ginebra’s thirst forvengeance, which symbolically prolongs the slaughter of war for twenty long years.Similarly, the priest’s order that Miquelo be murdered discredits the bucolic orderdreamed by Santa Cruz in his pastoral mountain parish. What Santa Cruz embodiesin Gerifaltes and Ginebra succumbs to in Voces is found in the old adage attributed toPlautus, that man’s worst predator in man. In Valle-Inclán’s Carlist series, war exposesthe terrible truth that Homo homini lupus.That truth opened the way for Valle-Inclán to imagine Spain and its bellicosehistory devoid of heroism and glory. What, he began to ask, was left of his nationafter the false heroes of history were retired from its stage? We know one of hisanswers from reading Luces de bohemia (Bohemian Lights, 1920), in which the blindpoet Máximo Estrella states that “The classic heroes have taken a stroll down GatoAlley,” a street in Madrid where his contemporaries could view their true reflections—grotesque and deformed— in a set of concave and convex mirrors (Luces 933).The “classic heroes” alluded to in that play have generally been identified as those

Carlist Carnage: War in Valle-Inclán’s Carlist Novels and in Voces de gesta / Dru Dougherty67of antiquity. 25 But in the light of the Carlist series other “heroes” closer to home andmore recent in history may now be included in the crowd of fallen icons: the kings,generals, politicians, priests and guerrilla leaders whose grandiose visions of restoringSpain’s heroic tradition led thousands to their death in two nineteenth-century civilwars.Notes1. Warfare is central to many of Valle’s major works, including the fourth Sonata (Winter Sonata,1905), the three Carlist War novels (1908-1909), Voces de gesta (Epic Voices, 1911), La medianoche (Night on the Western Front), Tirano Banderas (The Tyrant, 1926) and the three Iberian Ringnovels (1927-1932). In addition, the protagonist of Las galas del difunto (The Dead Man’s Duds,1926), one of Valle-Inclán’s esperpentos, is a soldier just returned from the 1898 war in Cuba.2. For reasons of space I omit Sonata de invierno (Winter Sonata, 1905) and “La Corte de Estella”(The Carlist Court, 1910) from this essay. However, the studies of Madeleine de Gogorza Fletcherand Jacques Fressard shed light on the links between those works and the Carlist series analyzedhere.3. For Valle’s impressions of the Great War, see Doughety, “Corresponsal” and Rueda, “La ‘visiónsuprema’.”4. For a discussion of the socio-political background of the Carlist trilogy, see Gogorza Fletcher 85-93. Emblematic of the modern advances that disrupted rural traditions were the telegraph and thelocomotive, which Leopoldo Alas figured as “symbols of an enemy world” when viewed by peasantsin his short story “¡Goodbye, ‘Cordera’!” (1892). In the story that “enemy world” carries one of thecharacters off to the Carlist war “to die in the fratricidal battles of the vast country, in the service of aking whose ideas he did not understand.” The lad is “cannon fodder for the distant world’s madness,for the ambitions of others” (Alas 18-19). My thanks to Michael Iarocci for recommending Alas’sstory.5. Translations in this essay are my own with the exception of a few titles of Valle-Inclán’s worksthat appear in Verity Smith’s and Madeleine de Gogorza Fletcher’s studies. Citations of the Carlistnovels are from Vol. 1 of Valle’s Obra Completa. Madrid: Espasa Calpe, 2002. Voces de gesta andLuces de bohemia are found in Vol. II.6. These dates place the action of Cruzados between May 1872, when the second Carlist war began,and the declaration of the First Spanish Republic in Feb 1873. The second and third volumes of theseries continue the action during the shortlived Republic, which lasted only until January 1874. Thewar ended in 1876. Santos Zas places the action of Cruzados during the winter of 1872-1873 (Loscruzados 21).7. Early in Cruzados, the Marquis of Bradomín, a representative of the decadent nobility, “felt hisfeudal soul awaken” and proceeded to advance his traditionalist view of Spain’s imperial “military

68 Forum for World Literature Studiesmorality”: “We have lost the military tradition that defines Spain. […] In war, today’s cruelty istomorrow’s clemency. Spain was mighty when we imposed our military morality on society’scompassion for women and children. Centuries ago we had Captains and Saints and Executioners —all a race needs to dominate the world” (Cruzados 679-80).8. See Díaz Plaja 65, Hernández Serna 19, Durán Valdés 43, Elizalde 80, Alonso Seoane lx, andAvalle-Arce.9. Cf. Lado: “the Carlist War was neither heroic nor grandiose; it was a sad civil war that bled thenation for half a century and whose results (almost always indefinite) were owed more to politicalintrigue than military encounters” (33). López de Martínez agrees, arguing that the Carlist trilogy“forges an image of war as a force that dehumanizes men, impelling them to hate one anotheranonymously and to consider killing their primordial objective” (75).10. Santos Zas reminds us that Valle-Inclán was well aware that Carlist ideals had no practicalfuture: “it would have meant nothing less than reversing the course of history” (Tradicionalismo366). Verity Smith agrees: “despite all his protestations of loyalty, his Carlism was tempered bythe knowledge that there was no place for such an ideology in the modern world” (126). One mayconclude that Valle’s use of Carlist ideals was instrumental: to draw attention to the disproportionbetween claims by politicians and intellectuals that Spain remained a bellicose and heroic nation,on one hand, and the historical reality of its decline on the other. One should keep in mind that theimmediate backdrop of war, when the Carlist series appeared, was the humiliating defeat of Spain bythe United Stated in Cuba (1898), the final chapter in the loss of the Spanish empire.11. Cf. Gómez de Baquero: “Guerrilla warfare doesn’t have a plot either” (237).12. This critic is especially insightful when observing how Valle-Inclán compares war to a cardgame in which one can win only by cheating. “With this all possibility of heroism is proscribed”(Ciplijauskaité 195). The comparison also occurs in Carl von Clausewitz’s treatise On War: “In thewhole range of human activities, war most closely resembles a game of cards” (86).13. Following Lukács, José Carlos Mainer positions Valle-Inclán in the wake of Balzac, Stendhaland Tolstoy whose novels chart the resolution of social forces guided by “historical necessity”(312). Mainer recognizes, however, that the Spanish writer “looked with less optimism [than hispredecessors] on the compliance of the historical law of harmonization,” because he shared FriedrichSchlegal’s vision of the novel as “the domain of ironic dialectics” (311).14. In this respect the Abbess is a sister to characters like Fabrice in Stendhal’s Charterhouseof Parma and Pierre Bezukhov in Tolstoy’s War and Peace, who naively expect to discover theessence of war by visiting an active battlefield. In Unamuno’s Paz en la guerra Ignacio also seeks atransformative experience in battle that eludes him: “Was that war? Marches and counter-marches,more marches and counter-marches without ever getting to the big battle” (156). For a discussion ofthe gap between experiencing war and narrating it, see Jan Mieszkowski, “Watching War.”15. “Historically, it has been war that most powerfully calls forth these dichotomized understandingsof death: violent death as a sign and precipitator of sublimity (in a person, community, or nation) or,

Carlist Carnage: War in Valle-Inclán’s Carlist Novels and in Voces de gesta / Dru Dougherty69conversely, violent death as a sign and precipitator of total degeneration and waste” (Cole 1632). Foran “enchanted” reading of the Carlist trilogy, see Alonso Seoane who argues that in the novels “waris rendered beautiful in its cruelty” (CI). The classic denial of war’s enchantment is Goya’s depictionof the Spanish War of Independence, Los desastres de la guerra.16. The sacred flame is finally subverted in Resplandor when the Abbess figures it as a forge thatdrives all reason out of the soul, a memorable image of religious fanaticism: “Was war really likethis? Life and its purpose forgotten, all thought incinerated in its resplendent conflagration! Apanting and pounding of the forge that brings the soul to red-hot and beats it like iron on an anvil!”(799).17. “He wanted to gather all the Basque guerrilla bands under his command and realize the dreamhe had one winter’s morning […]. He was going to be in command, alone, and would wage a warof blood and fire with the beautiful sentiment of his vision and hatred of the enemy. His was the warfought by common folk, when peasants leave their fields and shepherds their flocks. His was holywar, superior to the ambition of kings, military arts, and famed captains. The Priest felt this truth stirhis soul, the truth he had been granted in the quiet of his church while reading Greek and Romanhistorians […]. Now their truth —sacred and bloody— was his truth, filled with arcane prophecy,like the entrails of a beast sacrificed by a Druid seer” (Gerifaltes 843-44). Gómez de Baquero’scomment was: “hallucinations of a mystical bandit” (240). For a more probing view, see Lado, 20-26.18. In Unamuno’s Paz en la guerra, Ignacio dreams of charging against the enemy in a “grandbattle” that will turn the tide in the Carlists’ favor. When the chance arises but is promptly cut shortby the Generals, he reflects: “That wasn’t his dream; they weren’t being allowed to wage war; theirofficers moved them in battle, playing chess with their soldiers” (163).19. Santa Cruz’s war ethic is summarized by the narrator in the following: “His cruelty was like thatof the keeper of the vineyard who burns the withered fruit on the vines. He watched the smoke riseas in a sacrifice, with the serene hope of a bountiful harvest in the day of the Lord, beneath a goldensun with the voices of the ancient copper bells ringing overhead” (Gerifaltes 841-42)20. Pérez Galdós suggested as much in Trafalgar (1873), when the first-person narrator perceiveshow the English and Spanish sailors help each other in a lifeboat: “My God, what are wars for?Why aren’t these men always friends as they are here, in the midst of danger? Doesn’t what I’mseeing prove that all men are brothers? But then the notion of nationality suddenly cut my train ofthought...” (187).21. The premier was held in Barcelona on June 18, 1911 to high acclaim by critics.22. Ginebra’s ingenuousness as well as the “visionary glow” in her eyes (Voces 218) render herkin to the Abbess Isabel in Cruzados. The fact that she is blinded because of her loyalty to KingCarlino is also reminiscent of Roquito’s fate in Resplandor. Blindness to the hopeless Carlist causeis accentuated in the passage from the Carlist novels to Voces de gesta, reflecting Valle-Inclán’sincreasingly critical view of the “heroic” mystification of war. On this subject see Charles Olstad’s

70 Forum for World Literature Studiesfine essay, “History and Myth in Voces de gesta.”23. The act ends with the following stage direction that underscores the ironic disparity between thepastoral topos and war’s violence: “As the echo of [Ginebra’s] pain dies out, / beneath the ancientshadow of the beech grove / the happy flight of honey bees / and the notes of a youthful shepherd’spanpipe could be heard” (Voces 227).24. “Cold skull, shadow of death, / you laugh in my hands as I tremble! / Ark of miseries, hollownothing, / your unlit eyes have in their depths / the somber mystery of human life, / the funerealfright of the grave. /… In my defeat you’ll be my companion, / in my misfortune you’ll comfort me,/ and belonging to an enemy, mute skull, / you’ll speak the language of terror to my soul” (Voces265).25. In 1930 Valle explained his jaded view of contemporary Spain as follows: “Life —its deeds,sorrows, great loves— is fated to be always the same. What changes are its actors, the charactersin the drama. In past ages, leading roles were played by gods and heroes…. Destiny rode on theshoulders of Oedipus and Medea —all pride and pain! In our time, Destiny is the same… but theshoulders of those who bear it have changed…. Today’s men are minute for such a heavy burden.From that contrast and disproportion comes a special sense of the ridiculous… Blindness is beautifuland noble in Homer. But in Luces de bohemia the same blindness is sad and lamentable, because it’sborne by a bohemian poet, Máximo Estrella” (Dougherty, Un Valle-Inclán olvidado… 192). AntonioRisco commented in 1966 that Valle’s turn toward the grotesque sprang “from the impossibility ofcreating true heroes and, therefore, authentic tragedies” (77). See also Gil 102, Ciplijauskaité 196-97, and Avalle-Arce 364.Works CitedAlas, Leopoldo. ¡Adiós “Cordera”! y otros cuentos. Buenos Aires: Espasa-Calpe, 1944. 9-19.Alonso Seoane, María José. Introducción. La Guerra Carlista. I. Los cruzados de la causa. ByRamón del Valle-Inclán. Madrid: Espasa-Calpe, 1979. I-CXXX.Avalle-Arce, Juan Bautista. “Voces de gesta: tragedia pastoril.” Ramón del Valle-Inclán. AnAppraisal of his Life and Works. Ed. Anthony N. Zahareas. New York: Las Américas, 1968.361-73.Bermejo Marcos, Manuel. Valle-Inclán: Introducción a su obra. Madrid: Anaya, 1971.Brooks, J. L. “Los dramas de Valle-Inclán.”Estudios dedicados a D. Ramón Menéndez Pidal. Vol.VII. Part 1. Madrid: CSIC, 1957. 177-98.Cabañas Vacas, Pilar. Teoría y práctica de los géneros dramáticos en Valle-Inclán (1899-1920). ACoruña: Ediciós do Castro, 1995.Ciplijauskaité, Biruté. Los noventayochistas y la historia. Potomo, Maryland: Studia Humanitatis,1981.Clausewitz, Carl von. On War. Trans. Michael Howard and Peter Paret. Princeton: Princeton UP,

Carlist Carnage: War in Valle-Inclán’s Carlist Novels and in Voces de gesta / Dru Dougherty711984.Cole, Sarah. “Enchantment, Disenchantment, War, Literature.” PMLA 124.5 (2009): 1632-47.Díaz-Plaja, Guillermo. Las estéticas de Valle Inclán. Madrid: Gredos, 1965.Dougherty, Dru. Un Valle-Inclán olvidado: Entrevistas y conferencias. Madrid: Fundamentos, 1983.---. Guía para caminantes en Santa Fe de Tierra Firme: estudio sistémico de “Tirano Banderas.”Valencia: Pre-Textos, 1999.---. “Valle-Inclán, corresponsal de guerra: La media noche.” Literatura y prensa periódica (1875-1931). Actas del Congreso Internacional, Lugo, 25-28 de noviembre de 2008. Ed. JavierSerrano Alonso & Amparo de Juan Bolufer. Santiago de Compostela: Universidade de Santiagode Compostela, 2009. 565-85.Durán Valdés, Juan. “El bardo póstumo.” Valle-Inclán y el Carlismo. Zaragoza: EdicionesSUCCVM, 1969. 5-55.Elizalde, Ignacio. “Valle-Inclán y las Guerras Carlistas.” Letras de Deusto 29 (1984): 61-80.Extramiana, José. La guerra de los vascos en el 98. Valle-Inclán, Pío Baroja, Unamuno. SanSebastián: Haranburu Editor, 1983.Fernández Almagro, Melchor. Vida y literatura de Valle-Inclán. Madrid: Taurus, 1966.Fressard, Jacques. “Un episodio olvidado de La guerra carlista.” Cuadernos Hispanoamericanos199-200 (1966): 350-59.Gil, Miguel L. La epopeya en Valle-Inclán. Trilogía de la desilusión. Madrid: Pliegos, 1990.Gogorza Fletcher, Madeleine de. The Spanish Historical Novel. 1870-1970. London: Tamesis BooksLimited. 1973. 79-106.Gómez de Baquero, Eduardo. Novelas y novelistas. Madrid: Calleja, 1918.Gómez de la Serna, Gaspar. España en sus episodios nacionales. Madrid: Ediciones del Movimiento,1954.González del Valle, Luis. “Valle-Inclán y la tragedia: el caso de Voces de gesta.” Valle-Inclán (1898-1998): Escenarios. Eds. Margarita Santos Zas, Luis Iglesias Feijoo, Javier Serrano Alonso &Amparo de Juan Bolufer. Santiago de Compostela: Universidade de Santiago de Compostela,2000. 271-316.Hernández Serna, Joaquín. Reflexiones sobre la trilogía carlista. Murcia: Universidad de Murcia,1987.Hobbes, Thomas. Leviathan. Oxford: University Press of Oxford, 1909.Holt, Edgar. The Carlist Wars in Spain. London: Putnam, 1967.Juan Bolufer, Amparo de. La técnica narrativa en Valle-Inclán. Santiago de Compostela:Universidade de Santiago de Compostela, 2000. 205-44.Lado, María Dolores. Las guerras carlistas y el reinado isabelino en la obra de Ramón del Valle-Inclán. Gainsville: University of Florida Press, 1966.López de Martínez, Adelaida. “La Guerra Carlista: consecuencias, técnicas y sigificado literario desu estructura.” Genio y virtuosismo de Valle-Inclán. Ed. John P. Gabriele. Madrid: Orígenes,

72 Forum for World Literature Studies1987. 71-78.Lyon, J. E. “La media noche: Valle-Inclán at the Crossroads.” Bulletin of Hispanic Studies LII(1975): 135-42.---. The Theatre of Valle-Inclán. Cambridge: Cambridge UP, 1983.Mainer, José Carlos. “‘Nexo de dolores y mudanzas’: La significación de La Guerra Carlista.”Valle-Inclán y su obra. Eds. Manuel Aznar Soler & Juan Rodríguez. Sant Cugat del Vallès:COP D’IDEES/T.I.V., 1995. 307-36.Mieszkowski, Jan. “Watching War.” PMLA 124.5 (2009): 1648-61.Nora, Eugenio G. de. La novela española contemporánea (1898-1927). Vol. I. 2 nd ed. Madrid:Gredos, 1970.Olstad, Charles. “History and Myth in Voces de gesta.” Journal of Spanish Studies: TwentiethCentury 2.3 (1974): 155-67.Pérez Galdós, Benito. Trafalgar. Ed. Julio Rodríguez Puértolas. Madrid: Cátedra, 2009.Risco, Antonio. La estética de Valle-Inclán. Madrid: Gredos, 1966.Rivas Cherif, Cipriano de. “La comedia bárbara de Valle-Inclán.” España X, 409 (16 February1924): 8-9.Rubio Jiménez, Jesús. “Ecos en Voces de gestas: sugerencias de un retablo primitivo.” Valle-Inclány su obra. Eds. Manuel Aznar Soler & Juan Rodríguez. Sant Cugat del Vallès: COP D’IDEES/T.I.V., 1995. 467-87.Rueda, Ana. “La ‘vision suprema’ de la guerra en La media noche: Valle-Inclán, Clausewitz yArtefius.” España Contemporánea XXII, 2 (2009): 29-55.Santos Zas, Margarita. Introducción. Los cruzados de la causa. By Ramón del Valle-Inclán.Barcelona: Círculo de Lectores, 1991. 17-38.---. Tradicionalismo y literatura en Valle-Inclán (1889-1910). Boulder, Colorado: Society of Spanishand Spanish-American Studies, 1993.Smith, Verity. Ramón del Valle-Inclán. New York: Twayne, 1973.Suárez Wilson, Reyna. “El Carlismo en la obra de Valle-Inclán (Algunas confrontaciones).” RamónM. del Valle-Inclán. 1866-1966 (Estudios reunidos en conmemoración del centenario). LaPlata: Universidad Nacional de la Plata, 1967. 204-26.Unamuno, Miguel de. Paz en la guerra. Madrid: Alianza, 2003.Valle-Inclán, Ramón del. Obra Completa. Vols. I & II. Madrid: Espasa Calpe, 2002.责 任 编 辑 : 杨 革 新

Renderings of Don Juan in Valle-InclánCarmen BecerraFaculty of Philology, University of Vigo. SpainLagoas/Marcosende Campus, Vigo, Galicia, 36310, SpainEmail: cbecerra@uvigo.esAbstract The aim of this paper is to develop a comparative thematic readingregarding the two Don Juan versions created by Valle-Inclán. In order to do so,three factors will be taken into account: those related to intertextuality, the differentinterpretations of the myth at the end of the 19 th century, and the modernization Valle-Inclán subjects the myth to at different stages of his writing.Key words myths; Valle-Inclán; myth of Don Juan; comparative literatureThe aim behind this work is to analyse the multiple renderings the myth of DonJuan has received from the hands of Ramón María del Valle-Inclán. We will usecomparative literature’s theoretical frame, and, particularly, a thematologicalapproach; that is, we will review the metamorphosis of a literary myth— Don Juan—throughout time, from the standpoint of “a strategic intersection of literary dynamicsand connections with the imaginary, the history of ideas, of ideologies, of mentality,of sensibility” 1 a standpoint that, following Raymond Trousson (1965), representsthe raison d’être of thematological studies. In other words, we aim to carry out acomparative thematological reading of the different masks Don Juan has worn in thefictional texts of the great Galician writer, taking into account intertextual concernsand the modernization of the myth in the cultural and temporal coordinates that gavebirth to the texts.However, we will also take into account other methodological approachespresent in the rich cartography of comparative literature nowadays, new approachesthat provide tools of great value in the pursuit of a deeper knowledge and a correctinterpretation of myths. Thus, we will include some of the aspects favored by thestructuralist approach to myth, namely the analysis of the text’s structure 2 — mythicschema—, and the isolation and definition of its components and versatility, derived,among other things, from continuous intersections between myth and culture.From the last decades of the 19 th century, and especially since C. Lévi-Strauss and Structuralism, myth studies have experienced an extraordinary growth.

74 Forum for World Literature StudiesMythologists, anthropologists, philosophers, historians of religion, and literarytheorists, among others, have endeavored to pinpoint the concept of myth. Modernresearch, such as Malinowski’s Functionalism, Mircea Eliade’s or Paul Ricoeur’sHermeneutics, Lévi-Srauss’ Structuralism, the British Anthropological School, MythCriticism, etc., regardless of tendencies, approaches or schools, coincide— even whenthey disagree about almost anything else— in insisting on the semantic polyvalenceof the concept of myth, its plural content, and, consequently, the inherent difficultieswhen trying to define it. 3Let us bring to mind, for example, the plurality of meanings associated to DonJuan’s myth: even when maintaining its essential features of transcendence, andthe indissoluble connection between eros and thanatos, between the sacred and thesecular, Don Juan has been read as a sinner and a criminal, as satanic, rebel, idealistic,as a romantic hero, constantly unfulfilled, as a homosexual, a jester, a seducer, etc.;moreover, we cannot forget that, in each historical moment, these judgments havecarried either a positive or a negative connotation, depending on the ideologicalpositioning, the cultural space or the aesthetic movement of the time or who wasjudging. That is, Rafael Lapesa hits the mark when he states (1976: 7):Secular themes, common places, previously coined expressive formulae, ideassteeped in a specific cultural heritage, may change their meaning when they areput at the service of a new conception of the world or a different vital attitude …In fact, every study in Comparative Literature, or in the influence one author mayhave on another, has in itself the need to signal contrasts. 4On the other hand, if we take into account Claudio Guillén’s assumption that a themeis not only the result of a choice by an author, but also a construction by a reader,Forms and themes, more than discreet entities, are partial elements whoseconstruction is performed, at the end of the day, by the intervention of the reader.Regarding thematology, this intervention will be the greater … the more relevantare the features of intertextuality identifying the theme through memories ofprevious representations (1985: 249). 5Following from this, when the theme is a myth, its sense will be related also to thepresuppositions (“figurations”) that its mere name will activate in the receiver’smemory; the receiver, on her part, will realize some of those presuppositions, turningher virtual richness into a unique vision, current and historical at the same time.In his introduction to the Dictionnaire des mythes littéraires (1988), Pierre

Renderings of Don Juan in Valle-Inclán / Carmen Becerra75Brunel suggests three functions in the process of identifying a myth:1.Narrative function: the function that creates the model, or “mythic setting”; itcarries a system of symbols and archetypes that become the narrative.2.Explicative function: myths are etiologic narratives, hence their significance ascultural referents for the explanation of certain aspects of human life—or death.3.Revelatory function: this function places myths in the sacred milieu; that is,following Eliade (1957: 17), myths are responsible for the appearance of thesupernatural in the world.These models, or “mythic settings” generated by the narrative function, are, withouta doubt, the milestones of myths’ transmission and endurance in time, or, followingAnna Trocchi’s phrasing (2002: 164), the model “secures the transmission of themyth’s identity and its resistance throughout the historical succession of its differentversions.”In an interesting and well-documented article on literary myths, Philippe Séllier(1984: 112-126) argues that both the myths that shape Western mythologies, even theoldest ones (Ancient Greek, Roman, Hebrew) and the new myths (Faust, Don Juan)share the following set of common features: firstly, they rest on symbolic constructsthat elicit emotions in human beings; that is, they move the receiver, and this symbolicfoundation provides myths with a very rich indeterminacy in meaning, an exceptionalpolyvalence. Secondly, myths possess a closed layout inside a complex structure.And, thirdly, they contain a metaphysical ‘warning,’ that is, man’s encounter withthe hereafter. As a consequence of this, it becomes necessary to differentiate betweencommon and specific traits. The former ones all myths share and they identify whata myth is. The latter ones are invariants belonging to each particular myth, sharedby each version of it, differentiating it from other myths, and fixing its structure.Regarding Don Juan’s myth, Jean Rousset, in his classic study Le mythe de Don Juan(1973), 6 isolates the invariant features that build the ‘permanent Don Juan setting,’namely, hero, feminine group and death. 7 Rousset points out that inside each invariantand the possible relations between them the numerous potential combinations willsecure the myth’s mobility and, hence, its vitality.As it is the case with every myth, Don Juan’s fantastical, magical or supernaturalelements guarantee its status as such. A thorough review of every study devotedto Don Juan’s myth 8 proves the presence of Death—element that symbolizes theconnection of the myth with the sacred– is the feature that lends the character its statusof myth. Therefore, the mythical nature of Don Juan is essentially founded in hisencounter with death, his confrontation with the hereafter. The intense link between

76 Forum for World Literature Studieslove and death established by the narrative implies that its dissociation, or, at most, itswhole disappearance, would inevitably lead to distorting the nature of the myth, for itwould mean stripping it of its transcendence.From its birth circa 1630 until its maturity, provided by Mozart’s version withDa Ponte’s libretto (Don Giovanni, 1878), Don Juan’s ‘mythic setting’ has crossedborders, has been expressed in several languages, has been fitted to suit differentgeneric models and has met considerable transformations, but none as important inthe history of the myth as the one it suffered upon its encounter with Romanticismand, more specifically, the transformation carried out by E.T.A. Hoffmann (DonJuan, eine fabelhafte Begebenheit, 1813). This stage in the evolution of the myth,inaugurated by Mozart-Da Ponte, consists of demythologizing the hero by killing offits inconsistency, making him choose time over the fleeting moment, permanenceover the ephemeral. After this changing process, in which the Baroque myth dies, anew myth rises from the former’s ashes: the Romantic myth. Hence, from the hero offreedom arises the hero that searches for an ideal, for the eternal feminine.Hoffmann’s unusual interpretation of Mozart-Da Ponte’s opera, 9 an interpretationthat signals the starting point for the inclusion of the romantic character in the ‘mythicsetting’, is responsible for the newfound imbalance in the narrative, namely, placingAna in Don Juan’s path, an Ana that is unique, predestined, meant to save the malecharacter through the miracle of love, an Ana that the hero has been incessantlysearching for, but inevitably finds too late.Now I have already averred that Donna Anna is the Don’s foil. How, then, giventhat Donna Anna had been destined by heaven for such a role, could the Don beapprised of his fundamentally divine nature— and thereby wrested free of thedespair of his empty striving— through love, which, thanks to Satan’s artifices,was bespoken as the agent of his destruction? He encountered her too late, duringthe epoch of his most outrageous excesses, when he was pervaded by suchdiabolical lusts as could only corrupt her. She was not rescued! 10Moreover, with Hoffmann, the myth makes its first appearance in narrative form and,from that moment onwards, Don Juan’s feelings and thoughts will be of more interestthan the action in itself. The Romantic authors conceive Don Juan in their own imageand likeness, they turn him into their accomplice and, understandably, they glorify andabsolve him.Every Don Juan narrative from the turn of the century and most of the 20 th -century, because of something or other, erase from the setting the figure of theCommander, that is, they demythologize Don Juan by depriving him of this encounter

Renderings of Don Juan in Valle-Inclán / Carmen Becerra77with the hereafter. The character, thus stripped of its mythic nature, after the narrativeimbalance the Romantic writers have introduced in its structure, and reeling fromthe new scientific approaches that have apparently accomplished its completedemystification, arrives at the 20 th century transformed into a man in love, repented;a sick man suffering from identity crises or confusing pathologies; an old man that isridiculed and laughed at; a character subject to every type of humiliation or parodyand grotesque or degrading situations. 11 On the one hand, all the versions whoseinspiring source is Merimée (Les Âmes du Purgatoire, 1834), that is, those versionsthat melt together the legends of Don Juan and the Sevillian knight Miguel deMaraña, show a converted and sanctified Don Juan, completely alter the ending and,consequently, remove the character from the mythological milieu—Alexandre Dumas(Don Juan de Marana ou le chute d’un ange, 1836), Manuel and Antonio Machado(Juan de Maraña, 1927), Miguel de Unamuno (El hermano Juan o el mundo es teatro,1934). On the other hand, the versions that ensue from the scientific interpretationor the anti-romantic reaction present an old Don Juan— Azorín (Don Juan, 1922),Jacinto Grau (El burlador que no se burla, 1930)— or a sexually ambiguous one—H.R. Lenormand (L’Homme et ses fantômes, 1921), Ramón Pérez de Ayala (TigreJuan o el curandero de su honra, 1926)— and produce exactly the same result as theformer ones. There is no room for the Commander’s vengeance. Don Juan will die inhis own bed or, in any event, his death will have nothing to do with the supernatural.At the end of the 19 th century medicine, psychology and psychiatry began todisplay a newfound interest in Don Juan and, following from this, began to study themyth and offer their particular interpretation. Psychoanalysts have had him stretchedon their divan, trying to discover hidden traumas, complex pathologies… so much sothat his path is explored, an absent mother 12 is discovered, and in this maternal lack asense that has been missing is thought to have been discovered. The psychoanalyticversion of the myth, although it has proven enriching, especially regarding thediscovery of the deep motivations behind human behaviour, has a considerableinconvenient: it reduces the theme to an inner conflict, ignoring any other factor,following from the assumption that everything related to human behaviour is psychicand unconscious.It could be stated that Don Juan’s scientific interpretation has had little impactin literature, if we take into account the amount of works it has led to. However,it is also true that this interpretation contributed, along with the fin-de-siècledisillusionment, to create a realist and objective approach to the myth. Consequently,it must be underlined that, although the Romantic Movement had already placed the‘mythic setting’ in a precarious balance, it was mostly the anti-romantic and scientificreactions that, either via a physical or psychic degradation, or via a psychological

78 Forum for World Literature Studiesanalysis, dissociated Don Juan from his structural context, inciting a rapid process ofdemystification. The final result of this process is the apparent disappearance of themyth and the birth of a new type: the ‘donjuán’. 13 From this moment on, the name ofDon Juan will be used to designate innumerable love heroes whose fragile connectionwith the myth rests mostly on their ability for seduction, on the number of love affairsthe hero is involved in. That said, this was the state of affairs when Valle-Inclánstarted to show an interest in the theme of Don Juan.Just by reviewing a simple inventory of titles it is easy to see that Don Juan’smyth was a favorite theme of the fin-de-siècle generation. The myth, adapting to eachauthor’s philosophical approach and channeling each author’s thought, provided apath to reach an understanding of reality, understanding that, having been proven tobe unattainable by positivist reason, was now being approached by metaphysical,transcendental and symbolic perspectives. It is neither surprising nor random, then,that Valle-Inclán uses the legendary Spanish hero in his creations. However, althoughit is commonly thought to be so, his first donjuanesque scenario is not in Sonatas, noris Bradomín his first donjuanesque hero; some years previously, in the beginnings ofhis career, we already find a few masks that hide the mythical seducer.In 1895, Valle-Inclán publishes his first book: Femeninas (Seis historiasamorosas). It contains six short novellas, all of them a partial or wholly reworking ofhis own materials, most of them already published. 14 These materials will show upagain in later works, whose leads are played, as the titles anticipate or suggest, by awoman: “La Generala,” “Octavia Sandino,” “Rosarito,” “La Condesa de Cela,” “TulaVarona” and “La Niña Chole”. Two years afterwards, in 1897, he publishes a newshort novella, Epitalamio. 15Regardless of the Spanish literary influence signaled by the critics, 16 influencethat is undoubtedly there, since Valle was well-read, what we find essential isthat Femeninas and Epitalamio reflect a foreign cultural environment, and also aconscious aesthetic creation supported by outside models or ideas. Rosarito aside—which we will look into later on—, in these brief stories the Galician writer createsa mirror image of the myth. The male characters, puppets whose strings are pulledby the women in the stories, are built upon a donjuanesque type very common inthe gallant literature of the time. The sarcasm the narrator uses against the formerincrease the ridicule stemming from their failed attempt to act as a Don Juan. Thefemale characters, on their part, embody a female version of Don Juan, a kind ofDon Juana. In fact, these women respond to an image that is overly present in artisticmanifestations at the end of the 19 th century: the femme fatale. 17 According to MarioPraz (1965: 165), this lustful, ruthless and cynical woman, a woman that punishes themale heart, is the mythic model that in the second half of the 19 th century substitutes

Renderings of Don Juan in Valle-Inclán / Carmen Becerra79the diabolical and perverse Don Juan predominant in the first half. Lourdes Ramos-Kuethe (1983: 51), who agrees with this assessment, analyzing these women’sskills and conduct in Femeninas (and Corte de Amor), states that “donjuanism inthese narrations manifests itself as feminine libertinism.” In Femeninas, the mostrepresentative example of this model is Niña Chole, a lewd and cruel woman,amalgam of eroticism and exotism, a very frequent combination in Modernism.Only in Rosarito’s pages can we find a genuine Don Juan. Don Juan Manuel deMontenegro, whose personality contains the basic traits of Don Juan’s myth, causesthe others to feel, according to the narrator’s ‘authorized’ voice, “el poder sugestivode lo tenebroso:” 18Tenía don Juan Manuel los gestos trágicos y las frases siniestras y dolientes delos seductores románticos (…) El viejo libertino la miraba intensamente cualsi sólo buscase el turbarla más. La expresión de aquellos ojos verdes era a untiempo sombría y fascinadora, inquietante y audaz; dijérase que infiltraban elamor como un veneno, que violaban las almas y que robaban los besos a lasbocas más puras. (p.185) 19The signs that forebode the presence of Montenegro in the “pazo” 20 —signs thatonly the victim can feel–, his mysterious appearance, the fascination he exertsover Rosarito (and also over the old Countess of Cela), the narrator’s descriptions(“sombría figura”, “gallardía donjuanesca”, “mirada y sonrisa siniestras”, “frentealtanera que parecía encerrar todas las exageraciones, lo mismo…las celestes que lasdiabólicas”), Montenegro’s own words (“si no creo en Dios, amo a los ángeles”), 21and all of this tied up to the tragic ending of the tale, identify the character with thePrince of Darkness. This identification of the character with the devil is not somethingnew in the myth’s history: let us not forget most critics believe the demonic nature ofDon Juan is an essential trait in the original drama that founded the myth. 22Rosarito, Montenegro’s young and naive victim, undoubtedly represents thesecond feminine model created at the end of the 19 th century: the fragile, weak,spiritualized woman exalted by Pre-Raphaelism:Vista a la tenue claridad de la lámpara, con la rubia cabeza en divino escorzo, lasombra de las pestañas temblando en el marfil de la mejilla, y el busto delicadoy gentil destacándose en la penumbra incierta sobre la dorada talla y el damascoazul celeste del canapé, Rosarito recordaba esas ingenuas madonas pintadassobre fondo de estrellas y luceros. (p.168) 23

80 Forum for World Literature StudiesThe story’s tragic ending, Rosarito’s unexplained death and the suggested identity ofher killer, allow for a wide range of interpretations but, above all, these elements putforward one of Valle-Inclán’s thematic constants: sin, which, apart from being one themyth’s keys, stems from Modernist sensuality, and it will also become later on proofof his concern about evil, and, ultimately, the verification of a constant in humanreality.Between 1902 and 1905 Valle-Inclán writes Sonatas, after having introducedin different times and places some of its plots, characters, landscapes and discursivestrategies. 24 Sonata de Otoño (Autumn Sonata) (1902), the first one in the series to bepublished, includes a Preface (‘Nota’) 25 that categorizes the protagonist as a Don Juan.This preface— whose authorship the reader is left to wonder about—, gives guidanceand drives the reading of the text by means of situating the diegesis inside a specificliterary and cultural framework, a framework that is well-known by the reader. Inother words, the implied reader, even before starting the narrative proper, will knowthat she is about to discover a new version of the most universal myth of Spanishorigin: Bradomín is, from the very start, a Don Juan.Not only is the author aware that he is re-writing a mythic theme (“En ellasintenté tratar un tema eterno. El tema, si es eterno, por mucho que esté tratado no estáagotado nunca. El tema eterno es donde se mide el esfuerzo y el mérito de cada autor,y por ello todos debemos intentarlo” 26 ), but also is the character, who, in numerouspassages, shows that he is aware of his mythic origins, and tries to follow the myth’sguidelines; that is, Bradomín is a self-aware creation, and he is also aware of the effecthis presence and his reputation cause on everyone around him, especially women:Yo tuve un momento de vanidad ante aquella acogida que mostraba cuánta erami nombradía en la Corte de Estella. Me miraban con amor, y también con unasombra de enojo. Eran todos gentes de cogulla, y acaso recordaban algunas demis aventuras (Sonata de Invierno (Winter Sonata), 108-109). 27Most studies, when examining this aspect of Valle’s work, identify Bradomínunequivocally as a Don Juan. 28 However, in our opinion, this character, described bycritics with concepts such as inversion, reinvention, renovation or demystificationof the legendary figure of Don Juan, ends up being only a literary type: a ‘donjuán’.Valle-Inclán’s rendering of the myth does not respond to its traditional notion, butto thematic lines that derive from the metamorphosis the myth suffers during itsRomantic phase. One of these thematic lines, the irresistible lover, the fascinatingman, is used by Valle-Inclán to create his Marquis of Bradomín; however, the Galicianauthor avoids the well-trodden path and adds new ingredients to his literary game: the

Renderings of Don Juan in Valle-Inclán / Carmen Becerra81Romantic spirit, turn-of-the-century decadentism, and Modernist aesthetics, amongothers.However, a traditional theme and a popular character—Don Juan–, togetherwith the conceptual syncretism of the myth—a product of the confluence of severalsources– and a certain aesthetic— of the Modernist kind— are not enough to explainthe result obtained by Valle in Sonatas; other factors were involved, and one of themwas certainly the chosen generic pattern. Bradomín’s Memoirs allow the authorthe chance to introduce a chain of inter-textual games with other very meaningfulMemoirs quoted in the text: 29María Rosario, un poco confusa, murmuró:-¡Vuestro padre espiritual! ¿Quién es vuestro padre espiritual!-El caballero Casanova.-¿Un noble español?-No, un aventurero veneciano.-¿Y un aventurero…?Yo la interrumpí:-Se arrepintió al final de su vida.-¿Se hizo fraile?-No tuvo tiempo, aun cuando dejó escritas sus confesiones.-¿Cómo San Agustín?-¡Lo mismo! Pero humilde y cristiano, no quiso igualarse con aquel doctorde la iglesia, y las llamó Memorias.-¿Vos las habéis leído?-Es mi lectura favorita. 30The Memoir style, above all, allows for a specific structure, the manipulation of thediegetic time, and a deliberate fragmentarism. It also imposes certain features onthe character-narrator, and permits the construction, re-construction and even theinvention of a life. Darío Villanueva states that autobiography, as a literary genre, isendowed with a poiesis virtuality, rather than a mimetic one, and, consequently, is theperfect tool to obtain “a truthful construction of the identity of self” (1991: 108). 31Now, a shrewd reader will easily note the frequency with which Bradomín plays arole: what he wants to seem like in front of others. As a consequence of all thesefactors, it is possible to assume the essential artificiality/fictionality of the character,specifically a Don Juan type of artificiality, and this assumption would lead us to thelogical conclusion of Bradomín’s nature being typical, not mythical.The character has been built following some of the basic traits defining the

82 Forum for World Literature Studieslegend of Don Juan (an outstanding ability to seduce, the absence of a moralcompass, pride of class), but some other features he displays distance him from themyth, namely: neither is he an impersonal seducer, nor does he hide his identity bypretending to be somebody else; he is not capable of love, he merely loves the ideaof love, he follows the seduction ritual, but he still awakes his victims’ love; he doesnot seek the ending of his affairs, rather, each ending is the product of a variety ofcircumstances, but never his doing; he is not a rushed lover, without memories of thepast, on the contrary, he invests as much time as it is necessary in each affair and heremembers them with pleasure.Another aspect of the character that refers back to the original Burlador is thesatanic qualities attributed to him; 32 however, at this point, it is important to rememberthe consciously deceptive nature of the character: Bradomín feels very much athome when he is playing this specific part, he is pleased by the mixture of fear andadmiration his mere presence evokes, a presence that he displays for his audience likea painstakingly designed staging:—Me das miedo cuando dices esas impiedades… Sí, miedo, porque no eres túquien habla: Es Satanás… Hasta tu voz parece otra… ¡Es Satanás!...(Sonata de Otoño, p. 97) 33—¡Lo sabía usted! ¡Lo sabía usted!Y de pronto clavándome los ojos ardientes y fanáticos, hizo la señal de la cruz yestalló en maldiciones. Yo, como si fuera el diablo, salí de la estancia.(Sonata de Otoño, p.174) 34Valle-Inclán is using, as José Luis Varela points out, a “literary convention that hasproven quite fruitful in the threatre (…), the numerous Romantic-satanic connotationsof Bradomín’s character (…) also explain the scenographic slant in this conduct”(1997: 269); he continues, “the four novels are bursting at the seams with annotations,gestures, exclamations, all of which have a staging purpose” (1997: 273). Thisscenographic feature feels at home in the author’s chosen genre: Bradomín-asnarratorconstructs a Bradomín-as-character that is self-reflective, a character that isconsciously aware of performing a role.The modifications Valle performed on the myth affect not only the characterbut also the generic pattern; thus, despite the chronological continuum needed bythe genre in order to present a whole life, Bradomín’s Memoirs are full of isolatedepisodes, arbitrarily placed in the narrative discourse. The Preface (‘Nota’) thatprecedes Sonatas justifies the Memoirs’ fragmentarism: the preface’s author actsas an intermediary that selects, among all the anecdotes, four specific moments—

Renderings of Don Juan in Valle-Inclán / Carmen Becerra83of amorous content– in Bradomín’s life, but is silent as to the rest. The narrated timein each ‘sonata’ is extremely reduced, its scope nothing more than a couple of days,really. The ellipsis among novels is uncommonly wide, but the implied reader, alreadyaware of the donjuanesque nature of the character, is able— and expected— to fillin the textual gaps with romantic affairs similar to the ones old Bradomín describesin the novel; as a result, we can state that it is not the author, but the receiver of thenarrative who, being in possession of the catalogue or list of women seduced byDon Juan— through her cultural imaginary—, decides to attribute these anecdotes toBradomín himself. 35The presence of Death or any of its signs (funeral rites, mourning clothes, tollingof bells) is a constant element in Sonatas. Valle-Inclán explores the relationshipbetween love and death—a relationship that is essential in Don Juan’s mythic scene–by keeping it in his narrative, but with a clear twist: whereas in the mythic versionsDeath represents punishment for the transgressor, in Valle-Inclán’s text, ironically, thispunishment seems to be directed only at Bradomín’s victims.The Sonatas female characters are María Rosario [Sonata de Primavera (SpringSonata)], la Niña Chole [Sonata de Estío (Summer Sonata)], Concha [Sonata deOtoño (Autumn Sonata)] and María Antonieta y Maximina [Sonata de Invierno(Winter Sonata)]. The latter, when juxtaposed to the common female types includedin Don Juan’s tradition (such as young virgins, married women, novices or womendestined to a convent, aristocrats or commoners,…), becomes a novelty that is notconnected to her virginity, or her being destined to be a nun, or even her extremeyouth, but in the fact that she is Bradomín’s daughter. None of the previous versionsdisplayed this type of victim, but, after her inclusion in Valle-Inclán’s narrative, shewill reappear in some of the later interpretations of the myth. 36 For this twist to takeplace— Don Juan, seducer of his own daughter—, the character needs to age, 37 and soValle-Inclán’s chosen genre, the memoir, once again serves its purpose.Concha, as a character, also represents a clear deviation from previous femaletypes. Concha embodies the fragile type: the sick woman, the voluptuousness anderoticism of Death, so in vogue at the end of the 19 th century. She takes the lead, fora change, and begs Bradomín to come to her (“me llamaba a su lado con súplicasdolorosas y ardientes” 38 ). This role inversion explains why she has been branded as “lapeor de las mujeres” (‘the worst kind of woman’), 39 formula frequently used to brandDon Juan himself, but only in those versions written after the combination, encounteror fusion of the myth with the legend of Miguel de Mañara, penned by ProsperMérimée, whom Valle-Inclán makes sure to acknowledge, directly or indirectly, as thesource for some of the donjuanesque features of his character.In the wake of Modernism, Valle-Inclán creates in Sonatas a decadent Don Juan

84 Forum for World Literature Studiesthat has little to do with the mythic character. Using as a starting point the features thecharacter inherits from the turn of the century— old age, repentance, melancholy—Valle-Inclán creates Bradomín: a Don Juan facing, as the archetype does, the devil, theworld and the flesh, but also a fourth and new element, following from an interviewwith the author: “Previous Don Juans react to love and to death; they lack Nature.Bradomín, more modern, also reacts to the landscape” (Dougherty, 1983: 161).Although its presence is less explicit, the theme of Don Juan 40 is also adiscernible trait in Comedias bárbaras (Barbaric Comedies). In a notation fromÁguila de Blasón (Heraldic Eagle) (1907) 41 second scene, Valle-Inclán describes theimposing figure of Don Juan Manuel, head of the Montenegro family: “Es uno de esoshidalgos mujeriegos y despóticos, hospitalarios y violentos, que se conservan comoretratos antiguos en las villas silenciosas y muertas” 42 . As we shall soon see, both inthe composition and the evolution of this character the original donjuanesque traitshave been interlaced with other foreign elements.Don Juan Manuel— old, but full of life and desire; ungodly, and yet Godfearing;proud and defiant, but later contrite; a father who curses his own lineage; awomanizer, but a loving husband— displays (just like Bradomín) some of Don Juan’smyth basic features— arrogance, seduction ability, ungodliness, rule-breaking—, butthese features are combined with other traits that have their origins in other sociohistoricaland literary sources. To give but one example, we should remember thatValle-Inclán’s Comedias display an evident thematic connection to literary works byGalician authors, in which the ‘pazo’, as a social and economic unit, supports someplot lines and also justifies certain features of the characters that inhabit it. 43 Regardingthis aspect, however, we are more interested in the literary sources Valle-Inclán drawson, for they supply the necessary keys to unlock certain characteristics. Thus, Valle’streatment of Montenegro’s death certainly connects his work with the supernaturalevents present during the death of the mythic Don Juan:La blanca procesión pasa como una niebla sobre los maizales […] la procesión sedetiene a la orilla de un río donde las brujas departen sentadas en rueda […] Porla otra orilla va un entierro […] los fantasmas han desaparecido en una niebla, lasbrujas comienzan a levantar un puente […] En la orilla opuesta está detenido elentierro […] las brujas huyen convertidas en murciélagos. El entierro se vuelvehacia la aldea y desaparece en la niebla.” 44 (Romance de Lobos (A Romance ofWolves); fragments from Scene I annotations)These fragments prove the author used and mixed several traditions: ‘la SantaCompaña,’ or the Procession of the Souls from Purgatory— a deeply-rooted popular

Renderings of Don Juan in Valle-Inclán / Carmen Becerra85belief in Galician culture—, the coven of witches he stumbles upon— very commonin a lot of Celtic regions—, and the vision of one’s own burial, whose origin canbe traced to Leyenda del estudiante Lisardo, compiled by Antonio de Torquemadain Jardín de flores curiosas (1570). The latter motif can also be found, narrated asif it were a real event, in Breve relación de la muerte, vida y virtudes de Miguel deMañara, published by Jesuit priest Juan de Cárdenas, in 1680, one potential source forMérimée work, 45 and also possible origin for a notable amount of versions, amongstwhich we can find Espronceda’s, admired by Valle-Inclán himself. We may concludethat Valle resumes the motif, adding a Galician flair to it: the funeral Montenegrowitness at the beginning of Romance de Lobos (Day I, Scene I) is preceded by thevision of ‘la Santa Compaña’ that heralds, tradition holds, his approaching death.Most 19 th -century Don Juan versions are geared towards the hero’s salvation,which in turn originates two paths: a path of approximation to the original drama(presence of the religious dimension, which had been getting weaker and weakersince Tirso; massive influx of the sacred factor), and a path of detachment from themythic source (feminization of the myth). Both paths converge in Zorrilla’s play. Thefusion of Miguel de Maraña’s Spanish legend with the mythical Don Juan gives wayto a new demystifying process: the converted Don Juan makes his entrance. So, thesinner’s transformation, his repentance, the partition of goods (although in this case itis not due to charity, but to pride, for it is an attempt to clean his lineage), come aboutin the last ‘comedia:’¡Yo he sido siempre el peor hombre del mundo! Ahora siento que voy a dejarlo yquiero arrepentirme. La luz que ellos apagaron se enciende en las tinieblas dondeel alma vivía, y para que mi linaje, donde hubo santos y grandes capitanes, no locubran mis hijos de oprobio, acabando en la horca por ladrones, les repartiré misbienes y quedaré pobre… 46 (Romance de Lobos. Day II, Scene IV)These motifs— the vision of one’s own funeral and the sinner’s repentance— arepart of Miguel de Maraña’s legend; even Montenegro’s line, “he sido siempre el peorhombre del mundo” [“I have always been the worst man in the world”], is a reminderof the one Maraña arranged to be his epitaph: “Aquí yace el peor hombre que en elmundo ha habido” [“Here lies the worst man the world has ever known”]. Valle-Inclán reworks both and creates a character that, as stated by Lasaga Medina, “evenmaintaining his peers’ identity, is radically new” (2004:158).Comedias bárbaras is not the last dwelling for Don Juan in Valle’s work; in hisEsperpentos a new and demystifying mask of the myth makes its appearance. Ortegay Gasset 47 established, for the first time, the connection between Las galas del difunto

86 Forum for World Literature Studies(The Dead Man’s Duds) and Don Juan Tenorio, character that Valle’s ‘esperpento’refers to explicitly. This play constitutes an exemplary illustration of Valle’s grotesqueinversion on the fundamental traits present in the Romantic drama: the conquest, thenovice’s kidnapping, the scenes at the cemetery… Following Gonzalo Sobejano, thevariations inflicted on Don Juan in the theatrical scene during the 20 th century are notof importance,The only exception being the parodic inversion of Tenorio conceived by Valle-Inclán in the ‘esperpento’ Las galas del difunto (1926), a theatrical piecemuch more original and funnier than those [he is referring to plays by Dicenta,Marquina, Álvarez Quintero, Machado, Unamuno, Martínez Sierra, Grau,Ramón Sender, among others], and, in my opinion, far superior to other attemptsby Spanish playwrights, and even to foreign versions as worthy as the onespenned by George Bernard Shaw, Edmond Rostand, Jean Anouilh or Henri deMontherland (Sobejano, 1995: 300). 48Comparative and evaluative studies such as these are common, and we would not addanything new. 49 However, we should underline that Valle-Inclán is not interested inproducing another of the numerous 20 th -century demystifications of Don Juan. Valle’sscope is wider, his ambitions deeper than mere parody or grotesque imitation. He usesthe myth as a means for his critique. In Las galas, the character carries an ideologicaland cultural message: the demystification of heroism in modern society, reducednow to mere junk (“este calvario” [“this ordeal”], “tinglado” [“mess”], are the wordsJuanito Ventolera uses to refer to his war decorations), and the degradation present inSpanish Restoration public life.Valle-Inclán mixes up, following his time’s poetics, different styles, incorporatingto his works a large number of elements from outside sources. From his literarybeginnings, and later on, linked to the three great cycles of this production—Sonatas,Comedias bárbaras and Esperpentos— he repeatedly uses the traditional literarytheme of Don Juan, stamping it with an original and innovative slant. The achievedresults cause the mythic model to blur, as it acts as a background landscape, more orless evident, more or less obscured, on which he projects his creation.Notes1. Cf. Trocchi (2002: 161). All quotes from outside research have been translated from their originallanguage.2. We use the concept in singular because we will not take into account other structural levels—such

Renderings of Don Juan in Valle-Inclán / Carmen Becerra87as the archetypal or symbolic ones, promoted by the founder of Myth Criticism, Gilbert Durand(The anthropological structures of the imaginary, 1960). We will use the concept of ‘structure’ asproposed by French ethnologist, founder of Structural Anthropology, Claude Lévi-Strauss, that is,we will concentrate on its synchronic and diachronic aspects alone.3. The most cited of them all may be Mircea Eliade’s definition (1968: 12-13): “myths tell asacred story; it narrates an event that has happened in primordial times, the legendary times of the‘beginnings’. (…) Thus, myths are always the story of a ‘creation.’”4. “Temas seculares, lugares comunes, fórmulas expresivas previamente acuñadas, ideas procedentesde un legado cultural, pueden cambiar de sentido cuando se ponen al servicio de una nuevaconcepción del mundo o de una actitud vital distinta (...) En realidad, todo estudio de literaturacomparada, o de influencias de un autor sobre otro, lleva en sí la necesidad de señalar contrastes.”5. “las formas y los temas, más que entidades discretas, son elementos parciales cuyo montaje sedebe en definitiva a la intervención del lector. Tratándose de tematología, esta intervención serátanto más importante… cuanto más relevantes los fenómenos de intertextualidad que identifiquen eltema mediante la memoria de figuraciones anteriores.”6. This is an indispensable study for the structural analysis of the myth’s evolution. Rousset’s theoryof invariants (1973) stems from Lévi-Strauss’ methodology (Anthropologie structural, 1958),especially in determining the concept of “mythéme”—minimal unit with mythic meaning.7. With the presence of death, or the tool of divine justice—represented in the archetypal modelby the Stone Guest–, the supernatural factor bursts into the play. Many years before, MichelineSauvage, in his essay Le cas Don Juan (1953), had already proposed a list of invariants very similarto Rousset’s: “The Hero, the Dead man’s Daughter, Death-carrier of the Hero’s eternal punishment.Or, in other words, seduction, rebellion, choosing time versus eternity.”8. Apart from Jean Rousset’s study, already quoted, we can add, among others, the works of LeoWeinstein, The Metamorphoses of Don Juan (California, Standford University, 1959) and JeanMassin, Don Juan: Mythe litteraire et musical (Paris, Stock Musique, 1979).9. Hoffmann’s brief short story has little to do with the text found in Da Ponte’s libretto. However,Hoffmann’s contemporaries, even when well versed on Mozart’s work—musicians, poets–, acceptedhis version of the myth; such was the case of both Weber and Beethoven. Leo Weinstein (1959: 69)believes that Hoffmann’s interpretation of Ana’s significance in the opera, which is openly at oddswith the material category of the character—scene time, number of arias, Don Juan’s interest, etc.—,stems from what Mozart’s music suggests.10. Hoffmann’s quote refers to the Spanish translation: Don Juan. Aventura fabulosa ocurrida aun viajero entusiasta, included in Cuentos de Hoffmann (Madrid, Espasa Calpe, Colección Austral,1998): 254.11. For the evolution of the myth, from the Romantic period onwards, and the different thematiclines that have conveyed the myth throughout the 20 th century, refer to my work Mito y Literatura.Estudio comparado de don Juan (1997).

88 Forum for World Literature Studies12. Out of the well stocked Don Juan narratives written until the first decades of the 20th century,only in two is his mother present: Lord Byron’s Don Juan (1818/24) and L’Homme et ses fantômes,by H.R. Lenormand (1921), even though her presence and function in both texts is quite different.In Byron’s version, Don Juan is fatherless and his education is trusted exclusively to women. Byronbrings to his work something unknown until that moment: Don Juan’s past; and he offers the readera rather naïve perspective on the hero’s sentimental education and, with it, an explanation for hiswomanizing behaviour that bears no relation to the traditional meaning of the term ‘donjuanism’.Furthermore, the character of the mother only appears in the first canto. Lenormand also includesthe absent father, and a mother who, although only present at the end of the plot, has become theprotective figure. This hero is a skilled and accomplished womaniser, but, at the same time, he feelsa hidden and unacknowledged attraction towards his own sex.13. Roughly translated as ‘womaniser’ or ‘ladies’ man’.14. To give but an example, “La Niña Chole”, “Octavia Santino” or “La Generala” had beenpreviously published in the press, in the form of more or less elaborate sketches, or closer to theirdefinitive version. (cf. Lavaud, 1991: 91).15. In later editions, this novel will be titled Augusta.16. The list of authors that, according to the critics, Valle-Inclán owes liteary debts to, is numerousand diverse: Barbey d’Aurevilly, D’Annunzio, Gautier, Verlaine, Zorrilla, Eça de Queiroz … are partof it.17. See, as an illustration, Lily Litvak’s work (1979), Daniella Gambini’s (1992) or Teresa Trueba’s(2002). According to Eliane Lavaud, “in his short novellas, Valle-Inclán reflects the feministgrievance that takes hold of Spain at the end of the 19th century” (1991: 127).18. “The suggestive power of the sinister”.19. “Don Juan had a tragic countenance, his speech was the faithful and grieving speech of aromantic seducer. (…) The old libertine gazed at her intensely as if to upset her even more. Thosegreen eyes were both somber and fascinating, disturbing and bold; it could be said they injected loveas if it were a poison, they ravished souls and stole kisses from the purest mouths.” [Fragments fromValle-Inclán’s works are translated from their original in Spanish]. The quote refers to the followingedition: Femeninas. Epitalamio by Joaquín del Valle-Inclán (Cátedra, Madrid, 1992, 185).20. A ‘pazo’ is a Galician manor house whose origin is always related to nobility or the Church.21. (“somber figure”, “seducing gracefulness”, “sinister gaze and smile”, “brow that seems to beholdevery exaggeration, heavenly as well as diabolical” … “I may not believe in God, but I love angels”)22. According to Aurora Egido, “the devilish aspects of the Burlador stand […] for more than justmere characterizations of the protagonist’s wickedness, for they are in keeping with the story’scentral thesis and they articulate its structure” (Cf. “Sobre la demonología de los burladores (deTirso a Zorrilla)”, in Cuadernos de Teatro Clásico, 2, Madrid (1988): 37).23. “Glimpsed through the soft light of the lamp, blond head divinely bent, the shadow of hereyelashes trembling against her ivory cheek, delicate and graceful chest surrounded by uncertain

Renderings of Don Juan in Valle-Inclán / Carmen Becerra89shadows, golden sculpture against the sky-blue of the settee, Rosarito reminded me of those candidMadonnas painted on a starry sky background.”24. For example, the main characters from Autumn Sonata, the essential parts of the Pazo’s gardensdescription and the romantic relationship between Bradomín and Concha can already be found in“¿Cuento de amor?”, published in La correspondencia de España (Madrid, 28/VII/1901) with thefollowing subheading: “Fragmento de las memorias íntimas del Marqués de Bradomín”. Cf. ÉlianeLavaud (1991: 245-75).25. “Estas páginas son un fragmento de las “Memorias Amables” que ya muy viejo empezó aescribir en la emigración el Marqués de Bradomín. Un Don Juan admirable. ¡El más admirable talvez! Era feo, católico y sentimental” (“These pages are a fragment from the “Elegant Memoirs” thatthe Marquis of Bradomín started to write as an old man, already an emigrant. An admirable DonJuan. Maybe the most admirable! He was ugly, Catholic and emotional.”)26. “In these [pages] I attempted to deal with an eternal theme. A theme, if it is eternal, no matterhow often dealt with, is never exhausted. Only an eternal theme can weigh each author’s effort andmerit, and that is why all of us authors should try it.” Cf. Dougherty (1983: 160).27. “I had a moment of vanity when facing in Estella Court a welcome that clearly showed myrenown. I was regarded with love, and also with a hint of anger. They were all pious people, andperhaps they remembered some of my adventures.”28. We also find examples of the opposite attitude: “we absolutely reject Bradomín as a DonJuan, or, at least, as a typical Don Juan. He may have ‘donjuanesque’ attitudes, but he is not anunquestionable Don Juan”. This sweeping denial comes from Fernando de Toro Garland, “La últimaderrota de Bradomín”, in Cuadernos Hispanoamericanos, 199-200 (July-August 1966): 537-544.That said, what is widely felt is actually the opposite, as we can see in Luciano García Lorenzo’sforceful reply to the previous thesis; cf. “Don Juan... Y siempre al final la muerte (De Valle-Inclán aMartínez Sierra),” Segismundo, 17-18 (1973): 49-74.29. Sometimes these inter-textual games are hidden—by avoiding explicit acknowledgement–,but are soon discovered by either the author or the reviewers (see, for example, the reference toChateaubriand’s Mémoires d’Outre-Tombe).30. “María Rosario, slightly confused, muttered,‘Your spiritual father! Who is your spiritual father?’‘A gentleman called Casanova.’‘A Spanish nobleman?’‘No, a Venetian adventurer.’‘But how can an adventurer…?’I interrupted her,‘He repented at the end of his days.’‘Did he become a monk?’‘He run out of time, although he left his written confessions behind.’

