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西比奥克建模系统理论研究
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摘要
国内外学界在用符号学的方法分析复杂多元的人类文化现象时,一般多倾向于从皮尔士和索绪尔两大传统中做出单一选择,通过符号、文本、代码、隐喻等基本概念,采用孤立的视角进行离散式的分析。在这样的操作中,不仅会经常出现重复、矛盾和偏颇之处,而且符号主体的因素也被剥离。已故美国著名学者托马斯·阿尔伯特·西比奥克(Thomas Albert Sebeok)(1920-2001)则通过其独特的“建模系统理论”开创了整体式的研究框架,为符号学研究提供了统一的跨越两大传统的理论体系,并突出强调了主体的动态多元性。
     作为当代最重要的符号学家、语言学家和文化研究大师之一,西比奥克以其杰出的理论建树和实践活动为世界符号学事业的进步做出了巨大贡献,对二十世纪后半叶符号学尤其是生物符号学的发展基础和前进方向有着决定性的影响。他的跨学科符号学思想涉及面极为广泛,其中占据着中心地位的建模系统理论,更是完美体现了辩证的全面性和开放的对话性,早已成为当代国际符号学的重要研究课题。
     本文采用文献法、内省法、历时论述和纵横比较等研究方法,对建模系统理论的基础、流变、特色、内涵与不足等方面进行了批判式的分析和完整性的把握。建模系统理论与以往的符号学理论有本质上的差异,它以主体世界和符号活动为理论根基,以“建模”和“模型”为核心概念,创造性地从生命与认知科学的广义视角来探索复杂的符号现象和意义生成机制,集中体现了西比奥克符号学的反人类中心主义立场和反语言中心主义的多元符号观。本文研究发现:从早期对莫斯科—塔尔图学派的回应,到最终提出作为意义形式的模型观,西比奥克的建模系统理论实际上经历了两个关键的演化阶段;另外,通过纵向对比研究西比奥克的两个阶段建模观,深度剖析模型种类、层级特性这两个建模维度,本文也发现建模系统理论是符号学研究史上对索绪尔与皮尔士两个传统的第一次真正系统性融合与创新超越,成功实现了对符号活动过程中内在与外在两方面的兼顾。
     建模系统理论将意义视为内在模型,意义的生成就是内在模型的运作。在此基础上,结合现代大脑神经认知科学和社会心理学的相关成果,本文得出最终的研究结论:意义的生成是动态的主体性符号活动过程。它包含两个密切关联的方面:意义生成的半自动性,以及主体与模型在意义生成中所体现的深刻的动态互塑效应。以该结论为延伸,本文进一步提出:在文化与人之间存在着一种互塑性协同进化的关系。此外,本文也对建模系统理论在方法论上的特征以及西比奥克的矛盾之处做出了评析,并提出了相应的解决思路和未来的研究方向。
In most academic attempts to adopt a semiotic approach to complex diverse human cultural phenomena, the intelligentsia, both at home and abroad, generally tend to choose discretely from the Peircean and the Saussurean traditions and conduct dispersive analyses from isolated perspectives via such basic concepts as sign, text, code and metaphor. This practice not only leads to the frequent occurrence of repetitions, contradictions and partiality, but also excludes the semiosic Subject. However, the late world-renowned American scholar Thomas Albert Sebeok (1920-2001), with his unique "modeling systems theory", created an integrated research framework and provided semiotics with a united theoretical system that transcends both traditions and particularly accentuates the dynamic pluralism of the Subject.
     One of the most important contemporary semioticians, linguists and masters of cultural studies, Sebeok made enormous contributions to the progress of world semiotics through his distinguished theoretical achievements and practical activities, which have extended a determinative influence on laying the groundwork and pointing out the directions for the development of semiotics, especially biosemiotics, in the second half of the20th century. The scope of Sebeok's trans-disciplinary semiotic thoughts is extraordinarily large, in the center of which lies his Modeling Systems Theory. This theory has perfectly demonstrated a dialectic globality and an open dialogism and has already become a significant subject matter of contemporary international semiotic studies.
