【作者】 孙慧；

【导师】 周均平；

【作者基本信息】 山东师范大学 ， 文艺学， 2009， 博士

【摘要】 安伯托·艾柯(Umberto Eco ,1932- ),当代著名意大利哲学家、符号学家、文艺理论家、作家。他思想睿智、知识渊博,在哲学、美学、宗教、历史、文学批评等领域都有独特贡献。西方对其思想研究较为充分,并有大量成果问世。与国际学界艾柯研究繁盛的局面相比,国内研究则明显滞后,其文艺思想并没有得到学界应有的重视。目前,除了翻译过来的艾柯的相关著作之外,国内尚无研究艾柯及其理论的专著,所开展的研究大多停留在作品个案解读以及重要理论观点的引用。纵观这些研究成果存在诸多缺憾,其研究范围主要局限于艾柯文艺思想的某一方面,如符号学理论或小说创作的探索上,对其思想的整体研究并未全面展开。就研究方法而言,学者们大多采用的是具体的、细节性的研究方法,虽有一定的针对性,但并不能把握艾柯思想的全貌,因而也难以就艾柯在西方文艺思想史上的地位进行评价,更难以说清他对西方文艺思想发展进程的重要影响。本文力图为改变这种局面做出自己的努力:结合艾柯的创作实践和理论批评,分析背景、厘清概念、理顺关系,对其文艺思想做出学理性的系统阐释和评析。由专题研究入手,采用实证材料分析与理论分析相结合的方法,较为完备地呈现艾柯文艺思想的全貌。同时采用外围的宏观全景考察与内部的微观细密分析相结合的综合性研究方法,在细读艾柯作品的基础之上,对艾柯思想内部的组织结构、符号学理论、阐释学理论、文学思想及小说创作诸方面作系统微观分析,同时把微观分析的结论置放于宏观社会历史全景中去考证,力图多元化多维度检视其文艺思想。本文还采用了历时概览与共时分析相结合的研究方法将艾柯文艺思想的发展进程更加清晰地显现出来。此外,用作品和理论相互阐释的方法去解读艾柯也是必需的,以其理论作品来阐释其小说,并藉此为线索去追寻艾柯思想的痕迹,尽量避免偏离“作者意图”而造成过度阐释的偏颇。在国内,以英文材料为基础,在博士论文层次上对艾柯文艺思想进行全面而系统的考察,本文尚属首次。因而,本文试图通过以上集中的研究工作,将艾柯文艺思想较为全面系统地呈现在国内学术界面前,以期较为客观、准确地评价艾柯在文艺思想史上的地位与价值;对其文艺思想中颇具特色的符号学理论、阐释学理论、小说创作等方面进行系统发掘与透彻研析,希冀为当下艾柯研究提供可资交流的平台与借鉴的参照;打破目前艾柯学术成果囿于作品分析或理论阐释偏于一极的局限,通过对艾柯文艺思想较为完备的研究与集中的关照,使世人领会其作为经典思想家的真正价值,以期在前人的研究上有所发展,并为目前国内艾柯研究进一步拓展有所裨益。全文共分为六个部分。导论部分简要概述了艾柯文艺思想在西方研究的现状,表明了艾柯在西方重要的地位,彰显了其重要思想价值。同时分析了我国艾柯研究现状,即资料的局限与研究的匮乏对拓展国内艾柯研究提出了新需求。在此基础上,提出了本文的研究目的、方法、创新点和逻辑结构,藉此建立研究的科学平台。第一章分析了艾柯文艺思想产生的时代背景,考察了其文艺思想的理论渊源,进而梳理了艾柯文艺思想的发展历程,这是了解其文艺思想全貌的前提,也是本文的逻辑基础。第二章探讨了艾柯的文艺符号学理论。这一章分析了艾柯关于符号本身的理论、代码理论与符号生产理论,力图在展现其符号学理论全貌的同时,客观审视其符号学理论的价值。艾柯的符号学理论吸收了索绪尔和皮尔斯两大符号学派的思想,在符号学的意指作用和通讯作用之间、在结构主义和行为主义之间采取折衷主义立场。他的符号学理论将叶姆斯列夫的多重二元符号论与皮尔斯的三元符号理论相结合,把解释符引入符号学理论,采用普遍的代码原则取代了狭义的语言结构原则,阐释了符号及符号生产过程,揭示了符号的本质,形成了开放的符号学理论。符号代码理论和符号生产理论是艾柯符号学理论的重要组成部分,它们分别对应于符号意指系统和符号交流系统,在代码系统中注重语境的因素,在意指过程中体现交流过程。艾柯符号学理论赋予了代码持续的生产能力,让其以符号-功能的面貌存在,在展现符号社会功能的同时,也为社会交流系统提供了重要的表达式,这样,其符号学理论转向了符号生产方式类型学的研究,开辟了一条动态符号学之路。艾柯符号学理论将语言符号学理论外推至非语言的其他文化系统,将静态分析与动态分析、共时研究与历时研究有机地结合起来,实现了语言、文学、文化的相互结合,从而在一定程度上弥补了以往文学研究和文化研究的不足,并由此开创了文学研究和文化研究的新局面。第三章分析了艾柯的文艺阐释学理论。艾柯的阐释学理论是附丽于其符号学理论之上的,所以本章将艾柯的符号学理论与阐释学理论并置研究。这一章对艾柯关于“阐释”与“过度阐释”等问题进行了探讨。这一章与第二章是平行关系,都是对其思想进行解读的专题研究。艾柯的阐释学理论归结起来有三点:提倡阐释、反对过度阐释、为阐释设界。在他看来,作者、文本、世界、读者这四个要素组成了一个动态的阐释圈。艾柯早期提倡阐释,他的“开放的作品”理论关注作品的开放性,注重欣赏者与接受者的重要性,强调作品与接受者之间的交流,为后来的“读者中心论”者提供了启示,在现代哲学阐释学与接受理论和读者反应批评之间具有重要的衔接作用。艾柯后期不满于后现代主义背景下阐释文本的偏激行为,提出了“反对过度阐释”,主张将作者、文本、世界、读者有机结合起来考察阐释活动,在给予读者阐释权利的同时强调以文本意图为阐释尺度,力图将阐释活动引入合法范围,维持作者、文本与读者之间的平衡。艾柯始终坚持以“文本”作为自己阐释学理论的坚定立场,看似前后期观点的变化,实则不过是艾柯思想的纵深发展。第四章探讨了艾柯的小说创作。这一章以艾柯小说为实证评述其理论观念,这是考察其文艺思想的一个实践角度。学者与作家的双重身份为艾柯提供了一个独特的空间。作为学者的小说家,他借助小说传播理论,在具体小说创作中自觉运用其符号学理论、阐释学理论,使其小说别具一格,具有浓郁的学院气息;另一方面,作为小说家的学者,艾柯用理论阐发小说,进而向阐释学提出了挑战。在理论上,艾柯从文学的功能、文体风格等入手,考察了文学的当下处境,前瞻了文学的发展趋势;在实践上,他致力于小说艺术的挖掘,开辟了一个新的艺术空间。其小说作品,无论从思想深度、内容体式还是个性风范上都别具特色。一方面,他借鉴吸收了后现代主义的艺术手法,用元小说、反侦探等叙事策略创造了一个文本狂欢的世界;另一方面,他又保持着清醒的头脑,坚守知识分子的品格,不沉溺于文本游戏,其作品蕴含着哲理的思辨性和现实的批判性。第五章试图对艾柯文艺思想进行较为全面、辩证、合理的评价,在正视其不足与缺陷的同时,挖掘、品茗艾柯文艺思想中有价值的因素,通过共识性审视与历时性观照对艾柯文艺思想进行正确的评价。经过深入探讨,我们可以看出,作为“协调者”与“综合者”的艾柯以开放而综合的世界观,发展了在多种意义上协调的,突破片面想法的立场。他凭借着其符号学理论和阐释学理论,借助一系列长篇小说,打通了中世纪与后现代的关节,为置身于后现代主义思潮中的我们提供了应对的策略。因而,考察其文艺思想具有重要价值,不仅可以为我们了解西方文艺理论发展的动态提供机遇,而且对国内当代文艺理论的建设也具有重要的启示意义。更多还原