90 Forum for World Literature Studies‘Just like St. Augustine?’‘Exactly the same! But, being a humble Christian, he didn’t want to presume anyconnection to that doctor of the Church, so he called them Memoirs.’‘Have you read them?’‘It’s my favourite reading material.’”(Summer Sonata. Madrid: Espasa Calpe, 1965: 62).31. Later on, regarding Sonatas, Villanueva will insist on the same idea: “[Xabier de Bradomín]wants to make abundantly clear the uniqueness of his person, and thus pays more attention tobuilding it with deliberate artifice than to reflecting his own personality” (Villanueva, 1995: 251).Following this line of thought, Eliane Lavaud also highlights the narcissism present in Sonatas,which consists of “the construction of the story of self” (1990: 547).32. This specific feature gives credence to his incredible ability for seduction. William Littleexplains it so: “don Juan is the human myth that reflects the supernatural myth of Lucifer and invertsthe mythic structure of Jesus. Thus, the same way Lucifer—the Archangel expelled from Heaven–is an evil deceiver and the sterile seducer per se, don Juan is the noble rebel par excellence, expelledfrom society because of his arrogant independence, and he becomes the martyred lover because hetries to love many women without ever being able to love any absolutely” (“Varios aspectos de donJuan y el donjuanismo”. Hispanófila. Literatura-Ensayos, 80 / Year XXVII, 2, January 1984: 14).According to Aurora Egido, “the devilish aspects of the Burlador stand […] for more than just merecharacterizations of the protagonist’s wickedness, for they are in keeping with the story’s centralthesis and they articulate its structure” (Cf. “Sobre la demonología de los burladores (de Tirso aZorrilla)”, in Cuadernos de Teatro Clásico, 2, Madrid (1988): 37).33. “You scare me when you say such shocking impieties… Yes, you scare me, because it’s not youtalking: It’s the Devil… Even your voice sounds different… It’s the Devil!”34. “‘You knew! You knew!’ And, suddenly, fastening her burning and fanatic eyes on me, she madethe sign of the cross and burst into damnations. I, like the Devil himself, left the room.”35. In the mythical versions, Don Juan’s servant acts as the depository of the hero’s memory; in thisversion, however, the depository is the receiver, who is unaware of her role.36. One of the few examples would be Jacinto Grau’s Don Juan de Carillana (1943). In this playa mature Don Juan will court a lady, who, unbeknownst to him, is his daughter. Her husband willreveal her identity to him.37. We should remember that the first older versions of Don Juan do not begin to emerge until thesecond half of the 19 th century. Two examples of this are Gustave LeVavasseur’s Don Juan Barbón(1848), a play written in verse, and Jules Virad’s La Viellese de Don Juan (1853).38. “She beckoned me with doleful and burning pleas.”39. Soledad, Bradomín’s mother, sends a letter to Concha, in which she calls her “la peor de lasmujeres” (Sonata de Otoño, ed. Leda Schiavo, Madrid, Espasa Calpe, 1990: 84).40. In a lecture read at the Círculo Mercantil de Málaga (18 October 1926), Valle-Inclán states: “And

Renderings of Don Juan in Valle-Inclán / Carmen Becerra91after the Marquis of Bradomín, ugly, catholic and sentimental, I wrote another version of Don Juan:Comedias bárbaras, representation of a rural Don Juan”. Cf. Javier Serrano Alonso (2006).41. This is the first volume of Comedias bárbaras, according to the year of publication.42. “He is one of those womanizing and despotic, welcoming and violent noblemen that are keptaround as if they were old portraits in dead and quiet mansions.”43. We are refering to Los Pazos de Ulloa (1886) and La Madre Naturaleza (1887), by Pardo Bazán,but also Os camiños de vida (1920), by Otero Pedrayo, La sangre (1952), by Elena Quiroga or thetrilogy Los Gozos y las sombras (1957-1960, 1962), by Torrente Ballester. Valle-Inclán also showsin Comedias one of the historical stages in the development of the ‘pazo’ culture: the decadence ofGalician feudal nobility, the isolation of civilization, primitivism in behaviour and beliefs, etc.44. “The White Procession [the Procession of the Souls from Purgatory] floats like mist over thecornfields […] the procession stops at the bank of a river where a coven of witches sit in a circle andcommune […] Along the other bank a funeral advances […] The ghosts have disappeared into themist, the witches start to build up a bridge […] On the opposite bank, the funeral has stopped […]the witches, shape-shifting to bats, fly away. The funeral turns back to the village and disappears intothe mist.”45. The extraordinary events connected to Don Juan’s death are replaced in some versions of themyth with the vision of his own funeral, which is said to have happened in real life to Miguel deMaraña and have caused his conversion. This motif is used for the first time in the history of themyth by Prosper Mérimée in Les âmes du Purgatoire (1834), which tells the story of Mañara, andalso introduces elements belonging to the mythic tradition, thus inaugurating the versions that fuseboth legends. Regarding Spanish literature, dramatic poem El estudiante de Salamanca by José deEspronceda is the first story to introduce this motif.46. “I have always been the worst man in the world! Now I dread I am leaving this world and wantto repent. The light they have snuffed out is now burning bright amidst the shadows where my souldwells, and, so that my lineage, which includes saints and great captains, avoids shame through mysons, ending up in the gallows for thievery, I will distribute my property and wind up destitute…”47. “La estrangulación de Don Juan”, El Sol, 17th November 1935.48. “la única excepción me parece la inversión paródica del Tenorio concebida por Valle-Inclán enel esperpento Las galas del difunto (1926) pieza mucho más original y graciosa que aquellas [serefiere a las de Dicenta, Marquina, Álvarez Quintero, Machado, Unamuno, Martínez Sierra, Grau,Ramón Sender, entre otros] y, en mi opinión, superior a cuanto en España se ha intentado, e inclusoa versiones foráneas tan apreciables como las de George Bernard Shaw, Edmond Rostand, JeanAnouilh o Henri de Montherland” (Sobejano, 300).49. Cf. Avalle-Arce (1959), Manuel Aznar (1992), Eliane Lavaud (1988), among others.

92 Forum for World Literature StudiesWorks CitedAvalle-Arce, Juan Bautista. “La esperpentización de don Juan Tenorio.” Hispanófila 7(1959): 29-39.Aznar Soler, Manuel. Guía de lectura de Martes de Carnaval. Barcelona: Anthropos Editorial, 1992.Becerra, Carmen. Mito y Literatura (Estudio comparado de Don Juan). Vigo: Universidad de Vigo,1997.Brunel, Pierre (ed.). Dictionnaire des mythes littéraires. Paris: Éditions du Rocher, 1988.---. Dictionnaire de Don Juan. Paris: Éditions Robert Laffont, 1999.Dougherty, Dru. Un Valle Inclán olvidado: entrevistas y conferencias. Madrid: Fundamentos, 1983.Gambini, Daniella. “Tipología femenina fin-de-siècle en las Sonatas de Valle-Inclán”, in John P.Gabriele (ed.), Suma valleinclaniana. Barcelona/Santiago de Compostela: Anthropos andConsorcio de Santiago (1992): 599-609Gómez Trueba, Teresa. “Imágenes de la mujer en la España de finales del XIX: ‘santa, bruja o infelizser abandonado’” CiberLetras. Revista de crítica literaria y de cultura / Journal of literarycriticism and culture, 6 (january 2002). (http://www. lehman.cuny.edu/ciberletras.)Guillén, Claudio. Entre lo uno y lo diverso. Introducción a la literatura comparada. Barcelona:Crítica, 1985.Eliade, Mircea. Mito y realidad. Barcelona: Labor, 1968.---. Mythes, rêves et mystères. Paris: Gallimard, 1957.Hoffmann, E.T.A. “Don Juan. Aventura fabulosa ocurrida a un viajero entusiasta,” in Cuentos deHoffmann. Madrid: Espasa Calpe, Colección Austral, 1998, 241-256.Lapesa, Rafael. “Garcilaso y Fray Luis de León: coincidencias temáticas y contraste deactitudes.” Archivum, 26 (1976): 7-17.Lasaga Medina, José. Las metamorfosis del seductor. Ensayo sobre el mito de Don Juan.Madrid: Síntesis, 2004.Lavaud, Éliane. La singladura narrativa de Valle-Inclán (1888-1915). La Coruña: Fundación PedroBarrié de la Maza, 1991.---. “Las Sonatas de Valle-Inclán y el género de las memorias.” El Museo de Pontevedra XLIV(1990): 545-53.---. “Otra subversión valleinclaniana: El mito de Don Juan en Las galas del difunto”, in Ramón delValle-Inclán (1866-1936). Tubingen: Niemeyer Verlag(1988): 139-46.Litvak, Lily. Erotismo fin de siglo. Barcelona: Antonio Bosch, 1979.Marín, Diego. “La versatilidad del mito de Don Juan.” Revista Canadiense de Estudios Hispánicos,VI / 3 (1982): 389-403.Praz, Mario. La carne, la muerte y el diablo en la literatura romántica. Caracas: Monte ÁvilaEditores, 1969.Ramos-Kuethe, Lourdes. “El concepto del libertinismo en la narrativa temprana de don Ramón delValle-Iclán”, Hispanic Journal, IV, 2, 1983.

Renderings of Don Juan in Valle-Inclán / Carmen Becerra93Rousset, Jean. Le mythe de Don Juan. Paris: Armand Colin, 1973.Schiavo, Leda. “Introducción” to the edition of Sonata de Otoño. Sonata de Invierno. Madrid:Espasa-Calpe, 1990.Sellier, Philippe. “Qu'est-ce qu'un mythe littéraire?” Littérature 55 (1984).Serrano Alonso, Javier. “Valle-Inclán ante el espejo. La ‘autocrítica’ valleinclaniana a través de cincoconferencias.” Anales de la literatura española contemporánea 31 / 3 (2006): 912-56.Sobejano, Gonzalo. “Don Juan en la literatura española del siglo XX (ensayo y novela),” in NicasioSalvador (ed.), Letras de la España Contemporánea. Homenaje a José Luis Varela. Alcalá deHenares: Centro de Estudios Cervantinos, 1995, 329-43.Trocchi, Anna. “Temi e miti letterari,” in Armando Gnisci (ed.), Introduzione alla letteraturacomparata. Milano: Edizioni Bruno Mondadori, 1999. Spanish translation by Luigi Giuliani:“Temas y mitos literarios”, in Armando Gnisci (ed.), Introducción a la literatura comparada.Barcelona: Editorial Crítica, 2002, 129-69.Trousson, Raymond. Un problème de littérature comparée: les études de thèmes. Essai deméthodologie. Paris: M.J. Minard, Lettres modernes, 1965.Valle-Inclán, Ramón María. “Modernismo,” in La IIustración Española y Americana, Madrid(1902): 114Varela, José Luis. “El anacronismo deliberado de Bradomín,” in Luis Iglesias Feijoo, MargaritaSantos Zas, Javier Serrano Alonso, Amparo de Juan Bolufer (eds.), Valle-Inclán y el fin desiglo. Santiago de Compostela: Universidad de Santiago de Compostela, 1997, 265-78.Villanueva, Darío. “Para una pragmática de la autobiografía,” in El polen de ideas. Barcelona: PPU,1991.Villanueva, Darío. “Las Sonatas desde la teoría de la literatura del yo,” in Manuel Aznar Soler andJuan Rodríguez (eds.), Valle-Inclán y su obra. Sant Cugat del Vallès: Cop d’Idees, 1995, 241-56.责 任 编 辑 : 杨 革 新

The Literature of Valle-Inclán Transposed tothe Screen: A Problematic RewritingJosé Antonio Pérez BowieFaculty of Philology, University of Salamanca. Spain1Plaza de Anaya s/n, Salamanca, 37008, SpainEmail: bowie@usal.esAbstract In this paper I propose a reflection about the relationships betweencinema and literary texts in which I emphasize the difficulties that texts with aclear predominance of discourse over story present in the process of translation tothe screen. I also explain how Valle-Inclán's narrative work is characterized by anappreciable degree of creativity which almost entirely disappears in its transfer to thecinematographic format. After this, I proceed with an analysis of the seven adaptationsthat have been made of his works up until now, explaining the different solutionsadopted by the respective directors and investigating the cold reception they had.Key words cinematographic adaptation; film and literature; Spanish cinema; Valle-InclánFilm has undoubtedly played a significant role in the divulgation of literary texts,and literature has provided an endless source of movie plots. As early as 1926, BorisEikhenbaum referred to this relationship in these words:Little by little all of literature files before the camera. Those who thought thisrelationship would have no future, that cinema would abandon its honorableconcubine as soon as it grew up, seem to be in the wrong: despite certaininfidelities, their relationship is growing more and more like a long-lastingmarriage (…) For film, literature is an immensely rich source, and from thisstems the natural temptation to revise it from the cinematographic point of view,to take it as cinematographic material, as a libretto for screenplays. (“Literatura ycine”, in Albèra 199-200)But Eikhenbaum, who wrote these words when cinema had not yet acquired sound,was referring to “the curious fact that the literary genres adapted to the screen areprecisely those that in literature have been demoted to the condition of “primary” and

The Literature of Valle-Inclán Transposed to the Screen:A Problematic Rewriting / José Antonio Pérez Bowiewhose reading is only addressed to children.” The reason for this—he explained–is that “literature is put into film for the aspects it has that satisfy the demands ofstyle and genre posed by its evolution.” Thus, what is of most interest to film is “theplot outline” or “the construction procedure,” although there is also the possibilitythat the goal could be “to find the stylistic principles equivalent to literary works incinematographic language” (Albèra 200-202).This affirmation is again taken up by André Bazin when, referring to adaptations,he states that creativity should not be understood as a synonym for infidelity, since“those who are least concerned with faithfulness in the name of so-called screenrequirements are the ones who simultaneously betray both literature and film.” Thusthe affirmation he makes a few lines above this about the speciousness of presentingfaithfulness as “a necessarily negative servitude to strange aesthetic laws,” giventhat these very differences in aesthetic structure “make the search for equivalencieseven more delicate and therefore require much more imagination and capacity forintervention on the part of the filmmaker who wishes to achieve a resemblance,”which leads him to conclude that “in its command of language and style,cinematographic creation is directly proportional to faithfulness” (Bazin 116-118).This means that great literary works can only be satisfactorily adapted to thescreen when behind the camera there is a genius, equivalent to the author of the text,who can successfully carry out this operation of language transfer. This is somethingthat rarely takes place, and it has led some theoreticians, despite their love of films,to have doubts about the adaptability of great works of literature to the screen, aswhen Pere Gimferrer maintains that “none of the great classic novels has become agreat film classic, and a phenomenon of this type cannot be considered a matter ofchance, but rather an indicator of the limits of adaptation.” He finds the explanationfor the fact that “great novels can give rise to good films, but hardly great ones” inthe problematical move from literary language to film language, to which he devotesa good part of his book: after citing several “worthy” and “estimable” adaptationssuch as The Grapes of Wrath (Steinbeck/John Ford, 1940), The Trial (Kafka/OrsonWelles, 1962), Lolita (Nabokov/Kubrick, 1962) and Young Törless (Robert Musil/Scholöndorf, 1966), among others, he concludes that “they do not possess thatdisturbing wealth of implications present in the originals they seek to illustrate,”whereas minor or secondary works of great (and not so great) authors have given riseto authentic film classics (Gimferrer 77-78).Much more frequent, however, are the cases in which the adaptation only seeksto disseminate a literary text and these are usually motivated by economic imperatives.This project involves a series of operations addressed to making the work more“digestible” for the target population of the new product: among these operations95

96 Forum for World Literature Studiesare synthesis, universalization (to guarantee success in international markets),simplification of the message or the diverse modifications the plot is subjected to. Inthis respect, Cristina Manzano wonders whether adaptations actually favor literaryworks, and she decides that “they only favor their publicity”; and for this reason, sheadds, “the reader/spectator should be educated in (…) thinking of the adaptation asan independent product, that is, however, indebted to the original” and be made awareof “the definite difference and different lives that the literary work and the audiovisualwork take on beginning at that moment” (Manzano Espinosa 16-17) 2 .The reason for this long preamble can be found in the need to explain thesystematic failure of all the attempts made until now of taking the literary texts ofValle-Inclán to the screen. The creative sumptuousness of his language, the musicalityattained in his works at the time of his fascination with Modernist aesthetics, orhis brazenness and ability to deform reality in his esperpentos have not found theirequivalent in any of the film versions made of either his narrative or dramatic texts.This linguistic potency in his writing is undoubtedly this author’s most definingcharacteristic, and is recognized by all scholars. One of them, Darío Villanueva,compares him to another genius of language, the Irishman James Joyce, a strictcontemporary of Don Ramón, affirming that both of them “were mainly two greatphilologists, two geniuses in their command of language, from which they extractedeverything they needed for their aesthetic recreation of a new and complex world”(Villanueva 360).Creativity at the level of language is not a purely intransitive element but rathera vehicle upholding the creation of Valle-Inclán’s imaginary universes; althoughsuperficial, in approaching these universes it is advisable to distinguish between theaestheticism and idealist vision of his early texts and the degraded and ferociouscaricature of his last esperpentos; they appear superimposed and mixed up in many ofhis works as an expression of a complex, polymorphous reality that cannot be reducedto any attempt of rational understanding.This complexity of a world in which such divergent elements coexist isdoubtlessly what makes it so difficult to transpose his works to the screen. And notonly because all the verbal richness of his prose is lost (at the phonic, syntactic andlexical levels), but also because the universe resulting from that carefully workedwriting, with its unreal, magical and oneiric dimension, is very difficult to translateinto visual signs.In the pages that follow I shall review the seven film adaptations that until nowhave been made of Valle-Inclán’s texts, ranging from Sonatas, directed by JuanAntonio Bardem in 1959, to Martes de Carnaval, the miniseries of three episodesproduced by Spanish Television in 2008 and directed by José Luis García Sánchez.

The Literature of Valle-Inclán Transposed to the Screen:A Problematic Rewriting / José Antonio Pérez BowieStarting with a superficial analysis I then attempt to clarify the objectives pursued inadapting the texts to the screen and the reasons behind the generally limited success ofthese adaptations, attending along the way to certain comments by the critics, whosereception of them was lukewarm if not chilly.Sonatas (Juan Antonio Bardem, 1959)This film, the first attempt by Spanish filmmaking to approach the work of Valle-Inclán, is a crystal clear example of the distortion of the text’s contents andmanipulation of characters to vehicle an ideological message very different from thatof the original, commendable though that intention may have been (to denounce thesituation of Spain under Franco). The film is based on two of the four stories (Sonatade otoño and Sonata de estío) that make up the tetralogy whose main character is theMarqués de Bradomín, the decadent seducer who narrates his sexual conquests infirst person in four different scenarios: Italy (Spring), rural Galicia (Fall), the Carlistcourt in Estella 3 (Winter) and revolutionary Mexico (Summer). The contents of thetwo stories chosen was considerably reworked for the film, altering the character’scondition (representative of the decadent and reactionary aristocracy) to place itat the service of a message with a progressive ideology. Bardem, a militant in theCommunist Party at the time, had in mind a model of historical movie that, breakingwith the sweetened and evasive view that Francoist filmmakers had been offering ofthe past, would be capable of providing a critical interpretation of it that in turn wouldbe susceptible to being read as a reflection of the Spanish situation at the time themovie was made. He was directly inspired by Luchino Visconti’s film Senso (1954),a movie that fully responded to his purposes of a socially committed film that at thesame time was aesthetically attractive and had the possibility of commercial success:the exaltation of the Garibaldi revolution, from which a unified Italy emerged, islocated in the sumptuous surroundings of an aristocracy doomed to disappear; if tothis we add the romantic melodrama on which the plot development rests, Visconti’sfilm brought together the three objectives—political, aesthetic and economic- pursuedby Bardem and his producers and with a message diluted enough to be tolerated bygovernment censorship.The two texts chosen pertain to the first stage of Valle-Inclán’s works and followa Modernist narrative model: static, prodigious in voluptuous descriptions, and shorton action. The main character is an archetypal decadent aristocrat, but one who isrefined, highly aware of his privileges, and smug about them. In short, a literarymodel and a plot that are hardly ideal to serve as a vehicle for the intended progressivemessage, which obliged Bardem to renounce any criterion of faithfulness and placethe text at the service of his own ideology. We can say that he confines himself to97

98 Forum for World Literature Studiestaking from Valle-Inclán’s text the scenarios where the action takes place and the maincharacter, the latter subjected to a profound mutation. 4 According to Cerón Gómez,Bardem wasn’t very enthusiastic about the Sonatas and his intention had been toadapt Tirano Banderas. However, since that option wasn’t possible (the whole filmwould have had to be shot in Mexico) he accepted with the condition of making hisown mark and introducing social and critical elements that would mitigate the eroticdecadenttone of Valle-Inclán’s stories. The distance in time in which the narrativewas set would thus allow him to use the past to propose a critical look at the Spanishsituation at the time of filming. The first part of the film, which corresponds to Sonatade otoño, is set in 1824 in full absolutist repression against the liberals who werestill resisting the reign of Ferdinand the Seventh, thus establishing a parallel with theFrancoist repression of the maquis, the last Republican holdouts against the Francoregime after the Spanish Civil War (1936-39). Bradomín finds himself unwillinglyinvolved in the struggle and ends up exiled in Mexico where he will join other exiledliberals who are helping the Mexicans in their revolutionary struggle (Cerón Gómez161-162) .Bardem carried out a profound transformation of Valle-Inclán’s narrativematerial, much more drastic in the first part than in the second, since Sonata deotoño is noted for its extremely slow action, abundance of description and reflexivedigressions. In Sonata de estío more narrative elements are used, although thealterations made to the original text are also considerable. In any case, whenapproaching this adaptation, as with any other, the issue is not about choosing betweena faithfulness that consecrates the text or the director’s right to intervene and imposehis or her own reading, but about understanding the reasons for such a reading andverifying its effectiveness. As Cerón Gómez notes in relation to the Sonatas, it is amatter of considering the context that determined the manipulations Bardem made forwhat were obviously political ends, and not judging his intervention of Valle-Inclán’stext as the result of mere whim The director’s reasons are explicit enough: faced witha commission regarding a text he did not identify with, he chose to adapt it to his ownaesthetics and ideology, to his idea of what audiences expected from his films; hisleftist leanings and his idea of film as an instrument of political consciousness-raisingdetermined that option (Cerón Gómez 161-162).Thus, what we must try to explain are the reasons for which this film was almostunanimously rejected, beginning with international criticism after its showing at theVenice Film Festival. 5 Bardem attributed this negative response at the Mostra to thefact that the “deeply Hispanic nature of the story” made it difficult for audiencesunfamiliar with the vicissitudes and political confrontations characterizing 19thcentury Spain to understand it. To this must be added, again according to Bardem, that

The Literature of Valle-Inclán Transposed to the Screen:A Problematic Rewriting / José Antonio Pérez Bowiethe critics had in mind a cliché of his work based on his previous films and “Sonatashad nothing to do with this pre-established cliché and threw all of their previousjudgments into disarray.” 6Among the reproving arguments with which the film was received there are somethat do not hold up, either for being exclusively ideological (those writing for the pro-Franco press) or already obsolete for continuing to defend the criterion of faithfulnessto the original text. Nevertheless, aside from these there were other critical responsesthat raised questions of considerable interest that will help us to explain the negativeresponse to the adaptation of the Sonatas; among them is Bardem’s inexperience in agenre he had not dealt with previously and the impossibility of competing aestheticallywith Visconti’s model or with Hollywood period drama super-productions. Underlyingthis rejection there could also have been the memory of previous historical films, withtheir falseness and attempts at indoctrination, and Bardem’s film would have beenseen in the same light. On the other hand, the scarce suitability of the base text (in whicheverything presented is unreal, the product of a honing down and stylizing of literaryand pictorial motifs) to the social-revolutionary message that the director wished tosend must be pointed out; this did not occur in the case of the Visconti film that servedas his model, since it was based on a story (by Camillo Boito) with a broad historicalbasis and strongly individual characters, with a solid dramatic intrigue for which theGaribaldi revolution served as a frame and both aspects worked together to perfection.Thus, in Bardem’s film there is a gap between the dramatic level and the ideologicallevel, and furthermore, because of censorship, the message, presented through certainevents in the past that are used as a metaphor for the Spanish situation at the time thefilm debuted, was not made explicit enough for most spectators (or for the foreigncritics in Venice). Finally we should mention the film’s own indeterminate genre; inthis respect Cerón Gómez says that the failure of the film derived from “putting suchdifferent registers into play, such as adventure films, romantic melodrama, ‘cinémade qualité’ and political parable” such that the ideological density of the film and itspolitical functionality ended up being far from satisfactory(Cerón Gómez 166-167) 7 .Flor de santidad (Adolfo Marsillach, 1973)In this other film based on a text by Valle-Inclán, filmed by Adolfo Marsillach someyears later, rather than a distortion of the original story we find its amplification.But this amplification also involves, as we shall see, a certain intervention in theauthor’s message since the story loses its timelessness 8 to become located in a specifichistorical context: rural Galicia in 1853, where confrontations were still taking placeamong absolutists after the Second Carlist War. It thus offers a critical reflectionon this moment in our past. This amplification may also be due to the fact that the99

100 Forum for World Literature Studiesparsimony of the plot would not admit a long narrative (in contrast to the Sonatas).One may recall that it focuses on the adventure of Adega the shepherdess who, havinggiven shelter to a pilgrim in the stable she slept in, undergoes a kind of mystic crisisand confuses the pilgrim with Jesus Christ, a crisis that only gets worse when thepilgrim is killed by the locals because they believe he has brought an epidemic that iskilling their sheep). Adega abandons the village to walk the roads proclaiming that sheis expecting a son from the dead man, thus acquiring an aureole of sanctity. The storyhas a somewhat open ending since it concludes with Adega going to the pilgrimage ofSanta Baya, where the countess of Brandeso (in whose house she had found work as aservant) has sent her to undergo an exorcism.The film opens with a sequence in which the camera follows the pilgrim alonga country trail and his subsequent arrival in a lonely city while a voiceover informsus of the modifications made to the original story: “A long and intermittent civil warhas desolated Spain during the reign of Isabel II…”; there follows an explanationof the skirmishes between the Carlists, who defend an absolutist monarchy, and theliberals in favor of Queen Isabel, with the voiceover reminding us that “it is alwaysthe common people who suffer from the wars among the powerful.” Then we arewarned: “Although it is an age-old story that could have taken place at any time andin any place, we wished to set it in this time and place, on a dark date with tragicconsequences: Galicia 1853.” Later, testimony by Rosalía de Castro referring tothat year is added: “Hunger led hordes of savage men and women to come down toour cities, men who had never walked the streets of a town, women who knew nohorizons other than that seen in front of their huts, built in the loneliest isolation.”And it concludes with these words: “This is the background of the poetical world ofValle-Inclán: magic, violence, love, hope, everything can take place at this moment;miracles, faith, heresy…, everything. It is the year of hunger.”The references to the historical context described in this introduction arereiterated throughout the film, and they can be said to constitute the leitmotif in thatthey interfere decisively in the development of the story in its original form. The firstsequence after the credits places us directly in an atmosphere very different from thatof the archaic rural world of the original: a squad of soldiers parades into an urbansquare, the officer reads a proclamation declaring martial law to fight the Carlistuprising. They nail the edict on the door of the church and a large number of people,hovering under their umbrellas, groups around to read it. A man comes forward, tearsoff the proclamation and shouts “Long live Don Carlos!” inciting everyone to rebelagainst the liberal government of Isabel II. At this moment an archpriest appearsand calls for calm, although he recognizes that the liberals are subjecting the Churchto persecution. He then has a dialogue alone with Electus the blind man about the

The Literature of Valle-Inclán Transposed to the Screen:A Problematic Rewriting / José Antonio Pérez Bowiepreparations for the uprising and he hands him a bag of coins. Throughout the filmthere are many other sequences that include the civil conflict that is taking placein the country: a squad of Carlist soldiers stops and mistreats the pilgrim (after thelatter has met with Adega who thought he was an enemy agent). A group of Carlistsoldiers is having a good time in a brothel; when Adega’s mistress arrives with a sicksheep one of them tells her what spell she should use to cure the sheep and discoverthe cause of the epidemic. The Carlist soldiers participate in the ritual held to castthe spell (throwing a live sheep into the fire) and it is also they who harass and killthe pilgrim who appears while the ritual is being carried out, and they identify himas the author of the curse that provoked the epidemic. In another vein, the clergy hastaken advantage of the saintly fame that Adega has acquired among the peasants toincite them to rise up against the liberal government; they take her out in processionfor the pilgrimage of Santa Baya proclaiming her “the little saint.” A detachment ofthe liberal army watches over the pilgrimage and decides to intervene when Electusthe blind man begins to sing verses against the Queen and a masked performance isorganized to ridicule her. The attack comes during the nighttime procession when thearchpriest is haranguing the peasants from a balcony to get them to rise up against theliberal government. After that there is a significant sequence in which the heads of theliberal army demand that the bishop put an end to the cult to Adega that the archpriesthas been encouraging, suspend the archpriest from his duties, and hand him over tobe judged; then a heated argument takes place about whether he is to be judged by thecivil or religious authorities. However, at that moment news arrives that the Queen hasdecreed a general amnesty to celebrate that Pope Pius IX has granted her the GoldenRose for her efforts in defending the Catholic faith. 9 What in the book is a meetingof hunters at Brandeso’s country estate when Adega is in service to the countess, inthe film is turned into a meeting of Carlists who are preparing an attack against theliberals, since the Count of Brandeso is the ringleader of the uprising. 10 During thesupper, Adega recognizes one of the soldiers who killed the pilgrim. Overwhelmed byher curse, they are defeated in the confrontation with the liberal army and the counthimself is killed. The supernatural character of this battle is underscored by a ghostlysequence in which the Carlist band goes into a wood with charred trees shrouded infog; while the wind whistles and the figure of the pilgrim stands up in a threateningway, the soldiers advance overawed, disperse and fall to the ground even though theenemy army is nowhere to be found.As can be observed, considerable work in amplification has been carried out onthe material of the original text in an attempt to locate the story in a specific historicalcontext and connect the vicissitudes of the shepherdess with a time in Spain’s pastin which the Catholic Church, allied with the defenders of absolutism and opposed101

102 Forum for World Literature Studiesto the liberal government, had no qualms about fostering superstitions derivingfrom popular culture in order to further their objectives. As in Bardem’s film, thiscinematographic version of Flor de santidad differs considerably from the originalcontents. Nonetheless, the changes made here do not have such a strong ideological orManichean bias as in Bardem’s film: the critique of the absolutists and their alliancewith the ecclesiastical authorities to win the will of the people does not entail anidealization of the liberal bands whose representatives and objectives actually appearvery blurry. Furthermore, it must also be said that the director did not limit himselfto just amplifying the original plot but rather tried to connect it to Valle-Inclán’smodernist aesthetic premises, endowing the atmosphere with the poetic dimension thatValle transmits through his stylized view of rural Galicia but in which the counterpointto the misery and brutality of its inhabitants’ lives is not lacking. Nevertheless, inthis case as in that of other films to which I will refer further on, the naturalizingpower of film prevails over the stylization of reality that, cruel as it is, Valle-Inclánachieves with the musicality of his prose, the richness of his adjectivization, and hiswise choice of a vocabulary that sounds archaic and timeless at the same time. Thefilm does not manage to offer the idealized picture that the author achieves with hisverbal preciosity but rather a document about a miserable society that is impactful forits veracity and primitiveness. The disappearance of the narrator, “immersed in thesubjectivity of the protagonist” who “almost always expresses himself with devotedunctuousness (an aesthetic unctuousness that avails itself of religious language)”(Fernández Roca 100) leaves us with the crude reality of the document, althoughat certain times the film tries to replace the expressive discoveries of the authorwith other audiovisual procedures that are as excessive in their shocking nature andtheatricality as they are unfortunate: I refer specifically to the second to last sequencewhere the ritual exorcism of the possessed takes place by submerging them intothe sea during the pilgrimage of Santa Baya de Cristamilde. In contrast, the closingsequence with its sobriety does manage to transmit an emotion very much in tune withthe ambiguous ending of Valle-Inclán’s narrative: 11 Electus the blind man walks alongthe beach at dawn next to his guide, singing along with his vihuela (an early guitar) aballad about the story of Adega and her mysterious disappearance; at the same time,the old housekeeper of the Brandeso estate and Rosalva the maid anxiously run aboutthe beach calling out the name of the shepherdess.The critics’ response to the film, with the exception of Antonio Colón writing forthe ABC newspaper, was not very enthusiastic. Among their objections we can citethe “narrative insufficiency” of the director and his lack of “minimal knowledge ofcinematographic language” 12 (Álvaro Feito, Cinestudio, 119, April 1973); or his useof “grandiloquent” and “shocking” language, which gave rise to a “disproportionate

The Literature of Valle-Inclán Transposed to the Screen:A Problematic Rewriting / José Antonio Pérez Bowieadaptation, more sensationalist than effective” (Pedro Crespo, en Arriba, March 28,1973). Miguel Rubio in Nuevo Diario called the film a “hodgepodge of scenes” thatloses sight of the “possible poetical, religious, and spiritual contents;” furthermore,“the figure of the little shepherdess is overshadowed by the many interests that comeinto play: political, religious, social, atavistic …In the end we don’t even know whather place in the story is.” The yearbook Cine para leer (Cinema for Reading) alsoreferred to the theatrical component that weighs down the film as a consequence ofthe director’s experience in the theater, since he doesn’t seem to know that “in films,rather than make persons and things speak, you have to let them be so that they canexpress themselves from their very inner selves and their routine.” And it adds thefollowing considerations regarding the transposing of literature into film:103Let us admit that a literary basis does not have to be copied word for word in afilm adaptation. We are more in favor of a re-creation based on a first inspiration,a re-creation that is usually characteristic of the greatest film directors in thehistory of film. However, it is clear that this re-creation either has to improve theliterary work or at least be of the same quality based on the new inspiration inimages. (Cine para leer, 1973, pp. 127-131)Beatriz (Gonzalo Suárez, 1976)If in the adaptations of the two preceding narratives Valle-Inclán’s texts were usedto propose critical readings of the political and social situation in 19th century Spain(with a more ideologically biased message in Sonatas), in the film by Gonzalo Suárezthe changes made to the original texts responds to very different aims. We mustrecall that the permissiveness that abounded after the death of Franco and the liftingof censorship was used by Spanish filmmakers to increase explicit sexual content infilms, a practice that often went too far. The idea of this film moves along these linesbegun in the final years of the Franco dictatorship, 13 although dressing it up with acertain dignity. For this reason a literary source was resorted to, and the film can becategorized within a genre that was very popular in Hollywood but scarcely cultivatedat all in Spanish film: a gothic narrative which brings together sex and horror linked tosupernatural experiences.Suárez’ screenplay (in collaboration with playwright Santiago Moncada) fusestwo stories by Valle-Inclán included in his book Jardín umbrío: Beatriz and Mihermana Antonia. The first is the story of the young daughter of an aristocratic familywho seems to be the victim of diabolical possession. When the mother discovers thather daughter’s hysterical depression is the result of her having been raped by a friar

104 Forum for World Literature Studieswho attended the estate’s chapel, she commends the witch whom she had asked forhelp in exorcising her daughter to make the culprit disappear by means of a spell. Thefriar appears dead in the countryside the next day. In the second story, the first personnarrator looks back to his childhood to tell the story of his sister, courted by a studenttheir mother rejected. After making a pact with the devil, the student takes his revengeon the mother, who begins to suffer from a kind of obsessive dementia in which she istormented by a cat, while the daughter lives in a permanent sleepwalking state. Whenher mother dies, Antonia wakes up mysteriously on the roof of the house while thenarrator sees the student with a bandage covering his ears, as if he had received thepunishment that the old servant had inflicted upon the family cat.With a very free combination of elements from both tales, and the addition ofothers that contribute to the violence and eroticism, a plot was drawn up that closelyfits the mold of the chosen genre, in which a voice in off of the narrator, rememberinghis distressing childhood experiences, acts as the leitmotif: his initial encounter withbandits in the forest, the appearance of the friar-pilgrim that the bandits try to attack,and the friar’s putting them on the run after killing some of them; the servant of thehouse (the attractive Basilisa, quite different from the old lady of the same nameappearing in the second tale), who in order to save a dying baby transfers the spell toBeatriz, the narrator’s sister, by placing on her pillow an ear given to her by the “wisewoman”; the arrival of the friar at the house, where the mother (doña Carlota) offershim hospitality, and his attraction to Beatriz, whom he tries to seduce by resorting tothe “wise woman” while the young girl suffers from pain and nightmares because ofthe transfer of the spell; the terror felt by the narrator-child who is overwhelmed bythe unexplainable events that he sees all around him, and who finds solace in his talkswith Máximo Bretal (very different from the diabolical character of the same name inMi hermana Antonia), the young student who gives him Latin classes and who is alsoin charge of inventorying the library. There is no lack of more or less veiled sexualcontents (between the friar and Beatriz, between Basilisa and the boy) and somecompletely explicit sexual contents in the sequence of the bandits’ nocturnal attackon the mansion with the aim of gang-raping Basilisa. Unlike the two original stories,the film has a happy ending: the wise-woman’s cave is set on fire by the bandits,who were looking for the friar, the friar gets over his passion for Beatriz and movesaway from the house, Beatriz is cured of the spell, the mother survives and the youngnarrator sets out on a journey to Santiago to carry on with his studies.This happy end was to a certain extent a requirement of the film’s genre, at thesame time that the many elements that were not part of the original literary text help toattain the “gothic” atmosphere sought and the dynamic nature of the action (especiallythe three episodes with the bandits: the initial attack on the friar, the nighttime raid on

The Literature of Valle-Inclán Transposed to the Screen:A Problematic Rewriting / José Antonio Pérez Bowiethe mansion and the fire in the “wise woman’s” cave) counteracts the slow rhythm ofValle-Inclán’s narrative.But once again we see the problems involved in translating this writing to thescreen: all the suggestive capability that the author achieves in these tales whichengulf the reader by sowing the seeds of doubt as to a logical explanation for theevents presented is lost to some extent in the cinematographic images, which aremuch more explicit but incapable of attaining the nuances of verbal language whenhandled by a master like Valle-Inclán. It must be said as well that several of theadded characters are noticeable as just that (particularly the bandits), because they aredrawn more like caricatures. They would be more apt to use in representing some ofthe author’s esperpentos rather than a narrative sustained by psychological horror likethese tales.As I have pointed out in the cases of other adaptations, the problem is a lack offit between the literary language of the texts and the cinematographic language usedby the adapter. And here, the commercial interest in making a film able to satisfy thegreat majority of spectators has evidently predominated. That is what determined thechoice of a genre in which diverse elements could be brought together to attain thebroadest following possible: horror, the mix of erotic and religious elements, violence,the contrast between a stately and aristocratic world and the misery of the peasants,and of course a certain concern with aesthetic aspects to give the resulting product anattractive wrapping.As regards the critical reception of the film, the media were once againunanimous in underscoring the impossibility of adapting Valle-Inclán to the screenand in pointing out the enormous distance between the film and the original texts.However, when making an overall assessment the critics can be said to be dividedbetween the “apocalyptic” ones and the “integrated” ones: among the former,Hermes in ABC calls the film a “pastiche that only vaguely brings to mind the themesthat served as its inspiration” (ABC, December 12, 1976) and Pascual Cebolladacommented in Ya that Suárez “imposes himself on the author, whose work ends updistorted, fragmented, and incomplete” (Ya, December 10, 1976). Among the latter,Arroita-Jáuregui in Arriba, admitted that “as long as you don’t look for Ramón María(Valle-Inclán) and accept the conditions of a horror film, Beatriz is not a negligiblefilm” (Arriba, December 8, 1976), and Fernández Santos in El País was of the opinionthat “apart from allowing greater freedom, perhaps the fact that he didn’t choose oneof the author’s fundamental works turned out to be a good idea, (…) [and] the style, asregards dialogue, atmosphere and scenery, is on target” (El País, December 12, 1977).105

106 Forum for World Literature StudiesLuces de bohemia (Miguel Ángel Díez, 1985)This adaptation and that of Divinas palabras, to which I shall refer in the nextsection, were the first to bring the plays of Valle-Inclán to the screen. His dramaticworks, breaking with the naturalist models still prevailing in the Spanish theater ofhis day, brought to the stage a tremendously distorted view of reality, based aboveall on the creation of a personal language with extraordinary powers of invention,transformation, and deformation. That language drank from highly diverse sources,but was subjected to a systematic process of re-creation that turned it into a vehicleof an astonishing literary universe peopled by characters reduced to the conditionof masks. The result is a cruel satire about the human condition whose harshnessis exacerbated by the absolute nihilism that presides over it, by the absence of anyethical postulate to support it. This universe of Valle-Inclán seems to demand the stageas its only possible context; Anthony Zahareas has pointed out in this respect how“formally the central characteristic of the esperpento is theatricality, but in the broadsense of the word” given that “the development of the action on the stage entailsthe unmasking of appearances” (Zahareas, 1979:319). Thus, they are fables that canwork perfectly on the stage because of the familiarity with which the spectator admitshyperbole and implausibility and the absolute normality with which he or she can takein atmospheres and characters constructed from schematic suggestions. When seen onthe screen, however, they are difficult to assimilate because the naturalist tradition offilm has determined that the pact of suspension of disbelief with spectators is muchmore tenuous.The transposing of this powerful stage language to the screen would onlybe possible if the film director had the same creative capacity and identicalgroundbreaking intentions with which Valle-Inclán radically confronted the theatricalconventions of his time. As I noted at the beginning, a film adaptation of a greatliterary text can only be satisfactory if behind the camera there is another geniuscapable of translating that text into a new language with the same innovative andrevolutionary dimension as the original. This would mean forgetting about theliterality of the text but taking its capacity for subversion to make it work in a newmedium and a new context.This was not the case with Miguel Ángel Díez, who confined himself to offeringa strictly literal version of Valle-Inclán’s text, faithfully respecting the letter of thetext when taking to the big screen the nocturnal wanderings of the blind poet, MaxEstrella, and his guide, Don Latino, through the Madrid underworld. The characters’speech is transmitted word for word through excellent actors (Francisco Rabal andAgustín González in the two main roles, as well as the entire cast of secondary

The Literature of Valle-Inclán Transposed to the Screen:A Problematic Rewriting / José Antonio Pérez Bowieroles); the locations of the action were extended and filmed in exterior locationsthat faithfully reflect the Madrid of that time, and the indoor sets and costumingalso transmit the impression of truthfulness. Even the screenplay, the work of MarioCamus, attempts to break through the spatial and temporal limitations of a play forthe theatre and adapt the action more to film narrative. To do so, he structures the filmnarrative through a flashback by placing at the beginning of the film the lamentationsof the mother and daughter standing before the corpse of Max Estrella. It can be saidto be a “commendable” adaptation, but, as Lázaro Carreter noted in an article writtenwhen the film version of Divinas palabras debuted, “when compared with genius,‘commendable’ is not worth much.” The spectator leaves the movie theater knowingthe plot but ignorant of the revolutionary and aesthetic dimension of a play that,starting from Strindberg’s stationendrama model, not only makes a total break withall of the premises of naturalist drama but also goes beyond it by taking full advantageof the resources of expressionist aesthetics to give a devastating view of the socialmisery and intellectual coarseness of Spain in the 1920s, at the same time that itsscenography was the precursor of many expressive discoveries in film.Miguel Ángel Díez was undoubtedly not the ideal person to undertake thisadaptation since, besides several short subjects his career as a film director was limitedto two purely commercial and inconsequential films: Pecado mortal (1977) and Fresa,limón y menta (1978). For this reason his decision when facing Luces de bohemia wasto approach it with exclusively artisanal criteria, which provided this final product,correct from the academic point of view, but which, limited to reproducing the stageaction and dialogue, sidestepped all the emotion and suggestive capacity of a stagerepresentation. This procedure has worked in many adaptations of plays when theessential element is intrigue, but this is not the case with Luces de bohemia, wherethe intrigue is closely linked to the language.The film left many people indifferent and earned scarce attention from thecritics in the media; the few who addressed it were unanimous in their rejection. Inthis respect it would not be amiss to ask ourselves why this text by Valle-Inclán (andDivinas palabras, to which I refer below) and other literary texts were chosen toadapt to the screen during the 1980s, all filmed correctly but all equally characterizedby identical flatness and an incapability of transcending the literality of the text.This necessarily brings to mind the project of Pilar Miró, General Director ofCinematography during the government of Felipe González, which was consolidatedin the so-called “Miró Law” (December 1982), an attempt to raise Spanish filmproduction to a “dignified” level where it could compete internationally. This questfor “dignity” led filmmakers to seek out prestigious literary texts and produce a set ofsimilar films that adapted texts in a literal and routine way. The existence of certain107

108 Forum for World Literature Studiescommon traits in most of them—based on a work of literature, with formal correctnessand insignificant style– allows us to speak of a perfectly definable genre fostered bythe government policy mentioned above. This ended up by “imposing a refinement inthe writing” and producing a “standard linguistic model with no room for dissension,”concerned only with stylistic correction (Losilla 124). Special attention was paid toadapting contemporary authors already almost a part of the canon, most of whichappeared, significantly, in the literature textbooks of upper-secondary school. We maytherefore surmise that the choice of texts may also have been made in part with thispotential young audience in mind.The film, financed by Spain’s Ministry of Culture and Spanish Public Television,debuted in what could be called an almost clandestine way (at the end of August andin a very small number of theaters) and the scarce critical reviews 14 coincided in theirnegative assessment. Antonio Gutti commented in Cinco Días that “the substantive,unrepeatable dialogue of an uncomfortable, ferocious, and loquacious genius” madeit unadvisable to attempt to take the work to the screen; he adds that the director hadworked “with the literal criterion of an artisan who fails to obtain inspiration becausehe is crushed by theatrical rules which are not compatible with film in pursuit ofdignity” (Cinco Días, September 4, 1985). The comments by Mary Santa Eulalia inthe newspaper Ya were in the same vein, saying that Miguel Ángel Sánchez, limitedby his devotion to the author, had not used “as much daring and formal subversion asneeded to translate this excruciating story to the screen with a more cinematographiclanguage” (Ya, 24.8.85). To end, I quote the opinion given by Gil de Muro in theyearbook Cine para leer:The greatest failure of the version of Luces de bohemia by Miguel Ángel Díezlies precisely there: in having remained obsequiously respectful to a determinedconception of Valle-Inclán that the work does not ask for, that Valle-Inclándetested, and that, to boot, is most responsible for the production of a cold,distant film that seems afraid of the material being handled in it (…). The film (…)appears unbalanced and sketchy. Comfort with the narration and a sense of whatthe director wanted to do are perceived in the story only at the odd moment. Thisimbalance impedes us from entering the world of Valle-Inclán, which obviouslydemands something more than faithfulness to the texts. It demands inspiration,brazenness, and feeling. Things that are easy enough to say, difficult to definebut obviously scarcely attainable by someone who confessed that he had “beenconstantly measuring and comparing.” Valle-Inclán is an immeasurable andincomparable genius, and that is where the difference lies (Cine para leer, 1985,187-189.)

The Literature of Valle-Inclán Transposed to the Screen:A Problematic Rewriting / José Antonio Pérez Bowie109Divinas palabras (José Luis García Sánchez, 1987).This second adaptation of a Valle-Inclán play shows the same inadequacies that wesaw in Luces de bohemia, although its broader plot development lends itself better tothe big screen. The vicissitudes of Mari Gaila, the wife of the sacristan, her rivalrywith her sister-in-law, Marica del Reino, for the usufruct of exhibiting a hydrocephalicdwarf at fairs and pilgrimages, her seduction by the gypsy Miau, the peasants’discovery of her adultery, after which they drive her naked to the church door to stoneher in front of her husband, her husband’s intervention citing the “divine words” ofthe Gospel, and so on, provide a plot line with sufficient drama that is furthermorecomplemented by the presence of secondary actions that gradually shape the frame ofprimitivism, superstition, misery, avarice and cruelty that provides the background tothe story. But just as in the case of Luces de bohemia, that story is inseparable fromthe great discursive construction that vehicles it. And in his work as adaptor, GarcíaSánchez has limited himself to transposing the skeleton of the plot, thus deprivingthe story of certain elements essential for its understanding, such that we cannot evenspeak of a work of illustration.One advantage of the film is its careful and evocative photography of ruralGalicia, which faithfully takes the spectator to Valle-Inclán’s universe; but thisuniverse is just that, only a starting point for Valle to carry out his distortioningoperation. And the results of this operation are very difficult to take to the screen ifthe director is only trying to merely narrate the story. Putting this play into imagesnecessarily involves a process of “naturalization” which in contrast to the author’scruel and sarcastic vision presents a universe and certain characters that are muchmore “human:” with the loss of most of the original dialogue it is difficult to replacethe power of Valle-Inclán’s language with mere photography, just as it is problematicto place the cruel caricatures of characters such as Pedro Gailo, Marica del Reino,Compadre Miau or Miguelín el Padronés in human actors such as Francisco Rabal,Aurora Bautista, Imanol Arias or Juan Echanove, who moreover were very familiarto audiences at the time the film was made. Apart from the fact that the filmmakereliminated many of the intentionally degrading traits of the original text (Miguelín’shomosexuality, Miau’s cold cruelty, the sacristan’s puppet-like condition), the mediumof film tends to emphasize their humanity further by not admitting the outrageousand histrionic acting that these traits would require. Likewise, the verbal power of thestage directions, their sarcasm and sense of pain, end up enormously weakened in thefilm. The lens of the camera does not usually go beyond recording the reality in frontof it, and the richness of Valle-Inclán’s secondary text is lost as the stage directions

110 Forum for World Literature Studiesare used only to mark the development of the action.Thus the astounding universe of Valle-Inclán is reduced to a realistic andenormously flat dimension: the photography of the beautiful landscape filteredthrough the fog, the crowded pilgrimages and the somber interiors undoubtedlyrespond to the author’s view, but in no way do they transcend it or subject it to thedeforming violence they acquire in the text. Aware of this impossibility, GarcíaSánchez opted for a realistic reading, not so decidedly documentary as the adaptationof García Lorca’s Yerma carried out some years later by Pilar Távora, but definitelyone that underscored the “normality” of the world it presents, with sequences suchas the opening with Mari Gaila buying milk and responding with friendliness to thegreetings of her neighbors while she makes her way home., or the domestic scenes inthe family kitchen. Likewise, the many sequences of processions, pilgrimages, anddances, although necessary to situate the action, have a certain costumbrista 15 air.Following the logic imposed by the reading the director chose to make of theplay, he has to do without the eighth scene of the third day since its hallucinatorynature makes it impossible to fit in with the universe presented in the film: as manywill recall, it is about Mari-Gaila’s encounter with the Trasgo Cabrío while she isdragging the cart with the now dead dwarf, and how he transports her “in a longcavalcade through lunar rainbows” (“en una larga cabalgada por arcos de luna”) tothe threshold of her house.Jorge Urrutia has shown how in the dramatic works of Valle-Inclán’s secondstage his distribution of stage space “offers a means of access to a fictitious universethat does not correspond to that of the essence of classical theatrical communication”(Urrutia 18). This has led many scholars to emphasize the cinematographic natureof his plays. However, as Urrutia points out in relation to Divinas palabras, thiscinematographism does not lie in the themes, in the greater or lesser mobility of thecharacters or in the breadth of the stage set, but “in the actual internal structure ofthe plays, in the conception of the dramatic that emerges from the parceling out ofspace and time” (Urrutia 18). In the case of Divinas palabras, although the directordoes not limit himself to following the text word for word, he has demonstrated thathe did not understand it: the liberties taken and the dignity of the resulting film arebut the “product of an insufficient reading and understanding of the play.” Likewise,a need is created to complete certain aspects that, once the consistency is suppressed,the spectator may be missing (for example, to introduce the character of the priestand justify his absence). And the rhythm that the spacialization of the drama builds isreplaced with another plot-driven rhythm (for example, by giving more importance tothe woman’s outing to go begging and the preparation of her love affair).The “miracle” worked by the sacristan’s words in Latin and with which he avoids

The Literature of Valle-Inclán Transposed to the Screen:A Problematic Rewriting / José Antonio Pérez Bowiehis wife’s stoning turns out to be unfeasible in the naturalistic context chosen forthe film by García Sánchez; that is why in the film it is not the husband’s words thatmove the angry townspeople and make them go away but rather their contemplationof the naked Mari Gaila, who strips off her clothes in the door of the church. 16 In thisrespect, Asunción Gómez notes that it is not the linguistic otherness that moves theconsciences of the townspeople, disturbed by this act of collective voyeurism, butrather the otherness of gender, represented through the nakedness of the adulteress(Gómez 178-179). This same author comments on how the polysemous opulence thatValle-Inclán’s work offers with its moral ambiguity (attained through ironic winks tothe reader) and the superposition of apparently contradictory aesthetic (theatricality/ naturalism) and cultural (Christianity / Paganism) elements comes undone in thisnaturalist reading chosen by García Sánchez, where all types of theatrical stylizationare eliminated and the human dimensions of the tragedy are emphasized (Gómez180).The critics paid more attention to this film than to Luces de bohemia and eventhough they pointed out the distance existing between the universe of the originalplay and the naturalizing version that García Sánchez put on film, they recognized thevalidity of the enterprise in its attempt to bring the text closer to readers. For example,José Luis Guarner in La Vanguardia celebrated the fact that the adaptation had knownhow to “dodge the fastidious and sterile academicism of the typical ministerial literaryproductions of prestige today,” although he wouldn’t have “dared to attempt theextreme path and the deranged stylization typical of the author” (October 17, 1987).Octavi Martí in El País felt that the only way the play could work on the screenwas by naturalizing it, and that “this realist option may not be shared by all but islegitimate.” He ends by valuing the film “for its meaning as a cultural product and theinvestment effort made,” the latter with a view to the need for “filmmaking that needsto increase its capacity for export” (El País, September 22,1987).But the most critical and lucid review was the one written by Fernando LázaroCarreter in ABC. He considered that García Sánchez’ version confined itself tooffering “the bare bones of the plot” of which only remains “the showing of elementalpassions” (lust, avarice) although considerably mitigated by the sketchy way in whichthe characters are presented; therefore111The film tones down the frenzy, lightens the plot, slows down the rhythm, andmakes the drama opaque, rainy and shy. This could well be acceptable andeven noteworthy if it were original, if we didn’t have to watch it through theinterposed light of the play, which watches over it almost shot by shot.

112 Forum for World Literature StudiesHe goes on to argue that the director, instead of responding to the incitement of thestage directions in the text (often described as cinematographic) by attempting to doon the screen what is unfeasible on stage, “retreats from them” and “by eliminating somuch that it seems to leave the stage, the film becomes more ‘theatrical’ than the text.”And he concludes with a reflection about the illicitness of this kind of operation, “analarming example of our cultural pauperization, which permits, moreover applauds,and even exhibits at international festivals the savage reduction of its heritage.” Heargues that no country would tolerate such a devaluation of one of its great classics,“because, if anyone is heir to works still alive, the greater the right of the people (asco-owners of its value) to demand respect for their legacy” (“Divinas palabras,” ABC,October 25, 1987).Tirano Banderas (José Luis García Sánchez, 1994)In the case of the fourth adaptation of a narrative text by Valle-Inclán we againcome across the same difficulties noted for the previous films, but amplified by thecharacteristics of the novel, which is a polished exercise in verbal creation in whichthe author deploys his enormous idiomatic ability. In 1923 in a letter to Alfonso Reyeshe says that in this novel he had tried to incorporate “idioms from all the countriesin America… from the uncouth mode to the gaucho mode,” but in the pages ofTirano Banderas we also find, as Darío Villanueva has pointed out, “many lexicaland syntactic galleguismos, archaic words—his verbal frenzy not only projected intospace but also in time– as well as jargon” (Villanueva 1991, 361-362). If language is aprimordial factor in all of Valle-Inclán’s works, in this novel it becomes the protagoniston which is built the hallucinatory universe of the dictator and the life forms—victimsand spokesmen– that swarm around him. To this is added the multiplicity of languageregisters put into play, which help to make evident the complexity of that universe:from the political harangues to the conversations in taverns, or from bureaucraticprose to colloquial dialogues, all integrated to perfection in the narrator’s discourse,who, from his omniscience, maintains at all times a position that is distant and abovehis creatures. This complexity is furthermore underscored by the kaleidoscopicstructure of the novel, made up of short narrative units usually no longer than a page;although the apparent chaos that could derive from this fragmentary composition ismitigated through the studied symmetrical arrangement in a prologue and seven parts(constituting the same number of thematic units), each of which is divided into threebooks with the exception of the central part (or fourth part, focusing on the narrationof the revenge that Zacarías takes on the usurer Pereda for the death of his little son),which has seven books. 17Director José Luis García Sánchez, who also adapted Divinas palabras, tackled

The Literature of Valle-Inclán Transposed to the Screen:A Problematic Rewriting / José Antonio Pérez Bowiehis version of the novel with a considerably large budget and the collaboration ofRafael Azcona, a screenwriter of unquestionable prestige. But despite this budget,which meant that filming could be approached without money worries, and theintervention of Azcona, whose screenplays have been considered a faithful expressionof esperpento aesthetics, 18 once again the film was not up to the quality of the originalliterary text. It constituted a new example of Spanish film policy (under the auspicesof Socialist governments) aimed at raising the level of film production, whichconsisted of endowing filmmaking with a quality label by resorting to the adaptationof prestigious literary works. The result in this case is a film that is correctly made,with a reputable cast and a large deployment of money, in which the episodes takenfrom the original novel provide enough elements to construct an interesting plot thatwould capture the interest of (and even take in) the spectator. It includes the mostsignificant episodes from the original novel, subjecting them to a linear narrationthat gives an account of the last days of the dictator, from the preparations for theuprising to the final assault on the palace and his death. The careful spatial settingthat faithfully recreates the imaginary tropical republic (the scenes were filmed inCuba and Mexico) and the setting in time (the 1920s) contributed to giving it thelook of a quality product, which is what was intended. But adaptation to the norms offilm narration already meant an impoverishing reduction that was quite the oppositeof the revolution against traditional narrative molds that Valle-Inclán carried out inTirano Banderas, apart from the fact that the transfer of the story to an audiovisualmedium annulled almost all of the linguistic potential on which the story was based.Nonetheless, the language was preserved to a small extent with the use of actorsfrom many different nationalities and accents; this permitted a kind of Hispanic koinéachieved by the author in his prose through idioms and expressions from all overLatin America.As regards the acting, we must highlight the unquestionably excellent decisionto cast Gian Maria Volonté in the role of Santos Bandera; his expressionisticinterpretation (the critics pointed to Nosferatu as his model) allowed him to constructa suggestive image of the sinister character described by Valle as “a death’s headwith black eyeglasses and a clerical bow tie” (“una calavera con antiparras negrasy corbatín de clérigo.” His acting contrasts with that of the rest of the cast (with theexception of Javier Gurruchaga in the role of the homosexual Barón de Benicarlés,Spanish ambassador), who with their excessive naturalism do not attain the esperpentotone that permeates the characters in the book.Once again, we see the difficulties involved in transposing to the screen a textin which the quality of the story is inseparable from the discourse which upholds it,characterized by its high level of linguistic creativity. The solution, if the director113

114 Forum for World Literature Studieswill not run the risk of seeking the film equivalent of the literary discourse (or doesnot possess the means to do so) is to confine the film to the plane of the story andattempt only to illustrate the plot, which always results in an impoverishment of theoriginal work. This solution is used especially when the text being approached hassuch magnitude and prestige that it automatically induces a reverential attitude andannuls any intervention that would modify it. This can be seen clearly if we comparethe manipulation of the different texts serving as the basis of the first three filmsaddressed here with the paralysis felt by the directors of the last three films, whichwere based on works with an undeniable aura of being classics.The reaction of the critics after the film debuted at the Valladolid film festivalwas generally negative, emphasizing once again the gap between the original text andthe film and in some cases wondering if it was really worth the effort to try to takeValle-Inclán’s universe to the screen. Gil de Muro expressed himself on the matterwith these words in the yearbook Cine para leer:García Sánchez’s film, made with evident seriousness, poses the followingproblem right from the start: what can be done with literature as elusive andstunning as the works of Valle-Inclán? And the response may once again be togive in to the temptation to abduct it and restructure it, but it could also be thatof “leave well enough alone” what you know can never be reconverted. Do theinventing yourselves—if you can—of other stories not yet written. (Cine paraleer, 1994, p. 431)Other reviews stressed with more or less vehemence the failure of García Sánchez’sventure, justifying it in light of the difficulties involved in transposing Valle-Inclán’snovel to the screen. Alberto Bermejo wrote in El Mundo that given the two options,“translating the richness of the original text to the screen or using its plot,” thedirector had chosen the latter of the two, and as a consequece “the result does notsound like Valle-Inclán. He is there but you cannot see him; you listen for him butyou cannot hear him” (El Mundo, October 30, 1993). In ABC, Martínez Cascante (ina chronicle meaningfully entitled “Tirano banderas, when a word is worth a thousandimages”), after referring to the plot of the novel “developed in fragments that makeup a complete mosaic [and] and in a way similar to cinematographic expression”maintains that “giving cohesion and unity to these fragments on the screen is the mainproblem of the film, and in this case García Sánchez’s ‘glue’ hasn’t worked” (ABC,October 30, 1993). More condescending was Augusto M. Torres in El País with hiscomment that those responsible for the film “did not let themselves be influenced bythe literary brilliance of the original and its false cinematographic tone” but rather,

The Literature of Valle-Inclán Transposed to the Screen:A Problematic Rewriting / José Antonio Pérez Bowiethey “have taken the novel as a starting point for making a free version, but as muchin accordance as possible with the spirit of the original, and they have attained theirgoals effectively.” In short, he considers that it is a “good adaptation” which “can onlybe reproached for its excessively cold narrative style” (El País, January 17, 1994).Martes de Carnaval (José Luis García Sánchez, 2008)To end I would like to spend some time on this most recent adaptation, conceivedin the form of a television miniseries and once again with José Luis García Sánchezas the director of an adaptation of a work of Valle-Inclán. Unlike the previousadaptations, in this case the operation can be said to have been a success to the extentthat the resulting product comes very close to the aesthetic and ideological purposes ofValle-Inclán in these texts. They are from his last period in which the technique of theesperpento and its systematic puppet-like distortion of reality is placed at the serviceof a cruel satire of the military caste raised to power after the military coup of GeneralPrimo de Rivera (1923). It can be said that García Sánchez had finally found texts byValle-Inclán that synchronized fully with his own aesthetic and ideological premises;this allowed him to personally rewrite them by transferring to the screen a messageand expressive forms that, give or take some obvious differences, come quite close tothose of the author. Starting with his very first film, Las truchas (1978), this director’scareer was characterized by a satirical view of reality that puts into play distortingcomic mechanisms to make a cruel caricature of contemporary Spain. In many of hisfilms he collaborated with Rafael Azcona, a screenwriter who has also often comeclose to the aesthetics of the esperpento through the grotesque and relentless humorwith which he approaches his description of Spanish reality; we need only cite filmssuch as La corte de Faraón (1985), Pasodoble (1988), El vuelo de la Paloma (1989),Suspiros de España (y Portugal), (1995), Siempre hay un camino a la derecha (1997),La niña de tus ojos (1998) or La marcha verde (2001). Furthermore, the three playsthat make up Martes de Carnaval are the most polished expression of the aestheticsof the esperpento, and by taking caricature-like deformation to its maximum degree ofexpression, unlike Luces de Bohemia, they do not offer the slightest relief in the formof tenderness and therefore lack the tragic dimension that provided the latter with anundeniable degree of humanity. Finally, it must be taken into account that, since theadaptation was conceived for the medium of television, the director had much greaterfreedom to develop the three stories without excessive time limitations 19 to use themetafictional approach from which he conceived the narrative, and to put into play thestrategies that foster the necessary distancing.The three plays, although published separately on different dates (Los cuernos dedon Friolera in 1921; Las galas del difunto in 1926, with the title El terno del difunto;115

116 Forum for World Literature StudiesLa hija del capitán in 1927) and having different subject matter (all have in commonthat the main characters are from the military) were brought together into one volumeand received some finishing touches by the author to give them uniformity. 20 Inthis adaptation for Spanish public television, García Sánchez preserves part of theindividual character of each play by devoting an episode to each one, but at the sametime he is concerned with underscoring the thematic and stylistic unity that Valle-Inclán gave them in their joint and definitive edition of 1930. And it is in this attemptto make them uniform where García Sánchez shows his aesthetic and ideologicalaffinity with the author by evidently treating the stories and characters as caricatures,which helps him develop a critique of the contemporary history of Spain thattranscends the strict frame of the Primo de Rivera dictatorship. The success of thisoperation is based above all on having replaced the procedures through which Valleupheld his deforming view of reality (many of which would be difficult to take to thescreen) with certain metafictional strategies that enable the necessary distancing withrespect to the reality represented; these strategies are not limited to the insertion of asecond level of fiction (stories framed within a first level of fiction) but also introducethe critical commentaries of the characters who are watching them from the first level.I shall now describe them with the brevity imposed by the scarce space available, butI encourage readers who are interested to consult the recent and exhaustive analysisthat Professor Simone Trecca has made of this adaptation (Trecca 95-120).Each of the three episodes opens and closes with some brief documentaryreferences (photographs and films from the 1920s, reproduction of the author’sdeclarations) that contextualize the stories in their historical frame, add referencesto the theater of the time, and comment on Valle-Inclán’s poetics of the esperpento.After this level, which could be described as parafilmic, the level of the fictionalframe opens in which Don Manolito and Don Estrafalario, the two characters of theprologue and epilogue of Los cuernos de Don Friolera, appear as presenters andspectators of the framed fiction and situate it in a specific historical context.After the parafilmic documentary references, Las galas del difunto opens with asuperimposed text: “Madrid, 1928. Spain suffers under the dictatorship of Primo deRivera.” We are then taken to the Círculo de Bellas Artes (Fine Arts Theater), where avery small audience made up of Don Estrafalario, Don Manolito and a representativeof the State Office for Security are going to hear a reading of Las galas del difuntodone by a group of actors, since no theater has been allowed to put it on as a play.After some words by the director of the theater company, the reading begins whileon the screen the figures of the actors disappear and we see (in color, as opposed tothe black and white of the preceding images) Don Sócrates and his wife coming outof the pharmacy. This marks the beginning of the framed action, to which elements

