【作者】 焦丽梅；

【导师】 于茀；

【作者基本信息】 哈尔滨师范大学 ， 文艺学， 2017， 博士

【摘要】 洛特曼的文本诗学理论经历了一个相当漫长的发展过程,从20世纪60年代开始,文本始终是他反复思考的核心问题,这一发展轨迹可以通过他不同时期的论著清晰地体现出来。早期洛特曼将生物学和信息学理论引入文本学研究,他认为,艺术文本是有生命的活生物体,生命是活生物体最独特的功能,那么艺术文本的生命是什么呢?艺术文本的生命就体现在艺术语言能以极小的篇幅集中惊人的信息量。正是这种生命,使得艺术文本成为一个无尽的信息源,其他类型的文本都无法相比,这就是艺术文本的魅力所在。^[1]“请比较契诃夫的短篇小说与心理学教科书”:一本教科书无论什么专业的,一般都有20万字左右,它所传达的信息量也都限定在特定的范围和时间之内,再经典的教科书,都会被新的教科书所取代。而一篇优秀的短篇小说,如契诃夫的、果戈里的……它的篇幅大概就几千字左右,但它可以向读者提供的信息却是无穷尽的,它的艺术魅力历久弥新,它那独特的审美价值永远无法取代!信息也即意义,一部作品包含的信息量越多,意义就越丰富,它的审美价值就越高。相反,它包含的信息量越少,意义就越小,它的审美价值就越低。因此,“美就是信息”。^[2]将文本视为一种结构,是洛特曼始终不渝的一个理念。无论早期的文学文本还是后期的文化文本理论,洛特曼始终是从结构主义这一基点出发的。他认为,艺术文本是一个具有层级性、系统性的整体,在这个整体结构中,某一结构要素只有在与其他结构要素的联系中才有意义,艺术文本整体结构所蕴含的信息量远远大于该文本中各层次结构要素信息量的总和。为此,洛特曼重点考察文本结构与外文本结构的相互关系,进而探索整体文学作品的建构过程。他指出,研究任何一个文本都应该在一定的背景中进行,艺术只有在与非艺术现象的对比中才能更好的被读者所理解。艺术作品具有巨大审美价值的主要根源就在于外文本的存在,如果抛开文本与外文本的联系,那么文本将失去意义。这里的外文本指的是文学作品产生的社会文化语境,即政治、经济、宗教、文化等多种因素的影响。“洛特曼的研究方法既分析文学文本的内部结构,又分析文本和社会——文化环境的外部关系。既跳出了内部研究的窠臼,又避免了外部研究的缺憾,成功地将文学的内部机制与外部客观世界联系起来,并加以理论化,为填平文艺的外部研究与内部研究之间的鸿沟,迈出了坚实的一步,这的确是文学研究中的一场哥白尼革命。”^[3]洛特曼对新型文艺批评理论和方法的重新建构,引起了国际文艺学界和符号学界的普遍关注。在具体构建文学文本理论时,洛特曼主要运用的是结构主义语言学的研究方法。洛特曼将语言划分为两种模式:第一模式系统和第二模式系统。第一模式系统包括自然语言和人工语言——科学语言、约定俗成的信号语言等;第二模式系统是比自然语言复杂得多的、建筑在自然语言基础之上的交际符号系统。艺术属于第二模式系统。洛特曼指出,艺术语言的内容所传达的信息固然重要,但艺术语言的本身也具有十分重要的独立审美价值,其中语音及其他语言要素（如韵律等）的运用也负载着审美信息。为此,他提出“对立美学”和“同一美学”的理论,并运用“对立美学”原则去分析诗歌文本意义的结构机制,指出诗歌文本就是意义的生成器。此外,洛特曼十分重视文本的能动性,他认为文本不是某种被动的容器,而是一个发生器。文本本身并不体现涵义,而是生成涵义。但是,生成过程的文本不仅仅在于结构的扩展,在相当大的程度上还在于各种结构的相互作用。文本是符号的天池,不同语言在其中交互作用、渗透,进行多层次的组合,进而赋予文本巨大的语义增殖潜力。读者由于着眼点不同,所接受的信息组合也不相同。所以,文本永远比语言更丰富。随着洛特曼学术思想的逐渐探索与成熟,他的文本诗学理论也获得了不断的丰富和发展。后期,文本的概念从早期的意义型发展为功能型。为此洛特曼将文本定义为:“文本是完整意义和完整功能的携带者。从这个意义讲,文本是文化的第一要素。”^[4]洛特曼指出,文本具有传递信息、生成信息和记忆信息的完整功能。所谓信息传递功能是指信息发送者将信息传递给接受者。在信息传递过程中,由于双方文化传统背景的不同以及接受者个性因素的差异,导致文本编码与读者解码的不完全等同,因此在信息传递过程中不可避免地会产生信息增殖现象。所谓信息生成功能是指文本是由多种语言构成的,文本系统内部不同子结构之间有对话和游戏的功能,它们之间的复杂关系构成了文本意义的生成机制。所谓文本记忆功能是指文本具有积累信息、保存历史文化语境的能力。由此可以看出,信息的文化定义能够启示我们把整个历史文化现象看作一个开放的大文本,从而用符号学的方法给予研究。显然,洛特曼后期的文本诗学理论与前期相比得到了极大的丰富与拓展,洛特曼的文本概念由前期的意义型扩展为后期的功能型。20世纪以后,对文学语言的研究突然成为西方文艺学、美学最热点、最显要的问题。但是80年代以后,西方的文论家们开始认识到,人类的历史不仅仅是语言文本的书写,在语言文本的背后存在着一个与意识形态权力话语密切相关的文化背景。因此说,语言文本首先是文化的文本。如果说,20世纪前半期西方文论界得益于“语言论转向”,那么20世纪后期西方文论界又开始了"文化哲学转向",语言批判逐渐转向了新的文化批判。应该说,洛特曼在研究结构语言学理论的同时,也从未停止过对文化符号学理论的思索与探究。早在60年代末70年代初,洛特曼就逐渐把研究的重心由文学文本转向文化文本。洛特曼力图通过对整体文化语境系统的探讨把握文艺现象,在他文化符号学理论的研究范畴中,不仅包含文学文本、艺术表现等理论问题,与此同时,社会历史、现实生活、文化现象等问题也被囊括其中。洛特曼的研究目的就是通过对各种功能的关联系统的研究进而揭示某一功能的特征。因此说,洛特曼的"文化文本转向"其实就是由语言环境的分析转向了文化语境的分析。综观西方主要的文本理论家,他们对文本理论思想的研究大多不超过3、5年时间,而洛特曼毕生从事文本理论的探索与研究,其研究兴趣极其广泛,吸收了结构语言学、俄国形式主义、结构主义、解构主义、马克思主义、精神分析学、后现代主义等理论的合理内核并融系统论、控制论、信息论、生物学、数学、拓扑学、文艺学、美学、文化学、历史学、社会学为一体。洛特曼指出,"文本"不仅指用自然语言写成的文字作品,可以说,任何一个被赋予完整意义的客体都可以称为文本。例如,一幅绘画、一部戏剧、一种仪式、一个符号、甚至一个口头传达都可以称为文本。文化本身也是一个文本,整个世界也可以看成一个文本。从文学文本扩展到文化文本,体现了洛特曼深厚的学识和创造性的思考。更多还原

【Abstract】 From the beginning of 1960s,Lotman’s poetics theory had gone through rather a long progress,which can be clearly reflected by his essays and works at different stages.But text was always the core of his consideration.Early Lotman introduced in biological theory and information science to his textual research.He tried to figure out what kind of vitality the artistic text preserve as living organism,since vitality is their most unique function.The answer is vitality of the artistic text show itself in how its language contains a great amount of information within limited length,and enable the artistic text to be an endless source of information.Such is the appeal of artistic text which no other type of texts can parallel.