【Abstract】 Umberto Eco (1932- ) is a famous contemporary Italian philosopher, semiotist, literary theorist and novelist. He,who has the profound knowledge and the wise and farsighted thoughts,has a unique contribution to the field of philosophy, aesthetics, religion, history and literature theory, which has the profound influence until now. Much study of Eco has been carried out abroad and a rich harvest has been reaped. While in China the research of him is not in full swing. The literary and artistic thought of Eco has not been paid much attention to enough in the domestic. Besides Eco which’s translated related work, merely pauses to his research in articles and in the important theory viewpoints quotation. These research results have the limitation which only focused on Eco’s semiotic theory or the novel. Researches about Eco’s thought undertaken by futurity primarily adopt a specific, descriptive approach. This approach bears some quality of particularity but loses the global sketch of Eco’s aesthetic thought, hence an inaccurate evaluation on the importance of his status in history of thought in the west, let alone his influence to west aesthetics.The thesis tries to improve the situation by giving an objective an overall description of Eco’s literary and artistic thought. Adopting“chasing layers step-by-step”method, the author analyzes the backgrounds, clarifies the conceptions and straightens the relationships of the thoughts. The thesis is intended to rationally interpret and comment Eco’s thought, along with his creative practice and theoretical criticism. Combining the methods of theoretical analysis and testimony of objective materials, this dissertation begin with the monographic study on Eco, which will make the frame of his whole ideas. By the means of the macroscopic panoramic investigation and the microscopic painstaking analysis, this dissertation also has the microscopic analysis of Eco’s thoughts of the internal organizational structure, semiotics theory, hermeneutics theory and the literature practice in the base of his works in order to study Eco’s thought in the multi-dimensional level. This dissertation has used the approaches of vertical research and lateral comparison to make the development of Eco’s thought more distinct. Besides, the approaches of inter-interpretations between his theory and works are necessary, the dissertation study Eco’s thoughts by the means of analyzing his novels with his theory to avoid over-interpretation for departing from the authorial intention.At present, it is the first time to have an over-all study of Eco’s literary and artistic thought in a doctoral dissertation and there are many bigger breakthroughs in utilizing relative English materials as well. Therefore, the dissertation attempts to present the frame of Eco’s thought more comprehensively and systemically in domestic to evaluate the importance of Eco status in history of thought inaccurately. The dissertation analysis Eco’s thought about semiotics theory, hermeneutics theory and the novels creation in order to provide the platform of communicating and the light of learning. The dissertation made a try to discuss Eco’s thoughts comprehensively, broking the limitation of research at present which only focused on Eco’s some ideas or novels to make the people understand the value of the classical thinkers and in this meaning, the dissertation is beneficial to the further development of Eco’s research and make a explosive step on the traditional research.The dissertation consists of six parts.Introduction.It gives a survey of the values of Eco’s ideas and great importance attached to