The Literature of Valle-Inclán Transposed to the Screen:A Problematic Rewriting / José Antonio Pérez Bowiehave been added that were not in the original texts, but which help to achieve Valle’sdegraded view of reality with scenes relating to gluttony, lust, and avarice as themotors that unleash the behavior of the characters.Los cuernos de Don Friolera also opens after the parafilmic documentaryreferences with the stage direction “Madrid, 1928. Spain watches as Primo de Rivera’sdictatorship starts to wobble” and then introduces us to the frame story in whichDon Manolito and Don Estrafalario are getting ready to attend the representation ofthe esperpento of the same name at a carnival theater in Madrid. The transition fromthe framing action to the framed action is marked by changing from the initial sepiatones to the strong and saturated colors of the play, which takes place on a set thatis scarcely naturalistic. This set and the overplayed acting constantly accentuate itstheatricality, 21 which is furthermore reinforced by the incursions of the camera on thelevel of the framing fiction to show the reactions of the spectators and pick up thecomments of Don Manolito and Don Estrafalario. The return to the framing fictiontakes place when the police burst in and arrest the actors in the theater company.La hija del capitán also begins with brief superimposed stage directions thatrefer to the spatial and temporal context, which in this case is: “Madrid, 1930. Spainbreathes in the winds of change.” The framed action, in this case filmed in scratchyblack and white like an old film, presents the two characters attending a party at thebeginning of the filming of a movie based on the esperpento of the same name. Thequestions that Don Manolito asks the actor playing the general to ascertain whatrelation his character has to Primo de Rivera, and those the journalists ask the actorplaying the Captain inquiring whether the incestuous relationship that this characterhad with his daughter will be eliminated from the film provide information about theactual facts that served as inspiration for the esperpento. In a subsequent sequence,Don Manolito and Don Estrafalario attend the debut of the film as spectators. Thebeginning of the film is marked by the transition from black and white to color, thetransition from the framing fiction to the framed fiction. The latter ends with thearrival in the movie theater of the news that the Republic has just been proclaimed.Don Manolito’s first comment upon learning the news (“Let’s see how long it lasts!”)is confirmed by the extradiagetic documentary voice that informs of a period ofturbulence that will open with the new regime and will lead to a civil war and a muchlonger and crueler dictatorship than that of Primo de Rivera.The interaction among these different fictional levels and the hybrid set upbetween them and the documentary format are meant, according to Simone Trecca, “tobroaden, condense or multiply the aspect of metatheatricality and metadiscursivenessof Valle-Inclán’s trilogy” by playing with the resources of the medium of television(Trecca 117). That is why this adaptation can be considered the closest to the author’s117

118 Forum for World Literature Studiesown intentions. The richness and creativity of his language are very difficult totransfer to the screen, as our analysis of the previous adaptations shows; however, inthis case film and television media are used to advantage to reproduce the distancingmechanisms of the author and the degrading view that, through them, he offered ofthe situation of Spain in his time in particular and of the human condition in general.Nonetheless, the audiovisual re-creation of the three works that comprise the framedfiction in each of the three television episodes still suffers from the naturalism inherentto film treatment of theatrical works; it can therefore be said that the degrading viewof reality that the miniseries achieved through relentlessly sarcastic language and thesystematic dehumanization of the characters is still a far cry from that presented in theoriginal texts.Notes1. This work forms part of research project FFI2011-26511 financed by the Spanish State Office forResearch of the Ministry of the Economy and Competitiveness.2. In these pages, to explain the vicissitudes of the transformation that a literary text may go throughin its adaptation to the screen, she resorts to the example of the oral tradition of transmitting stories;a traditional story “works as a starting point to create universal types, situations, and teachings, hasan oral tradition, has been adapted to different eras, readers have taken it over and furthermore ithas itself been the object of audiovisual interpretation and changes, according to the different times,audiences, and ideologies” (Manzano Espinosa 17).3. Don Carlos lived in this city in Navarre and held his court there. He was the candidate for thethrone of Spain supported by the absolutists who refused to recognize the legitimacy of Queen IsabelII, who was supported by the liberals.4. When the film debuted, Bardem justified these manipulative operations by virtue of a filmdirector’s freedom to propose a personal reading of literary texts, but he also alleged in his defensethe ideological evolution that the author of the Sonatas went through to affirm that the film wascompletely in tune with the critical stance Valle-Inclán developed in relation to Spanish society inthe second stage of his literary career and that he would even approve of the film: “What I wantedto do was change the sign of this anti-hero, this maximum prototype of the egotist that is the ‘ugly,Catholic and sentimental Marquis of Bradomín.’ I wanted to transform him into a human being whoconfronts other human beings, make him confront his situation, let his conscience go into crisis”(Interview Film Ideal, nº. 36, Oct. 1957).5. An example of this negative response was the article published by François Truffaut in Cahiers duCinéma with the title “Mort d´un Bardem.”6. Interview in Film Ideal, no. 36, Oct. 1959.7. A broader analysis of this film and its critical reception can be found in Pérez Bowie-González

The Literature of Valle-Inclán Transposed to the Screen:A Problematic Rewriting / José Antonio Pérez BowieGarcía 329-352.)8. Recall that Valle-Inclán subtitles this work as “An Age-old Story ,” conferring on it a timelessdimension.9. This episode of Vatican honors being bestowed is recreated by Valle-Inclán ironically in book II ofLa corte de los milagros (with the title “La Rosa de Oro”) where he narrates the intrigues that tookplace to convince the Pope, who was not very happy with Queen Isabel’s support of the liberals.However, the honor was bestowed in 1868, 15 years after the date on which the action takes place inthe film.10. Bardem, in the political reading he proposes of Sonata de otoño, also turns this character, whosewife Concha is Bradomín’s lover, into the person who orders the persecution of the survivors of theliberal army (who are fighting as guerillas is the Galician forests) decreed by Ferdinand VII.11. Critics have pointed to ambiguity as one of the defining characteristics of this story. FernándezRoca points out in this respect how the calculated distance that the narrator maintains does not allowus to guess at his own position regarding the story being told (true holiness or miracle farce?) andreaders find themselves involved in a systematic ambivalence: “the ambivalence of the story itself(flower of holiness or source of scandal?), underscored in the discourse (charged with sensualityand mysticism), of the spatial setting (somewhere between toponymic specificity and an idealizingvagueness), of the time (…), of the protagonists (demon-possessed saint and wolf-angel), and finally,of the author (love-hate relationship with Galicia, fascination with mystery and repudiation of fraudand tricks). (Fernández Roca 2011, 100-101).12. This film marked the cinematographic debut of director Adolfo Marsillach, already well-knownas a prestigious theater director.13. An undeniable antecedent is Vera, un cuento cruel (Josefina Molina, 1972), based on the storyof the same name by Villiers de L’Isle Adam).14. For example, Diario 16 did not address it until two years later, when it was programmed onSpanish television (Diario 16, September 4, 1987).15. A style providing quaint descriptions of local manners and customs.16. Recall that in the written play the townspeople bring her in the cart already naked.17. A detailed description of the structural symmetry of this novel can be found in Bĕlic1968.18. Santos Zunzunegui has underscored this parallelism of Azcona’s screenplays with the deformingaesthetics of Valle-Inclán’s esperpentos: “deep down, we can affirm that the creative proposal ofAzcona comes from his twisting of the world of costumbrista populism (that universe we havecalled ‘non-symbolist’) in order to displace it towards a satirical realism” (Zunzunegui 163).19. The television miniseries was presented in three episodes of similar duration: 1 hour and 18minutes.20. In his introduction to the Clásicos Castellanos edition, Ricardo Senabre points out thesenoteworthy differences and the operations carried out by Valle to make them more uniform whengrouping them under the common title Martes de Carnaval. Although all three involve the military,119

120 Forum for World Literature Studiestheir subject matter, stage treatment, and themes had notable differences in their first editions. Themaximum level of deformation occurs in Los cuernos de Don Friolera, which was conceived by theauthor as a farce for puppet theater; for its part, El terno del difunto was first published as a novelin dialogue and the main character’s military connection (an ex-combatant in the war of Cuba) isirrelevant. The most authentically anti-militaristic one is La hija del capitán, conceived as a satire onthe Primo de Rivera dictatorship: the main character, who is a general and the lover of the daughterof a subordinate, is obliged to carry out a coup d’état in order to avoid a scandal from the affair. Fordetailed information of the gestation and transformation of the three texts, see Senabre 7-28.21. Simone Trecca comments on how the film turns out to be consistent with Valle-Inclán’saesthetics, highlighting the anti-naturalness of the amorous dialogues among the trio formed byFriolera, Loreta and Pachequín (a clear parody of the plays of Echegaray) by means of the framesand the montage effects (Trecca 109-110).Works CitedBazin, André. ¿Qué es el cine? Madrid: Rialp, 2000 [1958]Bělic, Oldrich. La estructura narrativa de “Tirano Banderas”. Madrid: Editora Nacional, 1968.Cerón Gómez, Juan Francisco. El cine de Juan Antonio Bardem. Murcia: Universidad y PrimaveraCinematográfica de Lorca, 1998.Eikenbaum, Boris “Literatura y cine” en F. Albèra (ed.), Los formalistas rusos y el cine. Barcelona:Paidós,1999 [1926] pp.197-202.Fernández Roca, José Ángel. “Flor de santidad como historia de historias”. Garoza 11 (2011), pp.87-103.Gimferrer, Pere. Cine y literatura. Barcelona: Planeta, 1985.Manzano Espinosa, Cristina. La adaptación como metamorfosis. Transferencias entre el cine y laliteratura. Madrid: Fragua, 2008.Gómez, Mª Asunción. Del escenario a la pantalla. La adaptación cinematográfica del teatroespañol. Chapel Hill: University of North Carolina, 2000.Pérez Bowie, José A. “Las servidumbres naturalistas del cine (sobre algunas adaptacionescinematográficas recientes de textos teatrales ‘problemáticos’)”, in W. Floeck and Mª F. Vilches(eds.), Teatro y sociedad en la España actual. Madrid and Frankfurt am Main: Iberoamericanaand Vervuert, 2004, pp. 283-302---. and González García, Fernando. El mercado vigilado. La adaptación en el cine español de los50. Murcia: Filmoteca Regional and Ediciones Tres Fronteras, 2010.Senabre, Ricardo. Introduction to his edition of crítica de R. del Valle-Inclán, Martes de Carnaval.Esperpentos, Madrid, Espasa-Calpe, colección Clásicos Castellanos, 1990.Trecca, Simone (2010). “Valle-Inclán en la televisión: Martes de Carnaval adaptado para TVE(2008)”. Signa, nº 19 (2010), 95-120.

The Literature of Valle-Inclán Transposed to the Screen:A Problematic Rewriting / José Antonio Pérez BowieUrrutia, Jorge. “Sobre el carácter cinematográfico del teatro de Valle-Inclán (A propósito de Divinaspalabras)”. Ínsula, nº 491, octubre (1987), 18.Villanueva, Darío. “Valle-Inclán y James Joyce” in El polen de ideas. Barcelona: PPU, 1991, pp.340-364.Zahareas, Anthony. “The grotesque and the esperpento”, in F. Rico, ed. Historia y Crítica de laliteratura española, vol. VI. Madrid: Crítica, 1979, pp. 315-319.Zunzunegui, Santos. Los felices sesenta. Aventuras y desventuras del cine español (1959-1971).121Barcelona: Paidós, 2005.责 任 编 辑 : 郑 红 霞The 2nd Convention of Chinese/American Association for Poetry and Poetics &International Symposium on Literatures in English (June 8-9, 2013)In order to further promote literary scholarship and international academicexchange, the University of Pennsylvania-based Chinese/American Association forPoetry and Poetics (CAAP) will collaborate with the School of Foreign Languagesand School of Humanities of Central China Normal University, Foreign LiteratureStudies, and Forum for World Literature Studies in hosting “The 2nd CAAPConvention and International Symposium on Literatures in English” (June 15-16,2013) in Wuhan, China. Scholars and writers all over the world are welcome.Topics of the conference are: 1. Modern and Contemporary Literary Movementsand Ethnic Literature; 2. Ethical Criticism of Modern and Contemporary Literature;3. Ethnic Perspectives on Modern and Contemporary Literature; 4. EthnicLiterature: Theoretical Reflections; 5. Avant-garde Poetic Practice and Theory in theContemporary Times; 6. Art and Politics in Ethnic Poetry; 7. Translation, Diffusionand Teaching of Modern and Contemporary Literature.A completed Registration Form and a paper abstract are expected to be submittedby May 31, 2013 to the conference organizing committee at caapconvention@gmail.com. The official invitation will be sent by mail upon the reception of the abovementioneddocuments.

Damaged in Transit? Valle-Inclán’s TiranoBanderas between Two World-LiteraturesCésar DomínguezFaculty of Philology, University of Santiago de Compostela, Spain & StockholmCollegium of World Literary History, Stockholm, SwedenNorth Campus-Burgo das Nacións, Santiago de Compostela, Galicia, 15782, SpainEmail cesar.dominguez@usc.esAbstract In current debates on world literature the low degree of attention paid to theissue of translation is in sharp contrast to the advocation of its centrality by scholarsin translation studies. David Damrosch is one of the few scholars who has resortedto translation for one of his definitions of world literature. The aim of this paper is totest his definition of world literature as “writing that gains in translation.” Whereas itis clear that one of the ways in which works circulate is interlingually, one should notoverlook the fact that the power of languages is unevenly distributed. For a work toreach the wider world, two conditions need to concur: a) a large number of speakersand b) a widespread distribution of the language community. In the Western world,two languages meet these conditions as a result of imperial expansionism—Spanishand English. Both of them are the media for two world-literatures. In this landscape,I will approach a very specific case study, the 1929 English translation of Ramón delValle-Inclán’s novel Tirano Banderas, originally published in Spanish in 1926. Onelesson that this case study provides to world literature from a translation perspective isthat going global is not simply a matter of interlingual switch.Key words circulation; dictator novel; Ramón del Valle-Inclán; translation; worldlanguage;world-literature; world literatureIn memory of don Benito Varela JácomeIn current debates on world literature the low degree of attention paid to the issueof translation is in sharp contrast to the advocation of its centrality by scholars intranslation studies. This centrality may be summarized with Lawrence Venuti’s words:“World literature cannot be conceptualized apart from translation” (180). In Franco

Damaged in Transit? Valle-Inclán’s Tirano Banderasbetween Two World-Literatures / César DomínguezMoretti’s evolutionary model of worldwide genre diffusionism, translation is onlymentioned in relation to specific rewriting patterns of Western novels during latenineteenthcentury Japan, as if translation were a non-functional item of the wholeworld literary system (63n24). Interestingly, neither does Moretti mention translationwith regards to the problem posed by scholars’ “canonical fractions”—i.e. the smallnumber of works one single scholar might be able to study in their original languages.This could be due to, on the one hand, the traditional skepticism about working withtranslations in comparative literature, and on the other, a result of the main tenet ofhis approach to world literature: “[W]orld literature is not an object, it’s a problem,and a problem that asks for a new critical method” (55). In Pascale Casanova’s modelof world republic, translation does play a more important role, although restrictedto “minor” literatures as a way of acquiring an “international existence” (256),which implies both thinking of translation as one-way process (“major” literaturesas the target of “minor” literatures) and neglecting what Dionýz Ďurišin has called“interliterary communities,” wherein the multifarious nature of translations isconspicuous. Furthermore, David Damrosch has resorted to translation for one of hisdefinitions of world literature: “World literature is writing that gains in translation”(281). What the gains are is a matter for speculation, not to mention the fact thatsuch a conception seems to be merely an inversion of an outdated paradigm, namely,translation as a second-degree, subservient version of the “original text,” provided thatthe translated text succeeds this time in being “better” than the former.In his recent book on world literature, Theo D’haen has somehow changed thisvision of translation by pinpointing, on the one hand, the pedagogical dimensionof world literature in the US—wherein “translation is inevitable, even if perhapsregrettable” (118)—and on the other hand, the systemic and relational constitution ofworld literature, for “one and the same ‘world literature author’ may fulfill completelydifferent functions in different literary systems” (126). Yet neither argument entirelysupports Venuti’s above-mentioned statement, with which I agree, by preciselyapplying the perspective Damrosch advocates: “To understand the workings of worldliterature, we need more a phenomenology than an ontology of the work of art” (6).In fact, world literature represents a phenomenology of reading and it is thereforemuch closer to what I have elsewhere called “literary life,” whereas other categories,such as national literature, are ontologically reified. In systemic terms, a nationalliterature is a secondary code subsystem, which aims at exhaustively describing thefield of literary production in a specific language. An unmistakable sign of the failureof such an exhaustive system is that works in translation typically do not find theirplace in the description. An average reader does not read nationally, meaning s/hedoes not choose a work because it belongs to a certain national literature—whatever123

124 Forum for World Literature Studies“belong” might mean. The prerequisites for a reader to choose a work are twofold:a) a certain degree of knowledge of the language in which the work is written, andb) a thematic interest, for, as George Steiner (299) puts it, “[l]iterature is by essencethematic. It can only operate in an echo chamber of motifs.” In contrast to Damrosch’sview of world literature as a “mode of reading,” meaning a “detached engagementwith a world beyond our own” (297), which results in an ontologized phenomenology,it is my contention that world literature is the experience of the “common reader,” touse Virginia Woolf’s felicitous phrase. 1 To the “creation of wholes” listed by Woolf,I would dare to add “world literature,” for readings are the reader’s literary world. Agood example of both the relevance of thematics and the impossibility of a “detachedengagement” may be found in the Colombian community, who stole a copy of theIliad (in translation!) from the biblio-donkey for, in their words, Homer retells their(hi)story (Menéndez Salmon). As phenomenology, world literature scans a polygenetichorizon wherein relationships go beyond the borders of language, culture,space and time.A common reader reads literary works written in the language s/he feels morecomfortable with. Typically, such a language would be her/his native language, orsecond languages in certain circumstances, for instance, the "outer circle" in Braj B.Kachru's model. This is another clear example of the restrictive character of nationalliteratures, for a reader's native language may be used by several national literatures,not to mention the key issue of translation. According to the data provided by theIndex Translationum, the top ten writers in Spanish who have been most extensivelytranslated are Gabriel García Márquez, Isabel Allende, Mario Vargas Llosa,Cervantes, Jorge Luis Borges, José María Parramón Vilasaló, Federico García Lorca,Pablo Neruda, Julio Cortázar, and Carlos Fuentes. Linguistic and translation canonsare therefore rather different from national literary canons. And as far as translationcanons are concerned, one has to assume that the works by the foremost writer inSpanish (García Márquez) are enjoyed by many common readers in several languages.Discussing linguistic canons and translation canons simultaneously is notunwarranted, for both canons are intertwined. One of the ways in which workscirculate is interlingually; and the power of languages is unevenly distributed. For awork to reach the wider world, two conditions need to concur: a) a large number ofspeakers and b) a widespread distribution of the language community. In the Westernworld, two languages meet these conditions as a result of imperial expansionism:Spanish and English. That is why I use the concept “world-literature”—not “worldliterature”—in my title. Although semantically related to the French concept oflittérature-monde within discussions around Francophonie, my use of the conceptworld-literature is indeed indebted to French academia, but to a different genealogy,

Damaged in Transit? Valle-Inclán’s Tirano Banderasbetween Two World-Literatures / César Domíngueznamely, the School of the Annals and Fernand Braudel’s concept of world-economy(économie-monde). “The world economy is an expression applied to the wholeworld,” says Braudel, whereas “[a] world-economy […] only concerns a fragmentof the world, an economically autonomous section of the planet able to provide formost of its own needs, a section to which its internal links and exchanges give acertain organic unity” (21 & 22). To my knowledge, Alexander Beecroft is the scholarwho has best translated Braudel’s terminology into a typology of literary systems,although he rejects the term world-literature proper in favor of “global literature.” Formy part, I will stick to world-literature, for its economic overtones are useful whencontemplating translation issues.As the two most important global languages of the Western world, English andSpanish are the media for two world-literatures. In this landscape, I will approacha very specific case study, the 1929 English translation of Ramón del Valle-Inclán'snovel Tirano Banderas, originally published in Spanish in 1926. I have chosen thistext for three key reasons. Firstly, Valle-Inclán’s novel embodies at its best the idea ofa “world-language,” for Tirano Banderas is written in what the writer himself calledsermo hispanoamericano (i.e. a Latin American Spanish koiné) within the frameworkof Transatlantic flows. Secondly, Valle-Inclán’s novel has been read as a foundationaltext for a Latin American genre—the dictator novel—which is not unrelated to a stylewhich has gone global—magical realism. Thirdly, Tirano Banderas was published asa “single” book in 1926—precisely the year for which we have an experimental worldhistory, namely, Hans Ulrich Gumbrecht’s In 1926. Living at the Edge of Time. 3I Don’t Approve of the Translator That Was OfferedIn the presentation of a 2004 special issue devoted to Valle-Inclán, the editor (JuanAntonio Hormigón) introduces the Spanish translation of an article published byHelen Bullitt Lowry in The New York Times on January 1, 1922, in the followingterms: “It is a picturesque article plenty of completely absurd appreciations. All kindsof nonsense about Valle-Inclán—both usual and outrageous—are here presented asfacts” (Anon. [Hormigón] 54; my translation). 4 Though Hormigón may be absolutelyright from a historical and biographical perspective, he is missing an important point.The information provided by Lowry was read by many of the American commonreaders targeted by The New York Times and therefore deserves closer attention.Furthermore, the article was published a couple of weeks after Valle-Inclán’s visit toNew York and was instrumental in presenting an image of the writer to many readers.For Lowry, Valle-Inclán is one of the writers who "represent Spain's literaryrenaissance"—the Generation of 1898—and yet "he is not known to the Englishspeakingpublic—for the very good reason that his books have never been translated125

126 Forum for World Literature Studiesinto English—, and the English speaking peoples do not go in for languages." Incontrast to the above-mentioned view of Hormigón, I do not consider Lowry's dataat all irrelevant. She speaks of a readership who lives in a self-sufficient worldliterature—theEnglish one—inasmuch as books in foreign languages are not readunless they are translated. And as for translations into English of Valle-Inclán's works,Lowry is also right, despite the fact that she was not a literary journalist (she wascalled "the exponent of the cocktailored young lady of today.”), but a contributor toThe New York Times on topics as diverse as jazz, fashion and Houdini. At the time ofwriting her article, only one of Valle-Inclán’s works—the children’s play La cabezadel dragón—had been translated into English, which might very well have passedunnoticed to Lowry, for it was included in the 1918 issue of the literary magazine PoetLore (Valle-Inclán, Dragon).Established in 1889, Poet Lore found a growing audience interested in Europeanwriters. The translator of La cabeza was May Heywood Broun, who translatedtogether with Thomas Walsh Valle-Inclán’s Sonatas in 1924 for the publishing houseHarcourt, Brace & Company within the series “European Library,” and under thedirection of one of the co-founders of the firm, Joel Spingarn. Interestingly, Federicode Onís, in a letter dated November 20, 1919, informed Valle-Inclán about this newseries of the publishing house and how he himself had advised the inclusion of theSpanish writer (Cardona, “Texto 1” 145). Onís also informed Valle-Inclán about hisintention of translating La cabeza (therefore the fact that Lowry, like Onís, did notknow about the 1918 translation is not exceptional) and recommended he cede histranslation copyright to the firm. In his reply, dated March 18, 1920, Valle-Inclán(Cardona, “Texto 3”) conceded the translation permission to Harriet V. Wishnieff,Onís’s fiancée. During his stay in New York, Valle-Inclán sent another letter toOnís, revealing how excited he was about the prospect of an “ideal translation” ofthe Sonatas by Miss Wishnieff, whom he invited to stay in La Merced, the writer’scountry house in A Pobra do Caramiñal, so that she could be pervaded by thewords and the landscape; besides which Valle-Inclán’s wife might help her with thetranslation, for she spoke English (Cardona, “Texto 3”).Around two years later Onís informed Valle-Inclán in a letter dated June 14,1922, that Harcourt, Brace & Company refused a translation made by Wishnieffbecause they preferred to use their own translators. Despite Wishnieff's willingnessto make the translation, Onís suggested Valle-Inclán accept the firm's conditions,for the contract he was to be offered was as good as Jakob Wasserman's (Cardona,"Texto 5"). In a letter dated June 8, 1923, Onís insisted that Valle-Inclán accept thefirm's conditions, for, on the one hand, this entry into the English-speaking world viathe translation of the Sonatas may have for him similar results to those experienced

Damaged in Transit? Valle-Inclán’s Tirano Banderasbetween Two World-Literatures / César Domínguezby Miguel de Unamuno—a “translation package” after the 1912 translation of Delsentimiento trágico de la vida—and, on the other hand, Harcourt, Brace & Companyhad started to become dubious about Valle-Inclán’s success as compared to that ofVicente Blasco Ibáñez (Cardona, “Texto 8”).The apprehension of the firm about the benefits a translation of Valle-Inclánmay provide shows once again that Lowry's presentation of the Spanish writer to theAmerican audience was not on the wrong track. For Lowry, Blasco Ibáñez was theobvious Spanish writer to whom Valle-Inclán should be compared, albeit negatively.(The Valencian writer had also visited New York in 1921.) In contrast to BlascoIbáñez's "modern style," Valle-Inclán's was "mystic." Whereas the former "dressesand talks and thinks like a modern, one who naturally should have his books 'filmed',"the latter is a "Spaniard of the old order." And if Blasco Ibáñez had "such a practicalfaculty for collecting the international dollars," what about Valle-Inclán? It is naturalthat Harcourt, Brace & Company wondered whether they would succeed as E.P.Dutton & Company had succeeded with the 1919 translation by Charlotte BrewsterJordan of Blasco Ibáñez's Los cuatro jinetes del Apocalipsis. One should not forgetthat the suggestion to translate Valle-Inclán’s Sonatas was not due to a “commonreader,” but due to Onís, a professor of Spanish literature at Columbia University.Before seeing whether Onís's suggestion was profitable for Harcourt, Brace &Company, it may prove useful to survey some data related to translations of Valle-Inclán's works during the period 1918-1935. 1918 is the year of Valle-Inclán's firsttranslation into English (The Dragon’s Head) and in 1935 the English translationof Tirano Banderas was reprinted. For the target-languages and number of workstranslated, I draw on the data provided by Robert Lima, Robert S. Rudder, JuanAntonio Hormigón, and Javier Serrano Alonso and Amparo de Juan Bolufer.127Target Language Number of WorksTranslated 1918-1935English 9French 9Romanian 3Galician 3Portuguese 2Russian 2Italian 2Dutch 1Lithuanian 1Czech 1Hungarian 1Polish 1Swedish 1

128 Forum for World Literature StudiesOne may consider that these figures are in direct contradiction to my statement in theintroduction regarding the two major world-languages in the Western world duringthe 1920s, for the number of translations into French and English are identical. ButFrench, though distributed in several countries, did not have a number of speakerscomparable to English and Spanish, or even Portuguese. Why, then, is the numberof translations into French and English identical? The reason is that French was alanguage with high cultural capital, a "cultural language" in the sense that it played akey intermediary role (both in the number of translations and translation models) fortranslation flows between Eastern and Western Europe and Northern and SouthernEurope, including the Transatlantic rim. What needs to be stressed in my opinion, isthe relevance of English as target-language. Consequently, it is only natural that Valle-Inclán was grateful to Onís, to whom he gave formal authorization for his publicationsand translations in the US, a market which at that time was interested in Spanishliterature thanks to Blasco Ibáñez's success.According to Lowry, the reason that Valle-Inclán's works had not been translatedinto English lay in the writer himself.Twice has Don Ramón been approached by publishers—but true to the traditionthat is rather good form for a Spanish intellectual to be rather poverty-stricken,Don Ramón replied that he didn't approve of the translator that was offered.Though I have not been able to trace any offer by an American publisher prior toOnís’s intervention, Lowry may very well be right if one takes into consideration thatfive years later, in 1927, Valle-Inclán wrote to Heath and Company (Cardona, “Texto10”) to ask them not to publish a translation of La cabeza del dragón. One may thinkthat this is due to the fact that Valle-Inclán had granted all his rights to Onís in 1921.However, Onís himself informed Valle-Inclán in 1919 that he planned to translate forthe “best publishing house” in the school market—Heath and Company—La cabezadel dragón (Cardona, “Texto 2”). In any case, this play had already been translatedin 1918 by May Heywood Broun for Poet Lore, and research on how the lattertranslation was carried out and whether or not it was authorized—or even knownabout—by Valle-Inclán, is still pending.The Pleasant Memoirs of the Marquis de Bradomin: Four-Sonatas was publishedby Harcourt, Brace & Company in 1924, and one year later by Constable for theBritish market. In contrast to the case of Blasco Ibáñez, the English translation of theSonatas was neither a commercial success for the company, nor an opportunity for amassive translation. The only works by Valle-Inclán translated after the Sonatas werehis tale “A medianoche” (Valle-Inclán, “At Midnight”) and the first scene of Divinas

Damaged in Transit? Valle-Inclán’s Tirano Banderasbetween Two World-Literatures / César Domínguezpalabras. No further translations were made until the late 1950s and 1960s.A Difficult Reading for the Academically Trained ForeignerWhere should we place the translation of Tirano Banderas within this picture of Valle-Inclán’s entry into English world-literature? Except for Dru Dougherty’s recollectionof some reviews of this translation (Iconos), this is not an issue in which scholarshave shown much interest. Dougherty has gathered three reviews (New York HeraldTribune Books, Boston Evening Transcript, The New York Times Book Review)whose tone is rather similar to Lowry’s article. Ángel Flores—the reviewer of theNew York Herald Tribune Books—mentions the translation of the Sonatas by Broun(and Walsh), which represents Valle-Inclán’s “debut” in English world-literature. Butnone of the reviewers provide any information about the translator, Margarita Pavitt,whose translation of Tirano Banderas had been published in 1929 by Henry Holt andCompany.According to the data provided by Cardona, letters between Onís and Valle-Inclán date between June 24, 1918, and February 23, 1928. In the final letter, Onísinformed Valle-Inclán again about the translation of La cabeza del dragón, but nothingis said in relation to Tirano Banderas. One might conclude that after the Sonatas’commercial failure (at least in comparison to translations of Blasco Ibáñez), Harcourt,Brace & Company had decided not to publish further translations of Valle-Inclán.Henry Holt and Company was a rival firm in the market of translations from Spanish,especially in the case of texts targeted for learners of the language and scholars inHispanic culture. During the 1920s, some examples of these publications are ElijahClarence Hills’ Spanish Tales for Beginners, Lawrence A. Wilkins’ Second SpanishBook, E.C. Hills and S. Griswold Morley’s Modern Spanish Lyrics, to name but a few.Whether Onís had his say on the translation of Tirano, or it was a recommendation byanother university professor linked to the firm is not known. In 1928, Henry HerschelBrickell, literary critic and student of Spanish, became manager of the publishinghouse and translating Valle-Inclán could also have been his own initiative. (Brickellwas responsible for bringing Federico García Lorca’s genius to American attention.)Another possibility is that publishing a translation of Valle-Inclán was the translator’sinitiative.In contrast to other translators: May Heywood Broun (The Dragon’s Head,1918; Four-Sonatas, 1924), Harriet V. Wishnieff (“My Sister Antonia,” 1922),Princess Alexandre Gagarine (“The Captain’s Honor,” 1923), A. Irwin Shone (“AtMidnight,” 1929), Samuel Putnam (the first scene of Divine Words, 1931), and WarreB. Wells (“The Golden Rose,” 1932), Margarita Pavitt was neither a “professional”translator, nor a literary critic. Except for Tirano Banderas, no other translation by129

130 Forum for World Literature Studiesher is registered. As for her profession, nothing is known, although one scholar hasclaimed she was an anthropologist (Madrid). The only piece of evidence regardingher involvement with Spanish issues that I have been able to trace is two articlesPavitt published in the anarchist magazine Revista nueva, which was first issued onMarch 29, 1924 in Barcelona, five months after Miguel Primo de Rivera’s coup. Onemay conclude that Pavitt became interested in Tirano Banderas because the novel’scritique was in line with her arguments in her August 16, 1924 and July 25, 1925articles. Whether Pavitt first read the novel in the issues of El estudiante or in thebook-format is not known. Her translation in any case is based upon the 1927 secondedition.In 1928 Henry Holt and Company published a new English translation of Valle-Inclán—Tirano Banderas. It was advertised as an “[a]uthorized translation from theSpanish.” And yet no contact between the firm, the translator and the writer has beenregistered so far. When approaching the English version of Tirano Banderas, the factthat Pavitt was neither a professional translator, nor a literary critic should be kept inmind, inasmuch as American reviewers who read the novel in Spanish stressed thedifficulty of one if its key elements—the Latin American Spanish koiné. “In TiranoBanderas,” said Arthur L. Owen, “americanisms abound to an extent which makes thenovel difficult reading for the academically trained foreigner” (134). But what about acommon reader?A “Common Reader” as TranslatorShould we have a translation of Tirano Banderas by a professional translator andconnoisseur of Valle-Inclán’s writings, it would be most interesting to analyze howthe problem of the Latin American Spanish koiné were to be faced. Wishnieff—Valle-Inclán’s translator in pectore in the US—seemed to have been well aware of this issuewhen she underlined in her review of the Spanish original that the writer had made ofthis novel “a mosaic of the language […] of Spanish America” (139). The linguisticcode was as difficult for a Latin American reader as for a Peninsular reader, evenif academically trained. A few weeks after its publication in 1926, Pío Baroja, forinstance, commented that the novel should have included a lexicon (Dougherty, Guía65). The terms Wishnieff used to characterize the linguistic texture of the novel—synthesis, mosaic—are indeed very close to the way in which Valle-Inclán theorizedon the sermo hispanoamericano. “It is necessary,” argued Valle-Inclán in an articlepublished on June 30, 1925, “to create a Latin American sermo by incorporating,without limits and hesitations, American terms […] Latin America has very beautiful,expressive words. […] In a novel I am going to publish now—Tirano Banderas—I use more than one hundred americanisms” (qtd. in Dougherty, Un Valle-Inclán

157n192; my translation).Damaged in Transit? Valle-Inclán’s Tirano Banderasbetween Two World-Literatures / César DomínguezThe relevance of this pan-Hispanic code goes well beyond the limits of astylistic experiment per se, for at least three connected reasons. Firstly, this hybrid,linguistic commonality is a reflection on a political situation shared by many LatinAmerican republics, which Valle-Inclán merged into the imaginary Santa Fe de TierraFirme. Secondly, it implies a critique of the paternalist attitude of the collapsingempire towards its former colonies as embodied by the discourse of Hispanism,which Peninsular intellectuals had built as a mixture of solidarity and “family” ties.Thirdly, the novel may be read as a metaliterary discussion on literary norms, namely,the linguistic code of Spanish world-literature. The latter traditionally having beenequated with Peninsular Spanish, Valle-Inclán’s novel advocated a linguistic switchfrom Peninsular Spanish to a pan-Hispanic Spanish, wherein the larger number ofspeakers from Latin America had, on the one hand, the dominant share and on theother hand, a tool for adequately representing the reality of the former colonies.A reading of Tirano Banderas as a metaliterary code for Spanish world-literatureis in line with contemporary discussions. On April 15, 1927, Guillermo de Torrepublished in La Gaceta literaria an article titled “Madrid, meridiano intelectual deHispanoamérica” (Madrid—the intellectual meridian of Latin America), in whichhe argued against Paris as the literary capital city of Latin America and defendedthe links with Spain. The hostile reaction this article provoked in Latin America iswell known, as voiced by magazines such as Martín Fierro in Argentina. (Borges’sreply will resort to the Italian linguistic heritage as contained in Lunfardo.) Less wellknown is that on the Peninsular side of the Atlantic there was also a hostile reaction,as proven by the Madrilenian magazine Post-Guerra (see Santonja), whose directorsRafael Giménez Siles and José Antonio Balbontín had been in charge of El estudianteduring the period in which Tirano Banderas was published in installments. Couldcultural hybridization in Valle-Inclán’s Tirano Banderas be the literary equivalent ofMax Henríquez Ureña’s theoretical reflection in his 1930 El retorno de los galeones, akey text in the history of the Boom?Despite the linguistic difficulties of Tirano Banderas’s “sermohispanoamericano,” Pavitt only included three footnotes corresponding to three termsrendered in their Spanish form: gachupines (Valle-Inclán, The Tyrant 5), maestrante(27) and cepo (278). One may think that further footnotes were unnecessary, for thetranslator dealt with the “sermo hispanoamericano” by replacing it with an equivalentAnglophone sermo, a linguistic code for English world-literature. However, this isnot the case. In fact, of the three reviewers, two stressed the failure of the translationin this regard. For the anonymous contributor to The New York Times Book Review(December 22, 1929), “[i]t is symptomatic of the loss of power which so frequently131

132 Forum for World Literature Studiescharacterizes a translation that the subtitle of The Tyrant should be rendered A Novelof Warm Lands” (Anon. 152). And for an authorized literary critic, professor andtranslator (between Spanish and English) such as Ángel Flores, who could comparePavitt’s version to the original, the “philological exuberance, so exciting to thecontemporaries of James Joyce, fades (through no fault of the translator) in MissPavitt’s version” (150). Both the mention of Joyce (most probably his Ulysses) andthe contention that it was not the translator’s fault deserve further attention.In 1926As mentioned in the introduction, we have an experimental world history for 1926,of fifty-one entries divided into three sections, “Arrays,” “Codes” and “CodesCollapsed.” “The book’s main intention,” argues Gumbrecht, “is best captured in thephrase that was its original subtitle: ‘an essay on historical simultaneity’” (xiv). Thekey entry wherein Tirano Banderas is registered within this history of 1926 belongs toa collapsed code, namely, “Action = Impotence (Tragedy).”Tragedy generally involves conflicts between intrinsically stable normativesystems. In situations of generalized uncertainty, however, when all norms havedisappeared and when people cannot be held responsible for the consequences oftheir Actions, the one gesture that counts is to place Action, as a form that resistschaos, in opposition to the threat of disorder. (Gumbrecht 352)The melodramatic gesture of the dictator’s supreme sacrifice for the sake of order isbest encapsulated in Santos Banderas’s discourse when visited by the high rankingrepresentatives of the Spanish community at the beginning of the novel. Pavitt’stranslation provides a non-simultaneous simultaneity for the “uncommon” reader.—Me congratula ver cómo los hermanos de raza aquí radicados, afirmando sufe inquebrantable en los ideales de orden y progreso, responden a la tradiciónde la Madre Patria. Me congratula mucho este apoyo moral de la ColoniaHispana. Santos Banderas les garanta que el día más feliz de su vida será cuandopueda retirarse y sumirse en la oscuridad a labrar su predio, como Cincinato.Crean, amigos, que para un viejo son fardel muy pesado las obligaciones de laPresidencia. El gobernante, muchas veces precisa ahogar los sentimientos desu corazón, porque el cumplimiento de la ley es la garantía de los ciudadanostrabajadores y honrados. El gobernante, llegado al trance de firmar una sentenciade pena capital, puede tener lágrimas en los ojos, pero a su mano no le estápermitido temblar. Esta tragedia del gobernante, como les platicaba recién, es

Damaged in Transit? Valle-Inclán’s Tirano Banderasbetween Two World-Literatures / César Domínguezsuperior a las fuerzas de un viejo. (Valle-Inclán, Tirano 55-56; emphasis added)133—It is with satisfaction that I observe how my brothers of race established in thiscountry, reaffirming their unshakable faith in the ideals of order and progress,respond to the traditions of the Mother Country. This moral support of theSpanish Colony is a source of great satisfaction to me. Santos Banderas has noneof that thirst of power which his adversaries criticize in him. Santos Banderasassures you that it will be the happiest day of his life when he can retire frompublic life and sink into obscurity to work his strip of land, like Cincinnatus.Believe me, my friends, the duties of the Presidency are a very heavy burden foran old man. An executive frequently has to disregard the dictates of his heart,for in the enforcement of the law lies the safeguard of honest and industriouscitizens. Faced with the necessity of signing a death-warrant, an executivemay feel his eyes will tears, but his hand must not tremble. This tragedy of theexecutive is, as I have just been saying, too heavy a burden for an old man.(Valle-Inclán, The Tyrant 16-17; emphasis added)For an uncommon reader such as Gumbrecht “tragedia del gobernante” translatesas “politician’s tragedy” (356). His (ironical) rendering may very well be due to theinfluence of one of his simultaneous readings—Jules Romains’ Le Dictateur, in whichone finds “the establishment and the maintenance of the ideal vie unanime closelyassociated with the principles of strong leadership, even of dictatorship” (Norrish130). This is obviously in sharp contrast to Valle-Inclán’s aims for Tirano Banderas,a novel which mirrors the Latin American “republics” in Santa Fe de Tierra Firmeby refracting them into Primo de Rivera’s dictatorship and vice versa. In contrast toGumbrecht’s “politician’s tragedy,” for Pavitt “tragedia del gobernante” is “tragedyof the executive,” a phrasing which tellingly resonates with Primo de Rivera’sdissolution of the executive within the military Directory and Martin Decoud—JosephConrad’s problem figure in Nostromo: “I—I—executive member” (135).In a telegram dated March 30, 1923 and addressed to Don Roberto—as R.B.Cunninghame Graham was affectionately known, Conrad informed him about twoletters, one from Vicente Blasco Ibáñez and other from Ibáñez's publishing house.In fact, Blasco Ibáñez had first approached Cunninghame Graham with the plan ofpublishing a Spanish edition of Conrad's novels. In a letter dated March 10, 1923,Blasco Ibáñez presented himself to Conrad as "the Spanish novelist," some of whoseworks had been translated into English and "been well received, especially in theUnited States," such as The Four Horsemen of the Apocalypse and The Enemies of

134 Forum for World Literature StudiesWomen. Blasco Ibáñez’s project was translating Conrad’s works into Spanish andpublishing them within one of the series of his publishing house Prometeo—“Lanovela literaria” (The Literary Novel). “I am attempting,” said Blasco Ibáñez toConrad, “to make known to the Spanish public all the great contemporary novelists,and I write a twenty to thirty page preface to each volume, treating the writer’s lifeand work. […] I also oversee the translations to ensure their accuracy and the faithfulrendering of the writer’s ideas.”Translation of Conrad's novels into French was how Blasco Ibáñez had accessto them for "alas, I read English badly" (Stape & Knowles 205). And André Gidewas responsible for Conrad's entry into French world-literature once he took over theposition of director of Les Œuvres Complètes de Joseph Conrad, a Gallimard project(West). For Conrad, it was natural that, after French world-literature, Spanish worldliteraturewould be regarded as a milestone for his world career. “I am very glad toknow of your interest in my work,” replied Conrad to Blasco Ibáñez on March 21,1923. “I wish ardently to be presented to the Spanish public under your auspices.This is an unexpected honour. I assure you that I appreciate it deeply” (Davies &Moore 54). One has to conclude that J.B. Pinker—Conrad’s agent—did not reach anagreement with Blasco Ibáñez, for none of Conrad’s novels was included in the ninetytitles of “La novela literaria.”In 1926, the same year of Tirano Banderas, Nostromo was published inBarcelona by the firm Montaner y Simón under the translation of Juan Mateosde Diego. This is an important simultaneity (to be added to Gumbrecht’s list), forConrad’s novel also confronted the Spanish audience with an imaginary SouthAmerican republic—Costaguana—under a dictatorship. As with Valle-Inclán’s novel,Conrad’s was poorly received. And as Jacques Berthoud put it for Nostromo, the sameapplies to Tirano Banderas: both earned “notoriety as […] novel[s] that one cannotread unless one has read [them] before” (97). Both novels have an European narratorwho has to understand an “exotic reality,” and both novels have been included amongthe front-rank of modernist literature. In world literature, Valle-Inclán and Conradmet at the crossroads of translation between Spanish and English world-literaturesto depict a postcolonial society engaged with global capitalism. Both novels wereunconventional and remained unpopular with mass audiences. Tirano Banderasremained slightly more unpopular, for Pavitt’s translation was reprinted just once anda new translation was not needed until 2012, whereas Mateos de Diego’s translation ofNostromo was reprinted several times and three new translations have been publishedbetween 2003 and 2008.However, one lesson that translation studies provides to world literature is thatgoing global is not simply a matter of the number of reprints and the degree of fidelity

Damaged in Transit? Valle-Inclán’s Tirano Banderasbetween Two World-Literatures / César Domínguezof translators. Let us remember now Flores's above quoted words: the "philologicalexuberance" of Tirano Banderas “fades (through no fault of the translator) in MissPavitt’s version.” The entry of a work into a literary system by way of translation cannotbe understood as an exclusively linguistic switch, but as a multi-level inter-systemicswitch. When Tirano Banderas was translated into English in 1929 for the US market,the translation concurred with the way in which other Spanish writers were beingtranslated (especially, Blasco Ibáñez) and how Latin American novels were beingtranslated. In the 1920s and 1930s this was a market niche for commercial publishersand small presses (Levine 298), which provided their audience with a realist modeproper of the novela de la tierra (novel of the earth). The erasure of the “philologicalexuberance” by Pavitt placed Tirano Banderas in this genre, but Valle-Inclán’s novelwas still a much more complex work than Mariano Azuela’s Los de abajo, which wasalso translated in 1929 by Enrique Munguía (The Underdogs). Pavitt’s translationmodel was also the one Harriet V. Wishnieff/de Onís applied later to Latin Americannovels, for she normalized regionalisms and experimental language. No distinction,therefore, can be made between Pavitt and Wishnieff in this regard. As for Conrad’sentry into Spanish world-literature, in contrast to Valle-Inclán’s case, the translationof Nostromo was not sporadic and haphazard, but the result of a “translation packet”conceived as the equivalent of the Gallimard project (Coll-Vinent 218) by JoanEstelrich while he was in charge of Montaner y Simón.For both English and Spanish world-literatures, Tirano Banderas and Nostromoresulted in excessive models in the original and in translation. If, as Fredric Jamesonputs it, modernism originated in “an aestheticizing reaction against the sordid realitiesof a business civilization” (68), Tirano Banderas and Nostromo are modernistnovels avant la lettre. The reaction in these novels was, in Borges’s words, “writinga fantastic story,”—even if realistically—for “the world itself is fantastic andunfathomable and mysterious” (qtd. in Robles 17). This is of course a matrix for theBoom and the genre of the “dictator novel.” As for language, whereas the foremostwriter of Spanish world-literature—Gabriel García Márquez—said he prefers GregoryRabassa’s One Hundred Years of Solitude to his original, Borges developed analternative version of Valle-Inclán’s sermo latinoamericano by bringing English intoSpanish. But all this already goes well beyond the scope of this paper.135This essay forms part of the research project “Europe, in Comparison: European Union,Identity and the Idea of European Literature,” funded by the Spanish Government(FFI2010-16165),and the Jean Monnet Chair “The Culture of European Integration”(528689).

136 Forum for World Literature StudiesNotes1. “The common reader […] differs from the critic and the scholar. […] He reads for his ownpleasure rather than to impart knowledge or correct the opinion of others. Above all, he is guidedby an instinct to create for himself, out of whatever odds and ends he can come by, some kind ofwhole—a portrait of a man, a sketch of an age, a theory of the art of writing” (Woolf 1).2. In contrast to Steiner’s elitist view of the threads of thematics, I agree with Woolf in that thecommon reader may be “worse educated” (1) and yet no less engaged. The Colombian communitymost probably did not know that “Homer’s Odysseus comes after Joyce’s Ulysses” (Steiner 299) andnonetheless did know how to read the Iliad.3. The first edition of Tirano Banderas was printed on December 15, 1926, by Rivadeneyra andcopies were sold directly by Valle-Inclán (Dougherty, Guía 40). The second edition was printedon December 10, 1927. Before the book-format, the novel was published in installments in themagazine El estudiante (in both series, Salamanca and Madrid), whereas one section was publishedas an independent story—Zacarías el Cruzado o Agüero nigromante (Nº 225 of La novela de hoy,September 3, 1926). See Speratti Piñero.4. I arrive at the conclusion that the anonymous editor of the 2004 special issue of ADE is Hormigónfor some passages of the introduction are identical to what Hormigón says on Lowry’s article in hisbook (191).5. By “translation package” I refer to the market strategy of some publishing houses whereby,after the success of a specific work, an award or the death of the writer, the house translates her/his“complete works.”6. Between April 1934 and February 1935, the Mexican magazine in English Mexican Life publishedTirano Banderas in installments, more precisely, Pavitt’s translation, though the identity of thetranslator is not provided. Mexican Life was founded by Howard S. Phillips in 1924. This is aninteresting piece of information regarding an English afterlife of Tirano Banderas in Mexico, whereMalcolm Lowry arrived on November 2, 1936. His novel Under the Volcano presents some strikingsimilarities to Tirano Banderas, which I will analyze in a future paper.7. There are some inconsistencies in the information provided by these scholars. The most accuratedata are those provided by Serrano Alonso & Juan Bolufer and Serrano Alonso. In contrast toSerrano Alonso, whose data on translation cover Valle-Inclán’s lifetime, my data are restrictedto the period 1918-35. If one takes into consideration the period previous to 1918, the number oftranslations into French is higher than into English. It is my contention that this is due to the culturalcapital of the French language. In the number of translations I list, I count neither reprints (forinstance, the 1934-35 reprint of The Tyrant), nor translations of the Sonatas as independent works.8. Juan Bolufer (229) argues that Valle-Inclán’s visit to New York, after his travel to La Habana(Santos Zas, “Valle-Inclán y la prensa”) was related to his wish to explore the possibilities for hisworks be translated into English.

Damaged in Transit? Valle-Inclán’s Tirano Banderasbetween Two World-Literatures / César Domínguez9. Publishing British editions of the same US translations within one a year or two was commonpractice. When it comes to translations of Latin American novels, an issue I will tackle later, theBritish market was much more reluctant than the US market to engage in language experiments inEnglish, at least until the 1980s (Levine 297).10. As stated by Serrano Alonso, “we are very far from saying that we do know the corpusof translations during the writer’s lifetime,” for further research on journals and magazines isnecessary (15; my translation). To my knowledge, Serrano Alonso’s research is the most importantcontribution.11. I use the term “debut” as defined by Lundén, Ekelund, and Bolkéus Blom: “A ‘prose-fictiondebut’ is understood here as a book-length publication, that is, a short story collection or a novel,written for adults and included as such in one of the various publishing records” (303).12. “The question anybody who longs for a radical transformation of the society we live in shouldask is not the naive one whether it is possible to overthrow a regime based upon a hypotheticalviolence, but whether it is possible to save the people even against their will” (“Psicopatología”).13. According to Hormigón, there is one further translation, by Paul Patrick Rogers of Jardínumbrío (Henry Holt, 1928): “Jardín umbrío, edition and translation by Paul Patrick Rogers” (1006;my translation). However, this was an edition aimed at learners of Spanish, which did not include atranslation into English, but notes and vocabulary.14. “The language, which admits and searches for idioms and terms from all Latin America, greatlycontributes to a sense of indecisiveness” (Díez-Canedo 163; my translation).15. Santos Zas (“Valle-Inclán y Cuba”) has shown how Valle-Inclán formulated a previousexperiment on American linguistic syncretism in his 1897 tale “La Feria de Sancti Spiritus.” Thistale was not translated into English during the period which concerns us here.16. Interestingly, a recent defense of Paris as the “literary Greenwich” is due to Casanova in herdiscussion on world literature.17. “With his wordy discourse, excessive and assertive, he [Primo de Rivera] reminded me of manyimprovised generals I met in Mexico and some South American republics” (Blasco Ibáñez 30; mytranslation).18. Wishnieff translated for the firm Alfred A. Knopf many Latin American writers; for thetranslations into English published by this latter firm of Pío Baroja, see González Ariza.137Works CitedAnon. “A Revealing Novel of Latin America.” Dougherty, Iconos 152-53.Anon. [Juan Antonio Hormigón], ed. Presentation. Valle-Inclán, de Nueva York a la Ría.Specialissue of ADE Teatro: Revista trimestral de la Asociación de Directores de escena de España101 (2004): 54.Beecroft, Alexander. “World Literature without a Hyphen. Towards a Typology of Literary

138 Forum for World Literature StudiesSystems.” New Left Review 54 (2008): 87-100.Berthoud, Jacques. Joseph Conrad: The Major Phase. Cambridge: Cambridge UP, 1978.Blasco Ibáñez, Vicente. Alfonso XIII desenmascarado. Madrid: Aurora, 1931.Braudel, Fernand. The Perspective of the World. Trans. Siân Reynolds. Vol. 3 of Civilization &Capitalism 15 th -18 th Century. Berkeley: U of California P, 1992.Cardona, Rodolfo. “Correspondencia entre el Profesor don Federico de Onís-Harriet de Onís(Wishnieff) y don Ramón del Valle-Inclán-Josefina Blanco.” Anales de la literatura españolacontemporánea 32.3 (2007) / Anuario Valle-Inclán 7 (2007): 131-70.Casanova, Pascale. The World Republic of Letters. Trans. M.B. DeBevoise. Cambridge, MA:Cambridge UP, 2004.Coll-Vinent, Sílvia. “The French Connection. Mediated Translation into Catalan during the InterwarPeriod.” The Translator 4.2 (1998): 207-28.Conrad, Joseph. Nostromo. A Tale of the Seaboard. London: Penguin, 1974.D’haen, Theo. The Routledge Concise History of World Literature. London: Routledge, 2012.Damrosch, David. What Is World Literature? Princeton: Princeton UP, 2003.Davies, Laurence and Gene M. Moore, eds. The Collected Letters of Joseph Conrad. Vol. 8: 1923-24. Cambridge: Cambridge UP, 2008.Díez-Canedo, Enrique. “La producción literaria española en el segundo semestre de 1926.”Dougherty, Iconos 163-64.Domínguez, César. “Literary Emergence as a Case Study of Theory in Comparative Literature.”CLCWeb: Comparative Literature and Culture 8.2 (2006). http://docs.lib.purdue.edu/clcweb/vol8/iss2/1.Dougherty, Dru. Un Valle-Inclán olvidado: entrevistas y conferencias. Ed. Eugenio Suárez Galbán.Madrid: Fundamentos, 1983.—. Guía para caminantes en Santa Fe de Tierra Firme: estudio sistémico de “Tirano Banderas.”Valencia: Pre-Textos, 1999.—. Iconos de la tiranía: La recepción crítica de “Tirano Banderas” (1926-2000). Santiago deCompostela: Universidade de Santiago de Compostela, 2011.Ďurišin, Dionýz. Theory of Interliterary Process. Trans. J. Kocmanová. Bratislava: Veda.Flores, Á[ngel]. “Valle-Inclán.” Dougherty, Iconos 149-51.González Ariza, Fernando. “Pío Baroja y Alfred A. Knopf. Cuarenta años de relación editorial.”Anales de la literatura española contemporánea 37.1 (2012): 185-205.Gumbrecht, Hans Ulrich. In 1926. Living at the Edge of Time. Cambridge, MA: Harvard UniversityPress, 1997.Hormigón, Juan Antonio. Valle-Inclán: Biografía cronológica y Epistolario. Vol. 2. Madrid:Asociación de Directores de Escena de España, 2007.Jameson, Fredric. “The Ideology of the Text.” Situations of Theory. Vol. 1 of The Ideologies ofTheory. Essays 1971-1986. London: Routledge, 1988.

