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21/02/2008

论作者策略/巴赞

转自http://tark.yo2.cn/articles/论作者策略.html
 
原文:巴赞  翻译:Tarkberg
歌德?莎士比亚?所有属有他们名字的东西都被认为是好的,人们绞尽脑汁想从他们所创造的最为愚蠢的东西中看出一点美来。所有像歌德、莎士比亚、贝多芬、米开朗琪罗一类的伟大天才,他们不仅创作美丽的东西,而且也创作平庸,甚至更遭的东西。(托尔斯泰,《日记》,1895-99)
我业已意识到我所要说的将面对来自各方面的责难。《电影手册》被认为是“作者策略”的始作俑者。虽然并不是所有《电影手册》的文章都遵循这个理念,但近两年来的大多数文章的确是以此为基础的。提出一两个零星的反证,声称这本杂志只有一堆平淡无味的影评,这种做法是没有用的,甚至是虚伪的。
但是,我们的读者也一定已经意识到,《电影手册》的批评家们并不是一致赞同这个批评的立场——不管是内含的还是显见的——至少,他们所赞同的程度是不同的。然而,事实是,那些拥戴作者策略的评论家们总是能够胜出。埃里克•侯麦1在手册第63期的读者回信中说道:当我们对一部电影的评价有分歧时,我们总是让那个对它评价最高的人来写影评。1于是,不管这种信仰是对的还是错的,那些作者策略的忠实信仰者最终总能说尽那部电影的精华之处,因为他们总能从他们钟爱的导演所创作的作品中看到那些一致的、特殊的品质。于是,对于手册来说,希区柯克2、雷诺阿3、罗西里尼4、朗5、霍克斯6和尼古拉斯•雷7从来都是完美的,他们从来都不创作一部坏电影。
我不希望我从一开始就被误解。我努力试图把自己和我那些坚信作者策略的同事区分开来,但这并不意味着我不同意这本杂志的的大致方针。虽然我们对一些电影和导演的看法有所不同,但我们的共同爱好和厌恶是如此的众多和强烈,它们把我们紧紧的联系在了一起;虽然关于作者在电影中的所扮演的角色这一问题,我和弗朗索瓦•特吕弗8及埃里克•侯麦的确有所冲突,但这也不意味着我不相信作者理论在某种程度上的有效性。对于他们所谓的烂片,我总是犹豫再三再给出自己的结论;我经常我能从那些片子中找到可取之处——我之所以这么做,是因为我相信,作品是超越作者的(他们并不同意这个观点,他们认为这是一个重要的分歧)。换句话说,我们唯一的分歧在于作品和导演到底是种什么关系。我从来没有后悔过,虽然我的同事力挺某一某一导演,我却胆敢从中挑刺。最后,我想申明的是,虽然对作者策略的信仰使它的支持者们犯了一系列错误,但总的来说,它的结果足以使它的拥护者们面对它的批评者而面不改色。如果出现对他们的攻击,我必定会马上站在他们的阵线上。
在这个范围里面,我和他们的争论只是家庭内部纠纷,对我来说,我要解决并不是理论的错译,而是“意义上的细微差别”。我从我的朋友让•杜马其(Jean Domarchi)一篇关于文森特•明奈利(Vincente Minnelli)9的凡•高的传记片《渴望生活》说起。他对此片的赞赏是相当机智而又冷静的,但是,我认为,这片文章并不应该发表在这本杂志中,因为仅仅在一个月之前,埃里克•侯麦于此发表了了一篇对约翰•休斯顿(John Huston)10大肆攻击的文章。对前者的大加赞赏和对后者的严厉批评形成了鲜明的对比,而只能说明明奈利是杜马其最喜欢的导演之一,而休斯顿不是一个电影作者。在某种程度上,这种偏见是好的,因为它能使我们同时看到美国文化的某些侧面,以及文森特•明奈利的个人天才。但是,如果我向杜马其指出,正是《渴望生活》的开拍使《法国康康舞》的导演雷诺阿被迫放弃他的凡•高计划,也许杜马其就会支支吾吾,陷入矛盾之中了。难道杜马其会认为雷诺阿的凡•高不会比明奈利的为作者策略带来更多的名气吗?需要的是一个画家的儿子,而不是一个拍摄芭蕾舞的导演!