them in the West. While in China the study of him is very limited, and the current situation of the research is also described. Constrained by lack of studying materials and being short of attention have a demand of new thinking in studying Eco. Besides, the aims, approaches, new ideas and the structure of the dissertation are given in this part to provide the platform of research.Chapter one deals with the social and cultural environments of Eco’s literary and artistic thought, and analysis the origin of Eco’s ideas and explores the development process of his thoughts. This part is the base of the dissertation and the premise of understanding Eco’s thought. Chapter two explores Eco’s semiotics theory. This part analysis the theory of the symbol, the code and the ideas about production of symbol to show and scrutinize the frame of Eco’s semiotics theory and its the value.Eco’s semiotics theory absorbed the thought of Saussure and Pierce-two major semiotics School, taking the eclectic position of the meaning of semiotics and communication, structuralism and behaviorism.His semiotics theory is combined L. Hjelmslev’s smultiple symbols of binary with Pierce’s Semiotic theory of ternary,using the general principles of the code replaces the narrow structure of the language to explain the symbols and the production process of the symbol, reveals the nature of symbols, forms an open semiotics theory. The theory about symbol code and the production of symbols are the important part of Eco’s semiotics theory, which correspond to the system of symbolic’s meaning and the exchange, the coding system highlights the factors of context and the process of manifestation conveys the exchange process.Eco’s semiotic theory gave the continuous production capacity to the code, allowed to exist with the features of the sign-function,displays the social function of symbols, but also for the social communication system provides an important expression, so that the semiotic theory steering to research the typology about modes of production, opened up a path of dynamic semiotics.Eco’s semiotic theory is the open theory of semiotics which combined synchronic research with diachronic research and static analysis with dynamic analysis, making the theory of linguistic signs extrapolated to other non-linguistic and cultural systems. It made the language, culture, literature combined with each other and thus to a large extent made up for in the past, literary studies and cultural studies inadequate, and thus created a new situation of literary studies and cultural studies.Chapter three analysis Eco’s hermeneutics theory.Eco’s hermeneutics theory is attached to his semiotics research, so this part is parallel study with chapter two. They are monographic study of analysis Eco’s thought. This part explores Eco’s theory of interpretation and over interpretation.Eco’s hermeneutics theory can be summarized by three points: Advocating interpretation, objecting over interpretation and establishing the line of interpretation. In his view, the author, text, world and readers, these four elements of the interpretation formed a dynamic loop. Eco early advocated interpretation. His theory of "the open work" concerned about the openness of the work, paid attention to the importance of the appreciator and the recipient, emphasized