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易 卜 生 戏 剧 的 文 学 伦 理 学 批 评 导 言张 连 桥School of Chinese Language and Literature, Central China Normal UniversityNO.152 Luoyu Road, Wuhan, Hubei, P.R.China, 430079Email: lianqiaozhang@aliyun.com亨 利 克 · 约 翰 · 易 卜 生 (Henrik Johan Ibsen,1828-1906) 作 为 一 个 对 世 界 剧坛 产 生 深 远 影 响 的 人 物 , 其 作 品 的 丰 富 性 和 复 杂 性 一 直 是 研 究 者 们 津 津 乐 道 的原 因 。 百 十 年 来 易 卜 生 相 关 研 究 资 料 可 谓 瀚 若 星 晨 , 但 是 这 并 不 影 响 我 们 对 易卜 生 戏 剧 进 行 重 读 和 再 阐 释 , 比 如 《 浙 江 工 商 大 学 学 报 》2013 年 第 1 期 刊 发 了“ 文 学 伦 理 学 批 评 : 重 读 易 卜 生 ” 1 的 专 栏 论 文 , 以 及 《 世 界 文 学 研 究 论 坛 》 在2012 年 第 刊 发 了 “ 易 卜 生 戏 剧 的 文 学 伦 理 学 批 评 ” 2 专 栏 论 文 , 相 关 研 究 论 文采 用 文 学 伦 理 学 批 评 方 法 , 结 合 文 本 细 读 , 对 易 卜 生 戏 剧 的 再 阐 释 有 着 十 分 重要 的 意 义 。 因 为 “ 用 文 学 伦 理 学 批 评 的 方 法 研 究 易 卜 生 , 显 然 可 以 深 刻 揭 示 出易 卜 生 戏 剧 的 新 特 质 , 发 现 被 我 们 忽 视 了 的 价 值 存 在 , 这 就 是 不 同 的 伦 理 冲 突导 致 的 一 系 列 各 种 各 样 的 伦 理 问 题 …… 无 论 是 易 卜 生 的 社 会 问 题 剧 还 是 其 他 的戏 剧 , 无 不 以 提 出 伦 理 问 题 和 伦 理 思 考 为 特 征 。 无 论 剧 中 的 人 物 如 何 活 动 , 他们 都 无 法 超 越 伦 理 选 择 的 过 程 …… 易 卜 生 戏 剧 的 价 值 不 仅 在 于 充 分 揭 示 了 他 那个 时 代 不 同 社 会 的 人 所 经 历 的 伦 理 选 择 的 复 杂 性 , 而 且 也 揭 示 了 整 个 欧 洲 文 明是 怎 样 在 自 身 的 伦 理 选 择 过 程 中 形 成 的 ”( 聂 珍 钊 22)。文 学 伦 理 学 批 评 方 法 强 调 回 到 文 学 作 品 中 的 现 实 语 境 中 去 , 以 其 特 定 的 伦理 环 境 出 发 , 分 析 人 物 所 面 临 的 伦 理 问 题 为 要 旨 。 根 据 文 学 伦 理 学 批 评 , 文 学本 质 上 是 伦 理 的 艺 术 。 我 们 运 用 文 学 伦 理 学 批 评 过 程 中 , 所 涉 及 的 批 评 术 语 诸如 伦 理 环 境 、 伦 理 身 份 、 伦 理 两 难 、 伦 理 选 择 , 以 及 “ 斯 芬 克 斯 因 子 ”、 理 性意 志 、 自 由 意 志 、 人 性 因 子 、 兽 性 因 子 等3 , 都 是 从 具 体 文 学 作 品 的 分 析 出 发 ,根 据 具 体 的 人 物 形 象 所 涉 及 到 的 伦 理 命 题 来 探 讨 作 家 的 伦 理 旨 趣 。 因 此 , 我 们拒 绝 抽 象 地 理 解 文 学 伦 理 学 批 评 的 相 关 术 语 。 比 如 讨 论 “ 伦 理 选 择 ” 的 问 题 ,并 非 抽 象 地 谈 伦 理 选 择 , 而 是 基 于 人 物 特 定 的 身 份 和 立 场 , 以 及 该 人 物 所 面 临的 伦 理 难 题 时 所 表 现 出 的 善 恶 观 念 及 其 所 做 出 的 善 恶 行 为 , 这 一 过 程 才 是 该 人物 的 伦 理 选 择 的 过 程 。 同 时 , 我 们 也 拒 绝 贴 标 签 式 的 批 评 模 式 , 如 对 某 某 作 品的 文 学 伦 理 学 批 评 。 学 术 问 题 来 自 于 文 本 细 读 , 在 此 基 础 上 才 能 运 用 某 种 研 究方 法 进 一 步 进 行 挖 掘 和 阐 释 。 此 外 , 我 们 在 运 用 文 学 伦 理 学 批 评 方 法 过 程 中 ,需 要 厘 清 伦 理 、 道 德 与 价 值 的 关 系 : 伦 理 作 为 一 种 不 以 人 的 意 志 为 转 移 的 、 天然 的 关 系 , 既 是 固 定 的 、 也 是 发 展 的 , 不 同 时 期 有 着 不 同 的 伦 理 ; 伦 理 是 对 道

142 Forum for World Literature Studies德 的 概 括 和 总 结 , 是 对 道 德 的 抽 象 化 和 理 论 化 。 在 某 一 个 特 定 的 时 期 , 道 德 标准 的 变 化 是 以 这 个 时 期 的 伦 理 规 范 为 前 提 的 , 而 价 值 则 体 现 为 对 这 一 伦 理 规 范影 响 下 的 道 德 行 为 和 道 德 现 象 的 评 价 。 本 期 专 栏 “ 易 卜 生 戏 剧 的 文 学 伦 理 学 批 评 ”系 列 论 文 试 图 运 用 文 学 伦 理 学 批 评 对 易 卜 生 戏 剧 进 一 步 分 析 和 阐 释 , 共 选 择 了3 篇 论 文 , 重 点 探 讨 易 卜 生 的 三 部 作 品 : 分 别 是 :《 厄 斯 特 罗 特 的 英 格 夫 人 》(LadyInger of Ostrat, 1854)、《 皇 帝 与 加 利 利 人 》(Emperor and Galilean, 1873) 和 《 社会 支 柱 》(Pillars of Society, 1877)。郭 晶 晶 的 论 文 “ 论 《 英 格 夫 人 》 中 的 伦 理 困 境 与 伦 理 选 择 ” 抓 住 了 戏 剧 的主 人 公 “ 北 方 女 英 雄 ” 的 伦 理 身 份 , 分 析 在 民 族 责 任 和 母 子 亲 情 中 挣 扎 的 主 人公 因 为 错 误 的 选 择 而 造 成 民 族 和 个 人 悲 剧 , 由 此 探 讨 伦 理 身 份 与 伦 理 选 择 之 间的 复 杂 关 系 。 作 者 指 出 , 通 过 历 史 事 件 与 历 史 人 物 进 行 重 写 从 而 寄 托 了 作 者 深邃 的 伦 理 思 考 : 每 个 人 都 兼 具 多 重 伦 理 身 份 , 因 此 , 当 人 们 在 人 生 中 面 临 一 些重 要 的 选 择 时 , 基 于 不 同 伦 理 身 份 做 出 的 不 同 选 择 往 往 会 相 互 矛 盾 。 而 在 民 族危 难 的 关 键 时 刻 , 只 有 基 于 民 族 大 义 , 根 据 自 己 的 社 会 身 份 而 非 其 他 身 份 做 出的 选 择 才 是 最 正 确 的 选 择 , 也 只 有 将 民 族 大 义 至 于 个 人 恩 怨 和 个 人 得 失 之 上 ,才 是 对 个 人 利 益 的 最 好 保 护 , 这 让 我 们 对 《 英 格 夫 人 》 有 了 一 个 全 新 的 认 识 。柏 灵 的 论 文 “ 论 《 皇 帝 与 加 利 利 人 》 中 朱 利 安 的 背 叛 与 灭 亡 ”, 紧 扣 朱 利安 从 王 子 成 为 凯 撒 , 后 又 背 叛 君 士 坦 提 乌 斯 罗 马 成 为 罗 马 皇 帝 这 一 伦 理 主 线 ,分 析 朱 利 安 传 奇 的 一 生 。 作 者 指 出 , 朱 利 安 的 命 运 是 他 不 断 进 行 伦 理 选 择 的 结 果 ,他 的 每 一 次 伦 理 选 择 又 与 他 身 份 的 变 化 息 息 相 关 ; 易 卜 生 通 过 朱 利 安 命 运 , 表现 了 人 作 为 斯 芬 克 斯 因 子 的 伦 理 存 在 以 及 伦 理 选 择 在 个 人 命 运 发 展 中 的 重 要 性 ,这 为 我 们 重 新 理 解 《 皇 帝 与 加 利 利 人 》 提 供 了 新 的 视 角 。郭 雯 的 论 文 “《 社 会 支 柱 》: 一 部 讽 刺 与 救 赎 的 伦 理 剧 ” 分 析 资 产 阶 级 伪善 道 德 观 的 代 表 人 物 博 尼 克 的 伦 理 选 择 与 道 德 救 赎 。 作 者 指 出 : 个 人 欲 望 与 社会 良 心 、 精 神 自 由 与 经 济 独 立 、 放 纵 与 救 赎 、 现 实 需 要 与 追 求 真 理 的 冲 突 是 禁锢 人 们 精 神 自 由 的 枷 锁 ; 而 剧 中 博 尼 克 的 自 我 忏 悔 和 道 德 救 赎 , 不 仅 让 世 人 引以 为 戒 , 吸 取 道 德 教 训 , 也 体 现 了 易 卜 生 对 于 重 建 社 会 道 德 体 系 的 伦 理 要 求 和取 向 。 通 过 作 者 的 上 述 分 析 , 我 们 能 对 “ 社 会 问 题 剧 ” 之 一 的 《 社 会 支 柱 》 有一 个 崭 新 的 认 识 。三 位 研 究 者 紧 紧 抓 住 了 伦 理 选 择 这 一 核 心 问 题 , 连 同 伦 理 身 份 等 具 体 的 问题 , 结 合 了 文 本 细 读 , 挖 掘 出 作 品 中 的 伦 理 主 题 ; 同 时 , 三 位 研 究 者 没 有 空 泛地 讨 论 伦 理 身 份 与 伦 理 选 择 , 而 是 基 于 戏 剧 人 物 特 定 的 伦 理 关 系 , 分 析 戏 剧 人物 的 道 德 行 为 与 情 感 纠 葛 , 为 推 进 我 国 易 卜 生 戏 剧 研 究 提 供 新 的 思 考 。作 为 “ 现 代 戏 剧 之 父 ”, 易 卜 生 对 于 世 界 戏 剧 的 贡 献 , 已 经 被 广 泛 地 认 可 ;易 卜 生 对 他 之 后 的 一 代 又 一 代 戏 剧 家 的 影 响 也 是 不 争 的 事 实 。 无 论 是 美 国 的 尤金 • 奥 尼 尔 、 田 纳 西 • 威 廉 斯 , 亦 或 是 中 国 的 曹 禺 、 田 汉 等 剧 作 家 , 都 无 一 例外 地 推 崇 易 卜 生 戏 剧 并 从 中 吸 取 创 作 的 经 验 。 正 如 阿 瑟 • 米 勒 所 说 “ 我 不 认 为今 天 的 作 家 以 易 卜 生 的 创 作 方 法 为 自 己 的 模 式 , 但 是 易 卜 生 作 为 一 个 现 代 作 家

Introduction to A Perspective of Ethical Literary Criticism on Ibsen’s Plays / Zhang Lianqiao143的 杰 出 地 位 仍 然 被 不 断 强 化 ”(227)。 时 至 今 日 , 易 卜 生 戏 剧 依 旧 频 繁 地 被 世界 各 地 的 剧 场 搬 上 舞 台 , 可 以 这 么 说 , 易 卜 生 依 然 在 影 响 着 世 界 剧 坛 。“ 当 下 ,易 卜 生 戏 剧 与 布 莱 希 特 、 契 科 夫 、 莎 士 比 亚 、 希 腊 悲 剧 相 比 肩 其 名 , 成 为 世 界上 演 出 频 率 最 多 的 作 品 ”(Erika Fischer Lichte 1)。 因 此 , 运 用 文 学 伦 理 学 批评 方 法 进 一 步 研 究 易 卜 生 戏 剧 , 将 对 我 们 理 解 易 卜 生 戏 剧 的 独 特 魅 力 提 供 参 考 。注 解 【Notes】1.《 浙 江 工 商 大 学 学 报 》2013 年 第 1 期 刊 发 的 3 篇 易 卜 生 研 究 专 题 论 文 , 由 聂 珍 钊 教 授 主 持并 撰 写 主 持 人 语 “ 文 学 伦 理 学 批 评 : 重 读 易 卜 生 ”, 收 入 了 由 尚 必 武 撰 写 的 论 文 “ 寻 找 伦 理存 在 的 自 我 ——《 培 尔 · 金 特 》 中 的 理 性 意 志 与 伦 理 选 择 ”、 李 纲 和 张 晓 舒 撰 写 的 论 文 “ 伦理 身 份 与 人 的 责 任 —— 重 读 《 小 艾 友 夫 》” 和 张 连 桥 撰 写 的 论 文 “ 自 我 救 赎 与 伦 理 情 怀 ——《 布朗 德 》 中 的 道 德 困 境 与 伦 理 选 择 ”, 受 到 学 界 一 致 好 评 。2. 参 见 本 刊 2012 年 第 3 期 刊 发 的 3 篇 易 卜 生 专 题 论 文 , 分 别 是 由 朱 黎 航 撰 写 的 论 文 “ 身 份困 惑 与 伦 理 选 择 ——《 海 上 夫 人 》 的 主 人 公 艾 梨 达 分 析 ”、 由 林 宛 莹 撰 写 的 论 文 “ 人 生 的 建筑 师 —— 论 《 建 筑 师 》 中 的 身 份 追 寻 与 心 灵 孤 独 ” 和 由 郑 美 善 撰 写 的 论 文 “‘ 究 竟 社 会 正 确 ,还 是 我 正 确 ?’—— 论 《 玩 偶 之 家 》 的 伦 理 身 份 与 伦 理 禁 忌 ”。3. 参 见 聂 珍 钊 教 授 的 论 文 “ 文 学 伦 理 学 批 评 : 伦 理 选 择 与 斯 芬 克 斯 因 子 ”(《 外 国 文 学 研 究 》2011 年 第 6 期 ) 和 “ 文 学 伦 理 学 批 评 : 基 本 理 论 与 术 语 ”(《 外 国 文 学 研 究 》2010 年 第 1 期 )等 论 文 。引 用 作 品 【Works Cited】聂 珍 钊 :“ 文 学 伦 理 学 批 评 : 重 读 易 卜 生 ”,《 浙 江 工 商 大 学 学 报 》1(2013):21-22。[Nie Zhenzhao. “Ethical Literary Criticism: Rereading Ibsen.” Journal of Zhejiang GongshangUniversity 1 (2013) :12-22.]Erika Fischer Lichte, Barbara Gronau, Christel Weiler. Global Ibsen: Performing MultipleModernities. New York: Routledge, 2011.Arthur Miller. “Ibsen and the drama of today”. The Cambridge Companion to Ibsen. Ed. JamesMcFarlane. New York:Cambridge University Press, 2005.责 任 编 辑 : 尚 必 武

论 《 英 格 夫 人 》 中 的 伦 理 困 境 与 伦 理 选 择郭 晶 晶内 容 提 要 :《 英 格 夫 人 》 讲 诉 了 一 个 在 民 族 责 任 和 母 子 亲 情 中 挣 扎 的 “ 北 方 女英 雄 ” 因 为 错 误 的 选 择 而 造 成 民 族 和 个 人 悲 剧 的 故 事 。 作 品 向 观 众 和 读 者 展 示了 母 子 亲 情 和 民 族 利 益 之 间 的 冲 突 和 选 择 , 从 而 说 明 在 民 族 危 难 的 关 键 时 刻 ,舍 弃 亲 情 才 是 大 爱 , 放 弃 个 人 恩 怨 和 个 人 得 失 才 是 对 个 人 利 益 的 最 好 保 护 。关 键 词 :《 英 格 夫 人 》; 伦 理 困 境 ; 伦 理 选 择作 者 简 介 : 郭 晶 晶 , 华 中 科 技 大 学 外 国 语 学 院 副 教 授 , 主 要 从 事 英 美 文 学 研 究 。Title: The Ethical Dilemma and Choices in Lady Inger of OstratAbstract: Lady Inger of Ostrat tells the story of a Northern heroine who strugglesbetween patriotic duty and maternal love. Through the creation of this character andher tragedy brought about by her own wrong choices, the play shows to the audienceand readers the conflicts between national interests and personal interests and thuswarns us: at the critical moment when a nation is in danger, it is wise to abandonpersonal interests for the interests of our country.Key words: Lady Inger of Ostrat; ethical dilemma; ethical choicesAuthor: Guo Jingjing is an associate professor at the School of Foreign Languages,Huazhong University of Science and Technology (Wuhan 430074, China). Herresearch areas are American and British literature. Email: guojj@mail.hust.edu.cn易 卜 生 的 早 期 戏 剧 和 他 的 早 期 诗 歌 一 样 ,“ 充 满 民 族 奋 发 精 神 与 浪 漫 主 义激 情 , 幻 想 丰 富 、 个 性 突 出 、 冲 突 尖 锐 ”( 王 忠 祥 8), 而 《 厄 斯 特 罗 特 的 英格 夫 人 》(Lady Inger of Ostrat, 简 称 《 英 格 夫 人 》) 就 是 其 中 的 一 部 。 该 剧 创作 于 1854 年 冬 ,1855 年 春 在 卑 尔 根 剧 院 首 次 演 出 。 由 于 作 家 的 创 作 技 巧 尚 不圆 熟 , 导 致 情 节 过 于 冗 杂 拖 沓 , 因 此 戏 剧 在 初 次 上 映 时 并 未 获 得 观 众 和 评 论 家的 太 多 关 注 。 然 而 , 也 正 是 这 部 未 受 关 注 的 戏 剧 预 示 了 一 个 天 才 剧 作 家 的 即 将诞 生1 。《 英 格 夫 人 》 是 一 部 五 幕 悲 剧 , 讲 诉 了 一 个 在 民 族 责 任 和 母 子 亲 情 中 挣 扎的 “ 北 方 女 英 雄 ” 因 为 错 误 的 选 择 而 造 成 民 族 和 个 人 悲 剧 的 故 事 。 该 剧 取 材 于挪 威 历 史 , 但 是 剧 作 家 并 没 有 简 单 地 再 现 历 史 , 而 是 将 历 史 事 件 与 历 史 人 物 进行 重 写 , 把 他 们 的 故 事 与 当 时 挪 威 争 取 民 族 独 立 、 民 族 解 放 的 斗 争 结 合 起 来 。这 种 结 合 不 仅 表 现 了 易 卜 生 的 爱 国 主 义 、 民 族 主 义 精 神 与 反 对 外 来 侵 略 的 政 治

The Ethical Dilemma and Choices in Lady Inger of Ostrat / Guo Jingjing145热 情 , 更 寄 托 了 作 者 深 邃 的 伦 理 思 考 : 每 个 人 都 兼 具 多 重 伦 理 身 份 , 因 此 , 当人 们 在 人 生 中 面 临 一 些 重 要 的 选 择 时 , 基 于 不 同 伦 理 身 份 做 出 的 不 同 选 择 往 往会 相 互 矛 盾 。 而 在 民 族 危 难 的 关 键 时 刻 , 只 有 基 于 民 族 大 义 , 根 据 自 己 的 社 会身 份 而 非 其 他 身 份 做 出 的 选 择 才 是 最 正 确 的 选 择 , 也 只 有 将 民 族 大 义 置 于 个 人恩 怨 和 个 人 得 失 之 上 , 才 是 对 个 人 利 益 的 最 好 保 护 。一 、 双 重 伦 理 身 份剧 中 的 英 格 夫 人 出 身 于 挪 威 高 贵 的 罗 迈 尔 家 族 , 以 厄 斯 特 罗 特 为 领 地 。 就社 会 身 份 而 言 , 她 是 厄 斯 特 罗 特 领 地 的 女 领 主 。 由 于 当 时 挪 威 许 多 受 人 尊 重 的老 贵 族 先 后 死 去 , 罗 迈 尔 家 族 便 成 为 反 抗 丹 麦 统 治 的 一 支 重 要 力 量 。 而 作 为 领主 的 英 格 夫 人 由 于 其 特 殊 的 地 位 以 及 对 国 家 的 忠 心 , 被 视 为 挪 威 人 民 的 救 星 ,承 担 着 重 要 的 民 族 责 任 。 正 如 她 的 小 女 儿 艾 梨 纳 所 言 , 挪 威 贵 族 和 人 民 相 信 “ 上帝 在 你 前 额 上 盖 了 他 的 印 章 , 选 派 你 领 导 受 压 迫 、 自 己 无 能 为 力 的 人 民 。 骑 士和 贵 族 在 宴 会 厅 里 对 你 歌 功 颂 德 , 甚 至 各 地 的 农 民 , 不 分 远 近 , 也 把 你 当 作 国家 的 支 柱 , 挪 威 的 救 星 , 大 家 都 相 信 , 由 于 你 , 幸 福 日 子 会 重 新 出 现 ! 大 家 都相 信 , 由 于 你 , 全 国 会 出 现 一 个 光 明 的 新 时 代 ”(221) 2 。 她 被 认 定 是 为 国 家 “ 劈碎 枷 锁 、 恢 复 主 权 的 人 物 ”(231-232)。 就 当 时 的 历 史 背 景 和 英 格 夫 人 的 特 殊地 位 而 言 , 作 为 领 主 的 英 格 夫 人 , 被 挪 威 人 民 寄 予 了 很 大 的 希 望 , 她 的 责 任 就是 带 领 挪 威 贵 族 和 人 民 将 挪 威 从 丹 麦 的 统 治 下 解 放 出 来 。多 年 来 , 英 格 夫 人 的 确 是 不 负 众 望 。 身 为 女 性 , 她 具 有 超 常 的 刚 毅 和 果 决 ,十 年 来 “ 一 直 诚 心 诚 意 遵 守 着 自 己 的 诺 言 , 把 本 国 人 的 灾 难 困 苦 放 在 自 己 的 肩膀 上 ”(286)。 除 了 国 家 的 灾 难 和 自 己 的 责 任 之 外 , 她 不 把 任 何 事 情 放 在 心 上 ,并 因 此 在 人 民 群 众 中 建 立 起 了 极 高 的 威 信 。 挪 威 人 民 敬 重 她 , 把 她 “ 当 作 一 位崇 高 伟 大 的 妇 人 看 待 ”(221)。然 而 , 领 主 仅 仅 是 英 格 夫 人 的 社 会 身 份 , 一 个 人 除 了 社 会 身 份 以 外 还 兼 具其 它 身 份 。 就 性 别 身 份 而 言 , 英 格 是 一 个 女 人 。 作 为 一 个 正 常 的 女 人 , 她 和 别人 一 样 有 恋 爱 、 结 婚 、 生 子 的 愿 望 。 在 克 努 特 · 阿 尔 夫 孙 的 灵 床 旁 边 许 下 诺 言后 的 十 年 中 , 英 格 夫 人 一 直 信 守 着 自 己 的 诺 言 , 甚 至 放 弃 了 作 为 一 个 正 常 女 性的 情 感 需 求 。 在 她 还 是 一 个 小 姑 娘 的 时 候 , 就 有 许 多 人 向 她 求 婚 , 当 时 的 她 一心 想 到 的 是 人 民 的 灾 难 , 自 己 肩 负 的 民 族 责 任 , 根 本 没 把 儿 女 情 长 放 在 心 上 ,因 此 , 当 她 的 女 友 都 为 人 妻 、 为 人 母 的 时 候 , 她 仍 然 独 身 一 人 。 然 而 斯 都 吕 的出 现 改 变 了 这 一 切 , 这 个 男 人 唤 醒 了 她 长 期 以 来 压 抑 着 的 对 爱 情 的 渴 望 , 她 的女 人 的 性 别 身 份 因 爱 情 而 得 到 了 强 化 , 领 主 身 份 也 因 此 而 受 到 了 淡 化 。 和 斯 都吕 伯 爵 在 一 起 的 那 年 的 冬 天 她 完 全 沉 入 爱 河 , 享 受 着 爱 情 的 滋 润 , 几 乎 忘 却 了自 己 作 为 领 主 的 责 任 。 英 格 夫 人 自 己 也 承 认 自 从 认 识 斯 都 吕 伯 爵 以 后 对 于 国 家的 事 情 她 想 得 越 来 越 少 了 。 这 一 次 恋 情 的 结 局 是 , 在 没 有 取 得 合 法 婚 姻 的 情 况 下 ,她 生 下 了 一 个 私 生 子 , 从 此 具 有 了 另 外 一 个 身 份 : 母 亲 。其 实 , 生 活 在 社 会 群 体 中 的 每 一 个 人 的 身 份 都 不 可 能 是 单 一 的 , 除 了 社 会 身

146 Forum for World Literature Studies份 外 , 还 有 在 家 庭 中 的 身 份 。 不 同 的 身 份 要 求 人 们 履 行 不 同 的 责 任 和 义 务 。 但由 于 种 种 原 因 , 人 们 在 履 行 这 众 多 的 责 任 时 往 往 会 遇 到 一 些 困 惑 和 麻 烦 , 尤 其是 在 履 行 一 种 责 任 和 履 行 另 一 种 责 任 发 生 冲 突 时 , 麻 烦 就 更 大 。 作 为 领 主 , 英格 理 当 承 担 起 对 国 家 和 人 民 的 责 任 , 尤 其 是 在 国 家 处 于 危 难 之 际 , 她 应 该 团 结挪 威 贵 族 、 带 领 挪 威 农 民 共 同 抵 御 外 来 侵 略 ; 而 作 为 母 亲 , 她 又 担 负 着 保 护 孩子 的 责 任 , 特 别 是 当 自 己 的 孩 子 被 控 制 在 他 人 之 手 , 成 为 政 治 交 易 的 一 颗 棋 子 ,成 为 她 履 行 民 族 责 任 的 羁 绊 之 时 , 母 爱 和 民 族 责 任 就 发 生 了 激 烈 冲 突 。 由 于 当时 所 处 的 特 殊 历 史 环 境 以 及 英 格 夫 人 在 其 中 所 处 的 特 殊 地 位 , 她 面 临 的 问 题 似乎 更 加 突 出 。二 、 伦 理 困 惑 和 挣 扎“ 客 观 的 伦 理 环 境 或 历 史 环 境 是 理 解 、 阐 释 和 评 价 文 学 的 基 础 ”( 聂 珍 钊14), 所 以 英 格 夫 人 在 处 理 双 重 伦 理 身 份 而 带 来 的 伦 理 责 任 时 所 处 的 特 殊 历 史环 境 是 我 们 解 读 文 本 的 关 键 所 在 。 这 出 悲 剧 发 生 于 16 世 纪 的 挪 威 , 当 时 丹 麦 统治 着 挪 威 , 同 时 又 通 过 瑞 典 国 王 古 斯 塔 夫 的 领 导 控 制 着 瑞 典 。 但 是 瑞 典 人 民 一直 都 没 有 屈 服 于 丹 麦 的 统 治 , 不 断 地 进 行 反 抗 。 以 彼 特 首 相 为 首 的 反 对 派 一 直都 在 暗 中 准 备 , 等 待 机 会 发 动 起 义 。 挪 威 国 内 的 情 况 则 比 较 复 杂 , 反 抗 丹 麦 统治 的 挪 威 贵 族 几 乎 被 斩 尽 杀 绝 , 留 下 的 也 被 迫 离 家 出 逃 , 流 亡 在 荒 山 密 林 里 。在 挪 威 南 部 , 很 多 贵 族 由 于 既 得 利 益 的 驱 使 都 拥 护 丹 麦 人 , 而 在 英 格 夫 人 所 在的 北 方 , 挪 威 农 民 一 直 都 有 把 丹 麦 人 赶 出 去 的 愿 望 , 并 且 一 度 在 英 格 夫 人 的 领导 下 进 行 过 艰 苦 卓 绝 的 斗 争 , 但 后 来 因 为 英 格 夫 人 的 犹 豫 和 退 缩 , 又 没 有 另 外一 个 有 势 力 和 号 召 力 的 领 袖 起 来 领 导 , 他 们 不 得 不 苟 延 残 喘 于 丹 麦 人 的 统 治 之下 。在 这 种 背 景 下 , 英 格 夫 人 的 特 殊 身 份 就 使 得 她 所 处 的 地 位 变 得 十 分 重 要 。正 如 前 文 所 示 , 英 格 夫 人 是 厄 斯 特 罗 特 的 领 主 , 曾 经 领 导 过 挪 威 人 民 的 反 抗 斗 争 ,在 挪 威 人 民 中 具 有 很 高 的 威 信 。 因 此 , 瑞 典 的 反 对 派 领 袖 彼 特 首 相 极 力 争 取 她的 支 持 , 鉴 于 英 格 夫 人 在 人 民 心 中 的 地 位 和 威 望 , 争 取 到 英 格 夫 人 的 支 持 无 疑就 争 取 到 了 挪 威 人 民 的 支 持 , 这 样 他 们 就 可 以 联 合 起 来 推 翻 瑞 典 国 王 古 斯 塔 夫的 领 导 , 选 取 新 的 国 王 , 从 而 摆 脱 丹 麦 对 瑞 典 的 控 制 。 从 这 一 点 来 讲 , 挪 威 人民 和 彼 特 首 相 领 导 的 反 对 派 的 利 益 是 一 致 的 , 因 为 如 果 瑞 典 摆 脱 了 丹 麦 的 统 治 ,就 会 大 大 削 弱 丹 麦 的 势 力 , 同 时 给 长 期 以 来 一 直 都 在 争 取 民 族 独 立 的 挪 威 人 民以 极 大 的 精 神 鼓 舞 , 从 而 处 于 摇 摆 状 况 的 挪 威 贵 族 就 会 和 挪 威 农 民 联 合 起 来 ,共 同 推 翻 丹 麦 的 统 治 。 丹 麦 人 对 此 当 然 是 心 知 肚 明 , 因 此 , 英 格 夫 人 也 成 了 丹麦 人 的 拉 拢 对 象 。 如 果 得 到 英 格 夫 人 的 支 持 , 他 们 对 挪 威 的 统 治 就 非 常 稳 固 了 。相 反 , 如 果 英 格 夫 人 和 彼 特 首 相 联 合 起 来 , 不 仅 他 们 在 瑞 典 的 统 治 要 遭 到 毁 灭性 打 击 , 在 挪 威 的 统 治 也 必 定 受 到 影 响 。 因 此 , 英 格 夫 人 成 了 三 国 政 治 博 弈 中一 个 至 关 重 要 的 人 物 。从 以 上 分 析 可 以 看 出 , 挪 威 和 瑞 典 的 利 益 是 一 致 的 。 既 然 如 此 , 英 格 夫 人

The Ethical Dilemma and Choices in Lady Inger of Ostrat / Guo Jingjing147的 立 场 也 应 该 十 分 清 楚 , 她 应 该 和 彼 特 首 相 联 手 共 同 抵 抗 丹 麦 的 统 治 , 以 实 现当 年 的 誓 言 。 然 而 , 英 格 夫 人 的 儿 子 和 他 的 特 殊 身 份 和 处 境 把 这 个 看 似 简 单 的事 情 变 得 复 杂 化 了 。 英 格 夫 人 和 斯 都 吕 伯 爵 的 儿 子 是 非 婚 生 儿 子 , 属 于 “ 私 生 子 ”。“ 私 生 子 ” 被 看 作 是 破 坏 伦 理 规 则 的 产 物 , 而 “ 社 会 的 伦 理 规 则 是 伦 理 秩 序 的保 障 , 一 个 人 只 要 生 活 在 这 个 社 会 里 , 就 必 然 要 受 到 伦 理 规 则 的 制 约 , 否 则 就 会受 到 惩 罚 ”( 聂 珍 钊 19)。 为 避 免 惩 罚 ,“ 私 生 子 ” 的 身 份 常 常 被 隐 匿 起 来 。该 剧 中 , 英 格 夫 人 的 儿 子 尼 尔 • 斯 丹 孙 的 的 身 份 也 是 这 样 处 理 的 。英 格 夫 人 与 斯 都 吕 伯 爵 有 了 私 情 并 生 下 这 个 私 生 子 , 却 又 没 有 办 法 让 他 拥有 正 常 的 社 会 伦 理 身 份 , 拥 有 正 常 的 家 庭 生 活 。 为 了 隐 瞒 伦 理 犯 罪 , 这 个 孩 子被 交 给 瑞 典 的 彼 得 首 相 去 抚 养 , 从 此 他 的 身 份 被 隐 匿 起 来 。 这 种 母 子 分 离 给 英格 夫 人 造 成 了 极 大 的 痛 苦 。 她 整 天 为 儿 子 担 惊 受 怕 ,“ 他 在 生 人 手 里 受 教 养 ,我 担 心 那 些 人 也 许 会 在 他 心 里 种 下 堕 落 根 苗 。”(281) 更 为 不 幸 的 是 , 斯 都 吕伯 爵 死 后 , 这 个 孩 子 被 彼 得 首 相 所 控 制 , 成 了 政 治 交 易 中 的 一 颗 棋 子 。 彼 得 首相 利 用 这 个 孩 子 一 直 不 断 地 对 英 格 夫 人 施 加 压 力 , 告 诉 她 “ 哪 一 天 你 全 心 全 意跟 我 们 合 伙 , 哪 一 天 我 就 把 你 儿 子 送 回 挪 威 , 早 一 天 都 办 不 到 ”(280)。 在 这种 情 况 下 , 对 儿 子 的 牵 挂 使 得 她 “ 心 神 不 宁 ”、“ 整 夜 睡 不 着 ”, 以 至 于 “ 一天 比 一 天 消 瘦 ”,“ 脸 色 越 来 越 苍 白 ”(210)。 她 每 夜 在 宴 会 厅 里 来 回 走 动 ,“ 低 声 哀 诉 ”,“ 好 像 一 个 痛 苦 的 鬼 魂 ”(215)。这 个 孩 子 给 她 造 成 的 不 仅 是 无 尽 的 精 神 折 磨 , 还 有 巨 大 的 现 实 困 扰 , 成 了英 格 夫 人 一 生 的 牵 挂 和 履 行 国 家 职 责 的 羁 绊 , 让 她 失 去 了 往 日 的 理 想 和 果 敢 ,陷 入 伦 理 两 难 的 境 地 , 对 儿 子 的 牵 挂 使 她 挣 扎 于 民 族 利 益 和 个 人 得 失 之 间 。 虽然 丹 麦 人 和 彼 特 首 相 都 想 得 到 她 的 支 持 , 但 是 站 在 两 个 敌 对 阵 营 的 英 格 夫 人 的处 境 又 是 十 分 的 尴 尬 和 困 难 。 一 方 面 , 丹 麦 和 瑞 典 哪 方 面 都 想 争 取 她 , 哪 方 面又 不 敢 完 全 信 任 她 。 另 一 方 面 , 为 了 既 得 利 益 她 应 该 和 丹 麦 人 合 作 , 而 民 族 关系 又 让 她 和 “ 反 叛 分 子 ” 结 合 在 一 起 。 无 论 是 从 国 家 利 益 来 讲 还 是 从 儿 子 的 安危 来 考 虑 , 英 格 夫 人 似 乎 都 应 该 毫 不 犹 豫 地 站 在 彼 特 首 相 的 一 边 , 支 持 挪 威 农民 对 丹 麦 人 的 反 抗 。 可 是 在 剧 中 她 为 什 么 总 是 反 复 无 常 , 迟 迟 不 愿 行 动 呢 ? 首先 , 作 为 母 亲 她 深 爱 着 自 己 的 儿 子 , 又 因 为 儿 子 出 生 后 的 遭 遇 和 目 前 的 处 境 ,她 对 儿 子 的 感 情 更 胜 过 一 般 母 子 之 情 。 因 此 , 英 格 夫 人 格 外 担 心 她 的 行 为 会 将儿 子 置 于 非 常 危 险 的 境 地 : 一 旦 她 有 所 行 动 , 而 她 的 行 动 被 国 内 支 持 丹 麦 人 的南 方 贵 族 发 觉 , 这 些 人 会 对 她 的 儿 子 不 利 。 虽 然 没 有 任 何 证 据 证 明 国 内 支 持 丹麦 人 的 贵 族 知 道 有 关 她 儿 子 的 任 何 消 息 , 她 却 始 终 担 心 着 事 情 的 暴 露 , 从 而 给儿 子 带 来 伤 害 , 乃 至 给 他 带 来 杀 身 之 祸 。“ 如 果 他 们 发 觉 了 我 的 秘 密 — 喔 , 我知 道 ! — 为 了 剪 断 母 亲 的 翅 膀 , 他 们 会 把 对 付 克 里 斯 替 恩 二 世 的 手 段 — 如 果他 不 逃 走 的 话 — 对 付 我 儿 子 , 结 果 他 性 命 ”(280)。 其 次 , 丹 麦 人 也 从 未 放松 过 对 她 的 戒 备 , 他 们 对 她 威 胁 利 诱 , 逼 她 和 他 们 合 伙 。 虽 然 没 有 明 证 可 以 证明 他 们 知 道 她 有 个 儿 子 , 但 作 为 一 个 受 良 心 折 磨 的 敏 感 母 亲 , 英 格 夫 人 在 他 们的 言 语 中 总 是 能 感 觉 到 某 种 暗 示 。 所 以 , 在 尼 尔 · 列 凯 提 到 她 的 儿 子 时 她 的 反

148 Forum for World Literature Studies应 会 是 这 样 :“ 你 知 道 这 件 事 ! 你 — 你 ! 那 么 他 在 什 么 地 方 ? — 你 在 哪 里 把他 逮 住 的 ? 你 打 算 把 他 怎 么 样 ?( 尖 声 喊 叫 ) 别 杀 他 , 尼 尔 • 列 凯 ! 把 他 交 还 我 !别 杀 我 的 孩 子 !”(278) 从 英 格 夫 人 的 激 烈 反 应 中 我 们 可 以 得 到 这 样 的 信 息 :她 一 直 相 信 丹 麦 人 知 道 她 的 秘 密 , 而 且 他 们 会 因 为 自 己 的 关 系 而 对 她 的 儿 子 不利 。 对 此 , 她 这 样 坦 言 :“ 我 对 本 国 人 抱 着 一 片 忠 心 ; 然 而 , 我 自 己 不 能 做 主 。有 些 事 不 得 不 瞒 人 , 否 则 我 就 会 遭 受 致 命 伤 。 然 而 只 要 让 我 在 这 方 面 一 得 到 安 全 ,你 就 可 以 看 清 楚 我 是 不 是 忘 了 我 在 克 努 特 阿 尔 夫 孙 灵 床 前 发 下 的 誓 言 。”(273)显 然 , 这 里 需 要 瞒 人 的 事 情 就 是 她 的 儿 子 , 正 是 这 个 儿 子 成 了 她 履 行 誓 言 、 采取 行 动 的 障 碍 。既 然 她 对 本 国 人 抱 着 “ 一 片 忠 心 ”, 在 需 要 她 站 出 来 领 导 反 抗 斗 争 的 时 候 ,她 的 无 所 作 为 就 不 能 让 她 心 安 理 得 了 。 她 曾 经 是 一 个 带 领 挪 威 人 民 反 抗 丹 麦 统治 的 女 英 雄 , 她 深 知 人 民 的 期 待 , 自 己 的 责 任 。 并 且 就 她 的 性 格 而 言 , 她 绝 对不 愿 屈 服 于 任 何 人 的 控 制 , 也 不 愿 她 的 国 家 受 制 于 丹 麦 。 当 她 因 为 对 儿 子 命 运的 担 忧 而 不 能 履 行 民 族 义 务 的 时 候 , 她 的 内 心 是 极 度 痛 苦 的 , 受 道 德 感 和 民 族感 的 折 磨 , 她 每 天 晚 上 像 幽 灵 似 的 在 宴 会 厅 来 回 走 动 。“ 我 身 上 压 着 这 个 诺 言的 重 担 , 我 的 头 发 都 花 白 了 ”(228)。 她 深 知 自 己 的 责 任 , 却 无 法 履 行 自 己 的责 任 , 在 伦 理 两 难 的 困 惑 中 度 日 如 年 。 因 为 不 能 履 行 曾 经 许 下 的 诺 言 , 在 内 心里 她 一 直 受 到 谴 责 , 甚 至 不 敢 正 视 挂 在 墙 上 的 先 辈 的 画 像 , 她 “ 把 克 努 特 · 阿尔 夫 孙 的 画 像 翻 过 去 朝 着 墙 ”, 因 为 “ 他 的 眼 睛 把 她 盯 得 太 紧 了 !”(214) 她以 为 这 样 就 可 以 减 轻 良 心 的 折 磨 , 可 是 在 她 选 择 一 己 私 利 而 牺 牲 国 家 利 益 的 时候 , 她 总 感 到 “ 脸 色 惨 白 的 灵 魂 — 去 世 的 祖 先 — 阵 亡 的 亲 族 。—— 啊 , 他 们 的眼 睛 从 每 个 角 落 紧 紧 盯 住 她 ( 我 )!”(229) 一 方 面 , 她 担 心 儿 子 的 命 运 , 因为 对 儿 子 命 运 的 顾 忌 , 她 不 敢 稍 有 闪 失 而 让 自 己 的 敌 人 抓 住 了 把 柄 ; 另 一 方 面 ,她 在 犹 豫 、 徘 徊 中 深 感 良 心 的 不 安 , 不 敢 面 对 自 己 的 祖 先 , 不 敢 面 对 挪 威 人 民 ,因 为 她 知 道 他 们 都 在 看 着 她 、 在 谴 责 她 , 她 的 责 任 感 和 她 的 良 心 让 她 生 活 在 自 责 、惶 恐 和 不 安 中 。 正 是 英 格 夫 人 所 处 的 特 殊 伦 理 环 境 使 她 陷 入 伦 理 两 难 的 境 地 ,从 而 使 一 向 办 事 果 决 的 她 在 民 族 大 义 面 前 患 得 患 失 、 犹 豫 不 决 , 致 使 民 族 解 放运 动 陷 入 瘫 痪 状 态 。三 、 伦 理 选 择 及 悲 剧 结 局在 该 剧 中 , 英 格 夫 人 有 过 几 次 关 键 性 的 伦 理 选 择 , 正 是 因 为 她 在 面 临 这 些选 择 的 时 候 过 于 考 虑 亲 情 , 从 而 让 自 己 背 弃 了 领 主 的 责 任 而 做 出 错 误 的 选 择 ,最 终 成 为 “ 由 利 己 而 导 致 毁 灭 的 典 型 代 表 ”( 煦 佟 119)。英 格 夫 人 的 领 主 身 份 决 定 了 她 对 国 家 和 人 民 应 付 的 责 任 。 然 而 长 久 以 来 ,儿 子 的 安 危 一 直 困 扰 着 英 格 夫 人 , 影 响 着 她 的 决 定 。 自 从 儿 子 被 交 由 别 人 抚 养 后 ,英 格 夫 人 没 有 一 天 的 安 宁 , 她 每 天 都 生 活 在 担 惊 受 怕 、 含 羞 忍 辱 之 中 。 对 孩 子教 育 的 担 忧 、 对 孩 子 安 危 的 担 忧 无 时 无 刻 不 在 蚕 食 着 母 亲 脆 弱 的 心 。 在 她 犹 豫 、徘 徊 的 时 候 , 实 际 上 她 已 经 做 出 了 选 择 : 那 就 是 把 儿 子 的 安 危 置 于 民 族 利 益 之 上 ,

The Ethical Dilemma and Choices in Lady Inger of Ostrat / Guo Jingjing149只 记 得 自 己 是 个 母 亲 而 忘 记 了 自 己 还 是 被 寄 予 厚 望 的 领 主 , 忽 视 了 作 为 领 主 应该 承 担 的 责 任 。 她 似 乎 忘 记 了 这 样 一 个 道 理 : 在 国 家 面 临 危 难 的 时 候 , 个 人 的安 危 是 难 于 保 全 的 。 在 接 下 来 的 一 系 列 选 择 中 , 她 更 是 完 全 站 在 一 个 母 亲 的 角度 来 考 虑 问 题 , 一 步 一 步 地 把 剧 情 引 向 最 后 的 结 局 。在 本 剧 开 始 的 时 候 , 英 格 夫 人 领 地 的 农 民 和 英 格 夫 人 的 仆 从 得 到 消 息 , 瑞典 的 达 尔 斯 人 民 起 义 反 抗 古 斯 塔 夫 国 王 了 , 并 且 请 求 英 格 夫 人 发 放 兵 器 , 批 准假 期 , 以 便 参 加 达 尔 斯 人 民 的 军 队 。 这 是 个 帮 助 瑞 典 人 民 解 放 自 己 的 绝 好 时 机 ,如 果 挪 威 贵 族 和 农 民 同 心 协 力 、 团 结 一 心 , 他 们 就 可 以 把 丹 麦 统 治 者 赶 出 挪 威 ,这 是 英 格 夫 人 “ 最 盼 望 的 事 情 ”(217), 她 也 看 出 来 了 这 是 最 佳 时 机 。 所 以 在片 刻 迟 疑 之 后 , 她 答 应 了 人 民 的 请 求 , 这 让 那 些 长 期 跟 从 她 的 人 们 感 到 她 又 回到 了 从 前 , 又 是 他 们 曾 经 认 识 和 信 赖 的 英 格 夫 人 了 。 可 是 , 尼 尔 • 列 凯 的 一 封信 却 让 她 改 变 了 主 意 。 她 深 知 国 家 的 命 运 掌 握 在 她 手 里 , 她 有 权 力 号 召 人 民 一起 行 动 , 而 且 他 们 也 在 等 着 她 发 号 施 令 , 而 且 这 种 机 会 一 旦 失 去 再 也 不 会 有 了 ,这 是 国 家 命 运 的 关 键 时 刻 ! 可 是 , 她 又 犹 豫 了 ! 这 又 是 为 什 么 呢 ?我 们 先 来 看 看 她 的 说 法 : 英 格 夫 人 认 为 在 国 内 还 没 有 团 结 一 致 的 时 候 ,“ 斗智 ” 胜 过 “ 斗 剑 ”, 这 是 一 种 斗 争 策 略 ,“ 可 以 争 取 一 段 喘 气 的 时 间 ”(223)。无 论 说 法 怎 样 , 表 明 的 意 思 只 有 一 个 : 时 机 尚 不 成 熟 。 事 实 上 , 英 格 夫 人 心 里比 谁 都 清 楚 , 这 只 是 拖 延 , 而 且 拖 延 的 结 果 是 “ 为 了 一 个 人 , 牺 牲 许 多 人 ”(229)。这 里 的 一 个 人 除 了 她 的 儿 子 还 会 是 谁 呢 ? “ 二 十 多 年 来 我 一 直 在 处 心 积 虑 地 救我 的 孩 子 ”(291), 孩 子 成 为 她 一 切 行 为 的 准 则 。 虽 然 知 道 这 样 做 有 悖 于 祖 先 ,有 悖 于 挪 威 人 民 , 她 还 是 选 择 了 为 儿 子 的 安 危 而 牺 牲 大 家 的 利 益 。 正 是 她 的 拖延 使 起 义 错 失 良 机 , 使 挪 威 人 民 更 加 深 陷 于 被 统 治 的 地 位 。在 儿 子 和 “ 斯 都 吕 小 伯 爵 ” 之 间 进 行 选 择 是 母 爱 和 民 族 大 义 之 间 的 又 一 次选 择 。 保 住 了 儿 子 就 圆 了 英 格 夫 人 多 年 来 母 子 相 见 的 梦 想 , 保 住 “ 斯 都 吕 小 伯爵 ” 则 留 下 民 族 独 立 的 希 望 。 而 英 格 夫 人 这 次 错 误 的 选 择 不 仅 造 成 了 民 族 悲 剧 ,也 造 成 了 错 杀 亲 子 的 个 人 悲 剧 。英 格 夫 人 的 儿 子 尼 尔 斯 • 丹 孙 至 始 至 终 都 是 这 出 剧 的 关 键 人 物 。 从 他 被 带走 的 那 一 刻 起 , 英 格 夫 人 再 也 没 有 见 过 他 。 他 本 来 是 彼 特 首 相 派 到 厄 斯 特 罗 特城 堡 会 晤 挪 威 贵 族 斯 卡 克 达 夫 的 使 者 , 却 误 将 敌 国 丹 麦 使 臣 尼 尔 · 列 凯 当 成 自己 应 该 会 晤 的 人 , 并 向 他 和 盘 托 出 自 己 的 秘 密 使 命 , 并 把 全 部 文 件 和 信 札 拱 手交 给 了 尼 尔 · 列 凯 , 完 全 听 命 于 尼 尔 · 列 凯 , 对 英 格 夫 人 隐 瞒 自 己 的 真 实 身 份 ,冒 充 已 死 的 尼 尔 · 斯 都 吕 , 结 果 被 英 格 夫 人 派 人 杀 掉 。那 么 , 尼 尔 · 斯 都 吕 又 是 谁 ? 英 格 夫 人 为 什 么 要 杀 死 他 呢 ? 尼 尔 · 斯 都 吕就 是 斯 坦 恩 · 斯 都 吕 伯 爵 的 儿 子 和 合 法 继 承 人 , 现 在 的 斯 都 吕 伯 爵 。 恰 恰 就 在农 民 起 义 即 将 在 达 尔 斯 发 起 之 前 , 斯 都 吕 伯 爵 却 突 然 去 世 了 , 这 件 事 除 了 他 母亲 、 彼 特 首 相 和 府 里 几 个 老 家 人 外 , 其 他 人 一 概 不 知 。 因 为 斯 都 吕 伯 爵 是 起 义的 集 合 中 心 ,“ 如 果 他 去 世 的 消 息 一 传 播 出 去 , 人 心 就 会 涣 散 , 事 情 就 会 完 蛋 ”(263)。 天 无 绝 人 之 路 , 正 在 这 个 时 候 尼 尔 · 斯 丹 孙 出 现 在 达 尔 斯 , 斯 丹 孙 是

150 Forum for World Literature Studies斯 都 吕 伯 爵 的 同 父 异 母 的 哥 哥 , 因 为 两 人 长 得 酷 似 , 被 达 尔 斯 人 民 当 成 斯 都 吕受 到 了 热 烈 欢 迎 。 达 尔 斯 的 局 势 本 来 就 不 稳 定 , 他 一 去 , 人 民 就 公 开 起 事 了 ,而 且 还 要 推 选 他 当 瑞 典 国 王 。 无 意 中 , 尼 尔 · 斯 丹 孙 促 成 了 这 场 农 民 起 义 , 而因 为 斯 都 吕 伯 爵 在 这 次 农 民 起 义 中 的 关 键 作 用 以 及 他 的 影 响 力 , 不 知 底 细 的 丹麦 人 正 不 惜 代 价 派 重 兵 四 处 追 杀 他 。如 果 的 确 如 英 格 夫 人 知 道 的 那 样 , 眼 前 的 这 个 人 就 是 斯 都 吕 伯 爵 , 那 么 对于 这 么 一 个 关 键 人 物 , 作 为 谙 熟 政 治 之 道 的 英 格 夫 人 , 他 的 价 值 及 对 农 民 起 义的 意 义 她 不 会 不 知 道 , 可 她 为 什 么 还 会 让 人 杀 了 他 呢 ? 其 中 最 明 显 、 最 直 接 的原 因 就 是 “ 斯 都 吕 伯 爵 ” 的 存 在 威 胁 到 她 的 儿 子 尼 尔 · 斯 丹 孙 的 性 命 , 影 响 了他 的 命 运 。 在 尼 尔 · 斯 丹 冒 充 的 斯 都 吕 伯 爵 带 领 的 起 义 军 被 瑞 典 指 挥 官 颜 斯 ·别 尔 凯 埋 伏 的 军 队 击 败 后 , 他 逃 回 到 厄 斯 特 罗 特 城 堡 , 在 瑞 典 指 挥 官 即 将 冲 进来 抓 “ 斯 都 吕 伯 爵 ” 的 时 候 , 他 决 定 “ 要 买 性 命 和 自 由 , 把 事 情 全 都 告 诉 他 ”(301)。 他 本 来 是 要 把 自 己 冒 充 斯 都 吕 伯 爵 的 事 实 告 诉 瑞 典 指 挥 官 从 而 免 去 一 死 ,而 时 时 刻 刻 总 在 惦 记 着 儿 子 的 英 格 夫 人 却 误 以 为 “ 斯 都 吕 伯 爵 ”( 尼 尔 · 斯 丹 孙 )要 用 出 卖 她 儿 子 的 秘 密 来 挽 救 自 己 的 性 命 , 所 以 她 要 用 一 条 命 换 一 条 命 。 所 以 ,出 于 母 亲 保 护 儿 子 的 本 能 她 决 定 杀 死 “ 斯 都 吕 伯 爵 ”。英 格 夫 人 杀 死 “ 斯 都 吕 伯 爵 ” 固 然 是 为 了 确 保 儿 子 的 安 全 , 但 其 中 另 外 一个 因 素 也 不 容 忽 视 , 那 就 是 列 凯 无 意 中 说 出 的 一 句 话 : 想 当 “ 国 王 母 后 ”。 如果 说 在 儿 子 处 于 危 难 中 , 作 母 亲 的 唯 一 心 思 是 想 着 如 何 把 儿 子 救 出 来 ,“ 谁 爱当 国 王 谁 当 ”, 那 么 , 在 英 格 夫 人 确 定 儿 子 马 上 就 要 回 到 自 己 身 边 的 时 候 , 她的 想 法 就 不 那 么 简 单 了 。 她 不 仅 要 保 证 儿 子 的 安 全 , 还 要 保 证 儿 子 的 地 位 :“ 难道 我 儿 子 就 不 该 跟 那 人 一 样 承 袭 斯 都 吕 家 族 的 名 位 ?”(292) 她 明 明 知 道 儿 子能 回 到 她 身 边 是 她 多 年 的 愿 望 , 她 该 知 足 了 , 她 也 明 明 知 道 “ 当 国 王 母 后 ” 的想 法 会 引 起 上 天 的 “ 发 怒 ”, 以 至 于 “ 降 灾 殃 ” 于 她 , 被 一 己 私 利 冲 昏 头 脑 的她 却 无 法 放 下 这 个 想 法 , 她 无 视 斯 都 吕 伯 爵 对 瑞 典 人 民 起 义 的 意 义 及 接 下 来 对挪 威 独 立 运 动 的 意 义 , 做 出 了 损 害 民 族 利 益 的 事 情 , 造 成 了 错 杀 亲 子 的 惨 剧 ,同 时 也 把 农 民 起 义 的 最 后 一 点 希 望 毁 掉 了 , 给 民 族 独 立 造 成 了 无 法 挽 回 的 损 失 。英 格 夫 人 悲 剧 的 根 源 源 于 关 键 时 刻 错 误 的 选 择 。 母 子 亲 情 固 然 是 世 间 最 伟大 、 最 无 私 的 感 情 , 值 得 尊 重 和 理 解 。 但 是 , 作 为 一 个 人 民 寄 予 厚 望 的 领 导 人 ,倘 若 在 国 家 处 于 生 死 存 亡 的 时 候 , 只 顾 惜 母 子 亲 情 而 置 国 家 利 益 于 不 顾 , 甚 至牺 牲 国 家 利 益 来 保 护 母 子 亲 情 , 不 仅 是 不 明 智 的 举 动 , 甚 至 是 可 耻 的 行 为 。 正如 剧 中 的 英 格 夫 人 , 假 如 在 一 开 始 从 民 族 利 益 出 发 她 就 和 彼 特 首 相 合 作 , 无 论起 义 成 功 与 否 , 她 都 会 被 载 入 史 册 , 被 挪 威 人 民 永 远 铭 记 , 同 时 , 很 有 可 能 她深 爱 的 儿 子 也 早 已 回 到 她 的 身 边 ; 假 如 在 她 面 对 挪 威 农 民 参 加 瑞 典 起 义 的 要 求时 , 把 儿 子 的 安 危 以 及 把 和 列 凯 之 间 的 个 人 恩 怨 稍 稍 放 一 下 , 可 能 后 面 的 故 事就 要 重 写 ; 假 如 在 她 动 手 杀 死 “ 斯 都 吕 小 伯 爵 ” 之 前 , 稍 稍 念 及 另 外 一 个 母 亲的 失 子 之 痛 , 念 及 一 下 “ 斯 都 吕 小 伯 爵 ” 之 死 给 起 义 带 来 的 毁 灭 性 打 击 , 那 么无 论 是 什 么 样 的 理 由 都 无 法 让 她 举 起 屠 刀 , 儿 子 的 性 命 虽 然 堪 忧 , 但 至 少 不 至

The Ethical Dilemma and Choices in Lady Inger of Ostrat / Guo Jingjing151于 落 个 错 杀 亲 子 的 下 场 。 可 是 , 历 史 是 不 会 重 演 的 , 所 以 才 有 “ 一 失 足 而 成 千古 恨 ” 这 样 的 至 理 名 言 。 英 格 夫 人 的 时 代 虽 已 过 去 , 但 该 剧 仍 然 是 一 记 警 钟 ,告 诉 我 们 什 么 才 是 正 确 的 选 择 。注 解 【Notes】1. Archer, William. “Introduction.” The Works of Henrik Ibsen. New York: Charles Scribner’s Sons,1911.2. 本 文 中 所 有 《 英 格 夫 人 》 的 引 文 均 出 自 潘 家 洵 等 译 《 易 卜 生 文 集 》( 第 一 卷 ), 人 民 文 学出 版 社 1995 年 版 , 以 下 引 文 只 标 出 页 码 , 不 再 一 一 注 明 。引 用 作 品 【Words Cited】聂 珍 钊 :“ 文 学 伦 理 学 批 评 : 基 本 理 论 与 术 语 ”,《 外 国 文 学 研 究 》1(2010):12-22。[Nie Zhenzhao. Ethical Literary Criticism: Its Fundamentals and Terms. Foreign Literature Studies1(2010): 12-22.]煦 佟 :“ 精 神 反 叛 的 先 声 —— 读 《 易 卜 生 全 集 》 第 一 卷 ”。 《 外 国 文 学 研 究 》3(1987):117-20。[Xu Tong. “The Harbinger of Spirit Rebellion—Reading The Collected Words of Ibsen Vol. 1”.Foreign Literature Studies 3 (1987): 117-20. ]易 卜 生 :《 易 卜 生 文 集 》( 第 一 卷 ), 潘 家 洵 等 译 。 北 京 : 人 民 文 学 出 版 社 , 1995 年 。[Ibsen, Henrik. The Collected Words of Ibsen Vol. 1. Trans. Pan Jiaxun & etc. Beijing: People’sLiterature Press, 1995.]责 任 编 辑 : 李 纲

论 《 皇 帝 与 加 利 利 人 》 中 朱 利 安 的 背 叛 与 毁 灭柏 灵内 容 摘 要 :《 皇 帝 与 加 利 利 人 》 取 材 于 史 实 , 讲 述 了 罗 马 皇 帝 朱 利 安 的 一 生 。朱 利 安 从 王 子 成 为 凯 撒 , 后 又 背 叛 君 士 坦 提 乌 斯 成 为 罗 马 皇 帝 , 皇 帝 朱 利 安 致力 于 建 立 第 三 帝 国 但 遭 到 人 民 的 反 抗 , 最 后 朱 利 安 被 推 翻 , 其 试 图 建 立 的 帝 国也 遭 毁 灭 。 朱 利 安 的 背 叛 和 毁 灭 是 他 不 断 进 行 伦 理 选 择 的 结 果 , 他 的 每 一 次 伦理 选 择 又 与 他 伦 理 身 份 的 变 化 和 他 对 人 性 的 理 解 密 切 相 关 。 易 卜 生 以 朱 利 安 的选 择 和 和 由 此 导 致 的 结 局 , 表 现 了 人 作 为 斯 芬 克 斯 因 子 存 在 以 及 伦 理 选 择 在 个人 命 运 发 展 中 的 重 要 性 。关 键 词 :《 皇 帝 与 加 利 利 人 》; 文 学 伦 理 学 批 评 ; 伦 理 身 份 ; 斯 芬 克 斯 因 子 ;伦 理 选 择作 者 简 介 : 柏 灵 , 华 中 农 业 大 学 外 国 语 学 院 , 主 要 研 究 方 向 为 欧 美 文 学 。Title: On Julian’s Apostasy and Destruction in Emperor and GalileanAbstract: Drawing upon history, Emperor and Galilean revolves around Julian’slife from prince to Caesar, from Caesar to the Emperor of Roman and to his finaltragic death. The changes of his identity and his understanding of humanity are theunderlying reasons for each of his ethical choice, which in turn constitutes dramatictransitions of his life. Staging Julian’s apostasy and destruction, this play presents theSphinx Factor and the important role ethical choices play in the life of individuals.Key words: Emperor and Galilean; Ethical Literary Criticism; ethical identity;Sphinx Factor; ethical choiceAuthor: Bo Ling is a lecturer in the School of Foreign Languages HuazhongAgricultural University (Wuhan 430070, China). Her major research field is EuropeanLiterature. Email: Bolingiswode@126.com.《 皇 帝 与 加 利 利 人 》(Emperor and Galilean, 1873) 是 易 卜 生 最 长 的 一 部 戏剧 作 品 , 易 卜 生 曾 经 在 许 多 场 合 强 调 这 部 剧 作 的 重 要 性 。 在 我 国 对 《 皇 帝 与 加利 利 人 》 的 研 究 较 其 他 易 卜 生 作 品 研 究 而 言 相 对 薄 弱 。《 皇 帝 与 加 利 利 人 》 分为 两 部 , 第 一 部 《 凯 撒 的 背 叛 》 讲 述 朱 利 安 从 王 子 成 为 凯 撒 和 背 叛 君 士 坦 提 乌斯 皇 帝 的 经 历 ; 第 二 部 《 朱 利 安 大 帝 》 中 , 成 为 罗 马 皇 帝 的 朱 利 安 因 推 崇 古 希腊 众 神 教 , 迫 害 天 主 教 徒 而 遭 到 激 烈 的 反 抗 , 朱 利 安 最 终 被 推 翻 , 其 建 立 的 帝国 灭 亡 。 该 剧 从 最 初 的 构 想 到 完 成 历 时 九 年 , 期 间 易 卜 生 还 创 作 了 另 外 两 部 具

On Julian’s Apostasy and Destruction in Emperor and Galilean / Bo Ling153有 影 响 力 的 戏 剧 《 布 兰 特 》 和 《 皮 尔 · 金 特 》。《 皇 帝 与 加 利 利 人 》 的 构 思 产生 于 这 两 部 剧 作 之 前 , 却 是 在 这 两 部 剧 作 之 后 才 最 终 完 成 , 这 三 部 作 品 在 主 题上 也 呈 现 出 某 种 一 致 性 , 都 表 现 了 伦 理 选 择 与 伦 理 身 份 之 间 的 关 系 和 对 人 性 的思 考 。 如 果 说 布 兰 特 始 终 恪 守 牧 师 伦 理 身 份 , 以 宗 教 理 性 引 导 自 己 的 每 一 次 行为 选 择 , 那 么 皮 尔 · 金 特 则 是 受 欲 望 驱 使 而 抛 弃 人 的 伦 理 身 份 和 伦 理 责 任 的 另一 极 端 。 在 《 皇 帝 与 加 利 利 人 》 中 易 卜 生 进 一 步 探 讨 了 伦 理 身 份 如 何 影 响 人 的伦 理 选 择 。 朱 利 安 的 命 运 是 他 不 断 进 行 伦 理 选 择 的 结 果 , 而 他 的 每 一 次 伦 理 选择 又 与 他 的 身 份 变 化 和 对 人 性 的 理 解 相 关 。 易 卜 生 通 过 朱 利 安 的 命 运 , 表 现 了人 作 为 斯 芬 克 斯 因 子 的 存 在 以 及 伦 理 选 择 在 个 人 命 运 发 展 中 的 重 要 性 。一 、 宗 教 选 择 与 人 性 思 考《 皇 帝 与 加 利 利 人 》 的 剧 名 暗 含 贯 穿 整 部 戏 剧 的 两 大 宗 教 矛 盾 , 即 当 时 罗马 的 国 教 基 督 教 和 敬 奉 奥 林 匹 亚 山 众 神 的 古 希 腊 多 神 教 。 罗 马 皇 帝 君 士 坦 丁 大帝 认 识 到 君 主 专 制 和 一 神 论 能 够 有 效 的 实 现 君 主 集 权 , 出 于 巩 固 皇 权 的 目 的 ,君 士 坦 丁 大 帝 宣 布 基 督 教 为 国 教 。 在 后 来 的 一 个 世 纪 里 , 基 督 教 与 皇 权 联 合 起来 控 制 了 社 会 生 活 的 方 方 面 面 , 曾 在 罗 马 有 着 重 要 影 响 的 古 希 腊 文 化 和 众 神 崇拜 逐 渐 被 取 代 。 到 朱 利 安 时 代 , 古 希 腊 文 化 和 宗 教 成 为 异 教 , 它 以 传 播 雄 辩 术的 方 式 存 在 , 其 目 的 是 使 基 督 教 徒 能 够 使 用 古 希 腊 辩 术 对 抗 异 教 徒 , 传 播 基 督教 文 化 , 起 到 以 夷 制 夷 的 作 用 。戏 剧 开 篇 接 连 出 现 的 两 个 神 启 将 朱 利 安 置 于 两 种 宗 教 的 选 择 之 中 。 朱 利 安出 生 时 他 的 母 亲 梦 到 了 阿 克 琉 斯 。 正 当 朱 利 安 向 阿 加 松 表 示 他 不 理 解 梦 的 含 义时 , 被 驱 逐 出 罗 马 的 异 教 哲 学 家 暗 示 朱 利 安 就 是 伟 大 的 异 教 徒 利 巴 尼 奥 斯 等 待的 精 神 上 的 “ 阿 克 琉 斯 ”, 他 说 朱 利 安 的 辩 才 和 对 希 腊 哲 学 的 热 诚 使 他 能 够 成为 未 来 新 王 国 的 领 导 人 。 异 教 哲 学 家 告 诉 朱 利 安 , 正 是 出 于 对 朱 利 安 才 能 的 畏惧 和 对 他 亲 近 希 腊 文 化 的 不 安 , 朱 利 安 的 导 师 黑 格 博 流 斯 才 不 得 不 假 借 异 教 徒利 巴 尼 奥 斯 的 名 义 不 断 散 布 谣 言 诽 谤 朱 利 安 , 以 图 在 朱 利 安 与 异 教 之 间 制 造 隔阂 。 在 惊 讶 黑 格 博 流 斯 的 所 作 所 为 完 全 违 背 基 督 教 教 义 之 余 , 朱 利 安 开 始 思 考神 启 的 含 义 。 与 此 同 时 , 阿 加 松 告 诉 朱 利 安 他 前 来 罗 马 同 样 是 出 于 神 的 启 示 。在 参 加 对 异 教 的 斗 争 后 , 阿 加 松 得 到 了 神 的 启 示 , 神 启 告 诉 他 朱 利 安 是 上 帝 选中 的 人 , 上 帝 需 要 朱 利 安 离 开 罗 马 “ 进 入 洞 穴 与 狮 子 战 斗 ”—— 即 让 朱 利 安 学习 敌 人 的 哲 学 , 像 保 罗 那 样 用 异 教 的 知 识 和 技 巧 打 败 异 教 徒 。 对 于 异 教 的 神 阿克 琉 斯 的 启 示 , 基 督 教 徒 阿 加 松 十 分 不 安 , 他 让 朱 利 安 坚 定 自 己 的 信 仰 , 相 信基 督 的 指 引 。一 个 是 做 异 教 “ 精 神 上 的 阿 克 琉 斯 ”, 一 个 是 像 基 督 教 徒 保 罗 一 样 “ 进 入洞 穴 与 狮 子 战 斗 ”。 两 种 选 择 都 指 引 朱 利 安 进 一 步 学 习 异 教 古 希 腊 文 化 , 但 是目 的 却 有 所 不 同 , 一 个 是 为 了 建 立 异 教 的 新 国 家 , 一 个 却 是 对 抗 异 教 从 而 巩 固基 督 教 。 面 对 两 种 选 择 , 朱 利 安 站 在 了 基 督 教 一 方 , 这 是 由 他 的 伦 理 身 份 决 定 的 。其 时 的 罗 马 皇 帝 君 士 坦 提 乌 斯 不 仅 沿 袭 了 基 督 教 国 教 制 度 , 更 进 一 步 巩 固 基 督

154 Forum for World Literature Studies教 的 地 位 以 加 强 君 主 集 权 。 作 为 罗 马 皇 帝 君 士 坦 提 乌 斯 的 侄 子 , 作 为 从 小 接 受基 督 教 教 育 的 教 徒 , 朱 利 安 毫 不 怀 疑 基 督 教 教 义 即 真 理 , 他 愤 恨 异 教 徒 利 巴 尼奥 斯 将 君 士 坦 丁 堡 变 成 了 亵 渎 神 灵 的 巴 比 伦 , 于 是 他 选 择 遵 循 基 督 教 的 启 示 ,离 开 罗 马 去 雅 典 , 去 异 教 徒 的 地 方 学 习 异 教 知 识 以 巩 固 基 督 教 的 地 位 。在 雅 典 期 间 , 朱 利 安 却 开 始 对 基 督 教 和 异 教 进 行 反 思 。 朱 利 安 的 反 思 源 于发 生 在 安 条 克 的 一 场 伦 理 犯 罪 。 受 人 尊 敬 的 亚 力 山 德 里 亚 人 克 莱 马 蒂 奥 斯 未 经法 律 审 判 就 被 处 决 , 原 因 竟 然 是 克 莱 马 蒂 奥 斯 拒 绝 了 岳 母 的 乱 伦 要 求 。 他 的 岳母 出 于 报 复 , 用 一 串 价 值 连 城 的 珍 珠 买 通 了 凯 撒 加 勒 斯 的 妻 子 , 买 到 了 处 死 克莱 马 蒂 奥 斯 的 处 决 令 。 这 一 桩 违 背 伦 常 的 事 件 使 整 个 安 条 克 成 了 被 诅 咒 的 城 市 :“ 骇 人 听 闻 的 无 耻 行 为 像 瘟 疫 一 样 在 安 条 克 流 传 开 来 , 一 切 罪 恶 活 动 都 已 苏 醒 ,从 最 阴 暗 的 角 落 里 爬 了 出 来 …… 仿 佛 一 个 臭 气 熏 天 的 深 渊 正 在 打 开 , 妻 子 告 发自 己 的 丈 夫 , 儿 子 告 发 他 们 的 父 亲 , 教 士 告 发 他 们 的 教 徒 ”(194)。 1当 朱 利安 听 闻 这 一 切 时 , 他 控 诉 到 :“ 是 啊 , 你 满 可 以 问 这 是 什 么 世 道 , 一 个 基 督 教杀 人 犯 , 一 个 信 基 督 的 淫 妇 , 一 个 女 基 督 徒 ——”(194)。 朱 利 安 从 这 桩 伦 理犯 罪 以 及 由 此 引 发 的 伦 理 混 乱 中 看 到 了 原 欲 引 起 的 罪 恶 。 这 一 切 发 生 在 基 督 教徒 身 上 的 事 实 使 朱 利 安 开 始 怀 疑 基 督 教 能 否 如 它 所 宣 扬 的 那 样 引 导 人 , 实 现 人的 精 神 净 化 。在 异 教 徒 的 身 上 , 朱 利 安 看 到 欲 望 以 及 由 欲 望 导 致 的 犯 罪 同 样 存 在 。 朱 利安 曾 试 图 运 用 异 教 徒 的 知 识 与 利 奥 巴 斯 展 开 世 俗 真 理 与 神 的 真 理 的 辩 论 , 然 而 ,他 发 现 与 真 理 相 比 , 以 利 奥 巴 斯 为 代 表 的 异 教 徒 更 看 中 物 质 欲 望 的 满 足 , 因 为学 生 的 供 奉 是 满 足 和 维 持 他 们 的 物 质 生 活 的 来 源 , 于 是 他 们 打 着 教 授 真 理 的 旗帜 , 为 抢 夺 学 生 大 打 出 手 。 对 利 奥 巴 斯 , 朱 利 安 这 样 评 论 到 :利 奥 巴 斯 知 识 渊 博 , 但 是 他 不 是 一 个 伟 人 。 利 奥 巴 斯 非 常 贪 婪 , 他 爱 虚 荣…… 他 可 以 详 述 各 种 美 德 的 本 质 和 标 志 。 这 一 切 他 了 如 指 掌 , 就 像 他 图 书室 里 的 书 伸 手 可 取 , 可 是 他 自 己 实 行 这 些 美 德 吗 ? 他 的 生 活 和 他 的 教 训 一致 吗 ? 他 算 是 苏 格 拉 底 和 柏 拉 图 的 继 承 人 —— 哈 哈 。(197)苏 格 拉 底 和 柏 拉 图 的 道 德 教 诲 没 能 让 利 奥 巴 斯 的 欲 望 受 到 理 性 的 约 束 。 他 对 美德 的 本 质 和 标 准 了 如 指 掌 , 然 而 在 现 实 生 活 中 却 仍 然 受 欲 望 的 控 制 , 其 行 为 毫无 美 德 可 言 。 朱 利 安 嘲 讽 利 奥 巴 斯 根 本 不 配 做 崇 尚 道 德 的 苏 格 拉 底 和 柏 拉 图 的继 承 人 。 此 时 , 朱 利 安 的 思 考 已 经 超 出 了 两 种 宗 教 本 身 而 上 升 到 伦 理 的 层 面 。他 对 安 条 克 犯 罪 的 控 诉 和 对 利 奥 巴 斯 的 评 价 表 现 了 他 对 人 性 思 考 , 尤 其 是 对 人的 欲 望 的 反 思 。 在 朱 利 安 看 来 , 无 论 是 基 督 教 徒 还 是 异 教 徒 , 当 他 们 的 欲 望 膨胀 时 , 教 义 只 是 他 们 用 来 掩 盖 欲 求 的 幌 子 。 物 欲 横 流 使 朱 利 安 发 出 “ 何 处 寻 找真 理 ” 的 感 叹 :从 东 到 西 都 有 对 我 的 呼 唤 , 要 求 我 拯 救 基 督 精 神 , 这 意 义 究 竟 何 在 ?

