本书以俄罗斯20世纪20年代文学进程中的两大趋势——体裁转型和思潮变更——为主线，选取散文作家卡维林在这一时期的文学实验作为重点研究对象，并将其放置于文学团体“谢拉皮翁兄弟”的创作整体中进行考察，在此基础上，运用社会历史批评、艺术本体批评和接受反应批评相结合的方法，从继承与创新的关系角度分析了包括卡维林在内的谢拉皮翁兄弟20年代的实验性创作，并对其中与主流文学问题相呼应的诗学特征予以了较为深入的阐释，旨在建立作家、团体与时代之间关系的嵌套式模型，从而为理解和复现相类似的文学现象提供一个可行性方案。

本书主体部分围绕“传承与革新”的主题，从传承的历史语境、传承的文学密码以及革新的理论准备、革新的艺术实践这几个方面入手，对文学团体“谢拉皮翁兄弟”20年代的文学探索做了较为完整而深入的分析，重点在于最大限度地揭示文学实验表象下盘根错节的源流关系以及由此产生的可能性后果。“谢拉皮翁兄弟”文学传承的历史语境是20世纪20年代的文学转型，这一时期的文学发展呈现出“过渡性”的特征，而这一特征以镜像的方式反映在该文学团体的组织结构和创作实践上，为成员们日后的文学探索奠定了基调。除了受到文学进程本身的影响，来自遥远和切近年代的和声也为他们的文学探索提供了有益的启示，这些文学前辈包括俄国浪漫主义中篇小说的始祖奥陀耶夫斯基，根植于俄国民间文学土壤的象征派作家列米佐夫以及站立在现实主义（大地）与象征主义（天空）之间的“异教者”扎米亚京。在历史语境和文学密码的双重作用下，“谢拉皮翁兄弟”在小说领域的探索呈现出明显的幻想性特征，希冀通过幻想故事的创作一方面使得自由创作的权利回到作者手中，另一方面达成在文学领域重建新秩序的目的。幻想题材与中小型叙事体裁在不同历史阶段的结合，以及俄罗斯本土科幻故事同传统民间故事之间的渊源关系，规定了这一幻想性特征的表现形式和变化趋势，在一定程度上可被视为文学革新的前奏。革新的理论准备与革新的艺术实践实际上是不可分割的两个部分，在以往的研究中这两个部分不是被刻意割裂开来，就是出现厚此薄彼的倾向。事实上，革新的基本问题并不在于理论准备或者创作实践是否充分，而在于它们之间的关系：理论对实践起到的是阻碍还是促进作用? 实践究竟在何种程度上贯彻了理论? 实践是否也具有理论化的反向过程?将这些问题放置于人物的框架内讨论是本论文的创新性尝试：在具有代表性的单个成员（卡维林）的文学实验中，理论与实践通常是一致的、不相矛盾的，革新的问题在此处突出表现为“如何在继承的过程中实现突破”，不论是奥陀耶夫斯基的人偶主题、炼金术主题，还是扎米亚京的“综合主义”理论都在卡维林处得到了重新诠释，《匪巢末日》这部具有里程碑意义的作品则体现了革新的最终意义——实践理论化的反向过程。与此相对应的，如果从整体上看待“谢拉皮翁兄弟”在20年代的文学探索，则会发现很多情况下理论与实践的不一致性，突出表现在装饰散文与情节小说、去自传化写作与作者身份的确立这两组常量的对立上，此时革新的问题隐含在“实践究竟在何种程度上贯彻了理论”这一问题中。

文学团体“谢拉皮翁兄弟”在20年代所进行的文学探索不仅对同时期的作家（如奥列申、列昂诺夫、布尔加科夫、巴甫连科等）产生了震荡作用，令他们或是靠拢，或是受其影响；也为之后的叙事体裁发展提供了可靠的蓝本，预示着下一个与抒情诗分庭抗礼的散文时代的到来。

关键词： 传承；革新；谢拉皮翁兄弟；卡维林；体裁

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-histori cal 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 histori cal context of inheritance，the literary code of inheritance，innovative theoreti cal 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 histori cal 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 histori cal 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 histori cal 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 theoreti cal 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 theoreti cal 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