the communication of the recipient and the work, which provided insight to later "Center of readers", played an important convergence role of the modern philosophy hermeneutics and reader-response criticism. Eco discontent in the late the extreme behavior of interpretation of the text in the background of post-modernist, so he objected over interpretation and advocated to inspect the interpretation from the combination of the author, text, world, readers. Eco believed that we should give the right of interpretation to the reader and make the intention of the text become the interpretation scale to establish the line of interpretation, trying to introduce the activity of interpretation to the legitimate scope, which can maintain a certain kind of balance between the authors and readers. Eco has always adhered to the "text" as its own hermeneutics theory’s the position of the firm, appears to pre-and post-change point of view, but in reality it’s developing in depth.Chapter four analysis Eco’s novels creation.This part explores his literary and artistic thought further from the angle of art practice.The dual identity of the scholars and writers for Eco offers a unique space. As a scholar novelist, he spread the theory with his novel, and Eco used semiotics theory and hermeneutics theory consciously at the creation of the novels, which make his novels that have the rich flavor of the institute unique. On the other hand, as a novelist scholar, Eco interpreted the novel with his theory, and then challenged hermeneutics theory. In terms of the theoretical level, Eco think and renounce, from the function of the literature and the style, inspecting the current situation of literature and looking forward to the development trend of the literature. On the practical level, Eco made great effort mining the art of novel and opened up a new art space. His novels are distinctive in terms of the depth of thought, the style of content or the style of personality. On the one hand, he absorbed from the art approach of post-modernist, used the narrative strategies such as metafiction, anti-detective, and created a Carnival of text. On the other hand, Eco maintained a sober-minded, stick to the character of the intellectuals, and he does not indulge in the text of the game, so his work contains the philosophical thought and the critical realistic.Chapter five is the summary of the dissertation. This part gives a general evaluation of the status of Eco’s literary and artistic thought in history, their worth and limitations by the approaches of vertical research and lateral comparison.After extensive deliberations, we can see that as a "coordinator" and "General", Eco developed coordination in a variety of sense, and broke one-sided position of the mind with open and integrated world view. By virtue of his semiotics theory and hermeneutics theory, Eco used a series of novels; get through the medieval and post-modern joints to provide us in post-modern trend with a response strategy. Thus, we inspect Eco’s literary and artistic thought which has an important value and significance, not only for us provides a dynamic opportunity of understanding the development of western literary theory, but also for the domestic construction of contemporary literary theory have the enlightening significance.更多还原