     This thesis aims to critically analyze and comprehensively grasp the foundations, transformation, characteristics, contents and drawbacks of Modeling Systems Theory by means of literature review, introspection, diachronic discussions and horizonta-vertical comparisons. Different from previous semiotic theories, Modeling Systems Theory, with Umwelt and semiosis as its theoretical groundwork and "modeling" and "model" as its central concepts, approaches complex semiotic phenomena and the generative mechanism of meaning from an innovative perspective of life science and neurocognition, epitomizing the anti-anthropocentric standpoint of Sebeok's semiotics and its anti-glottocentric pluralistic view of signs. Research findings in this thesis have indicated that Sebeok's Modeling Systems Theory had effectively undergone two critical phases of transformation from the early responses to the Moscow—Tartu School to the eventual proposal of models as the forms of meaning. In addition, through a diachronic contrast between the two developmental phases of the Sebeokian view of modeling, and in-depth analyses of the taxonomy and the dimensionality of modeling, this thesis has also found that Modeling Systems Theory has achieved the first genuine systematic merging and creative transcendence of the Saussurean and the Peircean traditions in the history of semiotic inquiries, successfully actualizing an internal-external semiosic integration.
     Modeling Systems Theory views meaning as an internal model and the generation of the former as the working of the latter. Based on this ground and the latest relevant findings of neurocognitive sciences and social psychology, this thesis has reached a final conclusion that the generation of meaning is a dynamic Subjective process of semiosis. This conclusion consists of two closely interrelated facets: the semi-autonomy of meaning generation and the deep dynamic co-shaping effect between the Subject and its models in meaning generation. Extending this conclusion, this thesis proceeds to argue that there is a relationship of co-shaping coevolution between culture and humans. Furthermore, this thesis has commented on and analyzed the methodological features of Modeling Systems Theory and Sebeok's contradiction and also provided a corresponding solution as well as directions for future research.
引文
1 西比奥克所撰的各类专著、编著与论文将近六百种,各类评介性文章及学术报告多达两百五十多种;其作品被译为几十种语言出版和发表;他曾担任和/或参与的编撰项目多达五十多种。参看Deely(1995), Umiker-Sebeok(2003)。
    2 国际符号学协会(IASS/AIS)成立于1969年,除西比奥克之外,创立者还包括Algirdas Julien Greimas, Roman Jakobson, Julia Kristeva, Emile Benveniste, Andre Martinet, Roland Barthes, Umberto Eco,以及Juri Lotman(未出席)。最近一次IASS的世界符号学大会于2012年10月5日--9日 在中国南京召开。
    1 关于西比奥克在美国符号学协会及其会刊创立中的角色,约翰·迪利(John Deely)在2013年7月14日致本文作者的邮件中突出强调了西比奥克的核心地位,原文引用如下:"Sebeok was THE founder of SSA, its first Executive Director, and several years later of TAJS, though he was never Editor of TAJS. Of course, several people, including myself (I was chair of the Committee that wrote the SSA Constitution) were involved along with Tom, but Tom was the initiating (and guiding) figure."
    2 比如:14卷本的《当代语言学趋势》(Current Trends in Linguistics,1963-1976),数百卷的《符号学前沿》(Advances in Semiotics,1975-2000)和《符号学研究方法》(Approaches to Semiotics,1968-2001),以及《符号学百科辞典》(Encyclopedic Dictionary of Semiotics,1986),《符号学之网》(TheSemiotic Web,1975,1987-1994)系列等等。
    3 在这方面,意大利符号学家Petrilli与Ponzio做了广泛而深入的探讨,尤其凸显了西比奥克理论所具备的符号社会伦理学价值。
    1 详细参看本文作者专题论文:Yu, H.2013. Enter the dragon: Sebeok's Chinese connection [J]. Biosemiotics 6:561-571. DOI 10.1007/s12304-013-9165-9.
    2 参看本文作者专题论文:Yu, H.2013. Enter the Dragon:Sebeok's Chinese Connection [J]. Biosemiotics 6:561-571. DOI 10.1007/s12304-013-9165-9.
    3 见曹今予译自Lingua1961年10:2的文章《符号、意义、上下文》,L. Antal,载于《语言学资料》(现名《当代语言学》),1962年第9期。曹今予也是较早接触符号与意义研究的中国学者之一。
    4 孙学钧译,李先焜校,载于《湖北大学学报(哲学社会科学版)》1989年第5期,第54-59页。英文原文参看Sebeok 1988c。
    1 俞建章、孙珉译,孟庆时校,载于《哲学译丛》1991年第2期,第16---24页。该文章的中文译名与英文原名并不形成完整的直译对应,应该是译者从文章内容角度出发而做的意译。英文原文参看Sebeok 1988e。
    2 王祖望译,载于《国外社会科学》1981年第5期,第61--65页。
    1 Yu, H.2013. Enter the Dragon: Sebeok's Chinese Connection [J]. Biosemiotics 6:561-571. DOI 10.1007/s12304-013-9165-9.
    3 余红兵,2013a,20世纪重要的跨学科符号学家:托马斯·西比奥克,《中国社会科学报》,2013-8-23。
    1 比如仅仅是对西比奥克1976年的《对符号学说的贡献》一书作评的文章就有数篇:Deely,J.1978. What's in a name? [J]. Semiotica 22 (1-2):151-181; Watt, W.C.1978. "Review" of Eco 1976 and Sebeok 1976 [J]. American Anthropologist 80 (3):714-716; Bouissac, P.1979. A compass for Semiotics [J]. Ars Semeiotica Ⅱ(2):205-221.