On Julian’s Apostasy and Destruction in Emperor and Galilean / Bo Ling155它 在 哪 里 ? 让 我 去 拯 救 的 基 督 精 神 又 在 哪 里 ? 在 皇 帝 身 上 还 是 凯 撒 身 上 ?我 觉 得 他 们 的 所 作 所 为 在 大 声 喊 叫 “ 不 要 , 不 要 ”。 难 道 在 好 色 的 半 人 半兽 的 朝 臣 身 上 ? 他 们 手 抚 肥 大 的 肚 子 , 哆 哆 嗦 嗦 地 问 “ 上 帝 之 子 是 创 造 于虚 无 之 中 吗 ?”…… 还 有 帝 国 境 内 大 批 衣 衫 褴 褛 的 民 众 , 他 们 捣 毁 庙 宇 ,杀 害 异 教 徒 和 异 教 徒 的 家 族 ! 他 们 这 样 干 也 是 为 了 基 督 吗 ? 哈 哈 —— 为 争夺 被 害 者 的 遗 物 , 他 们 自 己 又 你 争 我 夺 打 的 不 可 开 交 。…… 难 道 在 城 市 里 ?在 君 士 坦 丁 堡 的 面 包 师 身 上 ? 他 们 最 近 挥 拳 斗 殴 , 要 用 武 力 在 解 决 三 位 一体 到 底 是 三 个 人 还 是 由 三 种 神 性 的 有 形 体 现 而 组 成 。(205)朱 利 安 开 始 怀 疑 基 督 教 是 否 是 一 直 追 寻 的 真 理 。 在 以 基 督 教 为 国 教 的 罗 马 ,基 督 教 义 本 应 是 必 须 遵 守 的 伦 理 准 则 , 但 是 罗 马 皇 帝 的 所 作 所 为 却 与 其 信 奉 的教 义 背 道 而 驰 。 皇 帝 君 斯 坦 提 乌 斯 为 了 夺 得 王 位 , 杀 害 了 朱 利 安 一 家 十 一 口 人 ,并 对 朱 利 安 和 加 勒 斯 严 密 监 视 , 使 他 们 一 直 生 活 在 死 亡 的 恐 惧 中 。 为 了 消 除 朱利 安 同 胞 兄 弟 加 勒 斯 的 反 抗 隐 患 , 君 士 坦 提 乌 斯 立 加 勒 斯 为 皇 位 继 承 人 凯 撒 ,也 一 并 分 化 朱 利 安 与 加 勒 斯 , 消 除 他 们 联 合 谋 逆 的 可 能 。 而 凯 撒 加 勒 斯 在 安 条克 施 行 酷 政 , 他 的 妻 子 因 为 一 串 项 链 满 足 了 克 莱 马 蒂 奥 斯 乱 伦 的 岳 母 的 复 仇 欲望 。 不 仅 皇 室 贵 族 , 罗 马 城 民 也 打 着 维 护 基 督 的 旗 号 杀 害 异 教 徒 , 目 的 只 是 为了 满 足 自 己 的 物 欲 。 朱 利 安 用 “ 半 人 半 兽 ” 来 描 述 欲 望 膨 胀 的 朝 臣 , 他 的 描 述将 人 的 非 理 性 行 为 归 咎 于 人 身 上 的 失 控 的 动 物 本 能 , 即 人 身 上 的 兽 性 因 子 。 2 朱利 安 看 到 基 督 教 理 性 并 没 能 使 这 些 教 徒 的 动 物 本 能 得 到 约 束 , 反 而 成 为 他 们 满足 欲 望 的 工 具 , 因 此 朱 利 安 指 责 他 们 是 “ 半 人 半 猪 ”(202), 他 怀 疑 在 基 督教 中 能 够 找 到 “ 真 理 ” 的 存 在 。与 这 些 人 相 对 , 朱 利 安 在 苏 格 拉 底 , 柏 拉 图 , 俄 狄 浦 斯 , 米 迪 亚 等 人 身 上 看到 了 美 :“ 诗 文 酒 会 上 的 苏 格 拉 底 不 美 吗 ? 还 有 柏 拉 图 和 其 他 纵 情 求 欢 的 兄 弟们 …… 想 一 想 俄 狄 浦 斯 , 米 迪 亚 和 勒 达 吧 ”(202)。 在 基 督 教 徒 的 眼 中 这 些 异教 徒 是 罪 恶 的 , 而 朱 利 安 却 在 他 们 身 上 看 到 了 美 , 他 问 巴 锡 耳 :“ 告 诉 我 , 巴锡 耳 , 为 什 么 这 些 异 教 徒 的 罪 恶 这 么 美 ?”(202) 这 里 需 要 指 出 的 是 , 古 希 腊对 美 的 解 释 与 现 代 不 同 , 它 强 调 的 不 是 美 学 意 义 上 的 概 念 而 是 “ 美 ” 的 伦 理 内涵 。 3 换 句 话 说 , 美 意 味 着 道 德 高 尚 。 所 以 , 当 朱 利 安 说 在 苏 格 拉 底 , 柏 拉 图 ,俄 狄 浦 斯 等 的 身 上 看 到 了 美 , 他 意 味 着 在 他 们 身 上 看 到 了 伦 理 道 德 的 美 。苏 格 拉 底 和 柏 拉 图 的 哲 学 探 讨 伦 理 的 意 义 和 人 的 道 德 本 质 , 都 是 以 伦 理 道德 为 生 活 的 准 则 。 正 是 因 为 朱 利 安 对 当 时 罗 马 人 的 欲 望 膨 胀 和 道 德 堕 落 感 到 忧虑 , 所 以 他 将 目 光 投 向 古 希 腊 , 他 在 苏 格 拉 底 和 柏 拉 图 身 上 看 到 了 美 , 看 到 了伦 理 道 德 的 力 量 。 在 犯 下 伦 理 大 罪 的 俄 狄 浦 斯 和 米 迪 亚 身 上 , 朱 利 安 同 样 看 到了 伦 理 道 德 意 义 上 的 美 , 他 说 “ 如 果 有 人 指 责 半 人 半 猪 的 基 督 教 徒 也 干 了 他 们所 干 的 事 , 如 果 要 指 责 他 们 , 这 些 基 督 徒 就 会 向 上 帝 发 誓 , 矢 口 否 认 的 。 想 一想 俄 狄 浦 斯 , 米 迪 亚 和 勒 达 吧 ”(202)。 这 表 明 , 在 朱 利 安 看 来 , 俄 狄 浦 斯 与这 些 基 督 徒 有 所 不 同 , 因 为 他 敢 于 面 对 自 己 犯 下 的 罪 恶 。 朱 利 安 认 为 俄 狄 浦 斯

156 Forum for World Literature Studies尽 管 犯 下 乱 伦 之 罪 , 但 是 他 自 始 自 终 是 一 个 具 有 伦 理 意 识 的 人 , 在 发 现 自 己 是犯 下 杀 父 娶 母 的 乱 伦 大 罪 的 元 凶 后 , 俄 狄 浦 斯 强 烈 的 伦 理 意 识 促 使 他 挖 下 自 己的 眼 睛 , 正 如 聂 珍 钊 教 授 所 指 出 的 , 俄 狄 浦 斯 的 悲 剧 “ 是 一 个 在 伦 理 和 道 德 上自 我 发 现 、 自 我 认 识 和 自 我 救 赎 的 悲 剧 , 自 始 至 终 都 是 他 的 伦 理 意 识 在 起 作 用 ”( 聂 珍 钊 2006:116)。 而 米 迪 亚 悲 剧 的 伦 理 意 义 同 样 在 于 此 , 尽 管 她 毒 死 伊阿 宋 的 新 娘 并 杀 死 自 己 的 孩 子 做 法 源 于 被 伊 阿 宋 抛 弃 后 失 控 的 愤 怒 情 绪 , 但 是由 于 她 犯 下 的 弑 子 伦 理 大 罪 , 仍 然 受 到 了 命 运 严 厉 的 惩 罚 。 而 基 督 教 徒 并 非 不犯 罪 , 而 是 否 认 自 己 的 罪 行 。 因 此 朱 利 安 看 到 的 美 , 是 指 俄 狄 浦 斯 伦 理 意 识 所表 现 出 的 道 德 美 , 是 指 古 希 腊 悲 剧 中 对 弑 父 娶 母 , 杀 害 亲 生 子 的 伦 理 禁 忌 的 严厉 惩 罚 而 起 到 的 警 示 作 用 , 而 这 正 是 “ 半 人 半 猪 ” 的 基 督 教 徒 所 缺 乏 的 伦 理 教 诲 。除 伦 理 意 义 外 , 在 朱 利 安 对 古 希 腊 文 化 赞 美 中 还 暗 含 着 另 一 层 对 人 性 的 思考 。 他 赞 美 “ 诗 文 酒 会 ” 上 的 苏 格 拉 底 , 柏 拉 图 和 “ 纵 情 求 欢 ” 的 兄 弟 , 亚 西 比 德 ,以 及 希 腊 神 话 中 的 勒 达 。 这 表 明 朱 利 安 并 不 否 认 或 者 回 避 人 的 自 然 本 性 和 欲 望 ,他 所 崇 尚 的 古 希 腊 文 明 , 不 仅 仅 具 有 伦 理 道 德 的 指 导 意 义 , 也 包 含 对 人 的 本 能的 正 视 。 正 如 布 莱 恩 · 约 翰 斯 顿 (Brain Johnston) 所 指 出 的 , 朱 利 安 的 此 番 表述 反 映 了 “ 从 基 督 教 对 肉 体 和 思 想 双 重 压 迫 中 觉 醒 的 十 九 世 纪 的 反 思 ”(247)。朱 利 安 认 为 基 督 教 通 过 对 本 能 的 回 避 与 压 制 来 实 现 精 神 救 赎 是 一 个 谎 言 , 他 批评 基 督 教 对 人 的 自 然 本 性 , 尤 其 是 自 然 情 感 的 压 抑 , 认 为 这 是 基 督 教 控 制 人 的自 由 意 愿 的 手 段 :自 从 那 个 加 利 利 的 先 知 成 为 世 界 的 舵 手 , 人 性 成 了 违 禁 品 。 按 他 说 是 , 生命 应 该 死 亡 , 爱 与 恨 同 样 是 罪 恶 。 他 使 人 的 血 肉 发 生 变 化 了 吗 ? 离 不 开 大地 的 人 就 不 再 是 从 前 的 人 了 吗 ? 我 们 内 心 最 深 处 健 康 的 灵 魂 应 该 抗 拒 这 一切 。 我 们 应 该 有 的 意 愿 , 偏 偏 违 背 我 们 自 己 的 意 志 。(339)基 督 教 强 调 现 世 赎 罪 , 压 制 一 切 人 的 自 然 情 感 和 欲 望 , 使 活 着 时 与 死 无 异 , 甚至 要 用 死 来 实 现 自 我 救 赎 , 朱 利 安 质 疑 基 督 教 能 够 因 此 使 人 的 血 肉 发 生 变 化 ,得 到 灵 魂 的 重 生 。 在 朱 利 安 看 来 , 基 督 教 一 方 面 以 压 抑 人 的 自 然 本 性 的 方 式 成为 统 治 者 控 制 自 由 意 志 , 实 现 统 治 欲 望 的 工 具 , 另 一 方 面 基 督 教 理 性 不 仅 不 能使 人 的 自 然 本 性 得 到 理 性 的 引 导 和 控 制 , 反 而 成 为 满 足 欲 望 的 工 具 。朱 利 安 对 基 督 教 和 古 希 腊 文 化 的 思 考 反 映 了 他 对 人 的 认 识 , 人 即 是 他 口 中所 说 的 “ 半 人 半 兽 ” 的 生 物 。 从 文 学 伦 理 学 批 评 的 角 度 来 看 ,“ 半 人 半 兽 ” 是斯 芬 克 斯 因 子 的 表 现 。 斯 芬 克 斯 因 子 由 两 部 分 组 成 , 即 人 性 因 子 和 兽 性 因 子 。人 性 因 子 即 人 的 伦 理 意 识 , 是 指 人 能 够 分 辨 善 恶 的 能 力 , 而 兽 性 因 子 是 人 在 进化 过 程 中 动 物 本 能 的 残 留 , 是 人 身 上 非 理 性 的 因 素 。 朱 利 安 承 认 人 的 动 物 本 能 ,即 欲 望 的 存 在 , 但 是 他 对 苏 格 拉 底 , 柏 拉 图 , 俄 狄 浦 斯 的 推 崇 表 明 他 重 视 人 的伦 理 意 识 的 引 导 作 用 , 认 为 只 有 当 人 的 自 然 本 能 处 于 伦 理 意 识 的 控 制 之 下 时 ,人 才 能 实 现 真 正 的 灵 肉 和 谐 。 朱 利 安 认 为 与 基 督 相 比 , 真 正 实 现 灵 肉 和 谐 的 人

On Julian’s Apostasy and Destruction in Emperor and Galilean / Bo Ling157是 亚 当 , 这 进 一 步 说 明 朱 利 安 对 伦 理 意 识 的 重 视 。 在 基 督 教 教 义 中 , 亚 当 因 为欲 望 而 吃 下 智 慧 树 上 的 果 实 , 犯 下 原 罪 , 因 此 作 为 亚 当 后 代 的 人 类 均 打 上 了 原罪 的 烙 印 , 应 该 通 过 苦 修 和 对 欲 望 的 克 制 来 实 现 自 我 救 赎 。 然 而 , 从 伦 理 的 角度 来 看 , 伊 甸 园 中 的 亚 当 一 开 始 与 其 他 动 物 并 没 有 区 别 , 他 按 照 上 帝 的 塑 造 ,与 其 他 动 物 一 样 按 照 自 己 的 自 然 本 性 生 活 。 当 他 吃 下 智 慧 树 上 的 果 实 后 , 才 具有 了 伦 理 意 识 , 知 道 了 善 恶 美 丑 , 也 就 拥 有 了 自 己 的 自 由 意 志 , 才 真 正 的 将 自己 与 动 物 区 别 开 ( 聂 珍 钊 2011:4)。 亚 当 具 有 人 的 欲 望 , 但 是 却 通 过 伦 理 选择 获 得 了 明 辨 善 恶 的 伦 理 意 识 , 从 而 将 自 己 与 动 物 区 分 开 , 朱 利 安 将 亚 当 作 为灵 肉 和 谐 的 完 美 代 表 , 表 明 他 既 承 认 人 的 本 能 和 欲 望 的 存 在 , 又 希 望 人 能 够 通过 自 己 的 伦 理 意 识 实 现 肉 体 欲 望 与 精 神 的 和 谐 。朱 利 安 的 思 考 表 明 , 他 此 时 所 面 对 的 并 非 是 在 异 教 和 基 督 教 之 间 的 宗 教 选择 , 而 是 一 种 伦 理 选 择 , 即 在 异 教 和 基 督 教 之 间 , 如 何 选 择 才 能 唤 醒 人 的 伦 理意 识 , 使 膨 胀 的 欲 望 能 够 得 到 伦 理 意 识 的 规 范 和 指 引 , 真 正 实 现 肉 体 和 精 神 和 谐 。面 对 由 欲 望 泛 滥 造 成 的 罗 马 社 会 伦 理 混 乱 , 此 时 的 朱 利 安 就 像 是 希 望 能 够 以 自己 的 力 量 恢 复 社 会 秩 序 的 哈 姆 莱 特 , 他 希 望 能 够 像 亚 当 那 样 作 出 正 确 的 伦 理 选择 。二 、 凯 撒 朱 利 安 的 背 叛在 《 皇 帝 与 加 利 利 人 》 中 , 基 督 教 与 异 教 的 矛 盾 表 现 了 由 奥 林 匹 亚 众 神 代表 的 肉 体 帝 国 , 也 就 是 异 教 的 美 , 与 受 难 的 基 督 所 代 表 的 基 督 教 精 神 帝 国 , 也就 是 基 督 教 牺 牲 精 神 之 间 的 矛 盾 冲 突 。 而 在 崇 尚 自 我 牺 牲 , 否 定 现 世 肉 体 欲 望 ,期 盼 精 神 升 华 的 基 督 教 徒 身 上 , 朱 利 安 看 到 了 无 法 抑 制 的 欲 望 以 及 由 此 造 成 的犯 罪 , 在 被 基 督 教 视 为 罪 恶 的 , 推 崇 世 俗 生 活 享 受 的 异 教 徒 身 上 , 朱 利 安 看 到了 推 崇 伦 理 道 德 的 美 。 因 此 隐 藏 在 宗 教 矛 盾 之 下 的 , 是 更 为 普 遍 的 矛 盾 , 即 人本 能 欲 望 与 伦 理 意 识 , 人 性 因 子 与 兽 性 因 子 , 灵 与 肉 之 间 的 矛 盾 , 这 一 “ 二 元对 立 的 冲 突 使 人 类 生 活 问 题 重 重 , 并 在 人 类 生 活 中 不 间 断 的 上 演 ”(NormanRhodes,113)。 朱 利 安 为 了 选 择 能 够 真 正 实 现 灵 肉 和 谐 的 真 理 , 前 往 以 弗 所 ,希 望 马 克 西 莫 斯 能 够 为 他 指 明 道 路 。马 克 西 莫 斯 通 过 通 灵 的 法 术 , 让 朱 利 安 见 到 了 两 个 灵 魂 , 这 两 个 灵 魂 被 马克 西 莫 斯 称 为 人 类 历 史 上 第 一 帝 国 和 第 二 帝 国 的 奠 基 石 。 第 一 个 是 该 隐 , 而 第二 个 则 是 犹 大 。 该 隐 背 叛 了 他 的 兄 弟 亚 伯 , 被 上 帝 流 放 到 荒 漠 , 建 立 了 人 类 的第 一 个 城 市 , 后 来 发 展 成 为 人 类 文 明 的 父 系 社 会 。 而 犹 大 背 叛 了 基 督 , 基 督 的血 却 为 人 类 的 罪 恶 赎 罪 。 从 神 话 的 角 度 来 说 , 人 类 的 进 化 与 发 展 有 赖 于 毁 灭 与创 造 构 成 的 不 间 断 的 循 环 , 因 此 该 隐 的 毁 灭 , 带 来 人 类 物 质 社 会 的 发 展 和 最 初的 家 长 制 社 会 建 立 , 而 犹 大 的 毁 灭 则 带 来 基 督 为 人 类 的 殉 难 , 从 而 使 人 类 社 会进 入 基 督 教 的 精 神 世 界 。 4 马 克 西 莫 斯 告 诉 朱 利 安 , 他 将 是 第 三 个 帝 国 的 奠 基 人 。而 正 是 这 个 第 三 帝 国 , 可 以 帮 助 朱 利 安 实 现 灵 与 肉 的 和 谐 :

158 Forum for World Literature Studies马 克 西 莫 斯 第 一 个 是 建 立 在 认 知 之 树 上 的 帝 国 —— 第 二 个 是 建 立 在 十 字架 上 的 帝 国 。朱 利 安 第 三 个 呢 ?马 克 西 莫 斯 第 三 个 是 奥 秘 的 帝 国 , 它 建 立 在 认 知 之 树 和 十 字 架 之 上 。 因为 它 对 二 者 即 恨 又 爱 , 因 为 他 生 命 的 源 泉 即 在 亚 当 的 树 林 , 也 在 各 各 他 。(221)马 克 西 莫 斯 所 描 绘 的 第 一 帝 国 和 第 二 帝 国 展 现 了 人 类 社 会 发 展 的 两 个 阶 段 。 人类 社 会 发 展 初 期 , 以 满 足 人 类 繁 衍 需 求 的 物 质 生 产 为 主 , 古 希 腊 众 神 传 说 表 现人 的 自 然 本 性 , 是 以 生 殖 繁 衍 为 主 的 社 会 发 展 时 期 的 表 现 ; 而 强 调 自 我 牺 牲 ,克 制 本 能 与 欲 望 , 以 苦 修 生 活 换 得 精 神 救 赎 的 基 督 教 时 期 , 则 是 人 类 完 成 了 从动 物 到 人 的 生 物 选 择 后 , 以 基 督 教 教 义 作 为 伦 理 法 则 的 伦 理 选 择 , 是 人 类 进 入精 神 世 界 的 阶 段 。 而 马 克 西 莫 斯 预 言 的 第 三 帝 国 则 是 这 两 者 的 结 合 , 它 源 于 第一 帝 国 , 是 亚 当 吃 下 智 慧 果 实 后 的 诞 生 的 世 界 , 这 意 味 着 第 三 帝 国 承 认 人 的 自然 本 性 , 即 欲 望 和 本 能 的 存 在 , 但 是 强 调 伦 理 的 作 用 。 尽 管 基 督 教 统 治 的 第 二帝 国 是 人 类 社 会 进 入 伦 理 社 会 的 标 志 , 代 表 人 类 社 会 精 神 发 展 的 较 高 阶 段 , 但 是 ,基 督 教 以 人 的 自 然 本 性 为 罪 恶 的 标 志 , 因 此 走 入 试 图 完 全 压 制 人 的 自 然 欲 望 的极 端 。 而 只 有 第 三 帝 国 才 是 灵 肉 和 谐 的 发 展 阶 段 , 因 为 它 “ 吸 收 了 异 教 主 义 和极 端 教 义 , 如 他 所 设 想 的 那 样 , 成 为 人 类 成 熟 的 标 志 。 与 人 类 社 会 异 教 的 幼 年期 和 基 督 教 的 成 年 期 有 所 不 同 ,…… 使 冲 突 的 精 神 与 肉 体 和 解 ”。 5然 而 , 此 时 的 朱 利 安 没 有 听 从 马 克 西 莫 斯 的 指 导 , 作 出 背 叛 罗 马 建 立 第 三帝 国 的 选 择 , 这 是 由 他 的 伦 理 身 份 决 定 的 。 该 隐 和 犹 大 的 背 叛 者 身 份 暗 示 朱 利安 将 会 成 为 基 督 教 帝 国 的 背 叛 者 , 他 必 须 像 该 隐 和 犹 大 一 样 才 能 完 成 这 一 使 命 ,因 此 朱 利 安 惊 恐 地 拒 绝 马 克 西 莫 斯 的 指 引 , 因 为 尽 管 他 看 到 了 基 督 教 统 治 下 仍然 存 在 着 由 于 欲 望 导 致 的 各 种 犯 罪 , 并 且 急 迫 地 想 要 找 到 解 决 的 途 径 , 但 是 作为 罗 马 国 民 , 基 督 教 徒 , 罗 马 皇 帝 的 血 亲 及 臣 子 , 他 无 法 通 过 背 叛 自 己 的 国 家 ,自 己 的 宗 教 , 背 叛 与 自 己 有 着 血 缘 关 系 和 君 臣 关 系 的 君 士 坦 提 乌 斯 来 实 现 这 一目 的 。 朱 利 安 的 伦 理 身 份 决 定 了 他 的 伦 理 责 任 , 而 作 为 一 个 推 崇 伦 理 道 德 , 具有 伦 理 意 识 的 人 , 朱 利 安 几 次 拒 绝 推 翻 皇 帝 君 士 坦 提 乌 斯 。 在 他 被 任 命 为 凯 撒并 且 在 抵 御 敌 国 的 战 争 中 取 得 胜 利 后 , 面 对 宫 廷 中 朝 臣 的 诽 谤 和 嘲 讽 , 面 对 海伦 娜 的 怂 恿 , 他 所 想 的 还 是 如 他 原 来 的 期 望 一 样 , 去 一 个 偏 僻 的 地 方 生 活 , 去建 立 属 于 他 的 新 的 世 界 。 甚 至 在 君 士 坦 提 乌 斯 听 到 兵 变 传 言 , 慌 忙 出 逃 后 , 朱利 安 仍 然 打 算 将 兵 权 归 还 与 他 。 所 有 这 一 切 都 表 明 朱 利 安 对 伦 理 的 遵 从 。但 是 , 随 着 剧 情 的 推 进 , 当 皇 帝 君 士 坦 提 乌 斯 谋 划 的 一 系 列 阴 谋 的 暴 露 后 ,朱 利 安 最 终 做 出 了 推 翻 罗 马 君 主 的 选 择 。 君 士 坦 提 乌 斯 出 于 分 化 他 和 加 勒 斯 的目 的 , 首 先 封 加 勒 斯 为 凯 撒 , 却 又 出 于 对 加 勒 斯 的 怀 疑 , 密 谋 害 死 了 加 勒 斯 ,为 了 稳 定 朱 利 安 , 又 封 朱 利 安 为 凯 撒 , 并 在 他 出 战 退 敌 期 间 , 迅 速 新 娶 王 后 ,以 此 谋 划 一 个 新 的 帝 位 继 承 人 。 君 士 坦 提 乌 斯 的 一 系 列 举 动 客 观 上 造 成 了 朱 利

On Julian’s Apostasy and Destruction in Emperor and Galilean / Bo Ling159安 身 份 的 变 化 , 他 意 识 到 自 己 不 再 是 罗 马 帝 国 的 臣 子 , 而 是 一 直 被 罗 马 皇 帝 阴谋 迫 害 的 人 , 君 士 坦 提 乌 斯 切 断 了 君 臣 之 间 的 伦 理 关 系 , 使 朱 利 安 失 去 了 为 人臣 的 身 份 , 也 因 而 不 需 要 再 承 担 这 一 身 份 所 负 有 的 伦 理 责 任 。 同 时 , 朱 利 安 认识 到 , 在 君 士 坦 提 乌 斯 政 教 一 体 的 集 权 统 治 下 , 所 谓 的 宗 教 理 性 , 并 非 真 正 意义 上 的 伦 理 意 识 , 而 是 压 制 人 的 本 性 和 自 由 意 愿 从 而 巩 固 集 权 统 治 工 具 :我 明 白 了 君 士 坦 丁 大 帝 为 什 么 让 这 种 束 缚 意 志 的 教 义 在 他 的 帝 国 境 内 取 得胜 利 和 权 威 。 布 置 在 皇 宫 四 周 的 持 矛 置 盾 的 近 卫 军 远 没 有 这 种 直 指 尘 世 生活 之 上 的 , 征 服 人 心 的 信 仰 来 的 可 靠 。 你 仔 细 观 察 过 这 些 基 督 徒 没 有 ? 眼窝 深 陷 , 两 颊 无 光 , 胸 脯 平 摊 。 各 个 全 都 如 此 。 他 们 完 全 像 纺 织 裹 尸 布 的工 人 。 他 们 无 所 追 求 , 在 沉 默 中 消 磨 自 己 的 一 生 。 太 阳 为 他 们 照 耀 , 而 他们 却 看 不 见 , 大 地 供 给 他 们 富 饶 的 一 切 , 而 他 们 却 无 此 需 要 — 他 们 唯 一 的愿 望 是 弃 知 绝 欲 , 忍 受 痛 苦 , 然 后 他 们 便 可 以 死 去 。(280)身 份 的 变 化 和 对 人 性 的 思 考 使 朱 利 安 做 出 了 最 重 要 的 伦 理 选 择 , 即 推 翻 君 士 坦提 乌 斯 的 统 治 。 朱 利 安 的 背 叛 一 开 始 与 其 说 是 出 于 权 力 欲 望 的 驱 使 , 不 如 说 是为 了 真 正 建 立 一 个 神 启 所 指 示 的 第 三 帝 国 。 他 是 罗 马 基 督 教 的 反 叛 者 , 他 的 反叛 出 于 对 社 会 道 德 堕 落 的 观 察 , 出 于 对 压 制 人 性 的 思 想 的 反 抗 。推 翻 君 士 坦 提 乌 斯 后 , 朱 利 安 成 为 罗 马 皇 帝 。 基 于 他 对 人 性 的 观 察 和 思 考 ,朱 利 安 选 择 通 过 恢 复 古 希 腊 宗 教 的 方 式 建 立 灵 肉 和 谐 的 第 三 帝 国 。 朱 利 安 修 缮众 神 的 神 庙 , 以 传 统 的 祭 祀 仪 式 对 奥 林 匹 亚 山 上 的 神 进 行 祭 拜 。 与 此 同 时 , 朱利 安 并 不 禁 止 基 督 教 徒 继 续 按 照 他 们 的 信 仰 生 活 , 他 表 示 他 尊 重 自 由 选 择 的 权利 , 并 希 望 在 恢 复 古 希 腊 教 义 后 , 基 督 教 徒 能 够 自 己 认 识 到 基 督 教 的 不 足 。 朱利 安 对 希 腊 众 神 教 的 恢 复 不 是 完 全 重 建 希 腊 众 神 崇 拜 中 人 的 欲 望 的 无 限 释 放 ,而 是 带 有 理 性 修 正 的 性 质 。 他 试 图 在 尊 重 人 的 本 能 的 同 时 , 用 理 性 和 克 制 予 以引 导 。 朱 利 安 遵 守 一 种 近 似 斯 多 葛 学 派 的 生 活 法 则 。 刚 刚 登 上 皇 位 时 , 他 祈 祷不 要 陷 入 权 利 的 诱 惑 和 野 心 的 泥 坑 , 面 对 属 下 对 他 的 赞 颂 , 他 非 常 理 智 地 予 以拒 绝 。 朱 利 安 致 力 于 纠 正 宫 廷 中 奢 华 生 活 , 改 变 在 君 士 坦 提 乌 斯 在 位 时 人 们 利用 宗 教 信 仰 满 足 自 我 欲 望 的 错 误 做 法 。 他 辞 退 所 有 奢 侈 的 仆 役 , 重 新 采 取 适 当的 节 俭 措 施 。 同 时 , 朱 利 安 通 过 阅 读 古 籍 , 努 力 证 明 在 推 崇 人 的 本 性 的 古 希 腊宗 教 中 存 在 着 智 慧 与 知 识 , 存 在 对 世 界 万 物 所 遵 循 的 伦 理 法 则 。 他 认 为 狄 奥 尼索 斯 是 激 发 诗 人 和 哲 人 灵 感 的 源 泉 , 敬 奉 古 希 腊 神 的 僧 侣 按 教 义 只 能 食 用 高 处生 长 的 果 实 , 这 是 灵 魂 渴 望 向 上 , 向 往 真 理 的 表 现 。 朱 利 安 试 图 从 古 希 腊 宗 教中 总 结 出 规 范 人 们 生 活 的 法 则 , 证 明 恢 复 古 希 腊 众 神 崇 拜 并 非 是 导 向 肉 体 崇 拜的 退 化 , 而 是 通 往 灵 肉 和 谐 的 途 径 。 对 朱 利 安 , 罗 马 市 民 曾 经 有 这 样 的 评 价 :“ 他走 路 是 眼 睛 低 垂 , 规 规 矩 矩 。 我 告 诉 你 们 , 他 是 正 派 的 , 他 不 看 女 人 。 我 敢 打 赌 ,从 他 妻 子 去 世 后 , 他 很 少 有 — 你 看 , 他 整 夜 写 作 , 所 以 他 的 手 指 像 染 匠 一 般 黑 ”(342)。 可 见 , 朱 利 安 举 行 祭 祀 狄 奥 尼 索 斯 的 仪 式 意 在 唤 醒 自 然 本 性 与 自 由 意 愿 ,

160 Forum for World Literature Studies但 是 并 非 强 调 欲 望 超 越 理 智 的 至 高 地 位 , 正 如 约 翰 · 斯 通 所 说 :“ 背 教 者 朱 利安 试 图 恢 复 异 教 精 神 , 但 是 他 所 遵 从 的 异 教 教 义 没 有 狄 奥 尼 索 斯 的 狂 野 , 非 理性 以 及 放 纵 , 而 更 多 的 是 马 克 奥 勒 留 以 及 斯 多 葛 学 派 的 节 制 。 他 的 气 质 更 像 是是 他 那 些 冷 静 严 肃 的 基 督 教 朋 友 , 格 雷 戈 里 和 巴 兹 尔 ”。 6 这 表 明 , 面 对 基 督 教与 异 教 , 朱 利 安 根 据 自 己 对 人 性 的 理 解 , 作 出 了 选 择 , 他 试 图 通 过 自 己 的 努 力 ,通 过 恢 复 古 希 腊 文 化 , 寻 找 实 现 灵 肉 和 谐 的 第 三 帝 国 的 途 径 。三 、 皇 帝 朱 利 安 的 毁 灭推 翻 君 士 坦 提 乌 斯 , 成 为 罗 马 新 的 皇 帝 后 , 朱 利 安 的 伦 理 身 份 发 生 了 变 化 。而 这 一 变 化 使 他 恢 复 古 希 腊 宗 教 以 实 现 灵 肉 和 谐 的 初 衷 也 开 始 发 生 变 化 。 当 基督 教 徒 强 烈 反 对 朱 利 安 恢 复 异 教 的 主 张 , 并 公 开 予 以 抵 抗 时 , 朱 利 安 认 识 到 恢复 古 希 腊 众 神 教 不 仅 具 有 伦 理 上 的 重 要 性 , 更 具 有 政 治 统 治 需 求 上 的 紧 迫 性 。罗 马 皇 帝 的 伦 理 身 份 使 朱 利 安 对 古 希 腊 神 的 敬 奉 逐 渐 具 有 了 巩 固 统 治 的 政 治 意义 。 所 以 , 朱 利 安 开 始 清 除 异 教 , 任 命 利 维 塔 调 查 所 有 君 士 坦 提 乌 斯 任 命 的 基督 教 官 员 , 利 用 酒 神 的 庆 典 来 试 探 民 众 对 恢 复 古 希 腊 众 神 教 的 态 度 。 他 开 始 变成 另 一 个 君 士 坦 提 乌 斯 , 试 图 运 用 宗 教 信 仰 控 制 人 民 的 思 想 和 意 志 , 以 巩 固 自己 的 统 治 , 只 是 他 选 择 的 宗 教 与 君 士 坦 提 乌 斯 有 所 不 同 。巩 固 政 权 的 欲 望 蒙 蔽 了 朱 利 安 的 双 眼 , 他 曾 经 能 够 辨 别 利 用 宗 教 满 足 私 欲的 意 图 , 而 现 在 他 却 无 法 认 清 那 些 为 了 满 足 自 我 欲 望 而 在 信 仰 之 间 摇 摆 的 人 。宫 廷 理 发 师 和 朱 利 安 的 老 师 黑 格 博 流 斯 , 曾 经 是 虔 诚 的 基 督 教 徒 , 然 而 在 朱 利安 成 为 罗 马 皇 帝 后 , 立 即 抛 弃 基 督 教 , 皈 依 古 希 腊 众 神 崇 拜 , 这 在 朱 利 安 看 来 ,他 们 的 举 动 是 对 自 己 天 授 神 权 的 承 认 和 对 新 的 宗 教 的 虔 诚 信 仰 。 此 时 的 朱 利 安已 经 没 有 了 明 辨 是 非 善 恶 的 伦 理 意 识 , 他 判 断 正 误 的 唯 一 标 准 是 是 否 遵 循 他 所推 崇 的 宗 教 信 仰 。 对 于 转 投 古 希 腊 众 神 的 教 的 人 , 即 便 犯 罪 也 予 以 原 谅 , 而 对基 督 教 徒 则 给 予 无 情 的 打 击 。 为 了 惩 罚 信 奉 基 督 教 的 安 条 克 人 , 朱 利 安 任 命 粗暴 无 礼 , 没 有 任 何 正 义 感 的 亚 历 山 德 罗 作 为 安 条 克 的 新 总 督 , 命 他 烧 毁 基 督 教的 经 文 , 鞭 打 基 督 教 徒 使 安 条 克 人 陷 入 恐 慌 和 灾 难 中 。 此 时 朱 利 安 已 经 背 离 了他 建 立 灵 肉 和 谐 的 第 三 帝 国 的 初 衷 , 他 为 了 建 立 自 己 的 权 威 巩 固 政 权 , 肆 意 压制 人 民 的 自 由 意 愿 , 剥 夺 他 们 生 存 的 权 力 。 他 曾 经 反 对 基 督 教 对 人 的 自 然 本 性的 压 迫 , 现 在 却 在 安 条 克 人 生 活 必 需 都 无 法 满 足 的 情 况 下 浪 费 财 物 祭 祀 古 希 腊神 灵 。 当 异 教 徒 掠 夺 基 督 教 徒 的 财 物 , 将 他 们 赶 出 自 己 的 住 所 时 , 朱 利 安 却 辩称 这 正 是 为 了 帮 助 基 督 教 徒 按 其 教 义 所 指 , 抛 弃 一 切 物 质 欲 望 从 而 进 行 精 神 的苦 修 。在 推 翻 君 士 坦 提 乌 斯 的 过 程 中 , 朱 利 安 实 现 了 一 系 列 神 启 的 暗 示 , 他 穿 上了 皇 帝 的 紫 袍 , 实 现 了 公 民 阿 波 灵 拿 看 到 的 穿 紫 袍 的 幻 象 , 君 士 坦 提 乌 斯 将 海伦 娜 许 配 给 他 , 他 认 为 自 己 获 得 建 立 新 的 帝 国 的 纯 洁 的 女 子 , 即 便 是 反 抗 君 士坦 提 乌 斯 时 看 似 不 详 的 预 兆 也 被 证 明 是 天 神 给 他 的 指 引 , 使 他 顺 利 地 推 翻 了 君士 坦 提 乌 斯 的 政 权 。 由 此 , 朱 利 安 认 定 自 己 是 被 上 天 选 中 的 拯 救 者 , 是 母 亲 梦

On Julian’s Apostasy and Destruction in Emperor and Galilean / Bo Ling161中 的 阿 克 琉 斯 。 在 狄 密 史 台 斯 和 马 莫 提 乌 斯 等 人 的 吹 捧 之 下 , 朱 利 安 渐 渐 忘 记了 自 己 的 初 衷 , 他 将 阿 谀 奉 承 的 狄 密 史 台 斯 和 马 莫 提 乌 斯 委 以 重 任 , 与 他 初 登王 位 时 , 面 对 奉 承 表 现 出 来 的 理 智 大 相 径 庭 。 为 了 证 明 自 己 才 是 天 命 的 统 治 者 ,朱 利 安 派 遣 校 官 约 维 安 在 耶 路 撒 冷 重 建 基 督 预 言 将 永 劫 不 复 的 神 庙 。 他 试 图 用暴 力 让 基 督 教 徒 承 认 , 全 世 界 的 权 威 是 朱 利 安 皇 帝 而 不 是 加 利 利 的 预 言 家 。 当重 建 耶 路 撒 冷 神 庙 的 失 败 被 基 督 教 徒 看 做 是 上 帝 对 朱 利 安 的 惩 罚 时 , 朱 利 安 进一 步 认 识 到 基 督 教 已 经 成 为 他 的 统 治 的 障 碍 :这 个 耶 稣 基 督 是 有 史 以 来 最 大 的 叛 乱 者 。 与 他 相 比 , 布 鲁 图 斯 算 什 么 ——卡 西 乌 斯 又 算 什 么 ? 后 两 人 只 不 过 谋 害 尤 里 乌 斯 凯 撒 一 人 , 而 前 者 却 谋 害所 有 称 为 凯 撒 和 奥 古 斯 都 的 人 ! 能 够 想 象 皇 帝 和 加 利 利 人 之 间 会 有 和 平吗 ?…… 他 生 活 与 人 们 的 反 抗 意 识 之 中 , 生 活 于 对 所 有 可 见 权 力 的 反 抗 和藐 视 之 中 。 皇 帝 的 都 归 皇 帝 , 上 帝 的 都 归 是 上 帝 — 再 也 没 有 比 这 更 狡 猾 的说 法 了 。 这 意 味 着 什 么 ? 那 属 于 皇 帝 的 还 有 多 少 ? 这 种 说 法 就 像 是 一 根 把皇 冠 从 皇 权 头 上 打 落 的 大 头 棒 。(383)在 成 为 罗 马 皇 帝 之 前 , 朱 利 安 反 对 基 督 教 的 原 因 之 一 是 基 督 教 是 君 士 坦 提乌 斯 集 权 统 治 的 工 具 , 因 此 他 的 反 叛 就 是 为 了 解 放 人 的 天 性 并 赋 予 人 民 自 由 选择 的 权 利 , 同 时 使 人 的 本 能 欲 望 受 到 伦 理 道 德 的 引 导 。 而 现 在 , 成 为 罗 马 皇 帝 后 ,他 与 君 士 坦 提 乌 斯 一 样 试 图 实 现 政 教 统 一 , 从 思 想 上 统 治 人 民 。 基 督 教 徒 的 出于 信 仰 意 愿 的 反 抗 被 朱 利 安 看 作 是 对 君 主 权 威 的 藐 视 。 如 果 将 此 处 朱 利 安 对 “ 皇帝 的 都 归 皇 帝 , 上 帝 的 都 归 上 帝 ” 这 句 话 的 理 解 与 第 一 部 中 模 拟 审 判 时 的 理 解进 行 对 比 , 则 不 难 发 现 朱 利 安 伦 理 身 份 变 化 带 来 的 认 识 变 化 。 在 模 拟 审 判 中 ,朱 利 安 为 自 己 拒 绝 向 皇 帝 纳 税 作 出 辩 解 , 他 向 扮 成 法 官 的 格 雷 戈 里 问 道 如 果 上帝 的 都 归 上 帝 , 皇 帝 的 都 归 皇 帝 , 那 么 臣 民 的 财 产 中 有 多 少 应 该 归 于 皇 帝 又 有多 少 应 该 归 于 上 帝 ? 朱 利 安 的 辩 解 事 实 上 提 出 了 一 个 皇 权 和 神 权 哪 一 个 至 上 的问 题 。 当 格 雷 戈 里 无 法 做 出 回 答 时 , 朱 利 安 进 一 步 质 问 “ 皇 权 的 界 限 又 在 哪 里 ?”他 将 格 雷 戈 里 放 弃 审 判 看 作 放 弃 为 皇 权 辩 护 , 他 说 道 “ 我 们 的 格 雷 戈 里 —— 由于 他 把 自 己 放 在 皇 帝 对 立 的 位 置 —— 也 就 和 上 天 结 成 了 最 亲 密 的 联 盟 ”。 可 见在 当 时 的 朱 利 安 看 来 皇 权 是 有 界 限 。 而 现 朱 利 安 则 认 为 ,“ 皇 帝 的 都 归 皇 帝 ,上 帝 的 都 归 上 帝 ” 这 句 话 却 是 对 皇 权 的 挑 战 ,“ 再 也 没 有 比 这 更 狡 猾 的 说 法 了 。这 意 味 着 什 么 ? 那 属 于 皇 帝 的 还 有 多 少 ? 这 种 说 法 就 像 是 一 根 把 皇 冠 从 皇 权 头上 打 落 的 大 头 棒 ”。 他 原 本 推 崇 自 由 意 愿 , 认 为 有 高 于 皇 权 的 权 威 存 在 的 , 但是 现 在 成 为 罗 马 皇 帝 的 朱 利 安 则 要 努 力 实 现 皇 权 至 上 。 此 时 的 朱 利 安 已 经 从 遵从 人 文 精 神 , 试 图 建 立 新 的 伦 理 秩 序 的 哈 姆 莱 特 , 变 成 了 为 实 现 权 力 欲 望 不 择手 段 的 麦 克 白 。 对 朱 利 安 而 言 , 承 认 神 权 大 于 王 权 的 基 督 教 徒 是 他 通 往 最 高 权力 的 最 大 障 碍 。膨 胀 的 欲 望 使 朱 利 安 对 待 希 腊 众 神 的 态 度 也 发 生 了 变 化 , 他 开 始 认 为 自 己

162 Forum for World Literature Studies与 众 神 处 于 平 等 的 地 位 , 他 说 :众 神 有 时 候 在 打 瞌 睡 , 或 者 至 少 是 众 神 对 人 间 事 务 很 少 过 问 。…… 我 们 甚至 目 睹 某 些 神 不 支 持 善 意 的 努 力 , 而 此 努 力 正 是 有 利 于 众 神 的 尊 严 和 光 荣的 。 但 我 们 不 必 在 这 类 事 情 上 妄 加 品 论 , 也 许 我 们 可 以 这 样 认 为 , 指 导 并支 持 天 地 万 物 的 众 神 有 时 将 权 力 委 托 给 人 —— 无 疑 这 并 未 贬 低 众 神 本 身 ;不 正 是 由 于 众 神 才 使 一 个 受 到 如 此 高 度 恩 宠 的 人 —— 假 定 已 找 到 此 人 — 诞生 人 间 吗 ?(391)朱 利 安 认 为 自 己 就 是 受 到 众 神 恩 宠 的 人 , 他 将 自 己 与 给 普 罗 米 修 斯 相 比 ,他 认 为 为 众 人 谋 取 的 幸 福 比 众 神 所 赐 予 的 更 多 , 因 此 有 资 格 被 置 于 神 的 位 置 。朱 利 安 认 为 世 人 对 自 己 的 反 抗 与 嘲 笑 , 就 像 他 们 对 普 罗 米 修 斯 的 功 绩 的 无 知 一样 。 他 认 为 自 己 的 功 绩 像 普 罗 米 修 斯 一 样 , 可 以 与 阿 克 琉 斯 以 及 赫 拉 克 勒 斯 相比 较 。 因 此 他 让 人 们 在 军 中 塑 造 他 的 半 身 像 , 让 人 像 崇 拜 神 一 样 祭 拜 他 。如 果 说 朱 利 安 反 对 基 督 教 的 初 衷 是 为 了 实 现 肉 体 与 精 神 的 和 谐 , 那 么 现 在他 的 目 的 却 是 为 了 实 现 自 己 的 权 力 欲 望 。 成 为 罗 马 皇 帝 的 朱 利 安 开 始 与 第 三 帝国 的 意 图 背 道 而 驰 。 马 克 西 莫 斯 敏 锐 的 指 出 了 这 一 点 :“ 你 想 使 青 年 又 重 返 回童 年 去 。 肉 体 的 王 国 已 经 被 精 神 的 王 国 吞 噬 掉 , 但 这 精 神 的 王 国 并 不 是 最 后 的 ,就 像 一 个 青 年 一 样 , 你 想 阻 碍 青 年 的 成 长 , 阻 碍 他 成 长 为 成 人 …… 阻 碍 将 实 行双 重 统 治 的 第 三 帝 国 ”(384-385)。 第 三 帝 国 的 最 高 权 威 是 精 神 王 国 和 世 界 王国 的 弥 赛 亚 , 而 不 是 皇 帝 。 将 皇 帝 的 权 力 排 除 在 外 的 第 三 帝 国 , 无 法 满 足 朱 利安 的 权 力 欲 望 , 他 要 证 明 自 己 才 是 世 界 王 国 的 最 高 权 威 , 于 是 朱 利 安 作 出 征 讨普 鲁 斯 的 选 择 , 他 要 做 “ 普 居 鲁 梦 想 做 而 亚 历 山 大 试 图 做 过 的 事 ”, 他 要 “ 占有 世 界 ”(386)。 在 膨 胀 的 欲 望 驱 使 下 , 朱 利 安 做 出 这 一 选 择 最 终 导 致 自 己 的毁 灭 。朱 利 安 的 背 叛 , 建 立 第 三 帝 国 以 及 他 最 后 的 毁 灭 , 每 一 次 选 择 都 与 他 伦 理身 份 的 变 化 和 对 人 性 的 思 考 有 关 , 而 他 的 每 一 次 伦 理 选 择 都 改 变 了 他 的 命 运 ,并 最 终 导 致 他 的 灭 亡 。 在 《 反 叛 者 朱 利 安 》 中 , 朱 利 安 面 对 基 督 教 和 古 希 腊 众神 教 , 遵 从 自 己 罗 马 臣 子 的 身 份 所 作 出 选 择 , 为 了 巩 固 基 督 国 教 地 位 前 往 希 腊学 习 , 同 时 在 对 人 性 的 思 考 中 , 朱 利 安 看 到 人 身 上 “ 半 人 半 兽 ” 的 斯 芬 克 斯 因子 , 以 及 由 欲 望 导 致 的 犯 罪 。 为 了 唤 醒 人 的 伦 理 意 识 , 构 建 灵 肉 和 谐 的 第 三 帝国 , 朱 利 安 选 择 推 翻 皇 帝 君 士 坦 提 乌 斯 的 统 治 , 并 通 过 恢 复 古 希 腊 文 化 和 众 神崇 拜 以 实 现 自 己 的 目 的 。 这 一 选 择 同 样 也 与 朱 利 安 伦 理 身 份 的 变 化 有 关 , 君 士坦 提 乌 斯 谋 害 朱 利 安 的 举 动 客 观 上 造 成 了 朱 利 安 身 份 的 变 化 , 君 士 坦 提 乌 斯 切断 了 君 臣 之 间 的 伦 理 关 系 , 使 朱 利 安 失 去 了 为 人 臣 的 身 份 , 也 因 而 不 需 要 再 承担 这 一 身 份 所 负 有 的 伦 理 责 任 。 在 《 朱 利 安 皇 帝 》 中 , 当 朱 利 安 成 为 罗 马 皇 帝 ,这 一 伦 理 身 份 使 他 将 巩 固 皇 权 作 为 最 高 目 标 。 朱 利 安 开 始 出 于 集 权 统 治 的 目 的

On Julian’s Apostasy and Destruction in Emperor and Galilean / Bo Ling163推 行 古 希 腊 宗 教 , 迫 害 基 督 教 徒 ; 权 力 欲 望 的 膨 胀 使 朱 利 安 将 自 己 上 升 到 神 的地 位 , 并 疯 狂 地 试 图 证 明 皇 帝 的 权 威 和 能 力 超 越 加 利 利 的 预 言 家 基 督 。 在 这 样的 欲 望 驱 使 下 , 朱 利 安 最 终 导 致 自 己 的 毁 灭 。注 解 【Notes】1. 易 卜 生 ,《 易 卜 生 文 集 》( 第 四 卷 ) 北 京 : 人 民 文 学 出 版 社 ,1995。 以 下 随 文 注 明 页 码 ,不 再 一 一 说 明 。2. 在 文 学 伦 理 学 中 , 兽 性 因 子 是 人 在 进 化 过 程 中 的 动 物 本 能 的 残 留 , 是 人 身 上 存 在 的 非 理 性因 素 。 兽 性 因 子 主 导 人 的 自 然 意 志 , 主 要 表 现 形 式 为 人 的 不 同 欲 望 , 如 性 欲 、 食 欲 等 人 的 基本 生 理 要 求 和 心 理 动 态 。 参 见 聂 珍 钊 :“ 文 学 伦 理 学 批 评 : 伦 理 选 择 与 斯 芬 克 斯 因 子 ”,《 外国 文 学 研 究 》6(2011):6-8。3.See Trausti Olafsson, Ibsen’s Theater of Ritualistic Vision: An Interdisciplinary Study of Ten Plays.(Bern: Peter Lang AG, International Academic Publisher), p. 60.4. 参 见 Trausti Olafsson 对 朱 利 安 在 通 灵 法 术 中 见 到 的 两 个 灵 魂 的 分 析 , 第 58 页 至 第 63 页 。5. 参 见 Norman Rhodes’s introduction in Emperor and Galilean. (New York: Charles Scribners’Sons,1991)p.24.引 用 作 品 【Works Cited】Ibsen, Henrik. Emperor and Galilean, trans. William Archer. New York: Charles Scribners’Sons,1991.Johnston, Brian. To the Third Empire: Ibsen’s Early Drama. Minnesota: University of MinnesotaPress, 1980.Olafsson, Trausti. Ibsen’s theater of Ritualistic Vision: an interdisciplinary study of Ten Plays. Bern:Peter Lang AG, International Academic Publisher, 2008.聂 珍 钊 :“ 伦 理 禁 忌 与 俄 狄 浦 斯 的 悲 剧 ”,《 学 习 与 探 索 》,5(2006): 113-116。[Nie Zhenzhao. “Ethical Taboo and Oedipus Tragedy .” Study and Exploration. 5(2006):113-116.]——:“ 文 学 伦 理 学 批 评 : 伦 理 选 择 与 斯 芬 克 斯 因 子 ”,《 外 国 文 学 研 究 》6(2011):1-13。[---. “Ethical Literary Criticism: Ethical Choice and Sphinx Factor.” Foreign Literature Studies6(2011):1-13.]易 卜 生 , 易 卜 生 文 学 ( 第 四 卷 ), 黄 雨 石 , 高 荣 生 译 。 北 京 : 人 民 文 学 出 版 社 ,1995。[Ibsen, Henrik. The Works of Henrik Ibsen (Vol.4), trans. Huang Yushi and Gao Rongshen. Beijing:People’s Literature Publishing House, 1995.]责 任 编 辑 : 张 连 桥

《 社 会 支 柱 》: 一 部 讽 刺 与 救 赎 的 伦 理 剧郭 雯内 容 摘 要 : 在 《 社 会 支 柱 》 中 , 易 卜 生 讽 刺 了 以 博 尼 克 为 代 表 的 资 产 阶 级 伦 理道 德 , 指 出 它 已 成 为 禁 锢 人 们 精 神 自 由 的 枷 锁 。 本 文 运 用 文 学 伦 理 学 批 评 方 法 ,探 讨 博 尼 克 这 个 典 型 人 物 如 何 进 行 伦 理 选 择 和 自 我 道 德 救 赎 。 从 情 节 结 构 上 来看 , 戏 剧 以 博 尼 克 的 公 开 忏 悔 作 为 高 潮 和 结 局 , 他 最 后 给 所 有 人 一 个 交 代 , 皆大 欢 喜 。 从 写 作 手 法 技 巧 来 看 , 博 尼 克 与 楼 纳 为 代 表 的 进 步 女 性 之 间 形 成 对 比 ,实 则 象 征 着 新 旧 两 个 世 界 的 价 值 观 、 道 德 观 的 差 异 。 就 主 题 而 言 , 这 是 一 部 伦理 剧 , 以 救 赎 为 主 线 , 主 人 公 解 构 伦 理 结 的 过 程 充 满 着 道 德 教 诲 , 体 现 了 易 卜生 对 于 重 建 社 会 道 德 体 系 的 伦 理 要 求 和 取 向 。关 键 词 :《 社 会 支 柱 》; 伦 理 选 择 ; 公 开 忏 悔 ; 道 德 救 赎 ; 文 学 伦 理 学 批 评作 者 简 介 : 郭 雯 , 华 中 师 范 大 学 文 学 院 比 较 文 学 与 世 界 文 学 专 业 博 士 生 , 苏 州科 技 学 院 外 国 语 学 院 讲 师 , 主 要 研 究 方 向 为 欧 美 文 学 。Title: Pillars of Society:An Ethical Drama of Satire and RedemptionAbstract: In Pillars of Society, Henrik Ibsen satirizes the bourgeois ethics andmorality by the representative Bernick, implying the fact that the ethical morality hasbecome the restriction of people’s freedom. From the perspective of ethical literarycriticism, this paper attempts to analyze how Bernick, the typical character, chooses todo while faced with ethical dilemma and moral redemption. As to the plot structure,the climax is Bernick’s public penance, which seems to give everyone a final answerand leads to a happy ending. As for the writing techniques and skills, the contrastbetween Bernick and Lona, who is the representative of new women, is actually thesymbol of contradiction of the values and morality between the old and the new.Therefore the theme of the drama centers around the redemption as the ethical lineand conveys moral education during the character’s deconstruction of the ethicalknots. Meanwhile the drama displays Ibsen’s ethical desire to reconstruct the socialand moral systems.Key Words: Pillars of Society; ethical choice; public penance; moral redemption;Ethical Literary CriticismAuthor: Guo Wen is a Ph. D. Candidate of Comparative Literature and WorldLiterature at Central China Normal University (Wuhan 430079, China) andlecturer at the School of Foreign Languages, Suzhou University of Science and

Pillars of Society: An Ethical Drama of Satire and Redemption / Guo Wen165Technology(Suzhou 215000, China). Her major research field is European andAmerican Literature. Email: ainna520@163.com19 世 纪 七 八 十 年 代 , 挪 威 正 经 历 着 变 迁 , 伦 理 道 德 、 习 俗 、 价 值 观 念 等 都发 生 了 翻 天 覆 地 的 变 化 。 易 卜 生 对 社 会 问 题 进 行 挖 掘 和 整 理 , 诸 如 个 人 欲 望 与社 会 良 心 、 精 神 自 由 与 经 济 独 立 、 放 纵 与 救 赎 、 现 实 需 要 与 追 求 真 理 的 冲 突 。《 社 会 支 柱 》(Pillars of Society, 1877) 是 易 卜 生 四 大 “ 社 会 问 题 剧 ” 之 一 , 从题 目 上 来 看 , 就 运 用 了 反 讽 , 批 判 了 唯 利 是 图 、 无 恶 不 作 的 “ 社 会 支 柱 ” 博 尼克 (Bernick) 以 及 整 个 社 会 现 状 。 作 为 社 会 建 设 与 道 德 规 范 方 面 的 “ 支 柱 ”,博 尼 克 享 有 极 高 的 威 望 , 然 而 , 他 却 是 靠 欺 骗 大 众 和 家 人 成 就 了 十 五 年 后 的 社会 地 位 。 受 害 人 楼 纳 (Lona) 和 约 翰 (John) 再 次 出 现 , 就 是 博 尼 克 需 要 解 开伦 理 结 的 时 刻 。 解 开 伦 理 结 就 必 须 进 行 伦 理 选 择 : 是 否 要 隐 瞒 罪 孽 , 是 否 要 毁灭 证 据 , 是 否 能 私 下 忏 悔 。 最 终 , 他 受 到 楼 纳 的 规 劝 和 自 我 良 心 的 谴 责 , 通 过在 公 民 面 前 的 公 开 忏 悔 来 进 行 道 德 自 救 。 博 尼 克 这 个 人 物 不 仅 让 世 人 引 以 为 戒 ,吸 取 道 德 教 训 , 最 后 他 给 所 有 人 一 个 交 代 , 也 道 出 了 易 卜 生 重 建 社 会 道 德 体 系的 愿 望 。一 、 伦 理 环 境 与 博 尼 克 的 典 型 形 象《 社 会 支 柱 》 的 创 作 背 景 极 具 典 型 性 。 重 回 当 时 的 历 史 中 , 可 以 发 现 , 欧洲 是 传 统 道 德 的 象 征 , 奉 行 保 守 理 念 。 美 国 人 在 挪 威 当 地 经 营 船 业 等 商 业 活 动 ,无 形 中 会 有 两 种 力 量 的 碰 撞 , 即 美 国 资 产 阶 级 自 由 理 念 与 挪 威 小 资 产 阶 级 的 陈规 陋 习 。 挪 威 人 提 到 激 进 的 美 国 时 , 显 得 清 高 而 不 屑 , 他 们 认 为 美 国 过 于 先 进 ,带 来 了 新 的 价 值 观 , 从 而 会 影 响 他 们 的 传 统 道 德 , 拒 绝 新 事 物 和 新 理 念 。 然 而 ,随 着 时 代 变 迁 , 处 于 转 型 期 的 挪 威 已 然 充 斥 着 金 钱 至 上 、 唯 利 是 图 的 价 值 观 及虚 伪 的 道 德 观 ,“ 他 们 只 要 谈 到 掏 钱 的 事 —— 咱 们 这 儿 不 拘 什 么 事 归 根 结 底 小算 盘 都 是 打 到 钱 上 头 ”(297) 1。 在 这 部 戏 剧 中 , 易 卜 生 常 借 罗 冷 博 士 (DoctorRorlund) 之 口 说 出 所 谓 的 “ 真 理 ”, 让 读 者 领 略 挪 威 当 时 的 道 德 观 。 别 人 相 信也 愿 意 听 从 罗 冷 的 话 , 因 为 他 也 是 众 人 眼 中 社 会 地 位 较 高 的 教 师 。 他 说 :“ 瞧瞧 那 些 现 代 的 大 社 会 , 表 面 上 金 碧 辉 煌 , 里 头 藏 着 什 么 ! 说 句 不 客 气 的 话 , 除了 空 虚 和 腐 败 , 别 的 什 么 都 没 有 ! 那 些 社 会 没 有 道 德 基 础 。 干 脆 一 句 话 , 现 代的 大 社 会 像 粉 刷 的 坟 墓 , 里 头 全 是 虚 伪 骗 人 的 东 西 ”(286-287)。 这 种 描 述充 满 反 讽 和 作 家 对 现 实 的 隐 忧 。戏 剧 启 幕 时 , 似 乎 一 片 祥 和 , 一 群 妇 女 在 博 尼 克 家 聊 天 , 博 尼 克 与 商 人 们正 在 办 公 室 商 议 修 铁 路 计 划 。 然 而 , 在 高 尚 体 面 背 后 尽 是 腐 朽 的 道 德 观 和 世 俗的 价 值 观 。“ 不 同 历 史 时 期 的 文 学 有 其 固 定 的 属 于 特 定 历 史 的 伦 理 环 境 和 伦 理语 境 , 对 文 学 的 理 解 必 须 让 文 学 回 归 属 于 它 的 伦 理 环 境 和 伦 理 语 境 , 这 是 理 解文 学 的 一 个 前 提 ”( 聂 珍 钊 ,“ 文 学 伦 理 学 批 评 : 基 本 理 论 与 术 语 ” 19)。 易卜 生 一 开 始 就 通 过 罗 冷 教 授 描 述 出 一 个 典 型 的 资 产 阶 级 社 会 , 这 是 他 戏 剧 创 作