^[1]Try to compare short stories by Chekhov and a psychological textbook:A 200-thousand-wordtextbook of any subject can only conveylimited information within a specific scope and time,even the most classic textbookwill be replaced bynew ones.While an excellent short story,such as those by Chekhov’and Gogol,can provide endless information to readers within several thousand words.Its artistic charm survives the time,and its unique aesthetic value can never be replaced!Information is namely meaning,the more information a book contains,the richerits meaning is,and the higher its aesthetic value is,and vice versa.Therefore,beauty is exactly the information.^[2]Lotman always considers the text as a structure,and bases his theories on structuralism,regardless of his early literary text theoryand next cultural text theory.He believes the artistic text is a hierarchical system in which one certain element can be meaningful only in connection with others.The amount of information contained in the overall artistic text is far greater than the total sum of elements at each levels.To this end,Lotman focuses on the relationship between the text and outer text structures,and then explores the construction process of the whole literary works.He points out that research on any one text should be done in a certain background,art can be better understood by readers in the comparison with the non artistic phenomenon.The main source of the aesthetic value of the artistic text lies in its connection with the external text.Once removed,the text will be meaningless.Here the external text refers to the social and cultural context of the literary works,namely,political,economic,religious,cultural,and other factors."Lotman’s research involves analysis of the internal structure of literary texts as well as the external relations between text and society,that is,the cultural environment.He has taken a solid step to fill the gap between the internal and external researches in literature and art by avoiding the drawback of individual study,linking both the internal mechanisms of literature and external objective reality,making it into theory.This is indeed a Copernicus revolutionary in literature research."^[3]The reconstruction of new literary theories and methods has aroused widespread concern in the field of international literature and SemioticsIn practicing his theory of literary texts,Lotman mainly employs the research methods of structural linguistics.language is divided intothe first and second mode system.The formerrefers to natural language and artificial language including the language of science andconventional signal;the latter refers to the communication symbol system which base on natural language but more complex than it.Art belongs to the second mode system.Lotman pointed out that art language itself is as important as the information it conveys,since language elements such as phonetics and rhymes also carry independence aesthetic information.To prove this,he puts forward"aesthetics of opposites"and"the same aesthetic”theory,and uses the principle of"aesthetics of opposites"to analyze the meaning and structure of poetic texts,then points out that the poetictext is the generator of meanings.In addition,Lotman lays great importance to the initiative of the text.He believes that the text is not a passive container,but a generator.The text itself does not reflect the meaning,but generates the meaning.However,the generative process involves not only the extension of the structure,but also the interaction of various structures to a large extent.Text is home of symbols,where different languages interact with each other,penetrate,and carry out multi-level combination,which gives the text a huge potential for semantic proliferation.Readers receive different information from the text owing to their different focus.Therefore,text is always richer than languageWith the development and maturity of Lotman’s academic thoughts,his theory of text poetics has been enriched and developed too.Later,the concept of text developed from the early meaning oriented to the function oriented.Lotman defines the text as"the text is the carrier of complete meaning and function which confirms text as the key element of culture."