不管怎么样,这个例子只是一个借口。很多时候,当我看到一篇影评试图把一部具有明显目的和想法的电影说成一部B级片时,我只能对这种论断的天真感到尴尬。
当然,当你认为电影导演和他的作品实为一体时,就不可能再有差的作品了,因为那些最差的作品也是它的创造者的镜像。让我们看看事实到底如何吧。为了做到这个,我们必须从头开始。
无庸置疑,运用在电影理论上的作者策略只是在其它艺术领域中早已广泛接受的一个概念。弗朗索瓦•特吕弗喜欢引用季洛杜(Giraudoux)的一句名言:“没有作品,只有作者。”——这句具有挑衅性的格言对我来说并没有很大意义。你可以从考试卷中轻松地找到与之相反的论断。一如拉•罗什福科(La Rochefoucauld)和湘佛(Chamfort)的格言警句,这两种极端的说法都是有其错误之处的。而对埃里克•侯麦而言,他似乎相信在艺术中,最后留下的是作家,而不是作品;电影协会的各种项目支持了这一观点。
但是,我们必须注意到侯麦的观点远没有季洛杜的绝对,因为就算作者名垂史册,那也不必然是因为他的所有作品。缺少证据证明相反的观点的正确性。也许伏尔泰的名字比他的辞典更重要,但是现在看来,他被人们铭记的并不是他的《哲学辞典》,而是他伏尔泰式的幽默和他思考与写作的一种风格。然而,今天,我们从何处去找这些例证呢?从他浩瀚的戏剧作品中?还是从他少量的短篇小说中?那么博马舍(Beaumarchais)呢?我们会从《有罪的母亲》中找吗?
那个时代的作家充分地意识到自己价值的相对性,他们自愿地放弃他们作品的所有权,有时甚至不介意自己成为讽刺家们讽刺的对象,他们把这种讽刺看作是赞扬。对于他们来说,作品是唯一重要的东西,而直到18世纪,直到博马舍的那个年代,作者的概念才最终合法的形成,具有了它的荣誉、责任和职责。当然,我并不否认历史和社会的偶然性的作用;有时,政治和道德的审查使匿名成为必然。法国抵抗运动中的匿名写作并没有使作者的尊严和责任受到损害。直到19世纪,抄袭和剽窃才被认为是一种专业的犯罪,触犯者将得到法律的惩罚。
绘画也一样。虽然今日所有那些古老的画作都根据签画在其上的人名来定价,曾经作品本身的客观品质才是判断一副画价值的标准。许多古旧的画作都无从判断它的真假,这就是一个证据。从画室里生产出来的也许是一个学徒的作品,但我们今天早已无法辨认其真假。如果我们来到更加久远的年代,我们将发现那些匿名的作品,这些作品甚至可以说不是一个艺术家的产物,而是艺术本身的产物,不是一个人的产物,而是一个社会的产物。
我已经意识到我会被反驳。我们不能无视于我们的无知,或让它迁就现实。事实上,所有这些艺术作品,从断臂维纳斯到非洲人远古人所制造的面具,都有一个作者;现代历史科学也都竭尽全力希图为这些艺术作品找到一个作者。但是难道说我们只有等到那些博学的研究者解决了这些问题后才能欣赏这些作品吗?传记批评只是众多批评形式中的一种——而人们仍然在争论莎士比亚和莫里哀的真实身份。
但是人们会说,这只是问题的一面而已,只能说明那些作者的身份并不是完全无谓的。西方艺术向个人化的发展绝对应被视为一种进步,一种文化的精细化,但是这只意味着个人化是艺术的最后完形,它无法也并不定义一种文化。我们必须铭记我们在学校中所学到的一个常识:个人能超越社会,但是社会也在他其中。因此,如果我们不首先考虑社会的决定因素,历史条件与语境,技术背景等对个人有决定性影响的条件,我们是无法对一个所谓的天才做出合理的批评的。这就是一个匿名作品并不影响我们对它的赏析的原因。不管怎样,艺术批评必须重视它所涉及的特殊艺术种类,所被采用的风格和社会语境。非洲人远古人的艺术并不会因为没有作者还不被欣赏——虽然我们对生产它的社会所知甚少相当地可惜。
但是《擒凶记》、《欧洲51年》和《才气盖天》都是和毕加索、马蒂斯和森吉也的画作同一时代的作品!那么我们必须把它们看作是和那些画作同一个程度的个人化的表现吗?我个人认为并不尽然。
