摘要

本書以俄羅斯20 世紀20 年代文學進程中的兩大趨勢——體裁轉型和思潮變更——為主線，選取散文作家卡維林在這一時期的文學實驗作為重點研究對象，并將其放置于文學團體“謝拉皮翁兄弟”的創作整體中進行考察，在此基礎上，運用社會歷史批評、藝術本體批評和接受反應批評相結合的方法，從繼承與創新的關系角度分析了包括卡維林在內的謝拉皮翁兄弟20年代的實驗性創作，并對其中與主流文學問題相呼應的詩學特征予以了較為深入的闡釋，旨在建立作家、團體與時代之間關系的嵌套式模型，從而為理解和復現相類似的文學現象提供一個可行性方案。

本書主體部分圍繞“傳承與革新”的主題，從傳承的歷史語境、傳承的文學密碼以及革新的理論準備、革新的藝術實踐這幾個方面入手，對文學團體“謝拉皮翁兄弟”20年代的文學探索做了較為完整而深入的分析，重點在于最大限度地揭示文學實驗表象下盤根錯節的源流關系以及由此產生的可能性后果。“謝拉皮翁兄弟”文學傳承的歷史語境是20 世紀20 年代的文學轉型，這一時期的文學發展呈現出“過渡性”的特征，而這一特征以鏡像的方式反映在該文學團體的組織結構和創作實踐上，為成員們日后的文學探索奠定了基調。除了受到文學進程本身的影響，來自遙遠和切近年代的和聲也為他們的文學探索提供了有益的啟示，這些文學前輩包括俄國浪漫主義中篇小說的始祖奧陀耶夫斯基，根植于俄國民間文學土壤的象征派作家列米佐夫以及站立在現實主義（大地）與象征主義（天空）之間的“異教者”扎米亞京。在歷史語境和文學密碼的雙重作用下，“謝拉皮翁兄弟”在小說領域的探索呈現出明顯的幻想性特征，希冀通過幻想故事的創作一方面使得自由創作的權利回到作者手中，另一方面達成在文學領域重建新秩序的目的。幻想題材與中小型敘事體裁在不同歷史階段的結合，以及俄羅斯本土科幻故事同傳統民間故事之間的淵源關系，規定了這一幻想性特征的表現形式和變化趨勢，在一定程度上可被視為文學革新的前奏。革新的理論準備與革新的藝術實踐實際上是不可分割的兩個部分，在以往的研究中這兩個部分不是被刻意割裂開來，就是出現厚此薄彼的傾向。事實上，革新的基本問題并不在于理論準備或者創作實踐是否充分，而在于它們之間的關系：理論對實踐起到的是阻礙還是促進作用? 實踐究竟在何種程度上貫徹了理論? 實踐是否也具有理論化的反向過程?將這些問題放置于人物的框架內討論是本論文的創新性嘗試：在具有代表性的單個成員（卡維林）的文學實驗中，理論與實踐通常是一致的、不相矛盾的，革新的問題在此處突出表現為“如何在繼承的過程中實現突破”，不論是奧陀耶夫斯基的人偶主題、煉金術主題，還是扎米亞京的“綜合主義”理論都在卡維林處得到了重新詮釋，《匪巢末日》這部具有里程碑意義的作品則體現了革新的最終意義——實踐理論化的反向過程。與此相對應的，如果從整體上看待“謝拉皮翁兄弟”在20年代的文學探索，則會發現很多情況下理論與實踐的不一致性，突出表現在裝飾散文與情節小說、去自傳化寫作與作者身份的確立這兩組常量的對立上，此時革新的問題隱含在“實踐究竟在何種程度上貫徹了理論”這一問題中。

文學團體“謝拉皮翁兄弟”在20年代所進行的文學探索不僅對同時期的作家（如奧列申、列昂諾夫、布爾加科夫、巴甫連科等）產生了震蕩作用，令他們或是靠攏，或是受其影響；也為之后的敘事體裁發展提供了可靠的藍本，預示著下一個與抒情詩分庭抗禮的散文時代的到來。