166 Forum for World Literature Studies的 技 巧 , 因 为 罗 冷 也 是 保 守 落 后 的 旧 道 德 的 卫 道 士 , 他 的 话 语 时 常 无 意 识 地 自欺 欺 人 。 他 极 力 维 护 社 会 秩 序 , 追 求 真 理 , 倡 导 社 会 的 纯 洁 , 反 对 虚 伪 , 而 实际 上 他 的 所 言 所 为 与 他 宣 扬 的 理 念 恰 好 相 反 。 他 贪 图 棣 纳 (Dina) 的 美 色 , 却因 其 母 亲 的 通 奸 丑 闻 瞧 不 起 她 , 根 深 蒂 固 的 社 会 习 俗 和 偏 见 , 使 他 认 为 棣 纳 也是 “ 属 于 堕 落 女 人 的 一 类 ”(Lapsed and Lost)(310)。 整 个 挪 威 资 产 阶 级 的个 人 主 义 、 利 己 主 义 、 虚 荣 虚 伪 一 览 无 余 。这 样 典 型 的 伦 理 环 境 促 成 了 典 型 人 物 形 象 , 影 响 着 人 物 的 性 格 , 同 时 典 型人 物 也 能 影 响 社 会 环 境 。 博 尼 克 正 是 在 这 样 一 个 充 满 矛 盾 冲 突 的 社 会 中 , 成 为众 人 好 评 的 社 会 栋 梁 。 然 而 , 随 着 剧 情 的 发 展 , 读 者 便 发 现 博 尼 克 是 个 伪 君 子 ,霸 道 却 胆 小 。 他 表 面 上 有 钱 有 势 , 开 着 一 家 经 营 船 舶 修 理 和 海 上 运 输 的 公 司 ,热 心 慈 善 事 业 , 是 社 会 建 设 与 道 德 规 范 方 面 的 支 柱 。 他 内 心 却 有 个 惊 天 秘 密 :十 五 年 前 , 他 与 漂 亮 的 女 演 员 有 过 风 流 史 , 事 后 , 他 让 妻 子 贝 蒂 (Betty) 的 弟弟 约 翰 当 了 自 己 的 替 身 以 便 逃 脱 罪 名 。 同 时 , 博 尼 克 母 亲 的 公 司 也 面 临 破 产 ,他 便 制 造 了 私 开 银 柜 、 盗 窃 公 款 的 假 案 , 让 人 怀 疑 是 约 翰 所 为 , 来 封 锁 不 利 的言 论 。 博 尼 克 为 了 继 承 妻 子 姑 妈 的 遗 产 , 抛 弃 了 贝 蒂 的 姐 姐 楼 纳 , 从 而 骗 婚 成 功 。之 后 , 约 翰 逃 往 美 国 , 楼 纳 也 随 之 而 去 。 十 五 年 后 的 博 尼 克 更 加 利 欲 熏 心 、 心肠 歹 毒 。 他 利 用 手 段 推 掉 影 响 生 意 的 沿 海 铁 路 计 划 , 又 勾 结 商 人 暗 中 修 建 支 线 ,从 支 线 沿 途 的 自 然 资 源 中 谋 取 暴 利 。在 外 人 眼 中 , 博 尼 克 是 一 名 “ 有 身 份 ” 的 人 物 , 他 自 己 也 认 为 是 “ 社 会 上有 地 位 的 人 , 应 该 格 外 多 出 力 ”(315)。 然 而 , 他 却 具 有 复 杂 的 身 份 : 他 是公 认 的 “ 社 会 支 柱 ”, 是 十 五 年 前 的 罪 犯 , 是 楼 纳 的 情 人 及 妹 夫 , 是 约 翰 的 朋友 及 姐 夫 。 而 从 他 十 五 年 前 的 错 误 开 始 , 他 早 已 不 配 拥 有 “ 社 会 支 柱 ” 的 头 衔 。他 拥 有 被 扭 曲 的 灵 魂 和 变 态 的 人 格 , 道 貌 岸 然 、 表 里 不 一 。 十 五 年 前 , 他 亲 手埋 下 了 罪 孽 的 种 子 , 是 他 今 后 做 出 伦 理 选 择 和 忏 悔 的 根 源 。 由 于 自 己 的 罪 孽 ,他 并 不 是 每 日 安 然 无 恙 、 舒 心 过 日 子 的 , 否 则 也 不 会 因 为 看 见 楼 纳 和 约 翰 的 再次 出 现 , 而 吓 得 忧 心 忡 忡 、 夜 不 能 寐 , 甚 至 想 通 过 金 钱 作 为 补 偿 , 或 是 谋 害 恩人 约 翰 。易 卜 生 将 博 尼 克 与 家 庭 的 关 系 、 与 他 人 的 关 系 以 及 与 自 我 的 关 系 , 作 为 戏剧 人 物 塑 造 的 核 心 内 容 , 突 显 了 当 时 的 伦 理 秩 序 和 道 德 规 范 , 揭 露 了 旧 世 界 的虚 伪 性 。 首 先 , 博 尼 克 拥 有 “ 幸 福 ” 的 家 庭 , 他 自 己 也 信 誓 旦 旦 地 承 认 “ 家 庭是 社 会 的 核 心 。 一 个 人 要 是 有 个 好 家 庭 , 有 几 个 可 靠 的 正 经 朋 友 , 亲 亲 密 密 地过 日 子 , 没 有 什 么 扫 兴 的 事 情 ”(320)。 然 而 , 传 统 家 庭 典 范 实 则 是 靠 出 卖 感情 和 欺 骗 婚 姻 而 得 到 的 。 妻 子 贝 蒂 一 直 以 为 他 们 的 结 合 是 出 于 真 爱 , 她 对 博 尼克 崇 拜 而 尊 重 。 博 尼 克 却 为 人 强 势 , 从 不 让 她 参 与 事 业 或 加 入 讨 论 。 对 儿 子 也是 严 厉 束 缚 其 自 由 和 兴 趣 爱 好 , 并 要 求 其 按 照 父 亲 意 志 做 事 。 他 认 为 如 此 的 生活 模 式 使 他 们 的 家 庭 “ 成 为 本 地 人 的 模 范 ”(383)。 博 尼 克 曾 经 的 爱 人 是 贝 蒂不 同 胞 的 姐 姐 楼 纳 , 约 翰 又 是 贝 蒂 的 亲 弟 弟 、 是 博 尼 克 的 朋 友 和 恩 人 , 因 此 楼纳 和 约 翰 都 是 贝 蒂 的 姐 弟 , 自 然 也 是 博 尼 克 的 亲 人 。 可 是 , 他 为 两 人 叛 逆 传 统

Pillars of Society: An Ethical Drama of Satire and Redemption / Guo Wen167的 行 为 感 到 羞 耻 , 认 为 他 们 的 反 叛 是 幸 福 生 活 中 的 污 点 。 同 时 , 他 为 两 人 知 道自 己 的 秘 密 而 感 到 恐 惧 , 在 重 逢 后 , 他 软 硬 兼 施 , 希 望 对 方 不 要 揭 露 自 己 的 罪过 ; 当 得 知 约 翰 会 坐 “ 印 第 安 少 女 号 ” 这 艘 偷 工 减 料 的 货 轮 回 美 国 后 , 他 让 船如 期 使 出 , 可 以 让 约 翰 出 事 故 而 被 淹 死 , 以 销 毁 罪 证 。 博 尼 克 不 仅 欺 骗 了 妻 子 、家 人 和 合 伙 商 人 , 也 欺 骗 了 公 众 , 他 沉 醉 于 骗 取 的 好 名 声 中 , 逐 渐 迷 失 了 自 我 。其 次 , 从 社 会 角 度 来 看 , 博 尼 克 是 为 社 会 谋 福 利 的 大 人 物 , 是 老 板 , 并 代外 国 政 府 执 行 领 事 职 务 。 然 而 , 他 对 工 人 阶 级 代 表 渥 尼 (Aune) 却 百 般 责 难 、毫 不 同 情 。 在 使 用 新 机 器 的 问 题 上 他 与 渥 尼 起 了 争 执 , 渥 尼 心 里 害 怕 , 他 祈 求博 尼 克 改 变 想 法 ,“ 我 怕 新 机 器 挤 破 工 人 的 饭 碗 。 先 生 , 你 常 说 咱 们 队 社 会 有责 任 , 可 是 , 据 我 看 , 社 会 对 咱 们 也 有 责 任 。 为 什 么 社 会 不 先 训 练 一 批 会 用 新技 术 的 工 人 , 就 冒 冒 失 失 把 科 学 上 的 新 发 明 用 在 工 厂 里 ?”(341) 可 是 博 尼 克仍 要 解 雇 祖 孙 三 代 都 为 博 尼 克 公 司 服 务 过 的 老 员 工 渥 尼 。 以 此 可 见 , 渥 尼 话 语中 透 露 了 双 重 信 息 , 一 是 博 尼 克 的 冷 酷 自 私 , 二 是 挪 威 社 会 经 历 工 业 革 命 时 的历 史 变 迁 。 典 型 的 伦 理 环 境 与 典 型 的 人 物 形 象 相 结 合 , 体 现 了 环 境 与 性 格 的 相互 作 用 。最 后 , 博 尼 克 的 典 型 性 还 表 现 在 他 的 理 性 意 志 与 自 由 意 志 的 对 立 与 冲 突 ,从 而 使 自 己 成 为 一 个 悲 剧 的 矛 盾 的 人 物 , 也 在 犯 罪 的 过 程 中 失 去 了 理 智 和 情 感 。其 实 , 每 个 人 都 具 有 理 性 意 志 和 自 由 意 志 , 前 者 使 人 有 伦 理 意 识 和 道 德 , 后 者使 人 任 凭 原 欲 肆 虐 。“ 文 学 作 品 中 这 两 种 意 志 相 互 对 立 , 能 影 响 人 的 道 德 行 为 ”( 聂珍 钊 ,“ 文 学 伦 理 学 批 评 : 伦 理 选 择 与 斯 芬 克 斯 因 子 ”8)。 博 尼 克 脱 离 理 性 意志 的 束 缚 , 任 凭 自 由 意 志 操 纵 人 生 , 丧 失 了 最 基 本 的 道 德 。 他 为 所 欲 为 , 千 方百 计 利 用 各 种 关 系 与 机 会 使 自 己 成 为 他 所 处 的 小 社 会 中 一 名 上 等 人 、 头 面 人 物 ,他 可 谓 是 众 人 眼 中 “ 理 想 的 公 民 , 道 德 的 模 范 ”(473)。 可 是 早 在 欺 骗 贝 蒂 订婚 期 间 , 博 尼 克 就 违 背 了 婚 姻 中 的 伦 理 道 德 , 即 诚 实 忠 诚 的 爱 情 观 , 任 凭 自 由意 志 驱 使 , 与 旅 行 剧 团 的 女 演 员 通 奸 。 随 后 在 事 业 中 他 又 散 布 谣 言 栽 赃 于 约 翰 。由 于 十 分 惧 怕 伦 理 惩 罚 , 他 居 然 都 让 约 翰 承 担 丑 闻 。 当 楼 纳 和 约 翰 回 国 后 , 博尼 克 最 担 心 的 是 他 们 会 说 出 秘 密 , 击 垮 他 辛 苦 钻 营 而 来 的 一 切 。 但 亲 自 面 对 约翰 和 楼 纳 时 , 他 的 心 理 有 所 起 伏 , 不 是 没 有 一 点 负 疚 感 。 他 向 约 翰 坦 白 “ 我 的 家 、我 的 家 庭 幸 福 —— 还 有 我 在 社 会 上 的 地 位 —— 这 一 切 都 是 你 成 全 我 的 ”(360)。他 的 内 心 很 清 楚 罪 人 需 要 有 所 担 当 , 只 是 他 惧 怕 赎 罪 。 他 向 楼 纳 吐 露 了 隐 藏 多年 的 心 声 ,“ 现 在 让 我 把 实 话 告 诉 你 。 那 时 候 我 不 爱 贝 蒂 , 我 扔 下 你 不 是 为 了我 有 新 相 好 。 我 扔 下 你 , 完 全 是 为 钱 。 我 不 能 不 那 么 做 , 我 必 须 把 钱 弄 到 手 ”(379)。不 敢 承 担 责 任 、 为 罪 恶 赎 罪 的 人 , 内 心 一 定 不 比 那 些 为 罪 过 自 责 自 愧 的 人 好 受 。博 尼 克 在 十 五 年 的 伪 善 生 活 中 , 以 社 会 给 予 他 的 身 份 苟 活 , 如 果 不 是 楼 纳和 约 翰 的 再 次 出 现 , 他 的 秘 密 将 永 远 埋 在 他 的 黑 暗 生 活 中 。 即 使 他 偶 尔 想 起 往 事 ,只 要 他 们 不 出 现 , 也 不 至 于 内 心 备 受 煎 熬 、 软 硬 兼 施 地 阻 止 揭 发 , 他 仍 可 以 骄傲 自 大 地 活 在 那 座 城 市 的 上 流 社 会 中 。 易 卜 生 幽 默 而 讽 刺 地 批 判 了 资 产 阶 级 ,博 尼 克 提 到 “ 咱 们 这 个 勤 苦 耐 劳 的 小 城 市 是 建 筑 在 艰 苦 的 道 德 基 础 上 的 ”(319)、

168 Forum for World Literature Studies“ 目 前 正 是 我 最 需 要 道 德 威 望 的 时 候 , 我 不 能 说 实 话 ”(408), 这 两 句 话 自 相矛 盾 , 是 对 整 个 社 会 最 大 的 讽 刺 。二 、 伦 理 选 择 与 公 开 忏 悔如 果 客 观 地 站 在 当 时 的 历 史 和 伦 理 现 场 来 看 , 博 尼 克 是 个 可 悲 可 笑 的 人 物 。十 五 年 前 , 他 因 为 自 己 的 野 心 抱 负 , 亲 手 将 自 己 逼 上 了 一 条 不 归 路 ; 十 五 年 中 ,他 的 内 心 自 欺 欺 人 式 地 以 “ 社 会 支 柱 ” 的 行 为 规 范 为 社 会 做 大 事 , 他 在 谋 取 暴利 的 同 时 , 也 确 实 为 这 座 海 滨 小 城 创 造 了 一 些 福 利 , 并 非 一 无 是 处 ; 十 五 年 后 ,他 终 究 要 自 食 其 果 , 接 受 惩 罚 。 易 卜 生 并 没 有 将 这 个 恶 贯 满 盈 的 坏 人 置 于 死 地 ,而 是 把 他 的 赎 罪 方 式 设 计 为 良 心 发 现 、 最 终 向 善 , 进 行 公 开 忏 悔 , 希 望 他 进 行道 德 上 的 自 我 救 赎 , 只 有 拯 救 了 灵 魂 , 才 能 得 到 真 正 的 重 生 , 这 也 表 达 了 作 家伦 理 思 想 体 系 的 终 极 关 怀 。“ 从 文 学 伦 理 学 批 评 的 观 点 看 , 几 乎 所 有 的 文 学 文 本 都 是 对 人 的 道 德 经验 的 记 述 , 几 乎 在 所 有 的 文 学 文 本 的 伦 理 结 构 中 , 都 存 在 一 条 或 数 条 伦 理 线(ethical line), 一 个 或 数 个 伦 理 结 ( ethical knot or ethical complex)。 在 文 学 文 本 中 ,伦 理 线 同 伦 理 结 是 紧 密 相 连 的 , 伦 理 线 可 以 看 成 是 文 学 文 本 的 纵 向 伦 理 结 构 ,伦 理 结 可 以 看 成 是 文 学 文 本 的 横 向 伦 理 结 构 ”( 聂 珍 钊 ,“ 文 学 伦 理 学 批 评 :基 本 理 论 与 术 语 ” 20)。 博 尼 克 在 十 五 年 前 犯 下 的 罪 恶 , 实 际 上 就 是 戏 剧 中 预设 的 伦 理 结 , 解 结 的 过 程 是 戏 剧 发 展 的 必 然 结 果 , 是 细 读 文 本 、 批 评 文 本 的 过 程 ,也 是 戏 剧 在 第 三 幕 的 高 潮 部 分 。 博 尼 克 面 对 约 翰 和 楼 纳 的 回 归 , 深 感 恐 慌 , 他所 处 的 伦 理 环 境 也 随 之 变 化 。 面 对 可 能 被 揭 露 的 罪 行 和 可 能 被 社 会 剥 去 的 身 份 ,他 必 须 进 行 伦 理 选 择 : 是 否 要 继 续 隐 瞒 罪 孽 , 是 否 要 毁 灭 证 据 , 是 否 能 私 下 忏 悔 。这 三 个 伦 理 结 等 待 他 自 己 去 解 开 。博 尼 克 在 解 结 过 程 和 道 德 自 救 中 充 满 了 矛 盾 与 困 难 。 一 方 面 , 他 的 身 份 是一 名 公 认 的 “ 社 会 支 柱 ”, 是 “ 十 足 的 上 等 人 ”。 他 活 在 他 人 的 褒 奖 中 , 暂 时忘 记 自 己 犯 下 的 错 。 他 靠 欺 骗 被 众 人 冠 以 “ 社 会 支 柱 ” 的 头 衔 , 俨 然 成 为 一 位名 副 其 实 的 大 人 物 , 行 使 着 应 有 的 责 任 和 义 务 , 肩 负 着 为 国 为 民 鞠 躬 尽 瘁 的 职 责 。另 一 方 面 , 由 于 他 本 人 对 于 犯 罪 所 要 承 担 赎 罪 的 恐 慌 , 使 他 从 一 开 始 就 决 定 靠欺 骗 和 隐 瞒 “ 平 静 地 ” 生 活 。 在 婚 姻 中 , 他 背 叛 了 基 督 教 文 明 与 道 德 传 统 , 在订 婚 期 间 就 有 风 流 韵 事 , 而 且 婚 后 继 续 隐 瞒 欺 骗 妻 子 , 以 博 得 妻 子 的 爱 情 。 他惧 怕 丑 闻 , 当 初 让 约 翰 承 担 了 罪 责 远 赴 美 国 , 还 瞒 着 约 翰 造 谣 说 他 偷 了 母 亲 公司 的 巨 款 , 以 挽 救 自 己 破 产 的 命 运 。 十 五 年 后 , 约 翰 和 楼 纳 再 次 出 现 , 他 私 下向 两 人 忏 悔 了 当 初 对 朋 友 和 爱 情 所 犯 下 的 错 , 还 想 用 钱 做 个 了 结 , 也 算 是 对 约翰 的 交 代 。 在 贿 赂 无 望 之 际 , 他 竟 然 希 望 约 翰 能 够 一 去 不 复 返 。 约 翰 准 备 乘 坐的 “ 印 第 安 少 女 号 ” 因 腐 朽 可 能 沉 没 , 这 样 他 的 秘 密 也 会 永 远 沉 入 海 底 。 这 种害 怕 承 担 责 任 、 恐 惧 赎 罪 的 心 理 一 直 伴 随 博 尼 克 , 无 论 是 隐 瞒 罪 孽 、 毁 灭 证 据或 是 私 下 忏 悔 , 都 不 是 最 好 的 方 法 。 按 照 当 时 的 伦 理 规 范 , 博 尼 克 如 果 想 不 被社 会 鄙 视 或 遗 弃 , 只 有 靠 赎 罪 获 得 心 灵 解 脱 , 而 赎 罪 的 方 式 便 是 公 开 忏 悔 。 因

Pillars of Society: An Ethical Drama of Satire and Redemption / Guo Wen169为 ,“ 社 会 的 伦 理 规 则 是 伦 理 秩 序 的 保 障 , 一 个 人 只 要 生 活 在 这 个 社 会 里 , 就必 然 要 受 到 伦 理 规 则 的 制 约 , 否 则 就 会 受 到 惩 罚 ”( 聂 珍 钊 ,“ 文 学 伦 理 学 批 评 :基 本 理 论 与 术 语 ” 19)。道 德 和 理 性 终 究 要 束 缚 人 类 的 自 由 意 志 , 一 切 罪 恶 注 定 要 受 惩 罚 。 易 卜 生在 戏 剧 中 早 已 为 博 尼 克 的 赎 罪 做 了 伏 笔 铺 垫 。 博 尼 克 的 妹 妹 马 塞 (Martha) 在 不知 情 的 情 况 下 , 指 责 约 翰 “ 你 做 错 了 事 应 该 回 来 赎 罪 ”,“ 难 道 你 不 记 得 你 害得 一 个 女 人 没 饭 吃 , 没 脸 见 人 , 把 性 命 送 掉 ? 难 道 你 不 记 得 你 害 得 一 个 女 孩 子你 在 青 春 时 期 过 痛 苦 的 日 子 ?”(371) 可 见 , 真 正 有 伦 理 道 德 观 念 的 人 都 懂 得承 担 责 任 的 道 理 , 而 真 理 也 是 整 部 戏 剧 宣 扬 的 重 点 。博 尼 克 寻 求 真 理 、 踏 上 赎 罪 之 路 并 非 一 帆 风 顺 , 由 于 他 的 身 份 和 性 格 , 增加 了 他 进 行 公 开 忏 悔 、 道 德 自 救 的 困 难 。 他 是 靠 楼 纳 不 厌 其 烦 的 讽 刺 和 劝 说 ,逐 渐 演 变 为 “ 忏 悔 式 的 人 物 ”。 很 明 显 , 易 卜 生 通 过 说 教 的 方 法 , 把 道 理 和 教训 寄 托 在 故 事 中 , 使 人 物 接 受 心 灵 洗 礼 。 按 照 黑 格 尔 在 《 美 学 》 中 关 于 教 训 的力 量 , 艺 术 的 任 务 在 于 用 感 性 形 象 来 表 现 理 念 , 艺 术 表 现 的 价 值 和 意 义 在 于 理念 和 形 象 两 方 面 的 协 调 和 统 一 。 2黑 格 尔 认 为 “ 如 果 教 训 的 终 极 目 的 是 心 灵 性的 、 自 在 自 为 的 , 那 么 艺 术 作 品 就 应 该 把 这 种 自 在 自 为 的 本 质 上 是 心 灵 性 的 内容 作 为 认 识 对 象 ”( 黑 格 尔 63)。 艺 术 中 伦 理 道 德 内 涵 的 存 在 形 式 , 应 该 暗 寓地 含 在 作 品 里 , 明 确 地 表 达 了 艺 术 理 想 与 其 伦 理 道 德 内 涵 的 关 联 与 统 一 ,“ 这就 是 黑 格 尔 的 以 认 识 功 能 为 中 心 的 真 、 美 、 善 三 种 功 能 的 统 一 说 ”( 朱 立 元123)。 易 卜 生 希 望 通 过 楼 纳 为 社 会 传 递 “ 正 能 量 ”, 使 人 的 心 灵 重 新 净 化 。但 是 楼 纳 的 说 教 并 不 顺 利 。 楼 纳 指 责 博 尼 克 今 天 的 地 位 是 靠 十 五 年 的 谎 话支 持 ,“ 是 个 三 方 面 的 谎 话 。 第 一 , 对 我 撒 谎 ; 第 二 , 对 贝 蒂 撒 谎 ; 第 三 , 对约 翰 撒 谎 ”(383)。 楼 纳 成 为 了 批 判 现 实 主 义 的 代 言 人 , 她 讽 刺 博 尼 克 ,“ 不错 , 这 十 五 年 里 头 , 你 给 自 己 、 给 别 人 出 过 许 多 力 , 做 过 许 多 事 。 现 在 你 是 本地 第 一 号 有 钱 有 势 的 大 人 物 。 大 家 都 得 听 你 的 话 , 因 为 在 人 家 眼 睛 里 你 是 个 干干 净 净 、 没 污 点 、 没 毛 病 的 人 。 你 的 家 庭 可 以 做 模 范 , 你 的 行 为 也 可 以 做 模 范 。可 是 这 些 外 表 堂 皇 的 东 西 , 连 你 自 己 在 内 , 只 是 建 筑 在 一 片 流 沙 上 。 要 是 你 不趁 早 打 主 意 救 自 己 , 早 晚 有 一 天 , 只 要 有 人 说 一 句 话 , 你 和 你 这 座 富 丽 堂 皇 的空 架 子 马 上 就 会 陷 到 泥 坑 里 ”(384)。 易 卜 生 对 于 道 德 教 育 的 力 量 持 有 肯 定 态度 , 希 望 以 此 批 判 现 实 , 改 良 社 会 。 楼 纳 以 道 德 模 范 的 称 号 反 讽 博 尼 克 , 以 此激 发 他 内 心 向 善 的 最 原 始 的 道 德 力 量 。楼 纳 的 说 教 是 循 序 渐 进 的 , 博 尼 克 起 初 并 不 配 合 。 由 于 惧 怕 惩 罚 , 他 为 自己 进 行 了 道 德 辩 护 , 好 让 自 己 在 良 心 上 过 得 去 。 自 我 辩 解 实 际 上 是 他 在 道 德 上感 到 恐 惧 的 情 感 宣 泄 , 是 他 企 图 通 过 为 自 己 辩 解 来 减 轻 恐 惧 。 在 博 尼 克 与 楼 纳的 对 话 中 , 我 们 可 以 看 到 怯 懦 的 博 尼 克 自 欺 欺 人 。博 尼 克 谁 的 良 心 上 都 有 见 不 得 人 的 黑 斑 点 。楼 纳 你 们 这 种 人 还 自 命 为 社 会 支 柱 ?

170 Forum for World Literature Studies博 尼 克 社 会 上 找 不 出 比 我 们 更 好 的 人 。楼 纳 那 么 , 这 种 社 会 垮 台 不 垮 台 有 什 么 关 系 ? 现 在 社 会 上 最 流 行 的是 什 么 ? 无 非 是 撒 谎 、 欺 骗 。 就 拿 你 来 说 吧 , 你 是 本 地 第 一 号 人 物 , 有 钱 有 势 ,人 人 敬 重 你 , 可 是 你 会 把 犯 的 恶 名 声 安 在 一 个 好 人 的 头 上 。(406)诚 然 , 博 尼 克 也 曾 选 择 “ 赎 罪 ”, 只 不 过 他 的 方 式 是 赔 偿 损 失 , 用 钱 来 弥补 约 翰 的 损 失 , 以 此 慰 藉 自 己 的 “ 良 心 ”。 当 楼 纳 当 着 他 的 面 撕 毁 那 两 封 作 为罪 证 的 信 件 时 , 博 尼 克 的 世 界 崩 溃 了 , 令 人 不 可 思 议 的 是 , 这 位 “ 模 范 ” 继 而把 赎 罪 的 希 望 寄 托 于 儿 子 ,“ 我 要 他 恢 复 我 的 事 业 , 并 且 替 我 赎 罪 ”(460)。可 是 , 事 与 愿 违 , 当 他 得 知 自 己 十 三 岁 的 儿 子 也 偷 偷 乘 坐 “ 印 第 安 少 女 号 ” 去美 国 游 玩 时 , 他 才 开 始 心 急 如 焚 、 悔 恨 交 加 , 所 有 这 一 切 触 动 了 他 的 “ 良 心 ”,以 至 于 他 决 心 在 集 会 上 说 出 多 年 的 秘 密 , 公 开 忏 悔 。关 于 市 民 集 会 的 描 写 , 仍 然 不 失 幽 默 讽 刺 的 力 量 。 当 博 尼 克 看 见 住 宅 对 面一 副 灯 彩 大 标 语 “ 社 会 支 柱 卡 斯 腾 · 博 尼 克 万 岁 ” 时 , 他 嚷 道 “ 快 把 标 语 摘 下 来 !我 不 愿 意 看 ! 快 把 灯 吹 灭 ”,“ 快 把 挖 苦 我 的 标 语 摘 下 来 , 听 见 没 有 ! 你 们 难道 看 不 见 这 些 灯 光 一 闪 一 闪 地 都 在 眨 眼 笑 咱 们 ?”(464-465) 这 实 际 上 表 现 了博 尼 克 良 心 上 的 自 责 , 认 为 别 人 挖 苦 他 , 其 实 是 扪 心 自 问 , 觉 得 不 配 “ 社 会 支柱 ” 的 称 号 。 灯 光 如 同 众 人 眨 眼 讥 笑 这 些 上 流 社 会 的 人 物 , 也 像 是 上 帝 早 已 看见 他 所 有 的 罪 恶 , 即 将 对 他 实 施 惩 罚 。 这 样 的 描 写 也 很 像 中 国 的 古 语 “ 人 在 做 ,天 在 看 , 善 有 善 报 恶 有 恶 报 , 不 是 不 报 , 时 候 未 到 ”, 而 就 在 这 天 晚 上 , 一 切即 将 转 变 。“ 从 纯 社 会 的 角 度 来 说 , 公 开 忏 悔 是 融 入 社 会 的 一 种 方 式 : 没 有 忏 悔 , 罪人 就 被 排 除 在 社 会 之 外 , 或 者 与 社 会 格 格 不 入 ”( 杨 革 新 100)。 就 在 民 众 大肆 宣 扬 道 德 、 褒 奖 博 尼 克 的 时 候 , 他 撕 开 了 自 己 的 面 具 , 希 望 民 众 了 解 一 个 真正 的 自 己 。 他 当 众 说 到 “ 诸 位 , 首 先 你 们 必 须 彻 底 了 解 我 , 然 后 每 人 也 扪 心 自 问 ,让 咱 们 在 今 天 晚 上 真 正 开 始 一 个 新 时 代 。 咱 们 要 抛 弃 旧 时 代 , 把 旧 社 会 的 假 面子 、 假 道 德 、 假 正 经 和 怯 懦 的 劣 根 性 都 送 进 博 物 馆 让 大 家 去 展 览 , 当 做 个 教 训 ”(478)。 博 尼 克 承 认 了 当 初 的 罪 孽 , 把 谣 言 当 众 揭 穿 。 对 当 地 人 来 说 , 这 无 疑是 个 晴 天 霹 雳 。 虽 然 历 来 许 多 评 论 家 认 为 博 尼 克 仅 仅 通 过 楼 纳 的 说 教 和 劝 说 就得 到 了 改 变 , 妻 子 儿 子 都 原 谅 了 他 , 家 人 皆 大 欢 喜 , 这 些 是 缺 乏 说 服 力 的 。 但是 易 卜 生 坚 信 人 是 可 以 转 变 的 , 相 信 存 在 于 人 的 本 性 之 中 的 善 是 不 可 摧 毁 的 。即 使 是 反 面 人 物 , 他 的 言 行 举 止 起 到 了 警 戒 作 用 , 他 的 公 开 忏 悔 是 从 道 德 上 进行 自 救 , 以 求 重 构 自 己 的 道 德 观 , 使 自 我 更 为 完 善 。三 、 伦 理 秩 序 与 道 德 的 重 构易 卜 生 选 择 挪 威 和 美 国 两 个 国 家 作 为 整 部 戏 剧 的 要 素 , 并 非 偶 然 , 它 们 各自 代 表 着 新 旧 伦 理 体 制 和 道 德 规 范 。 两 个 国 家 形 成 鲜 明 而 强 烈 的 对 比 冲 突 , 正是 推 动 故 事 情 节 发 展 不 可 或 缺 的 因 素 , 也 成 为 突 出 戏 剧 主 题 的 技 巧 。 易 卜 生 创

Pillars of Society: An Ethical Drama of Satire and Redemption / Guo Wen171造 了 不 可 忽 视 的 女 性 人 物 , 楼 纳 、 棣 纳 、 马 塞 。 她 们 阳 光 向 上 , 更 能 接 受 美 国先 进 的 思 想 观 念 , 鄙 视 虚 伪 的 道 德 观 , 追 求 自 由 、 真 理 、 反 抗 传 统 道 德 束 缚 。一 方 面 与 博 尼 克 所 代 表 的 上 流 社 会 形 成 对 比 , 另 一 方 面 是 呼 吁 整 个 社 会 需 要 逐步 摆 脱 博 尼 克 这 样 的 堕 落 人 物 , 从 而 建 立 崭 新 的 世 界 。挪 威 当 时 的 父 权 制 社 会 , 尤 其 上 流 社 会 中 的 男 人 , 总 是 显 示 出 病 态 , 怯 懦而 不 敢 承 担 责 任 , 可 能 因 为 这 样 , 易 卜 生 才 通 过 女 性 形 象 作 为 批 判 现 实 、 改 良社 会 的 代 言 人 , 难 怪 博 尼 克 在 最 后 也 说 “ 这 几 天 我 学 会 了 一 条 道 理 : 你 们 女 人是 社 会 的 支 柱 ”(486)。 当 时 的 社 会 秩 序 、 伦 理 秩 序 和 道 德 规 范 急 需 修 复 和 重 建 。易 卜 生 通 过 博 尼 克 的 公 开 忏 悔 来 表 达 对 旧 世 界 的 憎 恶 , 与 旧 社 会 的 决 裂 , 寄 托了 自 己 改 良 的 愿 望 。 最 后 , 博 尼 克 从 “ 恶 ” 的 泥 沼 中 被 救 、 自 救 出 来 , 意 识 到改 革 的 重 要 性 , 发 自 肺 腑 地 感 叹 道 “ 要 老 老 实 实 地 彻 底 修 理 。 咱 们 这 儿 有 好 些事 都 应 该 老 老 实 实 地 彻 底 修 理 ”(485)。 这 正 是 真 理 所 在 , 要 重 建 腐 朽 的 道 德体 系 , 打 破 旧 社 会 风 俗 的 禁 锢 与 偏 见 , 要 把 诚 实 、 真 善 美 广 泛 传 播 , 抛 开 虚 假 、自 私 , 只 有 这 样 , 才 能 成 为 真 正 的 “ 社 会 支 柱 ”。《 社 会 支 柱 》 中 , 以 罗 冷 教 授 为 代 表 的 传 统 道 德 观 念 的 卫 道 士 , 始 终 贯 穿整 部 戏 剧 。 易 卜 生 借 用 他 的 言 行 举 止 来 讽 刺 博 尼 克 和 旧 道 德 观 , 也 道 出 了 当 时挪 威 社 会 狭 隘 的 爱 国 主 义 、 民 族 主 义 。 罗 冷 希 望 挪 威 永 葆 民 族 的 纯 洁 性 , 社 会习 俗 只 有 传 统 的 精 华 , 不 能 被 外 来 文 化 和 思 想 玷 污 , 挪 威 的 道 德 观 就 是 要 保 持自 己 的 传 统 , 为 本 地 谋 利 便 是 爱 国 的 表 现 。 可 他 又 明 确 地 称 赞 博 尼 克 是 一 个 爱国 公 民 , 因 为 他 不 只 顾 本 地 的 利 益 。 博 尼 克 和 罗 冷 等 上 流 社 会 一 致 认 为 美 国 唯利 是 图 , 不 如 挪 威 优 良 的 民 族 传 统 。 狭 隘 的 民 族 主 义 和 地 方 主 义 弥 漫 在 当 时 的挪 威 社 会 , 他 们 不 愿 多 了 解 其 他 国 家 优 秀 先 进 的 事 物 , 在 讥 讽 别 国 “ 缺 点 ” 的同 时 , 实 际 也 批 判 了 自 己 已 有 的 缺 点 和 恶 习 。剧 中 的 新 女 性 崇 尚 真 理 , 摒 弃 恶 习 , 呼 吁 自 由 精 神 作 为 “ 社 会 支 柱 ”。 楼纳 最 具 代 表 性 , 她 是 新 世 界 、 新 思 想 、 新 伦 理 道 德 观 念 的 代 言 人 。 她 曾 “ 把 头发 绞 得 精 短 , 下 雨 天 穿 着 男 人 的 靴 子 到 处 乱 跑 ”(305), 到 美 国 公 开 演 讲 , 还出 过 一 本 “ 胡 说 八 道 的 书 ”(307)。 这 个 形 象 在 传 统 道 德 的 卫 道 士 眼 中 是 极 其怪 异 和 叛 逆 的 。 楼 纳 勇 于 讽 刺 上 流 社 会 虚 伪 的 “ 堕 落 妇 女 进 德 会 ”,“ 这 些 道德 衬 衣 有 一 股 霉 味 儿 —— 好 像 死 人 穿 的 寿 衣 。 告 诉 你 们 吧 , 我 是 闻 惯 了 大 草 原上 新 鲜 空 气 的 人 ”(331)。 楼 纳 在 美 国 的 经 历 , 让 她 看 见 了 挪 威 腐 朽 的 道 德 体制 。 美 国 社 会 相 对 自 由 、 开 放 、 民 主 、 平 等 , 她 希 望 把 新 鲜 空 气 放 进 来 , 实 际上 是 想 改 变 挪 威 的 现 状 。 楼 纳 在 劝 告 博 尼 克 的 过 程 中 , 更 加 体 现 了 她 追 求 真 理的 精 神 。 她 瞧 不 起 社 会 中 假 正 经 、 假 善 良 、 假 纯 洁 的 道 德 宣 扬 , 直 到 戏 剧 落 幕 ,她 对 博 尼 克 说 道 “ 妹 夫 , 你 学 会 的 道 理 靠 不 住 。 真 理 的 精 神 和 自 由 的 精 神 才 是社 会 的 支 柱 ”(486)。 她 的 话 语 隐 含 双 重 含 义 , 一 是 对 博 尼 克 十 五 年 来 所 信 奉的 道 德 观 的 彻 底 否 定 , 二 是 新 世 界 宣 扬 的 真 理 战 胜 了 旧 世 界 虚 伪 的 传 统 , 也 表达 了 易 卜 生 渴 望 彻 底 颠 覆 时 代 的 信 念 与 决 心 。棣 纳 是 居 住 在 博 尼 克 家 的 女 孩 , 母 亲 就 是 那 名 “ 堕 落 ” 的 女 演 员 。 棣 纳 的

172 Forum for World Literature Studies出 场 就 因 世 俗 的 偏 见 而 被 认 定 为 “ 堕 落 的 女 人 ”。 人 们 认 为 上 一 代 的 境 遇 、 品 行 、命 运 一 定 会 遗 传 给 下 一 代 ,“ 这 种 民 族 风 俗 习 惯 结 晶 的 伦 理 道 德 , 它 像 黑 格 尔说 的 那 样 , 具 有 神 圣 的 性 质 , 是 ‘ 不 成 文 的 法 律 ’, 被 认 作 永 远 正 当 的 东 西 ”( 聂珍 钊 ,“ 苔 丝 命 运 的 典 型 性 和 社 会 性 质 ” 117)。 实 际 上 , 棣 纳 善 良 纯 洁 , 热 情大 方 , 她 内 心 一 直 有 个 愿 望 , 就 是 远 离 挪 威 这 个 假 正 经 的 地 方 。“ 我 恨 不 能 马上 就 走 得 远 远 的 。 我 自 己 有 办 法 , 只 要 我 不 跟 这 些 规 矩 正 派 的 人 住 在 一 块 儿 ”,“ 我 不 会 学 她 们 的 那 副 千 金 小 姐 的 正 经 派 头 ”(311-312)。 她 的 语 言 充 满 讽 刺力 量 , 既 是 对 那 些 虚 伪 的 上 流 社 会 女 性 的 抱 怨 , 又 是 对 整 个 社 会 的 不 满 。 棣 纳憧 憬 美 国 更 好 的 社 会 , 她 询 问 美 国 归 来 的 约 翰 ,“ 美 国 的 人 是 不 是 很 讲 道 德 ”,“ 他们 是 不 是 像 此 地 的 人 这 么 正 经 , 这 么 规 矩 ”,“ 我 希 望 他 们 不 这 么 规 矩 , 不 这么 讲 道 德 ”,“ 我 希 望 他 们 自 自 然 然 的 做 人 过 日 子 ”(358-359)。 这 些 话 语 实际 上 是 易 卜 生 对 挪 威 现 状 的 讽 刺 。 最 后 她 与 约 翰 产 生 感 情 , 并 希 望 远 嫁 美 国 去寻 找 心 中 向 往 已 久 的 伟 大 的 真 理 。 可 见 , 棣 纳 是 个 有 思 想 、 有 远 见 的 独 立 女 青 年 ,她 希 望 摆 脱 桎 梏 , 冲 出 禁 锢 的 牢 笼 。 她 希 望 学 习 美 国 新 女 性 ,“ 要 工 作 , 做 个有 出 息 的 人 。 要 对 人 家 有 贡 献 , 不 愿 意 只 做 个 被 人 家 收 容 的 人 ”(448)。 这 与挪 威 父 权 社 会 的 观 念 格 格 不 入 , 他 们 认 为 女 人 应 该 是 家 中 的 天 使 , 是 男 人 的 附 庸 ,不 应 参 与 任 何 社 会 工 作 。 资 本 主 义 经 济 决 定 了 男 女 地 位 的 不 平 等 , 而 这 个 伦 理秩 序 是 挪 威 社 会 公 认 的 “ 真 理 ”。另 一 位 女 性 便 是 博 尼 克 的 妹 妹 马 塞 , 她 也 崇 尚 美 国 独 立 自 由 的 精 神 。 棣 纳与 约 翰 的 结 合 , 在 不 知 情 的 外 界 眼 中 , 绝 对 触 犯 了 伦 理 禁 忌 , 原 因 就 是 约 翰 当年 与 棣 纳 母 亲 通 奸 , 害 得 母 亲 窘 迫 致 死 。 而 马 塞 却 认 为 他 们 应 该 追 求 自 由 , 冲出 传 统 习 俗 的 禁 锢 , 去 美 国 生 活 “ 本 地 的 风 俗 习 惯 把 咱 们 压 得 多 苦 啊 ! 棣 纳 ,起 来 反 抗 ! 跟 他 结 婚 ! 让 大 家 看 看 , 咱 们 有 胆 量 反 抗 传 统 的 风 俗 习 惯 !”(448)马 塞 对 美 国 也 充 满 向 往 之 情 ,“ 那 地 方 一 定 很 美 丽 , 天 比 这 儿 宽 , 云 比 这 儿 高 ,人 们 呼 吸 的 空 气 比 这 儿 自 由 ”(449)。 这 个 强 烈 的 对 比 , 与 其 说 是 旧 观 念 与 新观 念 的 对 立 , 不 如 说 是 整 个 挪 威 伦 理 道 德 与 美 国 先 进 性 的 对 比 。易 卜 生 的 戏 剧 由 于 精 湛 的 技 巧 , 使 得 结 构 、 人 物 、 性 格 、 高 潮 充 满 张 力 ,他 也 成 为 了 国 内 外 戏 剧 家 纷 纷 效 仿 的 对 象 。 博 尼 克 的 洗 心 革 面 , 公 开 忏 悔 是 该剧 发 展 的 最 好 的 结 局 。 除 了 博 尼 克 、 罗 冷 等 形 象 以 外 , 易 卜 生 还 刻 画 了 几 位 不可 或 缺 的 新 女 性 形 象 , 把 反 讽 和 教 训 的 艺 术 方 式 寓 于 剧 中 , 呼 吁 重 建 伦 理 秩 序和 道 德 基 础 是 整 个 社 会 发 展 的 必 然 趋 势 。 没 有 真 正 强 大 的 道 德 基 础 , 家 庭 、 婚 姻 、社 会 也 无 法 走 向 自 由 与 和 谐 , 这 也 正 是 易 卜 生 “ 社 会 问 题 剧 ” 的 现 实 意 义 。注 解 【Notes】1. 本 文 所 引 《 社 会 支 柱 》 原 文 出 自 Henrik Ibsen, “Pillars of Society”, in The Works of HenrikIbsen, The Viking Edition, Vol. VI (New York: Charles Scribner’s Sons, 1911)。 汉 译 采 用 潘 家 洵 译文 ( 参 见 《 易 卜 生 文 集 》 第 五 卷 , 人 民 文 学 出 版 社 ,1995 年 )。 以 下 仅 标 注 英 译 本 页 码 ,

Pillars of Society: An Ethical Drama of Satire and Redemption / Guo Wen173不 再 一 一 说 明 。2. 参 见 黑 格 尔 :《 美 学 》, 第 1 卷 , 朱 光 潜 译 ( 北 京 : 商 务 印 书 馆 ,1979 年 ), 第 90 页 。引 用 作 品 【Works Cited】黑 格 尔 :《 美 学 》, 第 1 卷 , 朱 光 潜 译 。 北 京 : 商 务 印 书 馆 ,1979 年 。[Hegel. Aesthetics. Volume 1. Trans. Zhu Guangqian. Beijing: Commercial Press, 1979.]聂 珍 钊 :“ 文 学 伦 理 学 批 评 : 基 本 理 论 与 术 语 ”,《 外 国 文 学 研 究 》1(2010):12-22。[Nie Zhenzhao. “Ethical Literary Criticism: Its Fundaments and Terms.” Foreign Literature Studies1(2010):12-22.]——:“ 文 学 伦 理 学 批 评 : 伦 理 选 择 与 斯 芬 克 斯 因 子 ”,《 外 国 文 学 研 究 》6(2011):1-13。[---. “Ethical Literary Criticism: Ethical Choice and Sphinx Factor.” Foreign Literature Studies6(2011):1-13.]——:“ 苔 丝 命 运 的 典 型 性 和 社 会 性 质 ”,《 外 国 文 学 研 究 》2(1982):116-120。[---. “The Typicality and Sociality of Tess’ Fate.” Foreign Literature Studies 2(1982):116-120.]杨 革 新 :“ 伦 理 选 择 与 丁 梅 斯 代 尔 的 公 开 忏 悔 ”,《 外 国 文 学 研 究 》6(2009): 97-103。[Yang Gexi. “The Ethical Choice and Dimmesdale’s Public Confession.” Foreign Literature Studies6(2009): 97-103.]朱 立 元 :《 黑 格 尔 美 学 论 稿 》。 上 海 : 复 旦 大 学 出 版 社 ,1986 年 。[Zhu Liyuan. A Discourse on Aesthetics. Shanghai: Shanghai Fudan University Press, 1986.]责 任 编 辑 : 朱 黎 航

Chong Yag-yong’s “Howling of a Woman, withthe Penis Cut off Her Husband,” A Poem ofOld KoreaLee Si Hwan (Translated by Young Suck Rhee)#702 Buseung Blg. 19-9 Chungmuro 5ga, Zungku, Seoul100-015, S. KoreaE-mail: dongbangsi@hanmail.netAbstract Chong Yag-yong’s “Howling of a Woman, with the Penis Cut Off HerHusband” written in Chinese characters is a poem that we call people’s poetry. Thepoem contains in it some subjective emotion and intellect, which I analyze in thispaper. I translate the whole poem into Korean for the readers.Key words Chong Yag-yong;people’s poetry;emotion;intellect;MongminsimsoWhat follows is a translation of an old poem in Chinese characters, “Howling of aWoman, with the Penis Cuff off Her Husband,” 1 by Chong Yag-yong, the greatestSirhak (practical science) scholar (1762-1836):The howling of a woman echoesThrough the court of a government officeToward the indifferent sky.I often hear that a husband who joined the army could not come back,But I have never heard that a man cut off his own penis.Along with her Father-in-law who is dead and her own childwho was just born,Her husband is enlisted by the army, and, in fury and protest, the womanran to the Office, with the blood-dripping penis cut off her husband,But the tiger-like guard at the gate is holding her off,And turned her back with his threatening voice;He even comes and drives their cow away from the cowshed.

Chong Yag-yong’s “Howling of a Woman, with the Penis Cut off Her Husband,”A Poem of Old Korea / Lee Si HwanThe husband having blamed his own penisFor giving birth to a child, he went into his room with a knife;The red blood is flowing in the room.What a thunder in a dry sky!175Though guilty, how could he be thus punished?Though worried, how could he cut his own penis?Like Heaven and Earth, the yin and yang are in harmony;To give birth to a son and a daughter is the Heaven’s law;When even a castrated horse or pig is saddened.Wouldn’t a wife, who could no longer give birth, be sadwhen her husband is no longer a man?Those in power live and play for life,Paying no tax, neither a grain nor a piece of cloth.Both he and they are the same people;How could they then treat him like that?I sit by the window alone and just recite poemsof cuckoos and doves in the Book of Poetry. (Lee, Si Whan 11)I have translated the poem into Korean so the readers can understand it easily.According to Mongmin simso (Admonitions on Governing the People), one of themany books he wrote in banishment and forced retirement, Chong composed thispoem in the fall of 1803 at the age of 42 while living in Kangjin, Chunnam, the southwestern province of Korea; the poem deals with a special case. A young woman wholived with her husband in the reedy field gave birth to a baby, and the infant wasenlisted in the Military Conscription Registration in three days of his birth. And agovernment servant came and drove away their cow. Her husband said, “It is becauseof this that we have been suffering,” and cut his penis off with a knife. His wife wentto the Government Office to protest, carrying the blood-dripping penis, but though shewas crying and asking him to let her in and report it to the Governor she was chasedaway. Hearing about the sad story, Chong composed a poem.Even before we study the subject and the form of the poem, because we aremoved by the sad story alone, we consider this poem good. Because of this, the poet—the novelist, in particular - wants to find a special topic. I want to draw attention to theModernist movement in Korea that stresses the choice of subject matters in literature.

176 Forum for World Literature StudiesIt is important for writers to find good subjects; if you are not interested, it is difficultfor you to find a good topic, and in this respect, paying attention to the subject of apoem is meaningful, of course.Looking back now, we can vividly recall various movements, such as ruralliterature, national literature, people’s literature, and workers’ literature, all of whichactively participated in reality. At that time, poetry dealt with special stories andincidents of people’s life: self-immolations, poison drinking, tortures, uprising,criticism, and so on. But now they are nothing but passing winds. It is because aspecial story or incidence is only a subject; if a poem focuses only on revealing it, itmay neglect the poet’s subjective emotion which can move the readers. As a resultsuch a poem is like a heap of bones of a body without flesh. People forget such a workonce the world changes. If literature wants to stay alive and be moving - no matterwhat it deals with in whatever situation or reality - it must depict in positive light whatis essential in humanity, what is universal.Chong Yag-yong’s “Howling of a Woman, with the Penis Cut Off Her Husband”written in Chinese characters can be considered what we call people’s poetry. Itcontains in it some subjective emotion and intellect. By subjective emotion, I meanthe emotion expressed by the poet who has heard about the incident. In this poem thespeaker reacts in two ways: emotionally and intellectually. Emotional responses areexpressed in such lines as:1. … I have never heard that a man cut off his own penis;2. Both he and they are the same people;How could they then treat him like that?3. I sit by the window alone and just recite poemsof cuckoos and doves in the Book of Poetry.And the intellectual responses are found in such lines as:Though guilty, how could he be thus punished?Though worried, how could he cut his own penis?Like Heaven and Earth, the yin and yang are in harmony;To give birth to a son and a daughter is the Heaven’s law;When even a castrated horse or pig is saddened.Wouldn’t a wife, who could no longer give birth, be sadwhen her husband is no longer a man?

Chong Yag-yong’s “Howling of a Woman, with the Penis Cut off Her Husband,”A Poem of Old Korea / Lee Si HwanAs quoted above, the speaker criticizes the inhumane legal system and also says thathumans live following the principle of yin and yang from generation to generation bygiving birth to offspring. Besides, the speaker is brave enough to criticize the localgovernment by exposing the dark life of people:177Those in power live and play for life,Paying no tax, neither a grain nor a piece of cloth.As in this poem, a good poet should state not only the fact but also express hisemotion and intellect in poetic diction. But excessively emotional or intellectualdisplays could do more harm than good in a poem. A good poem is an emotionalresponse in a form striving for aesthetic truth in poetic language characterized byimplication, comparison, emotion, music.To cite an example from the poem: is the speaker able to calm down hearing theastounding story of a couple, by just reading the “poems/ of cuckoos and doves in theBook of Poetry”? Probably not. He is in banishment; it may be that the speaker in thepoem is making a comparison between this incident and the principle in the poems heis reading: just as there is a law of nature in the birds raising offspring, there should,he seems to claim, be a law of governance between the ruler and the people. And thereis in the poem helplessness for an intellectual who is in banishment and cannot doanything for the people, too.NoteThe original poem is 哀 絶 陽 :蘆 田 少 婦 哭 聲 長 / 哭 向 縣 門 號 穹 蒼 / 夫 征 不 復 尙 可 有 / 自 古 未 聞 男 絶 陽舅 喪 已 縞 兒 未 澡 / 三 代 名 簽 在 軍 保 / 薄 言 往 愬 虎 守 閽 / 里 正 咆 哮 牛 去 皁磨 刀 入 房 血 滿 席 / 自 恨 生 兒 遭 窘 厄 / 蠶 室 淫 刑 豈 有 辜 / 閩 囝 去 勢 良 亦 慽生 生 之 理 天 所 予 / 乾 道 成 男 坤 道 女 / 騸 馬 豶 豕 猶 云 悲 / 況 乃 生 民 思 繼 序豪 家 終 世 奏 管 弦 / 粒 米 寸 帛 無 所 損 / 均 吾 赤 子 何 厚 薄 / 客 窓 重 誦 鳲 鳩 篇Work CitedLee, Si Whan. Analyzing Poetry; Appreciating Poetry from Classical to Contemporary Periods: ACriticism. Seoul: Shinserim, 2010.责 任 编 辑 : 王 晓 兰

A Study of A Selection of Literary Essays byKorean Writers Living in ManchuriaOh Yang Ho (Translated by Rhee Young Suck)Department of Korean Language and Literature, University of Incheon, Korea119 Academy-ro, Yeonsu-gu, Incheon, 406-772, KoreaEmail: yh3913@hanmail.netAbstract A Selection of Literary Essays by Korean Writers Living in Manchuria isthe only anthology of the Manchu essays in Manchukuo, the puppet state of Japan.We find two themes. Geography is one. The literary space is expressed by juxtaposingthe present (Manchuria) and the past (Korea) when the essayist talks about geography.Mythology is another to discover the identity of old and current Korea. And severalothers, who take different ways to express themselves, tend to keep distance fromthe time and place they are in, and instead focus on literary problems seriously andrealistically, to cope with their rages and tragedies in Manchukuo.Key words travelog;mental space;hybridity;mythology;literature of exilesIntroductionThirty years have passed since the literary work written in Manchuria in the 1940’swas called the dark age of literature or pro-Japanese literature. 1 But since thenmany scholars have studied this work, and it still remains a problem to be solved. 2The spiritual aspects of Korea in the early 1940’s were diverse; some resulted fromJapanese Imperialism, others from Capitalism, Enlightenment, Democracy, ExiledGovernment. Despite this diversity, there appeared pros and cons in everything.Though we were under the Japanese rule, we could not create a variety of applicationsof the new movements. This paper aims at understanding what happened in Kando(Jiandao) as in the literary essays at that time. 3Literary Scenes in the 1940’s in Manchuria1. Choi Namsun’s “Chunsanyugi”Five of the essays by Choi Namsun are in the book, the selection of which is thelargest in it; of these, “Chunsanyugi 1 and 2” draw my attention. Since 1920’s Choihas made efforts to make the beauty of nature in Korea known to the people. He does

A Study of A Selection of Literary Essays by Korean Writers Living in Manchuria / Oh Yang Ho179the same thing in these essays. Literature reflects society, and these essays are hispoetic responses to it:The Liaodong Peninsula is the extension of Baekdu Mountain; so is the KoreanPeninsula. Historically, Kojosun extends left and right from Chunsan Mountain;so do Kokuryo and Balhae . Korean people toiled and shed sweat here…. I havejust scaled the Ilbong summit and think of the old territory of Korea, and whowould blame me for my recollection. (“Chunsanyugi”) 4Choi Namsun retraces the great nations Kokuryo and Balhae, the old Koreas. It is,however, not possible for history alone to restore history; so, to do so, he bringsgeography so he can cultivate the spirit of Korean people. He observes Baekdu andKeumkang Mountains, and characterizes the people of Korea by their similarity to thelooks and features of the two mountains. He summons geography to feel the breath ofancestors in it.As quoted above, his attitude toward history is shown in the essay. He restoresthe old territory of Kokuryo and Balhae to the space of Korean history.He traveled the colonized peninsula to abstract the national characteristicsso he could inspire the people with the need for independence. The travel essays“Chunsanyugi 1 and 2” are his efforts to that end. The essays are interspersed withsijo, an old form of Korean poetry, the aim of which is to reinvent history so itcan interconnect not only past and present, but also future. That he sees ChunsanMountain as part of the Baekdu Mountain Range is his intention to bring back the oldKorean history.By combining geography and history, he breathed the sentimental, psychological,philosophical, aesthetic breath into the nation. Choi Namsun composes poemsoverlooking Chunsan, believing it is our territory. This is how Chunsan becomes partof us when we read his essays. He experiences and recognizes what is now foreignsoil as where our ancestors lived and tilled the fields. In the 1940’s Chunsan wasruled by Japan. It was in fact a land of war. He attempts to resuscitate a mythologyof Korean race, and using the unique form of Korean poetry, sijo, he sings to enrichthe life of Korean people there. He has written an article “Bulham Cultural Theory(1925),” in which he defends Dangun Mythology that Japan denies. 5 He says thathis theory is independent from Japanese scholarship, and it is seen as a diplomaticdocument in defense of Dangun Mythology. 6Literature can internalize geographical beauty, thus making it deeper and moreattractive. 7 Thus, Choi Namsun expands literary space through geography to makeroom for a new mental space for Koreans. In this respect Chunsan in “Chunsanyugi 1

180 Forum for World Literature Studiesand 2” is a Korean mountain.Choi earlier said in the preface to “Simchunsoonrae” that “the rivers andmountains in Korea themselves are the history, philosophy, poetry, spirit of Koreans,” 8and again in “Chunsanyugi 1 and 2” locates the spirit of Koreans in geography.2. Hybridity in ManchuriaIt is impossible to see many things in literature from one point of view; each workneeds a different point of view to read it. There was not much in Manchuria in the1930’s, but with the inflow of Japanese capital it turned into a complex hybrid society,and in Korean residents there were pro- and anti-nationalism in the 1940’s. Japan hadinstilled an Imperialistic ideal of Ojokhyopwha, or Five Races Live in Harmony, inManchuria, where many immigrants considered Manchuria a land of opportunities:investors and politicians in power worked together, all types of people with diversesocial backgrounds, who had taken shelter here from the direct dangers of World WarII, vied for more power. For nationalist Koreans Manchuria was a space where theygathered to build a nation again; so, their essays’ connotations and denotations weredifferent.In short, they were between two opposing forces, Japan’s dark and firm controland China’s slow, lukewarm political action. Koreans were second best, afterJapanese, as Korea and Japan had just been united, but for this reason, Koreans wereheld in check by Chinese. As a result, it was not easy to lead life in Manchuria. Anessay “Neighbors” by Ahn Sugil clarifies this:A poet, they say, visited the waiting room at the train station where hecould hear people speak in dialects. Or on a night when crickets were singing, heheard a train sound a steam whistle like a calf’s cry, which reminded him of hishometown. My house is in front of the station so the whistle could be heard inbed.And my house is by the hotel Daewha which has the flavor of Renaissancestyle. The quietude of the garden, where at dusk an army of crows visit theancient trees, people could instantly forget that they are at the heart of a city.But I have never been to the station without a duty. Nor do I have a desire toenjoy the midnight whistle in bed nor the crow cawing in the trees. 9We can glimpse the capital flow in. The station is crowed with people who lefthometowns; near is an expensive hotel for them. There is a hybrid society formingwith the capital flow-in. My house is near the station that could remind me of myhometown, but I do not visit the waiting room without business. Though I work hard,

A Study of A Selection of Literary Essays by Korean Writers Living in Manchuria / Oh Yang Ho181I lack in and am obsessed with money and not free to enjoy leisure.In this essay we see the first class people stay and enjoy life in the hotel.Ironically, the second class people have a chance to enjoy the first class peopleenjoying life in the hotel. “I” also want to drop in and enjoy the leisure at hotel. Buthe says it’s nothing but a sentiment. It’s ironical, because though he takes pride inbeing poor as poet, he still wishes to enjoy it. The essay uncovers an aspect of socialconflicts arising between classes of people.In interpreting Korean literary works in the 1940’s, it is not desirable to applydichotomy even if it is seen from the perspective of nationalist view point. It is notpossible to read “Neighbors” in such light, for instance. Mechanical dichotomy couldserve as a good tool to explain an epoch. It is not an appropriate means to look intoliterary works. In particular, it is not good for an essayist who refuses to have histhoughts and consciousness suppressed.3. National Sentiment in ManchuriaThe second largest selection of essays was made from Shin Youngchul’s. 10 He wasan important editor in Manchura but did not treat the living conditions of Koreanresidents in his work. Literature reflects life, but he escapes from it. Though literaturedoes not depict life as it is, it helps it overcome difficulties by dealing with people’sneeds and desires in literary works, the tendency of which is exemplified in “TheMorning on the Namman Plain” or “News from Shinkyung.” His essays show howthe newly arrived Koreans see the landscapes. Our sentiments, that is, meet with thenew places and scenes:The old apricot trees are pink and in full blossom: it’s my home, a Shangrila.It’s far different from the world that is full of hatred, jealousy, struggles, rivalry.At that time, how could I have imagined that I would come to live on these vastplains where snow falls like mad in April? Who could have known that I wouldcome here?My dear brother Arim! Now I no longer regret that I cannot appreciate theapricot blossoms in my hometown. Even if I do wish, my hometown cannotembrace me again. So, I will appreciate the yellow leaves of ginkgo trees in latefall instead of the apricot blossom. 11The train has passed the station of Oryongbae, which is famous for hot springs insouthern Manchuria. And as we approaches Andong prefecture, the wild flowers areeverywhere. Some flowers are blown by the wind like the breast ties of girls’ costume.How soft they are? The white buckwheat blossom is in full bloom on the bank of the

182 Forum for World Literature Studiesbean field beside the rice fields. It’s as if I am hearing a folk song.On the bank of turnip fields a couple of boys in white are chatting, walking withtheir trouser tips rolled up and their lubber shoes in hand; on the edge of the streamunder the train bridge Korean wives and brides in yellow blouses and pink skirts strikeand strike wooden mallets on wet clothes to clean. To see them here, how could yousay it is Manchuria? 12The first one quoted above is the second essay of the three in “New fromShinkyung.” The speaker misses his hometown as he is looking at the apricot blossomin Manchuria. The speaker’s emotion is vividly visualized in the essay. In Manchuriait is so cold in winter that the head of a cow is frozen; the winter is over and it isspring. The author compares spring both in his hometown and Manchuria. “The firstthing in early spring in Korea is the apricot blossom, which adorns beautifully andbrilliantly the spring of his hometown,” he says in his essay, complaining that springin Manchuria is never like spring in his hometown. He feels comfortably at homerecalling his hometown’s apricot trees in full bloom, in the face of the rough springin Manchuria. He accepts Manchuria as a livable space. Though many problems facehim, he makes time to contemplate the landscape in Manchuria.In the second quote the author treats Andong prefecture as if it is part of Korea.It is the same attitude Choi Namsun has when he considers Chunsan part of BaekduMountain. This is what the two writers do by dusting the mildewy names of places ingeography books to give life to them in their literary works. The two writers’ agonyis between the lines in their essays. They summon the meaning of places from historyand treat past and present together in the essays. It may be a way for them to live thepresent without pain. We feel sorry for their literary efforts to be satisfied with thepresent.Identity in A Selection of Essays by Korean Writers in Manchuria1. Praising the Land of LifeManchuria is vastly expansive. The dark land spreads immensely in the three northeast provinces. Shinkyung is flat with no mountain. Hyun Kyungjun describes springin Manchuria as follows:My ears tickle busily eavesdropping spring come near.“The snow melts. Which will flower first?”“Azaleas, maybe?”. . . . . . . . . . . . . . . .My angels lead me out, before me and after, by the hand, and my hair isblown though it’s not windy. I feel light as a feather flying in the air, leaving