^[4]In addition,Lotman pointed out that the text has the function of transmitting,generating and memory information.Theinformation transmitting function means the sender delivers information to the recipient.In this process,due to the differences in their cultural backgroundand personality factors of the recipient,text encoding and decoding of the reader is not exactly the same,thus information proliferation is inevitable.Theinformation generating function refers to the text is composed of a variety of language,and dialogue andgamesare carried out between different sub-structures within the system,whose complex relations between each other constitute the mechanism of information generating.Thetext memory function refers to the ability of the text to accumulate information and preserve the historical and cultural context.It can be seen that the cultural definition of information can enlighten us to regard the whole historical and cultural phenomenon as an open text,so as to make a research by means of semiotics.Obviously,compared with the previous period,Lotman’s theory has been greatly enriched and expanded,and the concept of the text turned from the previous meaning orientedinto function oriented.After twentieth Century,the study on literary language has become the most prominent and hot topicin western literary and aesthetic fields.Since 80s,literary critics began to recognize that human history is not just records by language,behind language there is the cultural backgroundclosely related to power discourse and ideology.Therefore,what comes first to a text is culture.If the western literary circle benefited from the"linguistic turn"in the first half of the twentieth Century,then in the late twentieth Century it began to turn"cultural philosophy".While studying structural linguistics,Lotmanhas never stopped his research on semiotics.As early as the end of60s and the beginning of the 70s,Lotman gradually shifted his focus from literary to cultural texts.He tries to grasp the literary phenomenon through exploring the whole cultural context system.His theory of cultural semiotics covers not only the theoretical issues of literary texts and artistic expression,but also issues of social history,real life and cultural phenomena.The purpose of his research is to reveal the features of certain function through the study of the related systems of various functions.Therefore,Lotman’s"cultural turn"is actually a turn from the analysis of language to the analysis of cultural context.A comprehensive survey of the main western text theorists shows most of them conduct their research in no more than 3 or 5 years,while Lotman devoted his life to the exploration and research of text theory.His interest is extremely wide,absorbing the core knowledge of linguistics,Russian formalism,structuralism,deconstruction,the Marx doctrine,psychoanalysis,postmodernism,integrating system theory,control theory,information theory,biology,mathematics,topology,literature and art,aesthetics,culture,history and sociology as a whole.Lotman believes that the"text",of course,not only refers to the workswritten by natural language written works,but also any object endowed with full meanings.For example,a painting,a play,a ritual,a symbol,or even an oral message can be called a text.Culture itself is a text,and the whole world can also be regarded as a text.The shiftfrom literary texts to cultural texts has reflected Lotman’s profound knowledge and creative thinking更多还原