關鍵詞： 傳承；革新；謝拉皮翁兄弟；卡維林；體裁

Abstract

In this book，transformation of genres and alternation of literary trends are followed as the two major tendencies of Russian literary process in 1920s.Seeing Kaverin’s literary experiment in this period as priority research object and an indivisible part of all the works of the literary group Serapion Brothers as a whole，the author combines social-historical criticism，artistic ontology criticism and acceptance-response criticism together so as to analyze the experimental creations of the Serapion Brothers，including Kaverin，in the 1920s from the perspective of the relationships between inheritance and innovation，which gives an in-depth explanation to the poetic characteristics that echo the mainstream literary problems.The ultimate goal is to establish a nested model of the relationship between writers，groups，and the times，so as to provide a feasible solution for understanding and reproducing similar literary phenomena.

The research is centered on the theme of“heritage and innovation”，examining such aspects as historical context of inheritance，the literary code of inheritance，innovative theoretical preparation，and innovative artistic practice.A more complete and thorough analysis of literary exploration of the Serapion Brothers in the 1920s has been carried out，with the focus on the maximum revelation ofthe substantial relationship under the appearance of literary experiments and its possible consequences.The historical context of the literary inheritance of the Serapion Brothers was the literary transformation in the 1920s.The literary development during this period showed a“transitional”character，which was mirrored in the organizational structure and creative practice of the literary group and set the tone for its members’future literary exploration.Beside the influence of the literary process itself，the group members also received inspiration from their distant and recent literary predecessors.These literary predecessors，including Ottoevsky，the ancestor of Russian romantic novel，symbolist Lemitsov，rooted in Russian folk literature，and“pagan”Zamiyatin，standing between realism（the earth）and symbolism（the sky）.Under the dual influences of historical context and literary code，the exploration of the Serapion Brothers in the field of fiction presented an obvious characteristic of fantasy.The members hoped，on one hand，to restore the author’s right to free creation by weaving fantasy stories，and，on the other hand，to achieve the purpose of rebuilding a new order in Russian literature.The combination of fantasy themes and small narrative genres at different historical stages and the close relationship between Russian native science fictions and traditional folk tales defined the form and trend of this fantasy feature，which can be regarded to a certain extent as a prelude to literature innovation.The theoretical preparation and artistic practice of innovation are actually two inseparable parts.In the previous studies，these two parts were either intentionally separated or unequally treated.In fact，the basic problem of innovation is not whether the theoretical preparation or creative practice is sufficient，but what the relationship between the two is?Does theory hinder or promote practice? To what extent does practice implement theory?Is there a reverse process of extracting theory from practice?Discussing these issues within the framework of individual creation is another innovative attempt of this book.The problem of innovation is highlighted as“how to achieve a breakthrough in the process of inheritance”in the literary experiments of a single representative member.For example，in Kaverin’s works theory and practice are usually consistent and non-contradictory.That is to say，whether it is Ottoevsky’s theme of puppetry or alchemy，or Zamiyatin’s“syntheticism”theory，all has been re-interpreted by Kaverin.And the ultimate meaning of innovation—the reverse process from practice to theory—is reflected in his landmark work“The Last Day of the Bandit”.On the country，looking at the literary exploration of the Serapion Brothers in the 1920s as a whole，one can find inconsistencies in their theory and practice in many cases，which are prominently displayed by the following two sets of constants，decorative prose versus plot novels，and de-autobiography versus the establishment of authorship.In these circumstances the question of innovation is embodied in the question“to what extent does practice reflect theory?”

The literary explorations undertaken by the literary community Serapion Brothers in the 1920s produced a shocking effect upon writers of the same period（such as Oleshin，Leonov，Bulgakov，Pavlianko，etc.）.What is more，it provided a reliable blueprint for the further development of narrative genres，which heralded the arrival of the next era of prose rivaling lyric poetry.

Key words： inheritance；innovation；Serapion Brothers；Kaverin；genre