洛特曼的文化符号诗学理论研究

【作者】 张海燕；

【导师】 李衍柱；

【作者基本信息】 山东师范大学 ， 文艺学， 2007， 博士

【摘要】 自20世纪下半叶以来,文学研究出现了文化研究的转向,文化诗学成为当代文艺学研究的新趋势。洛特曼作为20世纪世界著名的文艺理论家和文化符号学家,他的文化符号诗学理论成为西方文化诗学批评的先声和主导。洛特曼文化符号诗学理论体系自身所蕴含的深邃的思想内涵和独特的研究方法为新世纪的文艺学研究和文化研究提供了有益的参考和巨大的启示。论文在认真研读洛特曼俄文原著的基础上,广泛涉猎中外第一手相关研究资料,并把洛特曼置于广阔的文化语境中全面阐发了他的文化符号诗学思想及其理论体系的内在演化特点,并进一步论证了洛特曼的文化符号诗学思想在世界学术史上的特殊地位、深远影响以及对我们的启示意义。论文主要从洛特曼的外部学术环境和内在理论体系两个方面入手,以洛特曼符号学思想的发展演变为内在线索,并以“文本”这一核心概念来有机整合洛特曼的文化符号诗学理论,从洛特曼的文艺符号学理论到文化符号学理论逐层深入研究,以期从整体上打通洛特曼的文化符号诗学理论的内在体系,并在此基础上为文学研究和文化研究的结合建造一座坚实的桥梁。论文不仅详细地阐述了洛特曼的艺术文本理论、文化文本理论,而且还就洛特曼文化符号诗学理论的两个核心范畴以及电影符号学理论进行了深入的研究,并在理论研究的基础上进行了实践性的文本解读尝试。其中关于洛特曼的艺术文本的存在方式、情节文本、神话文本、电影符号学理论、文化动力机制、文化交际模式、文化记忆等问题的研究都属于国内研究的空白之地,目前几乎没有人涉足。论文正文部分主要包括六章内容,另外论文还包括引言、结语、附录等。第一章主要以史论结合的方法,把洛特曼的学术生涯按照时间线索划分为四个阶段并分别加以细致的梳理,以期较为客观地反映出洛特曼学术研究的时代背景和整体风貌,进而揭示出其思想演化的内在逻辑。我们认为洛特曼的文化符号学与文艺符号学研究并不存在泾渭分明的界线,实际上,这两者之间总是互相越界,互相对话,共同构成了洛特曼的文化符号诗学思想的整体风格。第二章主要以对比的方法就洛特曼与现代符号学、结构主义、俄国形式主义、巴赫金的关系问题,对洛特曼的文化符号诗学思想的理论渊源进行了详细的梳理和比较研究,并进一步指出了洛特曼的理论思想对前人的继承和超越之处。论文认为,洛特曼的文化符号诗学理论不仅继承了索绪尔结构主义语言学的传统,而且还主动吸收了皮尔斯符号学的理论精华,并在一定程度上实现了对欧美符号学两大传统的超越。洛特曼的文化符号学理论吸收了多种现代理论思潮,与结构主义有着许多相通之处,但是由于其符号学方法的优越性和独特性又超越了结构主义,并成为世界现代符号学史上不可或缺的一大流派,从这个意义上说,仅仅把洛特曼作为一个结构主义者是不够的。