A Study of A Selection of Literary Essays by Korean Writers Living in Manchuria / Oh Yang Ho183all the worries behind. The road is the same as I used to travel on, but I feel itstrange and am not accustomed to it today.Glancing over the mountains still covered with snow, they look nearer andsnug. The river is not yet a river. The river edge lined with willows is frozen withthick ice.The river has on its frozen surface places of water glimpsed here and there,like hearts of lovers. The twigs of willows are full of flexibility and vigor andmake a circle when they are pulled and let go. 13This is a feeling of the landscape of the approaching spring. At that time rice fieldscovered all over Manchuria. 14 But it is the Mado River, where a wife and a child wereburied, as in Kim Dongsik’s “Lamentation.” 15 That land is described here as a land ofrebirth, or an essential place where a dragon rises. Desires of possession and attack aretransformed into happiness here. It is purposeless: children are angels, uncles enjoyan outing in spring. The mountains with snow on top look snug, the willows along theriver show bursting buds of elasticity. Seeing signs of spring in Manchuria, Koreanwriters respond romantically:When I was leaving Shinkyung at 10 pm last night, it was kind of cold andwas likely to snow; on the following morning, arriving at Daeryon station, Ifelt kind of hot with the thick layers of my inner clothes. As I got to the Songpohotel, I opened all the windows to the south and seated myself: it was a newworld now. Looking at the acacias I felt as if I were in spring already, though Ihad to travel further. 16If spring comes to my hometown, will it not come to Manchuria? Ifswallows and nightingales come to Korea, will they not come to Manchuria?Spring inches toward north one step after another.As I hear from neighbors who lived here for a long time, swallows may bearound in the suburbs of Shinkyung by now, and last June during the RanrangFestival I myself heard nightingales sing from the forest of the Booksan Park….swallows are flying and nightingales are singing here; then, how can I treatManchuria coldly? 17Manchuria is a vast new world. It takes 13 hours from one point to another there.Nightingales come back and sing, which reminds the writer of the spring in Korea.The plain is so wide and wild that the principle of life is felt strongly. Winter attacksas if to kill all in Manchuria. But with spring life comes back. “I” experience thedignity and mystery of life once in spring, which compels him to write his friends

184 Forum for World Literature Studiesabout the wonders of Manchurian spring. Hidden in this essay is something abrasivein life:The luxurious dreams of the young in Monte Carlo blink in red and blueneon lamps—moderns enjoy things exotic—one little fantasy of hometownmelts and passes on the train windows and passes. There is a sign of corruptedconditions in here.Samjungjong with all lights gone—Oh, is it the ruins of the last day ofPompeii? In it there might be Frankenstein’s monsters dancing in the darkwindows. 18There is some sign of decadence, which is in contrast to the signs of Romanticsentiment. Shikkyung was the new capital of the imperial Japan. Calling the citythe special city of Shinkyung, they constructed broad streets, huge buildings fortaking care of affairs, and even tunnels under the city, in order to conquer the wholecontinent. In the essay above, there is some melancholia. The fantasy of hometownconjured over Shinkyung by neon lamps is not a fantasy;, it is a sign of the fin desiècle, along with the dark images.Shin Youngchul was friendly enough to be an editor of Bandosawha andNaktomanju, but his essays keep some distance. In his essay there is some sentimentof Korea beneath the surface. It gives solace to us. While editing A Selection ofLiterary Essays by Korean Writers Living in Manchuria he printed the songs ofKoryo’s Confucian scholars and the sijos of Josun Dynasty’s loyal subjects, inaddition to lyrics and poems of landscapes, which have nothing to do with politics, onpurpose.2. Mental Space of Korean ResidentsA Selection of Literary Essays by Korean Writers Living in Manchuria has manytravelogs: Choi Namsun’s “Chunsanyugi 1 and 2” as well as “Baekjakjae Banil”; YomSangsop’s “Travel in the Rain”; Ham Seokchang’s “Kilim Yongchungi” and “RecallingPotatoes”; Shin Youngchul’s “Morning on the Namman Plain.” Also included in it areKim Jokyu’s “Note on Baekmuk Tower”; Park Palyang’s “Impression of Shinkyung’sNight” which depict travels. They have something common: they also sommonnational sentiment. To cite two writers’ essays: Choi Namsun’s “Chunsanyugi 1 and 2”and Ham Seokchang’s “Kilim Yongchungi 1 and 2”:(1)There is grotesque sublimity in granite rocks hit by wind and rain; therethe rustling of winds in full forests; there long vales and blue streams; there

A Study of A Selection of Literary Essays by Korean Writers Living in Manchuria / Oh Yang Ho185shapely rocks: they must be our fathers’ land. So, it’s not new but old to us. Tolook at them again, this Donghak is like the entrance to Bobong Mountain inSeoul; to look down from here, the vale’s like the front of Byokyeon Rock inSojang Mountain. I come to enjoy the Korea in Manchuria: once in the Songwhariver; twice in the Manroku. Now here in Chunsan I first see the DiamondMountains but it may be the last for me to do so. 19(2)It is not enough to say I have seen all of Chunsan. But though I havetrodden on a corner of Chunsan, to learn that Chunsan is part of Korea in termsof lanscapes and history is a biggest thing for my trip. 20(3)I see the breaking of ice on the Songwha river for the first time;explosions of the river ice into pieces; then all moving. Horses and peopletraveled on the hard ice yesterday, but the water is glimpsed here and there onthe ice. It’s like soldiers at the signal tower sending the smoke into the sky tosignal the arrival of the time…. It looks like the same news that all places roseby sending the smoke signals: all seem determined to rise for the same purpose,though in silence. 21(4)The water now flows again but is still cold. Though it snowed a few moretimes, it is calm, and I take a walk along the river with some relish. Yet, I am notfully satisfied, waiting for the spring days. It is still as cold as in winter. I thinkof my hometown with the soft grey buds of the willows; of the hazy hills and theazaleas, which just have twigs of buds like the tits of 16 year old girls’ breasts; ofthe flowers smiling in the sunlight. I murmur the Tang poet Jang Kyongchung’s “ASong of River.” 22The first quote combines two summits: Chunsan and Dobong are combined to bethe origin of the Korean race. Choi Namsun prepared his lecture note “ManmongCulture” (June 1941) in which Korea and Japan seem to be in harmony and conflictsas well. 23 Choi began to talk about the spiritual aspects of old Korea in “Pungakyugi,”(1924) which is a travelog. In “Chunsanyugi” he praises both Manchuria’s Chunsanand Korean mountains. He aims at finding the origin of Eastern Culture in TangunMythology, which is what he calls “Bulhammunwha.” Choi finds the identity of Koreathat he finds in Chunsan. He’s somewhat impatient. But to use the other’s space in hisessay is the same as in his earlier essays. His approach to the mythology is to defendthe spiritual Korea in the face of Japanese distortion of Korean history. That “Chunsanis part of Korea in terms of lanscapes and history” shows that he does not recognizethat Koreans are second class citizens to Japan. 24 He discovers the people’s identity inhis mind space.In the third quote the characteristics of travel essays are expressed. To travel is

186 Forum for World Literature Studiesto move from a familiar space to an unfamiliar space. A travel is to experience newtensions and changes in emotion by meeting with new people and new places ofnature, which is expressed well in what is quoted above. As the author watches hugepieces of ice melting, he idealizes the beauty of nature with curiosity and surprise. Hisconsciousness does not conflict with his sense of the epoch nor does he resort to themythology of Korean race. But as a writer he has the same sense of responsibility forbeing a Korean writer as Choi Namsun. This is a coincidence, but meaningful.The fourth is a lyrical depiction of the pleasure of welcoming spring. He meetsspring on the frontier but remembers his hometown in spring. His sense of art iscompressed in Jang Chunkyung’s poem. It’s because of the new place. He is in amental space, free from worries of the age, like the two writers.3. Life and Death in ManchuriaChoi Namsun’s friendliness to Japan has found space in his essays, “Reading,”“Chunsanyugi 1 and 2,” “Baekjakjae Banil,” “Manchurian Incident and Education.” 25These essays were written between when he declared nationalism and when hesupported Japan openly. “Baekjakjae Banil” is an appreciation of Baekjakjae inDalian he visited, where could see the calligraphy and books stored; The language inthis essay is different from “Chunsanyugi.”“Manchurian Incident and Education” is very different from his other essays.The essay calls the Manchurian Incident (1931) a holy war. Choi, it is unbelievable,justifies the war and teaches its lesson for the young.“Reading” is free of idealism. He says reading is an act of seeking truth. Itshould be an act separated from ideology, history, age, he declares. It is different from“Chunsanyugi” which combines history and geography, or from “Manchurian Incidentand Education,” which lacks logic and reason.Yom Sangsop was a writer keeping distance from his age. It is interesting that thetwo writers with different personalities have something in common: keeping distancefrom his age. At that time Yom had resigned as editor for the Mansonilbo and workedfor a company in Andong, but he, a writer of realism, was still respected by theKorean writers living in Manchuria. 26Yom’s “Wujoonghaengrogi” is set neither in Manchuria nor in the 1940’s. Herecalls the day when he and his older brother went on a trip to Kimchun as it rainedcats and dogs. This essay has nothing to do with the Manchu affairs. It is the same asChoi Namsun’s “Reading.” Oblivious to the rise and fall of a new empire, he indulgesin a different problem in his essay.In this respect, Kim Jokyu’s “Note on Baekmuk Tower” shows a clearcharacteristic:

A Study of A Selection of Literary Essays by Korean Writers Living in Manchuria / Oh Yang Ho187(1)All through the night his sister will be waiting for Mr. Choi alone, sohe will, he says, have to go back tonight. Thrusting a few crumpled bills intohis pocket, he says goodbye to me, which makes me sad. On an unusually coldlate afternoon he, pushing his school hat deep down, disappears into the dusk,casting a long shadow, turning back again and again and looking at the front gateof school. Mr. Choi who will walk 50 li through the dark country road, and hissister, seized with fear, anxiously waiting alone in the room cocking her ears forthe steps of Mr. Choi…. 27(2)Since then he has never shown up and I have almost forgotten him, but afew days ago I received a letter written in his beautiful hand. It was from Tokyo.He sold the rest of their property to pay for the tuition of her sister who willgraduate in a year and went to Tokyo, and now every morning he runs throughthe alleys and streets to deliver newspapers…. He is determined that he willsucceed.Compared with the heavy shadow he cast, when he vanished into the duskon a spring day, his shadow is now full of hope and ambition, as he is shaking thebells of newspaper delivery and running in the alleys and streets. 28As above, the background of what is quoted in the first is Manchuria, while that in thesecond is Tokyo. In Manchuria Choi is hopeless, while he is full of hope in Tokyo. InManchuria it is dusk, and it is dawn in Tokyo. In the former anxiety rules while in thelatter there is stability. The narrator experiences both conditions of life.What matters here is Choi escapes from the conditions of Manchuria and goes tothose of Tokyo: that is, from the marginal of the colony to the center of the empire. Heis determined to succeed with all my might: what does it mean to succeed to Mr. Choiand to the teacher?Kim Jokyu first published a poem in Shindonga in 1932. He belongedto Dancheung, which pursued pure literary works, but he was a friend to poetLimwha, who was a member of KAPF (Korea Artists’ Proletariat Federation). Hewas imprisoned involved in Kwangju Students’ Incident while in Sungshil Middleschool. That the narrator in “Note on Baekmuk Tower” remains silent toward realityis incongruous with the author’s personality. The author shows emotions instead ofrages. Many thought that as there appeared a new nation in Manchuria there will bea new world, but his essay does not show any response, not to mention enthusiasm.Depiction of reality of life is too real, beyond the problem of the colonizers and thecolonized. A young man thrown into the cold world is just about to come to life. Thewriter who witnesses the rise and fall of a nation can predict the resilience of man as

188 Forum for World Literature Studiesin this work. The emotion expressed in the work is another face of rage and sadnesstoward reality.As the circumstances were this complex, if we consider a literary essay isfounded on facts, it would not have been possible for us to order him anything. Itwould be merely an order for another idealism, an order to regulate their philosophyin a different world. Our order is nothing but a today’s measure that is ill fit for theircold reality.ConclusionManchurian literature in the 1940’s has been studied from different perspectives.However, literary essays by Manchu Korean writers have not been dealt with sofar. And this is the result of such an attempt. This paper is a survey of A Selection ofLiterary Essays by Korean Writers Living in Manchuria in the 1940’s.First, this book is a lyrical achievement in prose. At that time literature wasconcerned with the problem of East Asia, not with reality in Korea. But A Selectionof Literary Essays, however, reinforces things Korean. It is, as a result, a literature ofexiles.Second, Choi Namsun shows his literary space both in “Chunsanyugi 1 and 2”and “Bulhammunwharon.” In contrast to his personal life, his works put Manchukuoand Korea together, and confirm the identity of Korea by comparing the geographicalidentity in both nations.Third, all works are based on the places and things in the new imperial stateManchukuo, but they depict realistically the ideas and philosophies that wereabstracted from realities. Kim Jokyu’s “Note on Baekmuk Tower” is an example. It isa way to cope with rages and tragedies in the face of the rise and fall of nations.Notes1. Oh Yang Ho, “Reconsidering The Dark Age of Literature,” a paper read at the 23 rd NationalConference on Korean Language and Literature, Korean Culture Study Center, 1980.2. The typical example is the subject of diaspora taken by International Association of KoreanStudies. I have studied this problem and published four books including Korean literature in Kando(1988) and Kando Literature and Life: Bae Seok.3. A Selection of Literary Essays by Korean Writers Living in Manchuria in the 1940’s is a handwrittencopy. Its price is 65 Jon. ShinKyung Special City: Josun Literature Publishing, 1941. It wasthen the only magazine for Korean essayists in Manchuria.4. Choi Namsun, “Chunsanyugi 2,” A Selection of Literary Essays by Korean Writers Living inManchuria in the 1940’s. ShinKyung Special City: Josun Literature Publishing, 1941. 46-48.

A Study of A Selection of Literary Essays by Korean Writers Living in Manchuria / Oh Yang Ho1895. Jo Hyunsul, “The Dawn of Eastern Mythology and the Formation of Modern PsychologicalGeography,” A Study of Nationalist Literary History, Vol 16. Seoul: Nationalist Literature StudyInstitute, 2000.6. Oh Munseok, “A Problem of Immanent Continuity in Nationalist Literature and Pro-JapaneseLiterature – Focusing on Choi Namsun,” Modern Literature Study, Vol. 30, Association of KoreanLiterature Studies, 2006.7. Archibald Geikie, Types of Scenery and Their Influence on Literature. Port Washington, N.Y.:Kennikat Press, 1070. (1 st published in 1898). 59.8. Ed. Korean University Research Center for Asian Affairs. Yukdang, Choi Namsun 6. Seoul:Hyonamsa, 1973. 259.9. Ahn Sugil, “Neighbor,” A Selection of Literary Essays by Korean Writers Living in Manchuria inthe 1940’s. ShinKyung Special City: Josun Literature Publishing, 1941. 67-68.10. Shin Youngchul (1895-1945) was born in Seoul. His pen name is Yakrim. He studied philosophyat the Department of Philosophy, Dongyang University, Japan, where he was a writer belonging toa society of student writers Saekdonghoe. In 1919 a critique was published in the Maeilshibo, andsoon he became an editor for Orinee and Beolgeungon. He went to Shinkyung to become a journalistfor the Mansonilbo, and edited the essays students had contributed to the paper and published a bookStudents’ Letters. In November 1941 he edited A Selection of Literary Essays by Korean WritersLiving in Manchuria and a collection of literary works Earth That Awakens, with a preface “Beyongthe Earth That Awakens.” In 1943 with a Japanese name Pyongsanyoungchul, he edited Bandosawhaand Nakto Manchuria in which he wrote a long article “Past and Present of Korean Residents inManchuria.” He was the chief of literary section for the Mansonilbo, and died in Shinkyung at age50.11.Shin Youngchul, “When the apricot trees are in blossom,” the same book. 58-59.12. Shin Youngchul, “The Morning of Namman Plain,” The same book. 87.13. Hyun Kyungjun, “Hand that sells spring,” The same book. 4-5.14. Ji Bongmun, “A Woman of the Arctic,” Korean Literature (January, 1937).15. It is a pure Korean name of Manchuria. See “Lamentation,” the Mansoilbo, May 2, 1942: “Thesouthern country is five thousand ri away; so is my hometown/ My wife is buried; so is my child/Mado River, bury me here.” Also see “Woodland,” Earth That Wakens. Shinkyung, 1941.16. Choi Namsun, “Baekjakjae Banil,” the same book. 34-35.17. Shin Youngchul, “Swallows and Nightingales,” the same book. 67.18. Park Palyang (Kim Yosu), “Impression of Shinkyung’s Night,” the same book. 95.19. Choi Namsun, “Chunsanyugi 1,” the same book. 45.20. Choi Namsun, “Chunsanyugi 2,” the same book. 52.21. Ham Seokchang, “Kilim Youngchungi 1,” the same book. 24.22. Ham Seokchang, “Kilim Whanjungi,” the same book. 25-26.23. Jo Hyunsul, “Manchurian Mythology and Modern Talk” and “Modern Culture and Geography,

190 Forum for World Literature Studiesand Manchuria in East Asia,” in The 26 th Conference Proceedings of Korean Literature Study Center,Dongguk University, February 2, 2007. P. 8.24. Yun Hyutak, “The Truth and Falsehood of Second Class Citizens in Manchukuo,” Yuksahakbo,Vol. 169 (2001).25. Choi Namsun drafted “The March 1 st Declaration of Independence” in 1919, started Dongmyungin 1922 to promote nationalism, wrote “Climbing Baekdu Mountain” in 1926, in which he discoversthe souls of Korean race in Korean landscapes and heightens his discussion of race to sublimity. Butwhen he left the Privy Council and became the advisor to the Manmongilbo in Shinkying in April1938, he changed his mind; as he assumed the professorship at the Konkuk University in Manchuriain 1939, he wrote “On Holy Thoughts of Race in East Asia,” in which he declares the same ideologyexpressed in his another essay “Manmongmunwha” (June 1941): he justifies the establishment of anation in Manchuria in terms of cultural backgrounds, and wants to play a role in building a nationof moral and cultural obligation. But what is interesting is that his thoughts are directed to thescience of Korean studies with Dangun on top in his theory. He openly began supporting JapaneseImperialism since 1943, when he came back to Manchuria and wrote to support the enlisting ofStudents Soldiers.26. Ahn Sugil, One Goosefoot. Seoul: Munyechangjaksa, 1977. 256, 259.27. Shin Youngchul, ed. A Selection of Literary Essays by Korean Writers Living in Manchuria inthe 1940’s. ShinKyung Special City: Josun Literature Publishing, 1941. 82-83.28. Shin Youngchul, the same book. 83-84.Works CitedAhn, Sugil. One Goosefoot. Seoul: Munyechangjaksa, 1977.___. “Neighbor,” A Selection of Literary Essays by Korean Writers Living in Manchuria in the 1940’s.ShinKyung Special City: Josun Literature Publishing, 1941.Archibald Geikie. Types of Scenery and Their Influence on Literature. Port Washington, N.Y.:Kennikat Press, 1070. (1 st published in 1898).Choi, Namsun. “Baekjakjae Banil,” A Selection of Literary Essays by Korean Writers Living inManchuria in the 1940’s. ShinKyung Special City: Josun Literature Publishing, 1941.___. “Chunsanyugi 1,” A Selection of Literary Essays by Korean Writers Living in Manchuria in the1940’s. ShinKyung Special City: Josun Literature Publishing, 1941.___. “Chunsanyugi 2,” A Selection of Literary Essays by Korean Writers Living in Manchuria in the1940’s. ShinKyung Special City: Josun Literature Publishing, 1941.Ham, Seokchan. “Kilim Whanjungi,” A Selection of Literary Essays by Korean Writers Living inManchuria in the 1940’s. ShinKyung Special City: Josun Literature Publishing, 1941.___. “Kilim Youngchungi 1,” A Selection of Literary Essays by Korean Writers Living in Manchuriain the 1940’s. ShinKyung Special City: Josun Literature Publishing, 1941.

A Study of A Selection of Literary Essays by Korean Writers Living in Manchuria / Oh Yang Ho191Hyun, Kyungjun. “Hand that sells spring,” A Selection of Literary Essays by Korean Writers Livingin Manchuria in the 1940’s. ShinKyung Special City: Josun Literature Publishing, 1941.Ji, Bongmun. “A Woman of the Arctic,” Korean Literature (January, 1937).Jo, Hyunsul. “The Dawn of Eastern Mythology and the Formation of Modern PsychologicalGeography,” A Study of Nationalist Literary History, Vol 16. Seoul: Nationalist LiteratureStudy Institute, 2000.___. “Manchurian Mythology and Modern Talk” and “Modern Culture and Geography, and Manchuriain East Asia,” in The 26 th Conference Proceedings of Korean Literature Study Center, DonggukUniversity, 2(2007).Korean University Research Center for Asian Affairs. Yukdang, Choi Namsun 6. Seoul: Hyonamsa,1973.Oh, Munseok. “A Problem of Immanent Continuity in Nationalist Literature and Pro-JapaneseLiterature – Focusing on Choi Namsun,” Modern Literature Study, Vol. 30. Association ofKorean Literature Studies, 2006.Park, Palyang (Kim Yosu). “Impression of Shinkyung’s Night,” A Selection of Literary Essays byKorean Writers Living in Manchuria in the 1940’s. ShinKyung Special City: Josun LiteraturePublishing, 1941.Shin, Youngchul. Ed. A Selection of Literary Essays by Korean Writers Living in Manchuria in the1940’s. ShinKyung Special City: Josun Literature Publishing, 1941.___. “The Morning of Namman Plain,” A Selection of Literary Essays by Korean Writers Living inManchuria in the 1940’s. ShinKyung Special City: Josun Literature Publishing, 1941.___. “Swallows and Nightingales,” A Selection of Literary Essays by Korean Writers Living inManchuria in the 1940’s. ShinKyung Special City: Josun Literature Publishing, 1941.___. “When the apricot trees are in blossom,” A Selection of Literary Essays by Korean Writers Livingin Manchuria in the 1940’s. ShinKyung Special City: Josun Literature Publishing, 1941.Yun, Hyutak. “The Truth and Falsehood of Second Class Citizens in Manchukuo,” Yuksahakbo, Vol.169 (2001).责 任 编 辑 : 王 晓 兰

Sol Jungsik’s Early PoemsKwak, Hyo Hwan (Translated by Rhee, Young Suck)Department of Korean Language and Literature, Korea University145, Anam-ro, Seongbuk-gu, Seoul, 136-701, KoreaEmail: kwakhh@daesan.or.krAbstract Sol Jongsik (1912-1953) began writing poetry early, in 1932, at age 20 buthe did not write much until 1947. During the five-year period from 1945 to 1950, hepublished about 60 poems, publishing three books, Bells (1947), Grapes, and Rages ofGods (1948). He is a key to understanding the Korean literature just before and afterthe Korean War.Key words Bells, Grapes; Rages of Gods; Korean War; political ideology; modernpoetryIntroductionKorea from 1945 to 1950 experienced the bitterest and most confusing social changesin its history: Liberation from the Japanese colonial rule, the division of the peninsula,the breaking out of the Korean War. People were jubilant when it was freed fromJapan; the US and Russian army took over Korea and it was divided under the militarygovernments. Then until the Korean War broke out, Korea had to experience conflictsand confusion amid the forces of ideologies and political parties for control of thenorth and south Koreans.Korean writers aimed at creating a national literature free from Japan, butpolitical and social whirl winds followed. As Korea was freed on August 15, 1945,beginning with a literary movement led by Lim Wha, many literary organizationshad been created, each supporting its own political ideology. Lim Wha and KimNamchun created Literature Construction Movement on August 16, 1945 in defenseof leftist ideology, whereas Song Young, Park Se Young, and Han Hyo made JosunProletariat Movement on September 17, 1945. The latter movement joined JosunLiterary Association on February 8, 1946 to found a national literature movement.The rightists also created literary bodies: Yang Judong and Yu Chijin created JungangWriters’ Association on September 18, 1945; Jung Inbo and Park Jongwha beganJosun Writers’ Association on March 13, 1946; Kim Dongri and Yu Chiwhan formed

Sol Jungsik’s Early Poems / Kwak, Hyo Hwan193Young Writers’ Association on April 4, 1946. Lim Wha tried to apply the Proletariatideals of workers and people to literature, whereas Kim Dongri pursued pure literaturethat emphasized individuality, humanity, creativity. Jo Jihun offered a new poetics thatsynthesized both ideals. 1This period was characterized by occasional poems, which “expressed the joy ofliberation and praised social and political changes.” 2 Much of the poetry was resultedfrom a flood of political ideologies, but its literary value is now questioned. 3 We canread such poems written by Lee Yongak, Oh Jangwhan, Lim Wha, Sol Jongsik.Of these writers, Sol Jongsik (1912-1953) was most representative in bothquantity and quality of his poetry. His writing career began early, in 1932, at age 20but he did not write much until 1947. During the five-year period from 1945 to 1950,he published about 60 poems, publishing three books, Bells (1947), Grapes, andRages of Gods (1948). He also wrote stories: a novel Youth in 1946, and a series ofstories Francis Dusett in a newspaper in 1946, and in 1948 two short stories A GameMaker and Death of a Painter, and a newspaper serial story which stopped. He wasthe most productive, more than any, in our literary history. 4 He as an intellectual also“played a role in selecting and reflecting upon the ideology and national identity ofKorea in the transitional period.” 5 He is a key to understanding the literature of thatperiod.Sol Jongsik was born in 1912 into a Confucianist family, finished educationin Yonhee College, and studied English literature at University of Mount Union inAlliance, Ohio, USA and Shakespeare at Columbia University in the city of NewYork. 6 When he came back to Korea, he worked in a mine owned by his family for awhile before his teacher recommended him to a post in the US military government inSeoul, where he did a lot of different jobs. Later he became the editor in chief in TheSeoul Times in April 1948, and was friendly to the USA. He was, it seemed, in a betterposition to be a leader. However, contrary to our expectations, he joined the JosunLiterary Association in 1946 to serve as a committee member of Foreign LiteratureCommittee on April 4, 1946 and as a committee member of Seoul Office of People’sLiterature Movement in August 1946, and joined the Josun Communist Alliancerecommended by Lim Wha. In the following year, in August 1947, he became thechair of the Foreign Literature Committee and wrote stories and poems and did muchtranslation. In 1949, his third book of poetry Rages of Gods was forbidden and hejoined People’s Association. In 1950, when the Korean War broke out, he joined thePeople’s Democratic Republic of Korean Army and served in Culture Training Bureau7, the Headquarters of PDRK Army Command. When they retreated, he went withthem to the North. He served as an interpreter for the PDRK Army at the Truce Talk inJuly 1951. He was indicted for treason and spying to overthrow People’s Democratic

194 Forum for World Literature StudiesRepublic of Korea, and was executed along with Lim Wha and Lee Seungyop onAugust 6, 1951.Sol Jongsik has not been studied, except that some, including Kang Yonghill,Kim Kwangkyun, Kim Kirim, Kim Byungdeuk, Sang Min, and Jung Jiyong, reviewedhis poetry. There are about ten items of studies on him including MA theses. Somementioned his poetry in passing when they talked about the Korean poetry from 1945to 1950.Sol Jongsik’s Early PoemsCritics paid attention to three of his books Bells (1947), Grapes, and Rages of Gods(1948). He wrote about 60 poems during the five years from 1945 to 1950. KimKirum, the central figure at that time, commented in Literature (March 1947) onhis Bells: “If pure poetry is to aim at one and single Truth, poetry is to deal with theemotions of the people fighting for freedom. Bells is an answer fit for such an artisticaim.”He also commented on Grapes: “Bells was the best book of poetry last year, andGrapes is another brilliant book at the beginning of the New Year.” 7 Kim Byungdeuksaid, “Rages of Gods is the biggest warning to the poets in 1948. The poet has learnedModernist poetry abroad, and made full use of the techniques Korean poetry has nothad so far…. What lacks in his poetry is that his poetry is too rhetorical.” San Minsaid, “ ‘The Newspaper Grows Large’ is the greatest poem after the Liberation. Thetheme is huge and the statistics is boring, but the greatest achievement in this poemis that it is a big plan for the whole people…. Rages of Gods has depth in a strongcontext, which is to be sure the best crop in 1948,” 8 and that the book is faithful tothe ideology his Association pursues. Jung Jiyoung commented on Bells, “… I agreethat this is the best book since the Liberation.” 9 Jung further sympathized with thepoet: “Grapes is ‘more erudite and deep (compared with Bells).’ ‘For this reason,Korean poetry is to get angry, cry and faint. A revolution is a luxury for a poet, and weKoreans have poetry of a dire kind, like his.’” 10 In the meantime, some critics, such asYoo Jongho, Oh Seyoung, and Ko Hyongjin, made critical remarks on Rages of Godsand Grapes.Compared with these three books of poetry, Sol Jongsik’s early poetry has notbeen studied. His first work was published in January, 1932 when he was 20, in theJoongAng Ilbo: he got the first prize in the Literary Competition with a play titled“Where is China going?” In March, 1932, he got the third prize in Students’ Workin Dongkwang, a literary magazine, and in April his poem “A New Song in a NewVessel” and another of his essay got the first prizes in the same magazine. But hisworks were not that good, compared with the poems written in the 1930’s which iscalled the Golden Period of Korean poetry, and most of his poems were etudes. And

Sol Jungsik’s Early Poems / Kwak, Hyo Hwan195the total number of his poems was nine.However, we need to pay attention to these early poems. Literary views of hisepoch are displayed in “A Song Sung on the Street,” “A New Song in a New Vessel,”“Cemetery,” and “A Poem.” Some show simple life, in which the speaker pursues asource of life in nature: “Lifting a bucket of water at dusk,” “Hometown,” “Summeris over,” “Fountain,” “Autumn.” Some of these poems were collected in Bells, and “APoem (1932),” “Cemetery (1931),” “Fountain (1932),” “Autumn (1936)” were writtenin the early 1930’s.Innocence and TruthProbably the best two of his early poems are his first poem “A Song Sung on theStreet,” which displays a candid view of the colonized Korea, and “A New Song in aNew Vessel.” They provide encouragement to desperate farmers:Rise, rise, rise!Rise! Rise now, brother!Poor little thing, are your legs broken?Hurry! Stand up! Your big brother will help you stand up!Now, throw away a pair of hand propeller spikesyou used to push yourself forward,Seat yourself on the crude ice board, under which electrical codes are lined;Stretch your legs and straighten your back. Run, run on the river ice to amarching song of mine.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Listen, comrade!A poet is a worker on a construction site:He has muscles of iron, broad shoulders, a strong waist,deep and clear eyes.He is the biggest discovery under the blue sky.This discovery is not to be carved on a beautiful marble,But on a great Ginkgo tree.Then your song will grow as the tree grows.(“A Song Sung on the Street: A Song I Was Singing to My Brother, StampingMy Foot Before I Met My Comrade.” Stanzas 1 and 6. Dongkwang. March1932. 11 )In the poem a brother tells his younger brother to stand up and run though he is indifficulty, as indicated in the subtitle. This is the poet’s expression of how he sees his

196 Forum for World Literature Studiessociety. What is noteworthy in this poem is that though it is his first poem, its laststanza sums up the poet’s view of literary work. He defines a poet who “has musclesof iron, broad shoulders, a strong waist,/ deep and clear eyes.” He also declares that apoet is “the biggest discovery under the blue sky.”Sol has revised the last stanza and put it in “Poetry” collected in Bells (1947). Init, the speaker says that a poem is both “a melody composed by a genius and the airthat touches on your inner ears.” It is not something carved on a marble, but a scarscratched in your heart. It is also a noise from fractured bones. The notion of the poemas a noise from fractured bones is further developed in two other poems “A Song ina New Vessel” and “Cemetery.” “A Song in a New Vessel” depicts contrary to thetitle the miserable life of farmers in the colony. The poem consisting of eight threelinestanzas begins with a father who throughout the night picks up ears left in thefield after a harvest in order to pay back his debt. Their life should be led normallyaccording to seasons but it is not and full of worries, with no hopes ahead. During aharvest, they pick ears, while their real property is auctioned. Worries fill their life allseasons. The poem ends with a stanza:On summer nights, farmers mix with farmersTo worry about the irrigation worksThat will make water flow through their fields.In Stanza 7 the speaker, who has read in the newspaper that the old buildingYungmudang (where the military training took place) in Kyongbok Palace is tobe demolished by the Japanese government, juxtaposes the flea blood-stainednewspaper’s one line news about Yungmudang’s demolition and the reality ofmiserable farmers’ life. He points it out that both farmers and their nation are as slightas the one-line news in the flea blood-stained paper.Nature as HomeSol Jungsik makes an attempt to restore ideal space in his poetry through familyand hometown, which is in sharp contrast to the dark reality of life in the colony asdepicted in “A Song Sung on the Street,” “A Song in a New Vessel,” and “Cemetery.”This is the same attitude as Baek Seok and Ro Chungmyong had. 12 Sol’s poems,“Lifting a bucket of water at dusk,” “Hometown,” “Summer is over,” “Fountain,”“Autumn,” are the examples.“Hometown” is quoted in full:Gourd flowers are in bloom amid low fence bushes:

Sol Jungsik’s Early Poems / Kwak, Hyo Hwan197And the shadow of a butterfly hops, hops on gourd flowers;A bat slips in:His long wing tips glimmer, glimmer in the dim moon shadow;Then disappear beyond the mulberry trees;Grandpa, do you sit still and make a mosquito-smoke fireOn the front ground?Chicks give their mom little, little notes of callOn this late morning, near the platform of sauce pots;A young boy drives a cow to the hillAlong the irrigated water way.Grandma, sitting near the head of a cousin still sound asleep,Do you still run the old comb that is like your teeth through your grey hairThis morning too?And look at Stanza 3 “Summer is over”:(Go back to the fields and forests we love:)The sun is going down beyond the hill,Winds blowing through our hearts;Many a note of insects singingEchoes through bushes and coils of plants,Cats coming home after sauntering.Then Grandma gathers the dried leaves of mulberry for smoking.The cow cart carries languidlyon its wheels the summer evening,cornering the distant back village:When the boy driver, sitting on a bundle of grass fodder,Singing along the bells of the cow, is turning around the hillside road,The terrier barks and barks, running out the bush clover door to greet his masterWho works by the day.Then Grandpa’s climbing down the lookout hut in the field.(“Summer is over–I miss autumn,” Dongkwang. October 1932)It is interesting that the characters that appear in “Hometown” and “Summer is over”are grandmother and grandfather. They are not mother and father. It may be that whatthe speaker in the poems pursues is a source that is more original than now, in whichhe wants to be in touch with rest and peace and solace. The way he pursues is neither

198 Forum for World Literature Studiesto be dreamy nor imaginative; he just reconstructs the simple memory of how he livedand what he saw and experienced in that rural space: it is lyrical realism of Sol’s.There follows more:Girl,It’s time to rest your hands spinning the wheel.Get out of your home,the Mother’s earthen pot put on your head;All go play with fire this evening;Come go with me into the forest,Where star light glimmers all over;Peace comes hurting none;Let us go scoop up a bucket of fountain waterAnd scatter on our grass that is drying up.(“Fountain” (1932), Bells)As in these poems, Sol adores nature and wants to go back to his family and naturein the countryside. But the poems are rooted deeply in reality. As his early poetryparticipates in society, his nature poems are not simply nostalgic but firmly based onthis sense of reality. His nature poetry is not simply an act of participating in the idealof community, but an expression of his Romantic sensibility and sentiment.In closing, in his early career as poet Sol Jungsik wrote only a small number ofpoems until the 1945. And critics thought they are etudes. But As we have read above,his early poetry is more than student’s work: his home is a primordial form of lifeand a means of expressing his Romantic sentiment. And some of his poems, such as“Hometown,” “Summer is over,” and “Fountain,” are good enough in both form andcontent, particularly the poetic language, compared with major poets of Korea in thatperiod.Notes1. See Choi Dongho, A History of Modern Poetry in Korea (Seoul: Korea UP, 2004) 44-48.2. Jung Haekyung,“Departure and Pursuit of Identity in an Era of Division: An Introduction,”AHistory of South and North Korea’s Literature (Seoul: Nanam Publishing, 1995) 127.3. Ko Hyungjin,“Poetry of 8.15 Liberation,”Modern Poetry in Korea. Ed. Korean Poets’ Association(Seoul: Minumsa, 2007) 214.4. Kim Yongjik, Korean Poetry in an Age of Liberation (Seoul: Minumsa, 1989) 219.5. Jung Jiyong, “About Bells,” The Kyonghyang Newspaper. March 9, 1947.

Sol Jungsik’s Early Poems / Kwak, Hyo Hwan1996. To study in the USA was then rare and it was reported in an article titled “Mr. Sol Jongsik went tothe USA to study” in the Dong-A Ilbo (Daily) in November, 1945. See Sol Kwanhi, “Four Brothersand Sisters in Old Age Missing Father Sol Jongsik,” Daesan Culture (Spring) 2012: 83.7. Kim Kirim, “The Poetics of Rage: A Comment on Grapes,” People’s Voice. 4.4 (April 1948).8. Sang Min, “A Poem of Obligation: Reading Rages of Grapes,” The Free Newspaper (January18), 1949.9. Jung Jiyong, “About Bells,” The Kyonghyang Newspaper. March 9, 1947.10. Jung Jiyong, “About Grapes,” The Collected Work, Vol. 2: Prose (Seoul: Minumsa, 1988) 309-310.11. The text is taken from A Selection of Poems by Sol Jungsik. Ed. Kwak Myongsuk, (HyundaiMunhak, 2011) .12. Chun Mijong, “A Study of Sol Jungsik,” An MA Thesis (Sogang University, 1992) 16-18.Works CitedChoi, Dongho. A History of Modern Poetry in Korea. Seoul: Korea UP, 2004.Chun, Mijong. “A Study of Sol Jungsik,” An MA Thesis, Sogang University, 1992.Jung, Haekyung. “Departure and Pursuit of Identity in an Era of Division: An Introduction,” AHistory of South and North Korea’s Literature. Seoul: Nanam Publishing, 1995.Jung Jiyong. “About Bells,” The Kyonghyang Newspaper. March 9, 1947.___. “About Grapes,” The Collected Work, Vol. 2: Prose. Seoul: Minumsa, 1988.Kim, Kirim. “The Poetics of Rage: A Comment on Grapes,” People’s Voice. 4.4 (April 1948).Kim, Yongjik. Korean Poetry in an Age of Liberation. Seoul: Minumsa, 1989.Ko Hyungjin. “Poetry of 8.15 Liberation,” Modern Poetry in Korea. Ed. Korean Poets’Association. Seoul: Minumsa, 2007.Kwak, Myongsuk. Ed. A Selection of Poems by Sol Jungsik. Hyundai Munhak, 2011.Sang, Min. “A Poem of Obligation: Reading Rages of Grapes,” The Free Newspaper. January 18,1949.Sol, Kwanhi. “Four Brothers and Sisters in Old Age Missing Father Sol Jongsik,” Daesan Culture,Spring 2012.责 任 编 辑 : 郭 雯

Perfecting Mind and Its Qualia of Silence inKorean Sŏn PoetryHan Tae HoInterdisciplinary Studies, FGS (Faculty Graduate School)027 McLaughlin College, York University4700 Keele Street, Toronto, Ontario M3J 1P3, CanadaEmail: stevenshano@gmail.comAbstract Korean Sŏn poetry displays many formal traits and contents profundity,in highly condensed poetic ideas, paradoxically more expressive by omission ofsundry epithets. Its ideational quantum is so speedy and reductive but powerful as tostrike out sparkling imagery. Its aesthetic elegance is a little rough and tough, but itsenlightenment resounds its vast seismic vertical depth silently to its origin. Its frequentuse of the rhetorical condensation, conceit, disconnection, paradox, parallelism,physical figuration, the union of opposite qualia, indefinite reality, and transcendentalmetaphors makes Sŏn poetry strike down to the essence of the mind, usually calledthe Buddha’s Nature.Key Words Korean Sŏn Poetry, Zen, Buddhism, Zen Cognitive Poetics,Enlightenment discourses, NarrativeIntroductionAll poems have conducted an expressive act on the things to represent human mind.Throughout the literary history, poetry shows autobiographical narratives. Poeticprocess is an interplay between the formative process of personal experience andthe structuring process of it for its own uniqueness. In poetic creativity, the poet’spersonal intentionality can be reflected in the poem’s narratives.Poetry is not silence. It can represent some qualia of silence, but cannot be thesilence itself, nor depiction of it as it is. In it an intelligent act abstracts the meaningof life in causal relation to the expressing poet. Zen 1 poetry proclaims that one of itsprimary tenets is “Direct Transmission of Mind,” or mindless transfer, or wordlessrepresentation of mind itself. For Zen poets, life always portrays its Zen-likenarratives and poetic representations.Zen strives to embody the reality of man in inevitable life pains. It is the most

Perfecting Mind and Its Qualia of Silence in Korean Sŏn Poetry / Han Tae Ho201rigorous mental process to attain such an impossible project. Is it possible to expressthe religious truth without verbal representation? Zen masters are well aware of thisdifficulty, but always toil to grasp a concrete way to see such a state of mind. Manyhave achieved a right mind and right action in the process of meditation. Zen’sintentionality can predestine the topological features of peninsular Korean Sŏn, whichis different from the continental Chinese Ch’an or the insular Japanese Zen.This essay studies the poetic consciousness of Korean Sŏn poetry, with itsdistinguishable literary properties. The Zen poetry of Korea, China, and Japan isphenomenologically similar, since they are founded on similar ideas and practices forhundreds of years. However, people have different minds and different temperamentsand show different poetic responses. I delineate the unique features of Korean Sŏnpoetry by focusing on three domains of mind: cognition, affection, and action.Characteristics of Korean Sŏn1. HistoryKorean Buddhism is a part of the East Asian Mahāyāna Buddhism traditions. In thefourth century, Koguryŏ (37 BC-618 AD), one of the Three Kingdoms (Paekch’e andSilla), introduced Chinese Buddhism into the Korean peninsula and the early KoreanBuddhism “developed with it very closely (with the neighboring countries) and alsoinfluenced the development of Buddhism in Japan”(Keown 448) since then. It hasmany aspects of new development in sophisticating philosophy of Buddhism, winningover the consenting minds of ordinary people as well as the noble ruling classes,absorbing the indigenous religious tradition of shamanism, and harmonizing all thetraditional ideas including the Confucian ways of life, too.Korean Sŏn has been recognized as a coherent and cogent subitism, a school ofSudden Enlightenment and defined as a unique denomination to its regional features.When Korean Sŏn Masters have displayed their peculiar traits so long, their collectivenarrations can have continuously formed certain national traits and religious meaningscongruent to Korea. I can say it would have functioned as the foundations of KoreanSŏn poetry and formed its unique poetic self. So I’d like to locate and value thoseproperties, based on the context of the past poetic experience and their representedworks. They can surely imply new aspects of Korean Sŏn, still strongly underlying inthe Korean culture.Let’s see briefly the Korean Sŏn history which can provide an overarchingnarrative context: The first Sŏn master who introduced Ch’an Buddhism to the oldKorea is recorded as Pŏmnang 2 ( 法 郞 632-?), who was ordained by the 4 th PatriarchDaoxin( 道 神 ) in China. 3 Pŏmnang is known to have gone to Tang Dynasty, circa647-54 AD during the reign of the 27 th Queen Sŏndŏk, Silla Dynasty. 4 At that time

202 Forum for World Literature Studieswhen he came back from China to spread out his Sŏn practices, the Kyojong( 敎 宗 ,Scholastic School) was so prevalent. At last he led an ascetic life and taught hisdisciples. Among them, Sinhaeng( 愼 行 704-779) went to Tang dynasty to studyfurther and founded one of the 9 Mountains in Korea. It is also said that the fullfledgedSŏn Buddhism was “officially introduced around late Koryŏ dynasty (13 th C)(Keown 697).However, nowadays the recognized founder of Korean Sŏn School of SuddenEnlightenment is academically claimed to be Toŭi( 道 義 ), who was ordained byChijang( 地 藏 ) in 813 AD and became the Patriarch of Kaja Mountain School.Since the later part of Silla Dynasty (BC57-925AD) and the early Koryŏ dynasty(918-1392), 9 mountain schools of Sŏn Buddhism were founded. Among them,the 8 schools follow the teachings of 6 th Patriarch Huineng’s teachings of SuddenEnlightenment.Among many masters, Chinul ( 知 訥 1158-1210) introduced hwadu ( 話 頭 ,huatou) meditation “as the fastest way to attain enlightenment, but reserved it forthe high-capacity practitioners” (Keown 453). Hyesim ( 慧 諶 1178-1234) wroteSŏnmun Yŏmsong ( 禪 門 捻 頌 The Collection of Cases and Verses of the SŏnSchool, 1226), a basic text of Korean Sŏn, compiling 1125 verses and prose verses,or kongan. Other masters are Kyŏnghan ( 景 閑 1299-1375), Ch’ungchi ( 沖 止 1226-92), Powu ( 普 愚 1301-82), Hyekŭn ( 惠 勤 1320-76), Tŭkt’ong ( 得 通 1376-1433),Sŏljam ( 雪 岑 1435-93), Powu ( 普 雨 1515-65), Hyuchŏng ( 休 靜 1520-1604),Taenŭng(1562-1649), Myŏngcho (1593-1661), Wandang (Kim, chŏng-hŭi 1786-1856), Ch’oŭi ( 草 衣 1786-1866), Sŏngwu ( 惺 牛 1849-1912), Yongsŏng ( 龍 城1864-1940), Mangong ( 滿 空 1871-1946), Sŏngch’ŏl ( 性 徹 1912-93), and othermodern masters. They are in the line of Linji (?-866/7) and Mazu (707-86) of theSouthern Ch’an Buddhism schools. Most Korean Sŏn Masters focus on Kanhwa Sŏn( 懇 話 kanhua) which emphasizes to practice the ultimate way to reach awakenedenlightenment as well as an equal emphasis on doctrinal teachings.Most of the Korean Sŏn masters display the tradition of Sudden Enlightenment,whose origin of this teaching can be started from Pojo Chinul. His teachingsconstituted “the dominant form of Sŏn Buddhism in Korea since the thirteenthcentury.” (Keown 461) To most masters, human nature is originally perfect and hasundamaged original wisdom. Therefore, enlightenment means realizing their ownnature and sustaining its enlightenment state throughout lifetime. The initial suddenawakening ( 解 悟 hae’o) cannot sustain continuously as they hope, and naturallyneeds gradual cultivation of it. Most Korean masters, especially Sŏngch’ŏl, deniessuch a gradual transition of Gradual cultivation after sudden awakening, for whichChinul claimed “the follower of intellectual knowledge is the heretical and wrong way

Perfecting Mind and Its Qualia of Silence in Korean Sŏn Poetry / Han Tae Ho203of practicing Sŏn Buddhism”(Keown 461).Korean Buddhism is defined as syncretic Buddhism ( 會 通 hoet’ong), stateprotectingBuddhism, and Minjung (Grass roots) Buddhism. Syncreticism signifiesunification, appropriation, harmonization, or “interdenomination”(Keown 455) toreconcile the imported ideas (usually from China) within the existing thoughts, suchas Hwarang spirit (Cadets’ code of conduct), Sonbi (scholars) spirit, Confucianism,shamanism, and other mentality. This syncretic spirit has been so strongly promotedthroughout the Korean history as well as the Buddhists’. 52. Typical Poetic Components of SŏnIt is vital not to supervene on a subjectivism or relativism when I look into the typicalKorean Sŏn poetry. I highlight the culturally embedded formal features or contexts(temporal and spatial characteristics, contents, narratives, and others ) in the Sŏnpoetry.The universal traits of Zen poetry: Zen poetry forbids the personal narrativesand self-representations as they can be, not to be too much autobiographical emotionsover the religious connectivities, as often found in the (post) modern poetry andeven common lyric poetry. It asks for more affective restraints, formal simplicity,lucidity, enhanced tropological expressions, linguistic reductionism, etc. At thesame time, paradoxically enough, it urges the masters to experience their ownindividualized enlightening version, supreme mental or spiritual states, to expresssuch mentality most powerfully and uniquely. These dual aspects (personal experienceand impersonal expressiveness) may sound paradoxical or irrational to the ordinaryaudience at the first sight. Never so!If a master wants to see and experience the real nature of human mind, hefirst starts from his individual mind, not from the above or external entity. Then,he ex-presses it out to the observing eyes of other monks or the masses in his owncreative and innovative ways. In this imminent moment of seeing the real Nature,the immediate reproduction of the looming truth can be recognized at first bycognitive awareness and then affective synesthesia, and then union of cognitive andaffective awareness, which is usually called the state of enlightenment, i.e. real activepotential to practice in reality what is enlightened. In this illuminating experience, anobjective way of expression to reveal such mental discovery should be spontaneouslyreconstructed and represented literarily to the perceiving others. In other words, theinternal enlightening mentality should be verbalized as a communicable mind. 6Zen poetry clearly perceives and recognizes these spontaneous and recurrentsubjects in the immanent mind and the objects in the transcendental world, outof which Zen masters co-opt some special features for their mental or spiritual

204 Forum for World Literature Studiesilluminations. They are asked to reveal the mental experience of personalenlightenment concretely and vividly, not abstractly or metaphysically. Their literaryrepresentations should not be conceptions or concepts, but the experience itself ofthe things as they are, i.e. the universal wisdom on how the enlightenment occursattainably, since it is nobody but themselves that experience the real Self-Nature orenlightenment.In this context, the depiction of the real enlightenment, a newly uplifted mentalstate, needs somewhat different verbal communication to express its imminent stateof vivacity, immediate and profound. This representing literariness of immediacycalls for new narratives, more natural and vivacious to the real inner Nature of mind,more powerful enough to draw out the deep truth. Accordingly, its narratives are toreconstruct the pure self of the Zen poet (master) and represent it for the readership ofor availability to the general public. This transformative faculty of the mental statesinto a readable literariness requires quite a new literary creativity and its transferringtechniques. As a result, Zen poetry can surpass other types of poetry in the sense ofdescription, communication, understanding of the self and world, and life mysteryitself.Based on this fundamental universality of Zen poetry, Korean Sŏn poetryhas developed its unique features in accommodation with its own environmentaland ethological constituents. The typical traits of the Sŏn poetry can be traced inthree aspects; formal aspects (coherence, organization, stylistics), contents aspects(meaningful themes, compelling ideas, imminent values), and literary techniques(union of opposite qualia, indefinite reality, and transcendental metaphors).In formal aspects, Sŏn poetry uses the rhetoric of condensation, conceit,disconnection, paradox, parallelism, figuration of things, which are almost similar tothe rhetoric of modern poetry. Its style is short, concise, semantic-based, metaphorcentered,and 4 line-prevalent. It is the linguistic form that represents the finalthoughts of Sŏn Buddhism poetically. In other words, Sŏn takes up a literary mediumof expression, called poem, to represent the state of enlightenment experienced by theSŏn practitioners. In Sŏn poetry, contents are preemptive, not form. In contents aspect,Sŏn poetry likes to catch up the life as it dashes to the master. It is to concretize theexternal things for better understanding of the supremacy of life, or reality itself.Naturally, it likes to get down to the bottom of the Self-Nature. In techniques, thebasic writing techniques can be said as paradoxical usages, which frequently use “theunion of opposite qualia, indefinite reality, and transcendental metaphors” (Song 13).The union of opposite qualia (metaphors) signifies to distort the normalcy anddaily routineness and to let the normal and abnormal be harmonized into a moreuplifted mental state. It is oneness of opposite elements towards a higher spiritual

Perfecting Mind and Its Qualia of Silence in Korean Sŏn Poetry / Han Tae Ho205dimension. Good examples can be cited as follows; “holding a hog in an empty hand,”“The bridge flows and the water stays clean,” “A muddy ox ploughs the (celestial)moonlight on the water.” The transcendental metaphors are to find a figure of speechwhich finds similarity in two dissimilar things. It is a metaphoric expression to findsameness in dis-sameness. Good examples are found in “Mud is the bone in thegreen stone” (Hyuchong), “Go to One Two Three Four/ Come four three two one”(Mukyŏng). The idea of indefinite reality reflects the fundamental principle of Sŏn,where they don’t distinguish the essence of mind from the physical phenomena. TheSŏn’s reality is to cut off the logical barriers still lingering in the symbols of poemsand to transcend the judging mind or dialectical selective mind. The words, phrases,or Sŏn poem itself consist of endless realties and create them on indefinitely, not justimplying symbols. A good example can be the poem by Hyobong below.Korean Sŏn PoetryIt is almost impossible to describe so many narrative traditions compiled for 1500years here. I will select some poems to tip off their linguistic structures, meanings,and imaginative techné.Let’s start with a poem, somewhat lyric and literary, by Hyesim who wroteSŏnmun Yŏmsong, the most popular book for the students of the Sŏn Poetry.Pondside, I sit alone, serene,I see a monk down in the water.Silent, we see each other, smiling.I know language is no responsive.(Shadow ) 7In his leisure time, he likes to see his Self. Who is the image reflected on the surfaceof clear water? He might start a whispering dialogue to his self-image without anyassuring answer. Silent smile and serene air currents come back to his self-questioningmind. Here his inner voice fire-cracks, “Don’t rely on words,” Pulip munja( 不 立 文 字 )!Yesterday it is in the hands of the master.Today it is in the palm of his disciple.When so hot waves sweep us all mad,Nothing forbids it to raise fresh wind.(Fan)

206 Forum for World Literature StudiesHe recited this poem when his teacher, Chinul, invited him to betray his mind forsubmission of his Law, handing over the fan out of his sleeve. In the disarrayed yearsof late Koryŏ dynasty, it’s hard to keep or raise “fresh air,” or authentic Law, in the “hotwaves,” signifying the corrupt society.It is the place no pains can arrive.There is a heaven and earth, all removed.If you ask me, “What is it?” I will sayit is the Nirvanic Gate of Great Serenity.(Death Song)In his death bed, he says to his servant, “I am too busy today.” He sat up in hismeditative position and sitting, passed away into the place of no pains, which mightbe a remote universe, where all peaceful serenity is waiting for him in emptiness.He might be still thresholding over his Nirvanic Gate in his picnicking journeysomewhere.Ch’ungchi wrote about the routine thingness of the life, which reflects the worldof Buddha as it is:Half clear, half mizzling, the sky is murky.Now warm, then chilly, the spring is tranquil.The gate closed, I lie down for long till the sunset.A bell tolls, soft and remote, tapping my window wall.(Things Are)Life is not to do something, but better leave it as it is. The seasons come and go, buteverything keeps its own places as tranquil as they are. Men are just to lie down andlisten to the last melodies of life at dusk. What a brilliant moment of life not to bethinking of anything at all, except his own! Emptiness is not just a vacancy of time,but feeling nothing in fullness.Kyŏnghan wrote about his enlightening process:A stone lady gives a birth to a child all of sudden.A wooden man strokes a spot on the forehead in darkness.A dark Konryun tribe rides on the iron horse.Immediately somebody strikes the golden whip.(To Monk Chikong)

Perfecting Mind and Its Qualia of Silence in Korean Sŏn Poetry / Han Tae Ho207This is a typical poem of enlightenment which symbolizes the final state of nirvanicecstasy. All the Sŏn-practicing monks wish to bear and deliver an infant of finalillumination. After long years of meditation and practice, the infertile woman barelycomes to have a Buddha’s baby, even tiny or not fertilized completely yet, at aparticular moment all of sudden. Then, a wooden man, probably dry and husked old,not sapping juicy yet, come to recognize the blissful occasion and anoint the baby justborn by spotting on his forehead. However, there is still a long way to go ahead of anew born. This is just a starting point. So he rides on a new iron horse like the darkskinnedbarbarian Tibetans (Konryun tribe), and then all suddenly somebody, invisibleor non-existential, whips a shiny golden lash again. This might be second or supremestate of enlightenment.Who is the first stone woman? She is a symbol (metaphor) of desperate monksto fertilize themselves with the Buddha. Attaboy! A congratulatory event of the firstchild birth! Her husband, another wooden man, nods on her first anointment. Yet,the anointer and the anointed are the same ‘hallucinated’ entities, maybe dry and unskinnedyet. Who bears a child and who dare to nod and anoint her? So they must bereborn as a new people riding a new horse in a different region of uplifted intelligence,refined affection, and more active ethical behaviour. Who is the last man whipping theman on the iron horse? It may be the Self, the Nature of Buddha, or the Image of TheGoddess of Mercy. Who is being whipped, riding on his horse of prideful mind? Itmight be the empty vanity, dusty emptiness in the hall, or nothing itself.Let me cite a few more poems of enlightenment, similar to the above poem:A muddy ox hugs the moon and runs away under the sea.A stone tiger holds a baby and sleeps in front of a rock.An iron snake pierces its ways into the diamond eyes.Mt. Konryun rides on an elephant and pulls away a heron.(Hyŏbong)A muddy cow ploughs the moonlight on the water.A wooden horse makes up the skyscapes in the clouds.The valiant tunes of old voice are the bones in vain.A lonely voice of the heron resounds long into the sky.(Soyo Taenŭng)In the sunny village, the cold frost is frozen in bandages.The flower bloomed on the iron tree reflects its brightness.A muddy ox yowls and wails, then runs into the sea.

208 Forum for World Literature StudiesA wooden horse weeps to the wind, a voice filling all the ways.(Hŏpaek Myŏngcho)These enlightenment poems select different metaphors and semantic profundity fromother lyrical literary poems of daily life. They all frequently employ quite strangemetaphors to coersively assimilate two different things and signify the ultimate realityof enlightenment.Naong’s poem displays the daily routine mind, in which the illuminatingsupremacy of the highest mind can be detected, even leisurely taking nap:With a true empty mind of doing nothing,I take a nap on a stone pillow in the rocks.Do you ask me where my real power is?A single white robe, tattered through life!(In the Mountains)Hyuch’ong tells us the typical lyricality on the Korean landscape and the sorrow ofmemory:Petals fall, the temple closes deep for long.The spring-cherishing guest never returns.The wind sways the shadow of the crane’s nest.The clouds moisten the robe of a sitting monk.(Passing by the old temple 2)What a neat poem to restrain the ebullient sorrow! It depicts objectively andemotionlessly, but its serene compassion oozes out so breezingly, silence inmovement.Ch’oŭi, well-known as a monk of tea, refines the departing pelt-in sorrow into agenuine meditative objectivity, seized mellowness, and recreated empty mindedness:Departing you, I turn my head to the dusky heaven.The thought of you turns around the smoky fine fog.Today’s morning fog leaves with the coming Spring.Ghostly emptiness, I fall into sleep with falling petals.(Departing You)Sŏngwu shows that every moment of our life is full of enlightening state of mind:

Perfecting Mind and Its Qualia of Silence in Korean Sŏn Poetry / Han Tae Ho209The opportune place dismantles the emptiness.The flower in void comes to fruition everywhere.Thou should know this is also the vernal light.Its abstruse aroma wafts into my meditating room.(Coincidental Song)Mangong sees an archetype of Sŏn masters, another Buddha, in Sŏngwu (his penname is Kyŏnghŏ):The mirror is empty; in origin there is no mirror.The ox is enlightened; he is not an ox any more.It is not nothing, but everywhere, every place,The eyes are wakeful, all liquors and women.(Eulogy of the Portrait of Kyŏnghŏ)He not only admires a monk, but also sees its nihilistic beauty of enlightenment.Where there is neither ox nor mirror, everything is gone to nothing. However, to hiswakefulness appear only the mundane pleasures of life. When we say it is not this,then this cannot be it again!Sŏngch’ŏl presents his prominent spirit and valor in his song of enlightenment:The Yellow River flows reverse to the summit of Mt. Konryun.The Sun and Moon lose their light, the Earth submerges.Suddenly I make a chortle and turn about erecting my head.The blue mountain stands amidst the white clouds as old.His enlightenment can drill through the river and the universe. When he turns aroundas if he won the world with a guffaw, he just sees the same world as it is, nothingchanged. Then, what is the enlightenment and what is not? Does a mental andspiritual transformation make any new seismic change? Even if he realizes or attainsthe highest stage of mental awakenings, the river flows and the mountain is there as ifnothing has been changed. From here, a serene reflectivity of life spreads out to a newdimension. Light comes from tranquility. The tranquility stands on the reflective light.Therefore, two things are both complete and changing, they are not being born anddying, not increasing and reducing.Conclusion

210 Forum for World Literature StudiesWhen Sŏn masters really master the scriptural truth and their hermeneutic meanings inBuddhism, fully understand the causal efficacy of the real life, faithfully interpret thehuman desires and their ensuing pains, and responsively recognize the intentions ofhis Father masters and all the life wisdom, at last they can presumptively produce theirpoetic selves and narratives as a token of self-realization, which could be called Sŏnpoetry, a literary outcome of spiritual supremacy. When they are poetically inspiredon all the enlightening events, meaningful or sundry, of the secular and religious life,they can impose some insightful meanings on the factual or imagined things or ideasas truthfully as they can see.As shown above, Korean Sŏn poetry displays many typical traits in its formallycoherent four lines and five Chinese letters in a line, highly condensed poeticideas, paradoxically more expressive by omission of sundry epithets. Its stylisticorganization of ideation is so speedy and brief but powerful as to strike out sparklingimagery. Its aesthetic elegance is a little rough and tough, but it trills with its vastseismic after-tremors silently but powerfully. Its frequent use of the rhetoricalcondensation, conceit, disconnection, paradox, parallelism, physical figuration makesSŏn poetry strike down to the essence of the mind, usually called the Buddha’s Nature.Its concise-but-bullets-cocked style is all semantic-based, metaphor-centered, and newimagery prevalent. This linguistic formality represents the primary poetic features ofKorean Sŏn poetry.In contents, Sŏn poetry drives the masters to the high cliff edge, risky andshaky, but at the last imminent moment it bursts into an immediate poem to awakenus wide in the eye of the storm. It disarrays the traditional language system, almosturging them to forget its orders and conventions even for a moment, just to see anew dimension of perception. Its imminency in the sense of contents aspects is toimmediately salvage out meaningful themes, compelling ideas, or a life-long pendingproject, i.e. enlightenment. Its poetic content usually hits headlong on the mental stateof enlightenment, either full-fledged or by way of routines, everydayness. All the lifeconstituents (eating, shitting, sleeping, drinking, etc) are subject to good enlighteningprocess. Seeing the Nature is not away from the daily routines. The content ofenlightenment is never metaphysical things, but everyday’s concrete realties.In techniques, the prominent feature is to use many paradoxical usages. Sŏnpoetry likes to unionize completely-opposite qualias (imagery, metaphors, symbol,etc), which conversely proves there is nothing opposite or conflicting in the universe.One is not different from many; many is zero away from one. Seeing is the sameas emptiness, and void is color. To fuse them into a harmonious state, Sŏn poetrydistorts reality purposefully, ab-normalizes the normalcy, breaks for a connection,split for a new uplifted oneness. This constructing technique is not to build up an

Perfecting Mind and Its Qualia of Silence in Korean Sŏn Poetry / Han Tae Ho211arch gate, but to serendipitiously find “spandrels” 8 of emptiness, underneath which“The bridge flows and the water stays clean.” Such spandrel-like metaphors canbe called transcendental figures of speech which combine two dissimilar things forbetter-convincing poetic power. It is a metaphoric expression to find sameness indis-/un-sameness. This spandrel effect of metaphors brings indefinite reality, alwayslurking for a poet’s opportune literary stroke. Who can dare cut down or demarcatethe boundary of emptiness in the spandrel void vastness? There is no dialectical stonemark, but only the looming smile of lotus in the stone.Notes1. Here I use Zen, a Japanese translation of 禪 , when I signify the generic properties of ZenBuddhism in the Far East, since it has been historically introduced to the western readers that way.However, I’ll use Ch’an for the Chinese Zen; Sŏn for the Korean Zen; Zen for the Japanese Zen,when I signify specific regional distinctions.2. The Korean writing system is known as Hankŭl, which uses the standard Roman alphabetpronounced as in English, with the exception of the two vowels ŏ (as in cot) and ŭ (as in burn). Inaddition to it, I used MacKeun-Reishauer System here.3. According to “The Monument to Chijeung Monk,” Tomb Epigraphs of Four Mountains( 四 山 碑銘 ) by Ch’oe, Chi-won(857-?), Pŏmnang’s ordained pedigree is Toshin--Pŏmnang —Sinhaeng—Chunbŏm—Dohŏn who is called the National Monk Chijeung. Dohŏn founded his own mountainschool. See Song, Jun-young, The World of Zen Poetry: Reading with Modern Language,(P’urŭnSasang: Seoul) 525.4.The exact personal information on his birth, death, and other personal activitiesare n o t k n o w n to u s n o w, b u t C h o n g , Yak-yong(1762-1836) clearly r ecordedPŏmnang’s name in his work,The Study of Son Buddhism in Korea( 大 東 禪 敎 考 ),D a e d u n - s a C h r o n i c l e s , Vo l . 4 , A s i a C u l t u r e P u b . 1 9 8 3 , p . 3 . S e e a l s o Yi , N e u n g -hwa,The Complete History of Yi-Dynasty Buddhism( 조 선 불 교 통 사 ),annontatedby Research Institute of Buddhism Culture,Dongkuk University Presees:Seoul,2010, vol. 1,12.Snelling writes in The Buddhist Handbook, “the Chan school wasintroduced (to Korea), traditionally around 630 AD” (149).5. Hoet’ong syncretism in Korean Buddhism can be found in most masters’ analects; Hyuchongsays, “the Kyo Scholastic Buddhism is the Buddha’s words and the Sŏn Meditational Buddhism isthe Buddha’s mind.” Tŭkt’ong tries to break down the boundaries of Buddhism, Confucianism, andTaoism.6. Of course, verbalization is a side-effect of enlightenment, not its own target. It is a kind of virtueor grace from the enlightened monks. That’s why the conative stage (actualizing or practicing themental enlightenment into real action) is so emphasized in Sŏn Buddhism.