    2 会议的英文名为" The Sebeok century—homage to the life and work of Thomas A. Sebeok (1920-2001)".
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    3 Danesi, M.2007. Modeling systems theory and the future of semiotics [J]. International Journal of Applied Semiotics 5:3-20.
    4 Danesi, M.1990. Zoosemiotics: Thomas Sebeok fashions a field of scientific inquiry [A]. In T.A. Sebeok (ed.). Essays in Zoosemiotics [C]. Toronto: Toronto Semiotic Circle monograph.7-9; Danesi, M. 2000. The biosemiotic paradigm of Thomas A. Sebeok [A]. In E. Tarasti (ed.). Commentationes in honorem Thomas A. Sebeok octogenarii A. D. MM editae [C]. Imatra: International Semiotics Institute. 5-29; Danesi, M.2001. Hediger through Sebeok: An introduction to the biosemiotics paradigm [A]. In T. A. Sebeok (ed.). The Swiss Pioneer in Nonverbal Communication Studies: Heini Hediger (1908-1992) [C]. New York: Legas.7-13; Danesi, M.2004. Thomas A. Sebeok [J]. Language-Journal of the Linguistic Society of America 80(2):312-317.
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    2 Birnbaum, H.1990. Semiotic modeling systems, primary and secondary [J]. Language Sciences 12(1):53-63.伯恩堡本人也是著名的斯拉夫专家,专门研究斯拉夫文化和斯拉夫语。
    3 Jules-Rosette, B.1993. Semiotic modeling systems:The contribution of Thomas A. Sebeok [J]. Semiotica 96/3-4:269-284.
    1 Grzybek, P.1994. The concept of "model" in Soviet Semiotics [J]. Russian Literature XXXVI:285-300.
    2 Stokoe, W.C.2000. Models, signs, and universal rules [J]. Sign Language Studies 1(1):10-16.
    3 Augustyn, P.2012. On Semiotics in language education [J]. Semiotica 192:523-533.
    1 关于icon, index和symbol以及相应的iconicity, indexicality和sybolicity的翻译问题,本文作者基本倾向于丁尔苏先生所采用的译法。icon与iconicity在此不译为“图像符号”和“图像性”,而是译为“象似符号”和“象似性”(丁译为像似符号和像似性)。index与indexicality译为“指
    1 关于乌克斯库尔的详细生平细节和其他理论贡献,可参看Kull和Ruting各自的介绍:Kull, K. 2001a. Jakob von Uexkull: An introduction [J]. Semiotica 134-1/4:1-59; Ruting, T.2004. History and significance of Jakob von Uexkull and of his institute in Hamburg [J]. Sign Systems Studies 32.1/2:35-72.
    1 The Structural Classification of Signs.后以Six speices of signs: Some propositions and strictures的题名发表在Semiotica(Sebeok 1975a:233-260),即《对符号学的贡献》一书中的同名文章(Sebeok 1976:117-142).
    2后以Structural-Typological Study of Semiotic Modeling Systems的题名收录在Lucid, D. P. (ed.). 1977. Semiotics: An Anthology [C]. Baltimore: The Johns Hopkins University Press.47-58。关于莫斯科—塔尔图学派的模拟系统概念的历史由来,参看http://www.ut.ee/SOSE/conference/summer school/about/history.html (accessed 26/12/2013)
    3 司联合将modeling译为“制模”,2003:56-61。
    4 王铭玉(2004:171-172),赵爱国(2012:97-104)将莫斯科—塔尔图学派的modeling system译为“模式系统”和“模式化系统”。
    1 关于生物符号学,西比奥克直接采用了符号学家克拉姆彭的分类法,参看Krampen 1981,1986。
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    1 皮尔士(Peirce)在国内的另外一种常用译法。实际上,Peirce的正确读音为[p(?):s],并非[pies]按照音译应该是“颇尔斯”或者“颇斯”之类。
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