第三章重点研究作为符号系统的艺术文本的存在方式、艺术文本的结构与意义生成方式、艺术文本的建构原则、艺术文本的解码和接受等问题。我们认为洛特曼的文艺符号学理论是一种既注重文本的结构与形式,又注重视文本的社会历史文化语境的现代文论。洛特曼的艺术文本理论没有驱逐作者,也没有漠视读者,更没有断然斩断历史文化语境的血脉,而是把它们作为一个有机的整体系统来考虑,从而为文本意义的生成开辟了广阔的文化空间。因此,他的文艺符号学理论大大超越了欧美同时代的文艺理论学说,这也许正是洛特曼文论风靡西方的根本原因。第四章主要是对洛特曼的文化符号学理论和文化的内在发展机制的研究,文中就符号思维、文本生成机制、两种交际模式、文化的动力模式、文化记忆与文化空间等问题在洛特曼的基础上进行了进一步的符号学阐释,并深入分析了洛特曼文化符号学理论中所涉及到的艺术问题以及他的文化符号学理论对文艺学研究的适用性。洛特曼从文化符号学的视角出发,在传统的文化理论基础上重构了文化交际和文化互动的模式。两种交际模式的提出不仅突破了前人的理论缺陷,而且更重要的是它为文化差异和创造个性找到了逻辑存在空间。同时,洛特曼还用符号学的方法通过一系列的二元对立范畴的矛盾转换,深刻地揭示出了文化发展的内在机制,洛特曼对文化动力系统的描述也为我们反思传统的历史文化研究中存在的问题,并用一种崭新的视角来审视当今的文化现状提供了有益的启示。第五章对洛特曼文化符号诗学理论的两个基本范畴——文本和符号域进行了深入研究,并进一步指出了它们的特点、功能以及在洛特曼理论体系中的地位和作用。第六章主要涉及洛特曼的电影符号学理论,文中就洛特曼的电影语言观、电影叙事方式、电影的时空以及电影文本的意义生成等问题进行了深层研究,指出了洛特曼的电影符号学是其文化符号诗学理论在电影领域的实际应用和发展。在西方结构主义、文化符号哲学、俄国形式主义和巴赫金的文化对话理论的启发下,洛特曼创造性地建构了独具特色的文化符号诗学理论。洛特曼的符号学文论不仅具有鲜明的结构主义特色,而且还具有后结构主义的色彩,这在洛特曼后期的文化符号学理论中表现得尤为明显。洛特曼的文化符号诗学理论既具有现代科学的理性主义色彩,又蕴含着反理性的后现代主义色彩。我认为,这与洛特曼对文本的界定和理解有着直接的关系。在我看来,洛特曼的文艺符号学中的文本观主要显示出了结构主义的风格和特征,而他的文化符号学中的文本观则是具有了更多的后结构主义的特点,这也反映出了洛特曼符号学思想的变化性:由结构主义向后结构主义过渡。但问题又不能这样简单化,因为上述结论只是就洛特曼理论的大体趋向而言的,更确切地说,洛特曼的文本观反映出了深刻的文化符号诗学思想倾向。更多还原