212 Forum for World Literature Studies7. All the translations are mine, based on the original texts.8. Spandrel is a kind of side-effects of dream, serendipitious product, not purposed from thearchitecting itself. See Owen Flanagan, Dreaming Souls: Sleep, Dreams, and the Evolution of theConscious Mind (Oxford University Press: NY, 2000).Works CitedAbe, Masao. Zen: Comparative Studies. ed. Steven Heine. Honolulu: Hawaii UP,1997.Chun, Shin-yong. ed. Buddhist Culture in Korea. Seoul: International Cultural Foundation, 1974.Flanagan, Owen. Dreaming Souls: Sleep, Dreams, and the Evolution of the Conscious Mind. Oxford:Oxford UP, 2000.Han, Chong-sŏp. The Bible of Sŏn: Correspondence Lecture on Buddhism. BuddhismCorrespondence Academy: Seoul, 1977.Keown, Damien et al, ed. Encyclopedia of Buddhism. NY: Routledge, 2007.Kwon, Yŏng-han. ed. 300 Zen Poems: Songs of Enlightenment. Chonwŏn Munhwasa: Seoul, 2003.Snelling, John. The Buddhist Handbook: A Complete Guide to Buddhist Schools, Teaching, Practice,and History. Inner Traditions: Rochester, Vermont, 1991.Sok, Kak-hun. ed. Lives of Eminent Korean Monks: The Haedong Kosŭng Chon. Trans. Peter Lee.Harvard-Yenching Institute Studies, No.25. Cambridge, Ma: Harvard UP, 1969.Song, Jun-young. The World of Zen Poetry in Modern Language. P’urŭn Sasang: Seoul, 2006.Yu, Song-wol. ed. A Selection of 200 Famous Zen Phrases. Hoik Sinsŏ: Seoul, 1978.责 任 编 辑 : 郭 雯

中 国 外 国 文 学 学 术 史 研 究 的 新 突 破—— 评 陈 众 议 新 著 《 塞 万 提 斯 学 术 史 研 究 》聂 珍 钊School of Chinese Language and Literature, Central China Normal UniversityNO.152 Luoyu Road, Wuhan, Hubei, P.R.China, 430079Email: niezhenzhao@163.com一 、 总 序 : 难 得 一 见 的 精 彩 文 章陈 众 议 先 生 的 新 作 《 塞 万 提 斯 学 术 史 研 究 》( 凤 凰 出 版 传 媒 集 团 , 译 林 出版 社 2011 年 12 月 第 一 版 ) 出 版 了 , 可 喜 可 贺 。 在 对 《 塞 万 提 斯 学 术 史 研 究 》评 说 之 前 , 不 能 不 先 说 陈 众 议 为 “ 外 国 文 学 学 术 史 研 究 ” 撰 写 的 总 序 。 这 篇 文章 从 外 国 文 学 学 术 史 研 究 的 视 角 , 在 世 界 政 治 和 经 济 演 变 的 大 背 景 里 , 对 外 国文 学 研 究 的 发 展 进 行 纵 向 和 横 向 考 察 , 对 文 学 研 究 中 的 种 种 现 象 进 行 归 纳 总结 , 对 学 界 一 些 重 要 问 题 进 行 深 入 反 思 , 放 眼 世 界 , 纵 论 天 下 文 学 , 真 知 灼 见 ,尽 显 其 中 , 是 近 些 年 来 难 得 一 见 的 精 彩 文 章 。在 “ 外 国 文 学 学 术 史 研 究 ” 项 目 启 动 之 前 , 外 文 所 曾 经 主 编 过 对 中 国 的 外国 文 学 研 究 以 及 中 国 文 学 研 究 都 产 生 了 重 要 影 响 的 三 套 丛 书 :“ 外 国 文 学 名 著丛 书 ”、“ 外 国 古 典 文 艺 理 论 丛 书 ” 和 “ 马 克 思 主 义 文 艺 理 论 丛 书 ”。 与 之 相 比 ,“ 外 国 文 学 学 术 史 研 究 ” 不 仅 继 承 了 三 套 丛 书 的 传 统 , 而 且 还 更 进 一 步 , 在 研究 的 规 模 、 水 平 、 深 度 和 广 度 上 都 将 超 过 前 者 , 堪 称 空 前 的 创 举 。“ 外 国 文 学学 术 史 研 究 ” 通 过 对 一 批 经 典 作 家 作 品 的 解 剖 , 从 学 术 史 研 究 的 角 度 考 察 其 经典 形 成 的 过 程 , 以 为 今 天 的 借 鉴 。 从 根 本 上 说 , 它 的 核 心 价 值 就 在 于 对 学 术 研究 方 法 论 的 强 调 以 及 对 学 术 研 究 价 值 的 追 求 。 学 术 史 研 究 , 其 本 身 就 是 一 种 方法 论 的 体 现 。 总 序 说 得 好 :“ 格 物 致 知 , 信 而 有 证 ; 厘 清 源 流 , 以 利 甄 别 。” “ 学术 史 研 究 既 是 对 一 般 博 士 论 文 的 基 本 要 求 , 也 是 一 种 行 之 有 效 的 文 学 研 究 方 法 ,更 是 一 种 切 实 可 行 的 文 化 积 累 工 程 , 同 时 还 可 以 杜 绝 有 关 领 域 的 低 水 平 重 复 。”文 学 研 究 抑 或 任 何 其 他 学 术 研 究 , 都 需 要 对 前 人 的 研 究 进 行 梳 理 , 这 既 是 研 究的 基 本 方 法 , 也 是 一 种 基 本 的 学 术 规 范 。 学 术 史 梳 理 和 研 究 是 进 行 学 术 研 究 的前 提 。 不 了 解 自 己 所 从 事 研 究 的 学 术 研 究 历 史 , 不 对 前 人 的 研 究 进 行 分 析 总 结 ,不 对 前 人 的 研 究 进 行 批 评 、 借 鉴 和 吸 收 , 不 了 解 前 人 的 研 究 做 了 哪 些 工 作 , 取得 了 哪 些 进 展 , 解 决 了 哪 些 问 题 , 还 有 哪 些 问 题 没 有 解 决 或 没 有 提 出 , 我 们 就会 出 现 短 视 、 近 视 、 盲 视 , 陷 入 主 观 主 义 。 学 术 研 究 切 忌 管 中 窥 豹 , 将 自 己 束缚 在 一 个 有 限 的 学 术 小 圈 子 里 , 进 行 所 谓 的 自 我 解 构 , 自 说 自 话 , 自 以 为 是 。

214 Forum for World Literature Studies然 而 在 目 前 一 些 研 究 中 , 学 术 研 究 中 的 短 视 现 象 并 不 少 见 。改 革 开 放 以 来 , 大 量 西 方 的 文 学 批 评 被 介 绍 引 入 中 国 , 形 成 了 我 国 文 学 批评 的 中 西 融 合 、 多 元 共 存 的 局 面 , 推 动 着 我 国 文 学 批 评 的 发 展 。 但 同 时 我 国 文学 批 评 也 存 在 着 严 重 的 西 化 倾 向 , 在 文 学 批 评 方 法 及 话 语 权 方 面 缺 少 我 们 的 参与 和 原 创 , 在 现 有 文 学 批 评 方 法 与 理 论 的 成 果 中 很 少 有 我 们 自 己 的 创 新 和 贡 献 。如 今 一 些 打 着 文 化 批 评 、 美 学 批 评 、 哲 学 批 评 等 旗 号 的 批 评 , 往 往 颠 倒 了 理 论与 文 学 之 间 的 依 存 关 系 , 割 裂 了 批 评 与 文 学 之 间 的 内 存 联 系 , 存 在 着 理 论 自 恋 、命 题 自 恋 、 术 语 自 恋 的 严 重 倾 向 。 这 种 批 评 不 重 视 文 学 作 品 即 文 本 的 阅 读 、 阐 释 、分 析 、 理 解 , 而 只 注 重 批 评 家 自 己 对 某 个 文 化 命 题 的 求 证 , 造 成 理 论 与 实 际 的脱 节 。 在 这 些 批 评 中 , 文 学 作 品 被 肢 解 了 ( 用 时 髦 的 话 说 , 被 解 构 了 、 被 消 解了 ), 变 成 了 用 来 建 构 批 评 者 自 己 文 化 思 想 或 某 种 理 论 体 系 或 阐 释 某 个 理 论 术 语的 片 断 。 在 一 些 人 眼 里 , 文 学 批 评 似 乎 是 没 有 真 理 的 自 我 诠 释 的 批 评 。对 于 学 界 出 现 的 这 种 隐 忧 , 陈 众 议 一 针 见 血 地 指 出 :“ 在 一 些 人 眼 里 , 甚至 连 相 对 客 观 的 真 理 观 也 消 释 殆 尽 了 。 于 是 , 过 去 的 ‘ 一 里 不 同 俗 , 十 里 言 语 殊 ’成 了 如 今 的 言 人 人 殊 。 于 是 , 众 生 喧 哗 , 且 言 必 称 狂 欢 , 言 必 称 多 元 , 言 必 称虚 拟 和 不 确 定 。” 不 仅 如 此 , 陈 众 议 还 深 刻 地 描 述 了 学 界 乱 象 :“ 至 于 意 识 形态 “ 淡 化 ” 之 后 , 跨 国 资 本 主 义 的 一 元 化 意 识 形 态 更 是 有 增 无 已 ; 真 假 不 辨 ,善 恶 不 论 , 美 丑 混 淆 , 也 是 所 在 皆 是 ; 个 人 主 义 大 行 其 道 , 从 而 使 抽 象 的 人 性淹 没 了 社 会 性 ; 普 世 主 义 势 不 可 挡 , 以 致 文 化 相 对 主 义 甚 嚣 尘 上 。 文 学 从 大 我到 小 我 , 从 外 向 到 内 倾 , 从 摹 仿 到 虚 拟 , 从 代 言 到 众 声 喧 哗 ; 真 实 给 虚 幻 让 步 ,艺 术 向 资 本 低 头 ; 对 妖 魔 鬼 怪 和 封 建 迷 信 津 津 乐 道 , 任 帝 王 将 相 和 无 厘 头 充 斥视 阈 , 能 不 发 人 深 省 ?” 真 是 切 中 时 弊 的 精 辟 之 语 。 的 确 如 此 。 在 后 现 代 语 境 中 ,经 典 文 学 首 当 其 冲 , 不 是 被 迫 “ 淡 出 ”, 便 是 横 遭 肢 解 , 传 统 认 知 、 伦 理 价 值和 审 美 取 向 被 颠 覆 , 人 性 和 兽 性 的 区 别 被 模 糊 。 “ 无 论 解 构 主 义 者 初 衷 何 如 ,解 构 风 潮 的 实 际 效 果 是 : 不 仅 相 当 程 度 上 消 解 了 真 善 美 与 假 恶 丑 的 界 限 , 甚 至对 国 家 意 识 形 态 , 至 少 是 某 些 国 家 的 意 识 形 态 和 民 族 凝 聚 力 都 构 成 了 威 胁 。”对 于 这 种 危 害 , 我 们 不 能 不 保 持 一 份 清 醒 。出 于 一 个 正 直 知 识 分 子 的 良 知 和 责 任 感 , 陈 众 议 认 为 对 西 方 理 论 的 系 统 反思 、 分 析 和 批 评 势 在 必 行 , 而 借 助 学 术 史 的 梳 理 和 研 究 , 除 了 可 以 重 新 唤 醒 人们 对 外 国 文 学 经 典 作 家 、 作 品 的 正 确 认 识 之 外 , 也 同 样 有 利 于 我 们 尝 试 着 构 建自 己 的 文 学 批 评 理 论 , 改 变 以 往 照 搬 国 外 的 理 论 多 、 自 己 原 创 少 的 历 史 。 可 以 说 ,这 篇 总 序 正 是 众 议 先 生 对 我 国 外 国 文 学 研 究 的 历 史 和 现 状 认 真 思 考 的 结 果 。二 、《 塞 万 提 斯 学 术 史 研 究 》: 一 部 开 山 之 作“ 外 国 文 学 学 术 史 研 究 ” 的 提 出 和 实 施 既 是 对 我 国 外 国 文 学 研 究 历 史 的 总结 , 也 是 对 我 国 学 术 现 状 的 反 思 以 及 对 未 来 学 术 研 究 如 何 发 展 的 探 讨 , 尤 其 是对 学 界 不 良 风 气 的 拨 乱 反 正 。 所 以 陈 众 议 说 ,“ 外 国 文 学 学 术 史 研 究 大 系 ” 项目 的 启 动 ,“ 意 味 着 我 国 的 外 国 文 学 研 究 已 开 始 对 解 构 风 潮 之 后 的 学 术 相 对 化 、

A New Breakthrough in Studies on the History of Foreign Literature in China:A Review of Studies on the History of Academic Research of Cervantes / Nie Zhenzhao碎 片 化 和 虚 无 化 进 行 较 为 系 统 的 清 算 ”。 显 然 ,“ 外 国 文 学 学 术 史 研 究 ” 这 套丛 书 的 面 世 , 将 会 起 到 应 有 的 导 向 作 用 , 有 助 于 我 国 外 国 文 学 研 究 的 健 康 发 展 。众 议 先 生 提 出 “ 外 国 文 学 学 术 史 研 究 ” 的 构 想 之 初 , 我 就 为 他 的 这 一 设 想感 到 欢 欣 鼓 舞 。 在 为 “ 外 国 文 学 学 术 史 研 究 ” 写 作 的 总 序 中 , 陈 众 议 言 简 意 赅地 阐 明 了 社 科 院 支 持 的 这 一 重 大 项 目 的 宗 旨 :“ 立 足 国 情 , 立 足 当 代 , 从 我 出发 , 以 我 为 主 , 瞄 准 外 国 文 学 经 典 作 家 作 品 和 思 潮 流 派 , 进 行 历 时 和 共 时 的 双向 梳 理 。” “ 外 国 文 学 学 术 史 研 究 ” 目 前 分 两 个 系 列 由 十 六 部 学 术 史 研 究 专 著和 十 六 部 配 套 译 著 组 成 , 研 究 的 作 家 有 塞 万 提 斯 、 歌 德 、 雨 果 、 康 拉 德 、 庞 德 、高 尔 基 、 肖 洛 霍 夫 、 海 明 威 、 普 希 金 、 茨 维 塔 耶 娃 、 左 拉 、 狄 更 斯 、 哈 代 、 菲茨 杰 拉 德 、 索 尔 · 贝 娄 、 芥 川 龙 之 介 。 根 据 规 划 , 学 术 史 研 究 不 是 止 于 上 述 作 家 ,还 要 持 续 发 展 , 研 究 更 多 的 作 家 。 在 “ 外 国 文 学 学 术 史 研 究 ” 系 列 中 , 由 陈 众议 亲 自 撰 写 的 《 塞 万 提 斯 学 术 史 研 究 》 是 其 中 的 第 一 部 。 我 一 直 期 待 着 这 部 开山 之 作 的 出 版 , 因 此 当 我 收 到 这 部 著 作 时 , 心 中 不 免 有 几 分 激 动 。《 塞 万 提 斯 学 术 史 研 究 》 是 对 学 术 史 研 究 思 想 的 成 功 实 践 , 充 分 体 现 了 总序 的 学 术 思 想 。 全 书 由 “ 塞 万 提 斯 学 术 史 ”、“ 塞 万 提 斯 学 术 史 研 究 ” 和 塞 万提 斯 研 究 “ 重 要 文 献 目 录 ” 三 个 部 分 组 成 。 各 部 分 自 有 重 点 , 但 又 相 互 联 系 ,形 成 缺 一 不 可 的 整 体 。“ 塞 万 提 斯 学 术 史 ” 部 分 是 全 书 的 基 础 与 前 提 。 这 一 部 分 以 时 间 为 序 , 重点 对 自 17 世 纪 以 来 《 堂 吉 诃 德 》 研 究 的 学 术 史 进 行 梳 理 。400 年 来 的 塞 万 提 斯研 究 , 在 很 大 程 度 上 就 是 《 堂 吉 诃 德 》 研 究 , 因 此 作 者 把 塞 万 提 斯 学 术 史 研 究的 重 点 放 在 对 《 堂 吉 诃 德 》 研 究 的 考 察 上 。 作 者 细 心 的 搜 集 不 同 时 期 有 关 塞 万提 斯 与 《 堂 吉 诃 德 》 的 文 献 资 料 , 进 行 甄 别 和 分 析 , 引 用 和 评 论 , 总 结 不 同 时期 的 研 究 特 点 , 得 失 功 过 。 跟 随 作 者 优 美 文 字 的 引 导 , 我 们 仿 佛 变 成 了 能 够 穿越 时 空 的 旅 游 者 , 浏 览 了 一 遍 由 评 论 家 、 研 究 家 和 读 者 写 就 的 《 堂 吉 诃 德 》 评论 史 和 接 受 史 。 在 这 条 时 间 隧 道 里 , 我 们 似 乎 见 识 了 不 同 时 代 各 色 人 物 对 《 堂吉 诃 德 》 的 评 价 , 听 到 了 “ 或 褒 或 贬 , 甚 至 大 褒 大 贬 ” 的 不 同 声 音 。 经 历 了 18世 纪 理 性 主 义 时 代 的 思 考 , 从 浪 漫 主 义 时 代 开 始 , 对 《 堂 吉 诃 德 》 的 评 价 可以 说 扫 去 了 笼 罩 在 塞 万 提 斯 头 上 的 阴 霾 。 德 国 哲 学 家 谢 林 把 《 堂 吉 诃 德 》 同 《 伊利 亚 特 》 与 《 奥 德 赛 》 相 提 并 论 , 称 古 人 尊 崇 荷 马 , 今 人 膜 拜 塞 万 提 斯 。 海 涅评 论 说 :“ 塞 万 提 斯 、 莎 士 比 亚 、 歌 德 成 了 三 头 统 治 , 在 记 事 、 戏 剧 、 抒 情 这三 类 创 作 里 各 各 登 峰 造 极 。” 司 汤 达 称 发 现 《 堂 吉 诃 德 》“ 是 我 生 命 中 最 重 要的 事 件 ”。 马 克 思 和 恩 格 斯 也 高 度 评 价 塞 万 提 斯 。 恩 格 斯 认 为 ,“ 堂 吉 诃 德 和桑 丘 · 潘 沙 的 旅 行 实 在 可 以 算 是 真 正 的 奥 德 赛 ”。 至 此 , 在 陈 众 议 的 笔 下 , 终于 让 我 们 看 到 一 部 伟 大 的 文 学 经 典 在 怎 样 的 历 史 中 炼 成 了 。第 二 部 分 “ 塞 万 提 斯 学 术 史 研 究 ” 是 全 书 的 重 点 , 由 7 章 组 成 , 分 别 讨 论了 塞 万 提 斯 的 矛 盾 和 偏 见 、 反 讽 或 戏 仿 、 虚 构 与 真 实 、 经 典 的 偶 然 性 与 必 然 性 、否 定 之 否 定 以 及 《 堂 吉 诃 德 》 与 经 典 背 反 和 文 艺 复 兴 运 动 , 可 谓 是 从 理 论 上 对塞 万 提 斯 的 全 面 讨 论 和 总 结 。 作 者 在 全 面 介 绍 和 评 说 塞 万 提 斯 的 诗 歌 、 悲 剧 和215

216 Forum for World Literature Studies喜 剧 、 短 篇 小 说 及 《 堂 吉 诃 德 》 的 基 础 上 , 首 先 对 塞 万 提 斯 的 创 作 思 想 及 艺 术成 就 作 了 深 入 系 统 、 客 观 科 学 的 评 述 和 论 证 。 作 者 高 度 评 价 了 塞 万 提 斯 的 反 讽或 戏 仿 , 认 为 它 们 是 《 堂 吉 诃 德 》 赖 以 成 功 的 重 要 元 素 , 不 仅 使 小 说 充 满 了 喜剧 ( 或 悲 喜 剧 ) 效 果 , 而 且 奠 定 了 小 说 的 基 本 ( 故 事 ) 架 构 。 接 着 作 者 又 转 而探 讨 塞 万 提 斯 关 于 虚 构 与 真 实 的 艺 术 思 想 , 认 为 在 他 的 笔 下 , 虚 构 与 真 实 的 界限 开 始 模 糊 , 以 致 水 乳 交 融 。作 者 以 《 堂 吉 诃 德 》 为 个 案 , 论 述 文 学 经 典 的 诸 多 问 题 , 如 经 典 形 成 的 偶然 性 和 必 然 性 、 经 典 的 二 律 背 反 等 。 今 天 已 经 没 有 人 否 认 《 堂 吉 诃 德 》 是 不 朽的 文 学 经 典 , 然 而 这 部 充 满 创 造 性 、 想 象 力 和 哲 理 光 辉 巨 著 , 却 并 未 被 同 时 代人 所 认 可 , 只 是 在 经 过 了 100 多 年 的 时 间 陶 冶 之 后 , 才 被 接 受 为 经 典 。 作 者 因此 认 为 , 经 典 的 形 成 需 要 批 判 和 继 承 以 及 继 承 和 创 新 , 而 这 一 特 点 在 《 堂 吉 诃 德 》这 部 经 典 小 说 中 得 到 了 有 机 的 统 一 。 的 确 如 此 , 由 于 历 史 的 局 限 性 , 一 些 伟 大的 文 学 作 品 往 往 要 经 历 被 误 读 和 误 解 的 过 程 。 因 此 作 者 指 出 :“ 文 学 作 品 的 经典 化 或 非 经 典 化 过 程 又 绝 妙 地 反 射 出 时 代 社 会 有 所 偏 侧 、 有 所 扬 弃 及 其 隐 含 的特 殊 的 认 知 方 式 、 价 值 判 断 和 审 美 取 向 。”作 者 并 没 有 止 于 对 文 学 经 典 形 成 规 律 的 探 讨 , 而 是 更 进 一 步 将 对 经 典 的 论述 引 申 到 更 高 层 面 , 即 借 助 对 塞 万 提 斯 的 研 究 展 现 作 者 从 整 体 上 对 文 学 任 创 作 、理 论 及 批 评 的 全 面 思 考 , 对 文 学 批 评 现 状 的 忧 虑 。 作 者 认 为 , 后 现 代 主 义 之 后的 “ 无 中 心 ”、“ 多 元 化 ” 情 态 正 好 契 合 了 二 元 论 “ 解 构 ” 之 后 “ 不 分 你 我 ”、“ 不分 西 东 ” 的 跨 国 资 本 主 义 的 全 球 化 ( 即 跨 国 资 本 的 一 元 化 ) 的 态 势 。 作 者 借 助对 《 堂 吉 诃 德 》 的 研 究 展 开 对 对 现 实 的 批 判 , 精 辟 地 指 出 :“ 全 球 化 和 多 元 性其 实 也 是 一 个 悖 论 , 说 穿 了 是 跨 国 资 本 主 义 的 一 元 论 。 而 整 个 后 现 代 主 义 针 对传 统 二 元 论 ( 如 男 与 女 、 善 与 恶 、 是 与 非 、 美 与 丑 、 西 方 和 东 方 等 等 ) 的 解 构风 潮 恰 恰 顺 应 了 跨 国 资 本 的 全 球 化 扩 张 : 不 分 你 我 , 没 有 中 心 。” 作 者 正 确 地指 出 这 一 倾 向 的 本 质 :“ 跨 国 资 本 主 义 时 代 的 极 端 个 人 主 义 本 质 上 是 消 解 民 族 的 、地 域 的 价 值 判 断 和 认 知 方 式 的 , 但 是 这 并 不 意 味 着 所 有 二 元 关 系 将 从 此 消 弭 。”从 中 可 以 看 出 , 作 者 的 思 考 已 经 超 越 了 论 述 《 堂 吉 诃 德 》 本 身 的 意 义 , 彰 显 了一 个 中 国 知 识 分 子 的 可 贵 的 民 族 责 任 感 。总 之 ,《 塞 万 提 斯 学 术 史 研 究 》 不 仅 总 结 了 塞 万 提 斯 在 世 界 文 学 史 上 400年 来 的 历 史 , 揭 示 了 《 堂 吉 诃 德 》 如 何 成 为 文 学 经 典 的 过 程 , 而 且 还 通 过 对 塞万 提 斯 的 研 究 讨 论 了 文 学 经 典 以 及 诸 多 文 学 理 论 与 批 评 问 题 , 为 我 国 外 国 文 学研 究 的 拓 深 和 繁 荣 提 供 了 弥 足 珍 贵 的 经 验 。 作 者 站 在 中 国 的 立 场 上 评 说 西 方 文学 , 为 我 们 提 供 了 “ 以 我 为 主 ” 研 究 外 国 文 学 的 方 法 与 思 路 。 作 者 在 这 部 著 作中 表 现 出 务 实 求 真 的 学 风 , 文 字 朴 实 , 充 满 诗 意 。 作 者 无 论 是 分 析 问 题 , 还 是归 纳 总 结 , 处 处 透 露 出 眼 光 的 远 大 和 见 解 的 高 明 。 我 相 信 , 这 部 著 作 的 出 版 ,无 论 是 “ 外 国 文 学 学 术 史 研 究 ”, 还 是 对 外 国 文 学 教 学 和 研 究 , 都 将 带 来 重 要启 示 。责 任 编 辑 : 杨 革 新

她 作 为 个 体 在 说 话—— 评 《 艾 丽 丝 · 默 多 克 小 说 研 究 》胡 全 生内 容 摘 要 : 作 者 “ 作 为 个 体 在 说 话 ” 的 《 艾 丽 丝 · 默 多 克 小 说 研 究 》, 是 中 国文 学 批 评 园 地 里 一 枝 由 “ 伦 理 转 向 ” 催 发 的 艳 丽 奇 葩 , 它 表 现 出 三 大 特 征 : 重新 关 注 文 学 伦 理 问 题 , 解 读 不 入 俗 套 , 浓 墨 重 彩 默 多 克 的 “ 朝 圣 之 旅 ”。关 键 词 :《 艾 丽 丝 · 默 多 克 小 说 研 究 》 伦 理 转 向 文 学 伦 理作 者 简 介 : 胡 全 生 , 上 海 交 通 大 学 英 语 系 教 授 , 主 要 从 事 文 学 理 论 和 叙 事 学 研 究 。Title: She Speaks as an Individual: Review of Art and MoralsAbstract: Art and Morals: Iris Murdoch’s Fictional World is one of the most beautifulflowers due to the “Ethical Turn” in the garden of Chinese literary criticism in thatits author “speaks as an individual” and that it is characterized by revisiting literaryethics, revolting against the convention of theory-first and interpretation-second, andfocusing on art and morals in Murdoch’s fiction.Key Words: Art and Morals ethical turn literary ethicsAuthor: Hu Quansheng is professor at the English Department, Shanghai Jiao TongUniversity (Shanghai 200240, China). His research interests and areas of publicationinclude literary theory and narratology. Email: jamesonhu@sjtu.edu.cn在 国 内 众 多 的 艾 丽 丝 · 默 多 克 的 研 究 中 ,“ 作 为 个 体 在 说 话 ” 的 , 且 说 得有 声 有 色 的 , 以 笔 者 愚 见 , 恐 怕 当 属 何 伟 文 教 授 的 《 艾 丽 丝 · 默 多 克 小 说 研 究 》( 以下 简 称 《 研 究 》)。“ 作 为 个 体 在 说 话 ” 语 出 默 多 克 的 《 作 为 道 德 指 南 的 形 而 上 学 》。在 讨 论 “‘ 老 的 ’、 好 的 、 可 敬 的 文 学 评 论 家 ” 如 何 分 析 文 学 作 品 时 , 默 多 克 说 道 :“ 文 学 评 论 家 是 作 为 个 体 在 说 话 , 而 不 是 作 为 科 学 家 ”( 何 伟 文 9) 1 。 科 学 家说 话 总 是 离 不 开 理 论 , 总 是 离 不 开 体 系 , 总 是 满 口 专 业 术 语 , 总 是 力 求 全 面 、系 统 。 如 此 甚 好 。 文 学 评 论 家 , 就 默 多 克 看 来 , 却 有 别 于 科 学 家 : 她 关 注 点 点滴 滴 即 细 节 , 而 不 是 所 谓 的 系 统 性 。 文 学 关 注 生 活 , 而 生 活 是 由 点 点 滴 滴 做 成 的 ;文 学 评 论 家 关 注 的 是 文 学 , 故 自 然 要 审 视 文 学 家 用 甚 点 滴 以 及 如 何 用 这 些 点 滴做 成 生 活 。默 多 克 的 重 要 性 尽 人 皆 知 : 她 是 “ 二 十 世 纪 下 半 叶 英 国 最 杰 出 的 小 说 家 ”,“ 研 究 当 代 英 国 小 说 是 无 法 绕 开 默 多 克 的 ”(1)。 默 多 克 的 复 杂 性 也 无 人 不 晓 :谁 能 说 得 清 她 是 什 么 ( 或 说 哪 一 类 ) 作 家 ? 她 显 然 是 个 哲 学 家 , 可 她 却 说 “ 我反 对 存 在 主 义 ”(Biles 120), 称 自 己 “ 从 不 是 存 在 主 义 者 ”(Slaymaker 425)。 她

218 Forum for World Literature Studies虽 然 穷 尽 一 生 精 力 探 讨 艺 术 与 道 德 的 关 系 , 可 “ 在 美 学 伦 理 哲 学 理 论 领 域 ( 却 )没 有 合 适 她 的 位 置 ”(Ruokonen 15)。 有 人 甚 至 将 她 描 述 为 “ 愤 怒 的 青 年 ”,罗 伯 特 · 斯 科 尔 斯 (Robert Scholes) 认 为 她 实 际 是 写 “ 怪 异 小 说 ”(“fabulation”)(Bradbury 350,403), 也 就 是 说 她 写 后 现 代 主 义 小 说2 , 可 她 却 “ 表 示 不 赞 成 后现 代 主 义 小 说 ”,“ 把 自 己 看 成 是 一 位 ‘ 现 实 主 义 小 说 家 ’”(59,250)。 有人 认 为 她 的 《 网 下 》 是 存 在 主 义 小 说 , 可 她 却 说 “ 我 不 愿 说 自 己 是 个 哲 学 小 说家 ”(Biles, 116)。 因 此 , 如 何 言 说 默 多 克 及 其 小 说 , 则 是 评 论 家 必 须 首 先 面 对的 问 题 。 诚 如 阿 如 乔 (Araújo) 所 言 ,“ 默 多 克 既 是 哲 学 家 又 是 小 说 家 , 积 极 地著 述 出 版 了 半 个 世 纪 , 对 那 些 致 力 于 研 究 她 的 著 述 的 人 提 出 了 可 喜 的 挑 战 : 如何 平 衡 她 的 哲 学 文 章 与 小 说 ? 尤 其 是 她 的 伦 理 思 想 在 她 的 文 学 创 作 积 累 中 起 了什 么 相 关 作 用 ? 默 多 克 的 哲 学 是 作 为 道 德 指 南 移 入 文 学 的 吗 ?”(Araújo 2)面 对 这 “ 可 喜 的 挑 战 ”, 何 伟 文 教 授 积 多 年 之 功 , 欣 然 接 受 。 她 深 知 这 个中 的 艰 辛 , 感 觉 “ 虽 竭 尽 全 力 仍 不 能 为 ( 自 己 ) 多 年 的 默 多 克 小 说 研 究 找 到 一个 令 人 满 意 的 ‘ 系 统 ’”。 因 此 , 她 避 开 “ 下 定 义 ”, 不 寻 觅 “ 系 统 化 理 论 框 架 ”,“ 摆正 ” 默 多 克 既 是 小 说 家 又 是 哲 学 家 的 关 系 , 深 深 扎 入 作 品 , 终 于 看 清 默 多 克 的 “ 朝圣 之 旅 ”: 始 于 “ 迷 惑 ” 行 于 “ 关 注 ” 终 于 “ 善 的 真 实 ”(9)。 细 看 下 来 ,《 研究 》 表 现 出 三 大 特 征 。一 、 重 新 关 注 文 学 伦 理 问 题《 研 究 》 的 中 文 标 题 是 《 艾 丽 丝 · 默 多 克 小 说 研 究 》, 但 在 此 中 文 标 题 下写 有 其 英 文 标 题 :Art and Morals: Iris Murdoch’s Fictional World。 直 译 成 中 文 就是 《 艺 术 与 道 德 : 艾 丽 丝 · 默 多 克 的 小 说 世 界 》。 只 要 阅 读 了 《 研 究 》, 读 者就 知 道 这 英 文 标 题 实 际 更 贴 切 《 研 究 》 的 内 容 。文 学 必 然 涉 及 伦 理 , 只 是 在 20 世 纪 , 有 相 当 长 的 时 间 , 奉 行 文 学 自 治 论(autonomism) 的 批 评 家 , 太 专 注 于 文 学 作 品 的 “ 文 学 性 ”、“ 文 本 性 ”、“ 互 文 性 ”等 文 学 本 体 论 问 题 , 将 文 学 中 的 伦 理 问 题 抛 之 脑 后 , 因 此 明 确 主 张 文 学 与 伦 理关 系 密 切 的 作 家 就 受 到 了 冷 落 , 默 多 克 也 不 例 外 。“ 虽 然 常 有 人 说 , 她 当 属 讨论 文 学 对 伦 理 之 影 响 的 第 一 人 , 但 很 少 有 人 详 细 评 论 她 这 方 面 的 观 点 , 而 总 体评 论 她 对 伦 理 学 和 美 学 的 相 互 关 系 所 持 的 观 点 的 , 就 更 少 了 ”(Ruokonen 15)。不 过 , 在 我 们 进 入 21 世 纪 之 际 , 情 况 发 生 了 变 化 , 出 现 了 “ 伦 理 转 向 ”(EthicalTurn)( Araújo 1)。 这 “ 伦 理 转 向 ” 的 出 现 给 默 多 克 研 究 带 来 勃 勃 生 机 , 一 如 英国 的 艾 丽 丝 · 默 多 克 研 究 中 心 注 意 到 的 ,“ 过 去 的 10 年 见 证 了 全 球 范 围 默 多 克研 究 的 复 兴 , 这 主 要 是 因 为 文 学 批 评 理 论 中 出 现 了 ‘ 伦 理 转 向 ’。”“ 如 今 ,她 被 引 用 为 伦 理 转 向 的 主 要 思 想 家 和 实 践 者 之 一 ”(Centre)。好 像 是 与 西 方 的 “ 伦 理 转 向 ” 相 呼 应 , 中 国 的 外 国 文 学 研 究 界 也 开 始 注 重文 学 中 的 伦 理 问 题 。 这 当 中 的 领 军 人 物 便 是 聂 珍 钊 教 授 。 他 是 中 国 的 文 学 伦 理学 批 评 的 创 立 者 、 阐 发 者 和 实 践 者 。2004 年 , 针 对 国 内 的 “ 理 论 情 结 ”, 他 发表 了 《 文 学 伦 理 学 批 评 : 文 学 批 评 方 法 新 探 索 》, 评 判 了 那 种 伪 批 评 的 倾 向 ,

She Speaks as an Individual: Review of Art and Morals:Iris Murdoch’s Fictional World / Hu Quansheng即 “ 假 借 新 的 批 评 方 法 的 外 衣 , 把 对 文 学 的 具 体 的 批 评 变 成 了 美 学 的 、 哲 学 的抽 象 分 析 , 甚 至 变 成 了 对 理 论 自 身 的 研 究 , 文 学 批 评 的 论 文 性 质 出 现 了 变 异 ,即 变 成 了 哲 学 论 文 、 美 学 论 文 ”, 提 出 要 “ 开 始 思 考 另 一 种 批 评 的 可 能 性 , 即作 为 方 法 论 的 文 学 伦 理 学 批 评 ”( 聂 珍 钊 17, 18)。 此 后 , 他 连 发 数 文 , 阐 释 并实 践 这 种 批 评 , 给 中 国 的 外 国 文 学 批 评 界 带 来 了 新 鲜 空 气 , 催 发 了 许 多 优 秀 研究 成 果 。《 研 究 》 正 是 在 这 样 的 形 势 下 做 成 的 。 虽 然 《 研 究 》 未 有 明 言 , 但 我 们 还是 可 以 视 它 为 “ 全 球 范 围 默 多 克 研 究 的 复 兴 ” 之 作 , 是 文 学 伦 理 学 批 评 的 一 大实 践 , 启 迪 我 们 重 新 思 考 这 个 古 老 的 、 但 却 在 上 个 世 纪 被 遗 忘 了 的 文 学 伦 理 问 题 。二 、 不 入 先 理 论 后 解 读 的 俗 套不 知 从 何 时 开 始 , 如 今 的 一 些 著 述 或 博 士 论 文 , 都 落 入 一 种 近 似 八 股 的 俗套 : 先 理 论 后 解 读 。 大 凡 研 究 某 个 作 家 的 小 说 、 诗 歌 或 戏 剧 , 先 找 出 一 种 理 论大 谈 一 番 , 然 后 用 来 解 读 作 家 、 作 品 。 这 种 做 法 虽 无 可 厚 非 , 然 天 下 文 章 一 般 造 ,岂 非 近 似 八 股 ?再 说 , 一 个 作 家 的 作 品 又 岂 能 用 一 种 理 论 解 读 得 了 , 且 这 种 研 究 方 法 恐 怕实 际 就 是 先 给 作 家 、 作 品 定 位 , 比 如 女 权 主 义 的 , 存 在 主 义 的 , 或 者 后 殖 民 的等 等 , 然 后 再 找 相 对 应 的 文 学 批 评 理 论 , 用 来 解 读 作 品 。 这 种 做 法 , 说 到 底 ,岂 不 就 是 先 给 结 论 再 找 证 据 ? 但 文 学 评 论 没 有 这 么 轻 易 的 事 , 尤 其 是 遇 上 那 些难 以 定 位 的 作 家 , 比 如 默 多 克 。 默 多 克 既 多 产 又 多 样 , 即 是 小 说 家 又 是 哲 学家 , 该 用 何 种 理 论 来 解 读 她 呢 ? 只 因 为 她 著 书 讨 论 了 萨 特 就 用 存 在 主 义 的 哲 学思 想 ? 可 她 却 否 认 自 己 是 存 在 主 义 者 。 只 因 为 她 承 认 “ 我 当 然 是 个 女 权 主 义者 ”(Dooley 430) 就 用 女 权 主 义 批 评 理 论 ? 可 这 样 读 下 来 的 , 充 其 量 不 过 是 从一 种 角 度 切 入 而 得 的 心 得 , 也 就 是 说 只 涉 及 该 作 家 的 一 个 方 面 , 绝 非 “ 全 面 、系 统 ” 得 了 ; 就 算 在 这 一 方 面 做 到 了 “ 全 面 、 系 统 ”, 那 也 只 是 一 个 方 面 的 “ 全 面 、系 统 ” 而 已 。 相 比 之 下 , 较 为 有 趣 的 做 法 , 窃 以 为 是 文 本 分 析 ( 即 解 读 ) 先 行 ,细 读 中 渗 透 着 理 性 的 辨 析 。《 研 究 》 一 书 正 是 这 样 研 究 默 多 克 小 说 的 。 它 不 求所 谓 的 “ 系 统 化 理 论 框 架 ”; 它 根 本 就 没 有 “ 理 论 框 架 ” 章 节 。 之 所 以 如 此 ,原 因 可 能 有 二 : 一 是 作 者 明 白 , 无 论 用 哪 一 种 理 论 , 都 可 能 难 以 企 及 默 多 克 小说 的 全 部 精 髓 ; 二 是 作 者 在 评 论 默 多 克 的 小 说 时 还 遵 循 默 多 克 的 教 导 ——“ 远离 理 论 和 概 念 就 是 驶 向 真 理 ”(8), 因 为 她 认 为 “ 避 开 给 默 多 克 这 样 复 杂 而 又艰 深 的 作 家 下 定 义 或 者 找 到 对 之 进 行 论 述 的 系 统 化 理 论 框 架 , 也 许 是 明 智 之 举 ”(9)。 结 果 , 我 们 看 到 的 , 是 作 者 只 管 分 析 默 多 克 的 作 品 , 其 中 以 小 说 为 重 ,哲 学 和 文 论 著 述 为 辅 , 笔 笔 落 在 默 多 克 小 说 的 最 核 心 问 题 。 这 就 是 《 研 究 》 的第 三 大 特 征 了 。三 、 浓 墨 重 彩 默 多 克 的 “ 朝 圣 之 旅 ”艺 术 与 道 德 关 系 如 何 , 可 谓 默 多 克 穷 其 一 生 求 索 解 答 的 问 题 , 并 在 这 求 索219

220 Forum for World Literature Studies中 经 历 了 “ 从 ‘ 迷 惑 ’ 经 过 ‘ 关 注 ’ 走 向 ‘ 善 的 真 实 ’ 的 朝 圣 之 旅 ”(2)。 可以 说 ,《 研 究 》 全 书 论 述 的 就 是 这 “ 朝 圣 之 旅 ” 的 三 个 阶 段 。 这 一 点 , 连 《 研 究 》的 篇 目 也 标 示 得 清 清 楚 楚 、 明 明 白 白 。《 研 究 》 共 分 四 章 , 第 一 章 讨 论 “ 艺 术和 道 德 ”, 第 二 章 讨 论 “ 迷 惑 ”, 第 三 章 讨 论 “ 关 注 ”, 第 四 章 讨 论 “ 善 的 真 实 ”。毋 庸 置 疑 ,《 研 究 》 的 精 华 在 二 、 三 、 四 章 。 这 三 章 共 解 读 了 九 部 默 多 克 的 小 说 ( 每章 三 部 ), 精 辟 地 阐 述 了 “ 朝 圣 之 旅 ” 的 三 个 阶 段 , 做 成 了 对 默 多 克 小 说 研 究的 一 大 贡 献 , 填 补 了 我 国 默 多 克 研 究 中 的 空 白 , 因 为 在 国 内 众 多 的 默 多 克 小 说研 究 中 , 注 意 到 艺 术 与 道 德 为 默 多 克 小 说 的 核 心 问 题 的 当 有 不 少 , 但 是 能 看 清并 证 实 默 多 克 在 求 索 解 答 艺 术 与 道 德 是 何 等 关 系 的 路 上 实 际 经 历 了 一 三 阶 段 “ 朝圣 之 旅 ” 的 , 却 尚 无 他 人 。 从 这 点 上 说 ,《 研 究 》 丰 富 了 我 国 的 默 多 克 研 究 。或 许 太 专 注 于 这 “ 朝 圣 之 旅 ” 的 三 个 阶 段 , 何 伟 文 教 授 未 将 自 己 研 究 默 多克 的 成 果 全 都 收 入 其 中 , 有 的 仅 以 “ 附 录 ” 的 形 式 出 现 在 《 研 究 》 里 , 窃 以 为此 非 明 智 之 举 。 两 篇 “ 附 录 ” 均 有 深 度 且 不 乏 洞 见 , 但 一 旦 以 “ 附 录 ” 而 设 ,其 光 彩 便 暗 淡 了 许 多 。 其 实 , 它 们 还 是 完 全 可 以 放 入 正 文 内 的 , 只 需 找 个 适 当的 地 方 便 行 。 比 如 “ 附 录 二 ”《 语 言 之 病 痛 , 再 现 之 危 机 —— 论 艾 丽 丝 · 默 多克 的 语 言 观 》 一 文 。 既 然 认 为 默 多 克 的 “ 语 言 观 与 她 独 特 的 ‘ 崇 高 ’ 小 说 理 论密 切 相 关 ”, 既 然 知 道 默 多 克 “ 指 出 当 把 观 照 的 对 象 从 自 然 景 象 换 成 人 类 生 活的 景 象 时 , 康 德 的 崇 高 理 论 可 以 转 化 成 艺 术 理 论 ”(270), 而 且 , 既 然 “ 我 仍想 概 括 性 地 说 , 她 回 到 她 的 道 德 哲 学 的 中 心 ”(278), 那 就 说 明 , 默 多 克 的 语言 观 归 根 结 蒂 还 是 与 她 的 道 德 观 密 切 相 关 , 而 这 也 就 说 明 , 这 个 对 她 语 言 观 的研 究 , 实 际 还 是 属 于 默 多 克 的 “ 朝 圣 之 旅 ” 部 分 , 涉 及 了 艺 术 与 道 德 的 关 系 ,因 为 对 于 作 为 小 说 家 的 默 多 克 来 说 , 艺 术 指 的 就 是 语 言 艺 术 。 默 多 克 之 所 以 不接 受 德 里 达 的 语 言 观 , 乃 是 因 为 她 不 认 同 “ 文 本 之 外 别 无 它 物 ”, 而 是 认 为 文本 之 外 还 有 道 德 。注 解 【Notes】1. 本 文 引 文 除 另 注 释 外 , 均 源 自 《 艾 丽 丝 · 默 多 克 小 说 研 究 》, 以 下 仅 标 注 其 页 码 。2. 在 Robert Scholes 那 里 ,fabulation 与 元 小 说 (metafiction) 相 差 无 几 , 也 就 是 说 是 后 现 代 主义 小 说 了 。引 用 作 品 【Works Cited】Araújo, Sofia de Melo. “Introduction”. In Araújo, Sofia de Melo and Vieira, Fátima. (eds.) IrisMurdoch, Philosopher Meets Novelist. Cambridge Scholars Publishing, 2011. 1-10.Biles, Jack I. “An Interview with Iris Murdoch”. Studies in the Literary Imagination 11.2 (1978):115-125.

She Speaks as an Individual: Review of Art and Morals:Iris Murdoch’s Fictional World / Hu QuanshengBradbury, Malcolm. The Modern British Novel, 1978-2001. Beijing: Foreign Language Teachingand Research Press, 2005.Centre for Iris Murdoch Studies. “Significance of Iris Murdoch in the 20th Century”. http://fass.kingston.ac.uk/research/iris-murdoch/Dooley, Gillian. “Iris Murdoch’s Novels of Male Adultery: The Sandcastle, An Unofficial Rose,The Sacred and Profane Love Machine, and The Message to the Planet”. English Studies 90.4(2009): 421–434.Ruokonen, Floora. Ethics and Aesthetics: Intersections in Iris Murdoch’s Philosophy. The Universityof Helsinki, 2008.Slaymaker, William. “An Interview with Iris Murdoch”. PLL 21.4 (1985): 425-432.何 伟 文 :《 艾 丽 丝 · 默 多 克 小 说 研 究 》, 上 海 : 上 海 外 语 教 育 出 版 社 ,2012。[He, Weiwen. Art and Morals: Iris Murdoch’s Fictional World. Shanghai: Shanghai ForeignLanguage Education Press, 2012.]聂 珍 钊 :“ 文 学 伦 理 学 批 评 : 文 学 批 评 方 法 新 探 索 ”,《 外 国 文 学 研 究 》,2004 年 5 期 , 第16-24 页 。[Nie, Zhenzhao.“Ethical Approach to Literary Studies: A New Perspective”. Foreign LiteratureStudies 5 (2004): 16-24.]责 任 编 辑 : 杨 革 新221

Realistic yet Illusive: Features of the WritingTechniques in The Stone DiariesKedong Liu Huanhuan HuSchool of Foreign Languages, Harbin Institute of Technology, China92 West Dazhi Street , Nan Gang District, Harbin, ChinaEmail: rjoykliu@hit.edu.cn; 3h_1989@163.comAbstract Carol Shields, as one of the most eminent authors in Canadian literature,is famous for The Stone Diaries, which won her both the Governor General’s Awardand the Pulitzer Prize. This paper aims to study the novel’s structure, content, theme,genre, narrative skills and so on as to present its writing features and to presentthe artistic effects achieved by the author’s implementation of the techniques. TheStone Diaries is a combination of determinate and indeterminate features, includingindeterminate genre, narrator, and self erasure, which increases the tension in theinterpretation of this work.Keywords The Stone Diaries; postmodernism; realismBeing currently the only novel winning both the Governor General’s Award andthe Pulitzer Prize, The Stone Diaries, while receiving accolade, also causes somedisagreements among readers, critics, and scholars as to whether it is a realistic novelor a postmodern one. Some argue that The Stone Diaries is a realistic novel. Forinstance, Xinmin Liu maintains that The Stone Diaries has strong characteristics ofrealism and is far from being a postmodern novel (Liu 95).Other critics such as Ling Wang and Mingli Qin argue that The Stone Diariesis a postmodern work. Based on the anti-plot feature of The Stone Diaries, theyargue categorically that this novel should be categorized into postmodernism. Botharguments, as a matter of fact, are reasonable and hold water to some extent; however,it is detrimental in casting The Stone Diaries into either of the two categories. Instead,this article will analyze the writing techniques by studying the novel’s genre, narrativeskills, contents and plot, from which it can be seen that Shields’s sophisticatedskills not only contribute to the novel’s success, but also promote the revolution ofcontemporary novels.

Realistic yet Illusive: Features of the Writing Techniques inThe Stone Diaries / Kedong Liu Huanhuan Hu223Certainties in The Stone DiariesRealism is a literary movement in the 19th century, which intends to represent life asit really is. From the perspective of reader-response, it is concerned with the intendedeffects on readers, that is “realistic fiction is written to give the effect that it representslife and the social world as it seems to the common reader, evoking the sense that itscharacters might in fact exist, and that such things might well happen” (Abrams, et al303). Realists believe that their novels can fulfill the mission of documenting real life.Besides, they believe each story should have a clear and complete plot which is aboutspecific characters and a specific ending since everything is determined. In otherwords, realistic novels should at least be characterized by the following traits: a clearstructure, a coherent content and a distinct theme. Luckily, many parts of The StoneDiaries meet these requirements.First of all, the structure of The Stone Diaries belongs to the category of realisticnovels with each of the 10 parts coherent with one another and is arranged in achronological order. The ten chapters of The Stone Diaries are Birth, Childhood,Marriage, Love, Motherhood, Work, Sorrow, Ease, Illness and Decline, and Deathrespectively. From the titles of each chapter, it is obvious that the ten parts are notput together in a collage way. Instead, they are arranged in a linear and chronologicalway with one part following another, and altogether they tell the life story of theprotagonist Daisy from her birth to death. In fact, this arrangement is an epitome of arealistic writing, and resembles very much the structure of the famous realistic novelTess of the D’Urbervilles written by Thomas Hardy. Tess of the D’Urbervilles consistsof seven parts: Phase the First: The Maiden, Phase the Second: Maiden No More,Phase the Third, The Rally, Phase the Fourth: The Consequence, Phase the Fifth: TheWoman Pays, Phase the Sixth: The Convert, and Phase the Seventh: Fulfilment. Bythe arrangement of these seven parts, the tragic life story of the protagonist Tess istold in a chronological way with coherent contents, and this arrangement is readableand acceptable. With respect to the structure of postmodern novel, Gass, the eminentpostmodernist, says that our world lacks meaning and coherence (Hu 52). Federmansays that he prefers incoherence and he thinks that his whole life is to live for it whichis a path into chaos (Hu 52). Its plot is anti-plot as held by Ling Wang and Mingli Qin,and novels of anti-plot are those whose “time relation and cause and effect relationare featured by distinctive incoherency and fragmentation” (Wang and Qin 67). Forexample, the former ten parts of the famous postmodern works In the Heart of theHeart of the Country include chapters such as A Place, Weather, My House, etc. witheach chapter having no connection from the one preceding it and the one following itor the other ones. In this sense, The Stone Diaries does have traits of realism.

224 Forum for World Literature StudiesSecondly, The Stone Diaries distinguishes itself by its coherent contents. Whenlooking upon The Stone Diaries, readers are firstly impressed by its autobiographicaltitle, and then by its vivid characters and logical plots. These three factors altogethercontribute to the novel’s realistic content. First of all, its autobiographical titlemakes readers believe that The Stone Diaries documents the life experience of aperson whose name is Stone. After reading its first chapter, readers’ impressionsare strengthened by its realist features of detailed and lifelike descriptions. Besides,realistic novels aim to depict reality. In realistic novels, subjects depicted are what canbe found in daily life. Therefore, since what The Stone Diaries depicts is daily life orcommon life of human beings—from cradle (birth) to dust (death), the content of TheStone Diaries in this sense is of realistic feature, and appeals to more readers.Thirdly, the feminist theme of the novel makes The Stone Diaries possessrealistic features. For example, it deals with unequal gender relations on page 121 anddeals with Daisy’s happiness when she is working and her sorrow when she is fired.Realism deals with various themes, such as war, gender relation, and so on. Thus, inthis sense The Stone Diaries is featured with realism and does not frustrate readers asdoes postmodern writing.Indeterminacy in The Stone DiariesDespite the above-mentioned certainties, features of indeterminacy also abound inThe Stone Diaries and help the novel achieve the effects which cannot be realized byrealism. Some postmodern writers do not believe novels can be representations of reallife, and they think there can never be an ultimate truth in the world because nothingis destined, so they deem that there is no specific plot or specific ending. Besides, intheir point of view, language is unreliable, so subject, history, reality, truth, and etc.,all constructed by language, are also unreliable. Thus being completely different fromrealists, postmodernists “greatly weaken or even cancel the fundamental functionof literature, i.e. the function of reflection and depiction of real life” (Li 60). Inaddition to that, postmodernists also hold that the world is in chaos and disorder, andthat there is no center in this world. Therefore, under postmodernists’ pen, it can befound that their texts are “full of fragment structure and multi-dimensional narrativeperspectives”, and readers can hardly conclude the themes of their works. They wantto “subvert the foundations of our accepted modes of thought and experience so as toreveal the meaninglessness of existence and the underlying ‘abyss,’ or ‘nothingness’on which any supposed security is conceived to be precariously suspended” by thetechnique of indeterminacy, word play, and so on (Abrams, et al 203) . In other words,postmodern works are characterized by the indeterminacy of plot, theme, genre,narrative skills, unreliable description, and so on. Features of indeterminacy are

Realistic yet Illusive: Features of the Writing Techniques inThe Stone Diaries / Kedong Liu Huanhuan Humanifest in The Stone Diaries: its genre, its narrative skills, and also its content.Firstly, indeterminacy exists in the genre of The Stone Diaries. Professor LiuXinmin believes that The Stone Diaries is an autobiography, and he holds that it is“written in the form of autobiography telling the story of a common woman DaisyGoodwill’s experience from birth to death” (Liu 91). Though it is also mentioned inthe former part of this paper that The Stone Diaries has an autobiographical title, it isnot of certainty that it is of an autobiographical genre because the novel itself violatesthe definition of autobiography in the latter part of the novel. Generally speaking,autobiography is a genre in which “the narrative subject and the writing subject, i.e.,the narrator and the author is the same person. ‘I’ narrates ‘my’ life story, and what isimitated is a real image of ‘myself’ ”, and here “‘I’ refers to the author alive in a reallife (Shang 64). Based on this concept, it can be concluded that The Stone Diariesis not totally qualified as an autobiography because if The Stone Diaries were anautobiography of the protagonist Daisy, then she should have been alive when shewrites it and she can never depicts scenes after her death, but there is a depiction ofDaisy’s death. Therefore, the author and the protagonist of this novel are not the sameperson. However, what if the last chapter of death were imagined by Daisy when shehad been writing her autobiography and she just wanted to add it into the whole? Withsuch questions unresolved, the genre of this novel becomes indeterminate. Readers inthis way become more active in reading this work: they have to be alert as to what istrue and what is fictional in the work, or in other words, can they trust the narrator?Secondly, indeterminacy exists in the narrators, which again reinforces theindeterminacy of the novel’s genre and makes readers think more. As indicated byXiaojin Shang, “the narrator, the author, and the protagonist in the autobiography arethe same one, and there is no division between them”. However, numerous examplesin the novel show the existence of more than one narrator. For example, the followingis a description of how Daisy feels when she suffers from measles:225Well, you might say, it was doubtless the fever that disorientedme, and it is true that I suffered strange delusions in that dark place,and that my sullen eyes in the twilight room invited frightening visions.The long days of resolution, of silence, the torment of boredom—all thesepressed on me, on young Daisy Goodwill and emptied her out. (Shields 75)From the above example, it can be seen that in the first sentence it is Daisy theprotagonist who narrates how herself feels about measles but the second sentenceis narrated by someone in a third person’s point of view in which the narrator andthe protagonist Daisy become two distinct individuals and violates autobiographical

226 Forum for World Literature Studieswriting’s requirement. Besides, more examples show different narrators exist. Forexample, after Mr. Flett’s death, there is a sentence describing how Daisy feels abouther husband’s death:But does she actually pine for this dead partner of hers? For the calmness offeredup by the simple weariness of their love? How much of her available time bendsbackward into the knot of their jointed lives, those twenty connubial years?To be honest, very little. There, I’ve said it. (Shields 230)From the above example, it can be seen that it is narrated in a first person point ofview, and the narrator is not Daisy herself. By the two examples mentioned above,it can be concluded that The Stone Diaries has at least three narrators: Daisy, a firstpersonnarrator that is not Daisy, and a third-person narrator. No matter who thesenarrators are, they make the identity of the narrator become indeterminate, deconstructthe novel’s autobiographical genre, and attribute the characteristics of indeterminacyto The Stone Diaries. Thanks to the indeterminacy of narrators, readers can constructtheir own interpretation of the text rather than accept what is told by the author.Thirdly, the content of The Stone Diaries also manifests features of self-erasureand metafictiveness. In this way, the readers’ participation is invited. First of all, manyexamples in The Stone Diaries show the feature of self-erasure. For instance, in orderto leave a lifelike impression on readers, the author includes many photographs withnames of the characters written below them. However, after a close examination, itcan be found that those pictures are contrary to what is described in the novel. Forexample, in the novel, Daisy’s mother is described as an obese woman and taller thanDaisy’s father. However, in the photos, it can be found that Daisy’s mother is not asobese as described and is shorter than Daisy’s father. Thus, in this sense, the photosof Mr. and Mrs. Goodwill serve as a tool of self-erasure and deconstruct what is saidabout them. Another example of self-erasure: in the novel there is a scene depictingthe year 1936 when Daisy is to come to visit Mr. Flett. It tells that Mr. Flett writes“six letters a year for twenty two year” to Daisy from the time Daisy leaves his house(Shields 141). However, this functions as a self-erasure because Daisy leaves Mr.Flett in 1916 when she is 11 years old and comes back in 1936 with twenty years past,which contradicts the “twenty two years” of correspondence.Besides self-erasure, another prominent feature, metafictive writing, also appearsin The Stone Diaries. Metafictive writing, as is utilized by John Barth in his shortstory “Lost in the Funhouse”, means to explore a theory of writing fiction through thepractice of writing fiction. In The Stone Diaries, metafictive writing can be seen:

Realistic yet Illusive: Features of the Writing Techniques inThe Stone Diaries / Kedong Liu Huanhuan HuWhat is the story of a life? A chronicle of fact or a skillfully wrought impression?The bringing together of what she fears? Or the adding up of what has been offhandedlyrevealed, those tiny allotted increments of knowledge? She needs aquiet place to think about this immensity. (Shields 340)227From this example it can be seen that within the novel the question of how to writea story is discussed, and the meta-fictional feature which is manifested so obviouscannot be nullified by the realistic writing permeated here and there in the novel.ConclusionFrom the above analysis, it can be seen that both determinate features and indeterminatefeatures exist in The Stone Dairies. By the implementation of both techniques, Shieldsmakes the text become more appealing and involves readers’ participation: on onehand, certainties in works are more readable and more acceptable to readers but fail toinvolve readers’ interaction in novel writing because realistic writings pursue the truthof details, and construct a lifelike surface; on the other hand, indeterminacy invitesreaders’ participation in reconstructing the story through inference and imagination.Besides, Shields’s combination of certainties and uncertainties adds somethingnew to realism, and promotes and advances the development of contemporary novels.Realists’ works are still welcomed by readers due to the vivid and lifelike descriptionswhile “postmodernists who make works become a word play and emphasize thefictional nature of the novel make their works lack the targeting of reality and thedepth of thought, and it is likely they will become boring” (Zhou 103). Thus, Shields’scombination of the techniques of certainties and uncertainties can be viewed as abreakthrough in the skills of novel writing. Just as Carol Shields herself says:Some postmodernists think there is no point beyond the language game, but Ithink there can be—and I don’t know why we have to talk about these two formsof fiction [naturalism and postmodernism]. Why we can’t have something in themiddle—which is, I suppose, what I’m trying to do. Because postmodernist ideasdo allow you to do things that you can’t do as a naturalist. (Wachtel 44)All in all, realism, which is less extreme than naturalism (in Carol Shields’ ownwords afore-mentioned) for its works depict more real pictures than do naturalisticworks, is more acceptable to readers, and its combination with indeterminacy not onlycontributes to the conveyance and construction of novels themselves but also guides apossible direction as to how the contemporary novels can evolve.

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