【Abstract】 Since the latter half of the 20th century, the literary studies have turned to the cultural studies, and the cultural poetics has become a new trend of the contemporary literary theories. Lotman is one of the most famous literary and cultural semioticians in the 20th century, and Lotman’s cultural semiotic poetics has become the herald and leading direction of the western cultural poetics. The profound thought and unique approaches of Lotman’s theory of the cultural semiotic poetics are inspiring for the literary and cultural studies in the new century. Based on careful reading and study of Lotman’s works written in Russian, as well as Chinese and foreign research data about him, my dissertation is aimed to elucidate thoroughly Lotman’s ideology of cultural semiotic poetics and the characteristics of evolution of his theoretical system in the cultural context, and to expound that Lotman’s ideology of the cultural semiotic poetics enjoys peculiar position in the world academic history, exerts far-reaching influence, and provides us inspiration.The dissertation starts from two main aspects of Lotman’s theory --- external learning environment and inherent theory system, follows the development of his cultural semiotic ideology, and integrates organically his cultural semiotic poetics with "text" as its center concept, studies gradually Lotman’s literary semiotic theory to his cultural semiotic theory, for the purpose of getting through the inherent theoretical system of Lotman’s cultural semiotic poetics theory, and constructing a solid bridge between the literary studies and the cultural studies. The dissertation is concerned about Lotman’s art-text theory, cultural text theory, and deep study of two fundamental categories of Lotman’s cultural semiotic poetics and his film semiotics, and on the basis of theory research reading criticism on text is carried out. The studies on existence form of Lotman’s art-text, circumstance-text, myth-text, film-semiotics theory, the communication models, the dynamics of culture, cultural memory, belong to the blank space in the research in China, and nobody set foot. This dissertation mainly consists of six chapters; apart from the content the foreword, concluding remarks, appendix and so on.Chapter One goes to Lotman’s life course and author’s writing in a chronological order. Combined historical study with theory, Lotman’s learning career is divided into four stages, and is combed in a detailed way, in order to show his academic research background, characteristics of times and total scene, and announcing to the inherent evolution logic of his thought objectively. The dissertation thinks Lotman’s cultural semiotic theory does not separate from his literary semiotic theory, In fact, these two always mutually cross the border, talk to each other, constitutes the overall style of Lotman’s cultural semiotic poetics together.Chapter Two with comparative method moves towards the relationship of Loman with Modern Semiotics, Structuralism, Russia Formalism, and Bakhtin, combed meticulously and studied comparatively the theoretical origins of Lotman’s cultural semiotic poetics, and pointed out his theory has exceeded to the prehominid further. The dissertation thinks that Lotman’s theory of the cultural semiotic poetics not only has inherited Saussure’s tradition of structuralism linguistics, but also initiative has absorbed Pierce’s semiotic theory cream, and has come true to exceed two big semiotic tradition in Europe and America. Lotman’s theory of the cultural semiotic poetics absorbs various modern theories, and has a lot of place of communicating with the structuralism, it has become a big upper indispensable study school of modern semiotics history in the world because of the superiority and peculiarity of mimics method having exceeded the structuralism, so just looking on Lotman as a structuralist is insufficient.The third chapter mainly studies the existence form, structures and meaning-generating mechanism, construction principles, of art-text as a semiotic system. We think that Lotman’s literary semiotic theory is one kind of modern cultural theories, attaching importance to the structures and forms of text, and society history culture context. Lotman’s art text theory does not chase author out, not treat reader with indifference, and not chop off history culture blood vessel absolutely with the context, does look on them as a organic overall system, opens up cultural vast space for the production of text’s significance. Therefore, his literary semiotic theory has exceeded coeval theory of literature and art of Europe and America, it maybe exactly the root reason that Lotman’s theory is fashionable in the west.The fourth chapter deals with Lotman’s cultural semiotics and the inherent cultural development, semiotic thought, the generating mechanism of texts; and two communication models, the dynamic models of culture, cultural memory, cultural space by the means of semiotics, and the analysis of the art-text problem of Lotman’s cultural semiotic theory and the serviceability of Lotman’s cultural semiotic theory to the literary studies. From the angle of cultural semiotics, Lotman rebuilds the cultural communication models basing on the traditional cultural theories. Two kinds of communication models break the prehominid’s theory defect, and find a logic existence space for cultural difference and creative individuality. At the same time, with the semiotics method of the categorical opposite binary contradiction, Lotman has revealed out the inherent mechanism of the culture development. Lotman’s description to the cultural dynamic system provides beneficial enlightenments for us to rethink the problems of the tradition history culture studies and a new visual angle to research the current situation of our nowadays culture.The fifth chapter contributes to two fundamental categories of Lotman’s cultural semiotic poetics——text and semiosphere, and further point their characteristics, function and the position in Lotman’s theory.The sixth chapter deals with Lotman’s film-semiotic theory mainly, Lotman’s viewpoint about film language, narrative styles, time and space in film, significance generation of film text and so on. It points out Lotman’s film-semiotic theory is the practice and development of his cultural semiotic poetics theory.Lotman’s cultural semiotic poetics theory both has the rationalism color of the modern science, and contains the anti-rationalism color of the postmodernism. I believed that, this has the direct relations with Lotman’s understanding about the concept of text. In my opinion, Lotman’s view on text in his literary semiotic theory mainly demonstrates the structuralism style and characteristic, but in his cultural semiotic study the view on text has the more poststructuralism characteristic. This also reflects Lotman’s ideology change in his semiotic study: transition from a structuralism to a poststructuralism. But the question can’t simplify like this, because the above conclusion only is a roughly trend of Lotman’s theory, exactly said, Lotman’s text view reflects the profound thought tendency of the cultural semiotic poetics.更多还原