电影,作为一种艺术,是大众的和工业的,这又是另外一个常识。这些电影存在所必要的条件并不是限制它发展的因素——和建筑艺术一样——它们只是一些正面的和反面的条件,一个电影工作者必须巧妙地利用或者规避它们。对于作者策略的支持者所欣赏的美国电影来说,这更是一个事实。使好莱坞胜出的原因并不仅仅是它拥有很多优秀的导演,而是因为它拥有一个充满活力的传统。好莱坞的优越性并不源于技术层面;如果说好莱坞的优越来自于那些天才的电影导演,那么这些导演就必须被分析,并从分析生产的角度,以社会学的视野重新定义他们。美国电影出色地表现了美国社会,也表现了其自身;它并不是被动地去做这些,它并不是简单地提供满足和逃避,而是充满活力地参与到对美国社会的建构之中。美国电影是自觉自发的,也因此必须得到人们的赞扬。虽然它是资本主义和原始进争力的产物——因此自有其缺陷之处——它仍然无愧为最为真实和现实的电影,因为它敢于描绘那个社会,甚至是它的丑陋之处。杜马其自己已经对这点做了富有洞见的分析,4因此,我不必在这里越俎代抱了。
事实上,就算是那些最为个人化的艺术种类来说,一个天才也不意味着他是自由和我行我素的。天才难道不就是某些与生俱来的个人智慧和特定历史条件的结合物吗?天才就是氢弹。铀的裂变导致了氢的混合。一个天才的并不完全是一个个人的裂变,除非这种裂变反射了在它周围的艺术。这就是兰波生命的矛盾所在。他诗歌的天才突然消失了,作为冒险者的兰波渐行渐远,虽然仍在发光发热,却必然地走向了灭亡。兰波也许并没有改变。曾经将所有文学都点燃的烈炎已经燃尽。伟大艺术的的生命总是比一个人的生命短得多。文学的进步是以世纪为单位来衡量的。天才预示着他嗣后所要发生的一切。但这是一个辨证的真理,因为我们也可以说每一个时代都需要它自己的天才,只有有了天才,这个时代才能定义、批判和超越其自身。因此,当伏尔泰认为自己是拉辛的传人时,他只是一个糟糕的戏剧作家,而当他把寓言作为表述思想的工具时,他则变为了一个天才的小说家,并震撼了整个18世纪。
就算不用艺术社会学,作者的这种性质也可以明了地由创作心理学来解释。《巴黎圣母院》比《悲惨世界》差,《萨朗波》也根本无法和《包法利夫人》相提并论。对这些例子诡辩是没有意义的,每个人的口味毕竟不同。人们当然可以区分一个天才和一个只是不会犯错的人。但是,正如萨特指出的,上帝并不是一个艺术家。如果上帝在所有的心理可能性中,挑出那个源源不断的灵感,给予那个具有创造力的人,并让这个人去参与电影创作,此人将遇到的困难和阻力将比从事画画和文学多一千倍。
从反方面来说,一个平庸的导演为什么不能有一时的惊人之作呢?而这些惊人之作往往是个人才能和环境之间暂时的稳定关系所造就的,因此这些短暂易逝的灵光一现并不是个人天才的展现;然而,他们并不弱于其他人——如果那些批评家不看签在画作底部的签名的话。
这些对文学来说是事实的,对电影来说更是事实,因为电影,作为最近才成长起来的艺术,把其他艺术门类的所有特征都集合起来了。仅仅在50年间,电影从一种原始的对景观的呈现(原始但不低级)发展为和戏剧、小说同等重要的、涵盖面同等广泛的艺术门类。也是在这个短短的几十年里,电影技术的发展经历了所有其它传统艺术从来没有经历过的革命(也许除了建筑,因为它也是一种工业艺术)。在这种情况下,如果一个天才以十倍以上的速度迅速消失,一个保持本来水准的导演不再引领风潮,那并不是件令人惊奇的事。施特罗海姆、阿贝尔•冈斯和奥逊•威尔斯正是如此。现在,我们已经拥有足够的时间段来发现电影史上的一个奇特现象:一个导演在他的有生之年里,会被当作下一个浪潮的攻击对象。阿贝尔•冈斯和施特罗海姆便遭受了如此命运,虽然他们的现代性已日益被人们所注意。我充分意识到这只能证明他们都是作者,但是他们所受到的不幸命运并不能由资本主义或者制片人的愚蠢完全解释。但是,只要一个人有足够的想象力,想象如果拉辛能够活到120岁,在18世纪仍然创作着拉辛式的戏剧,那么他的戏剧会比伏尔泰的好吗?回答无疑是肯定的。
卓别林、雷诺阿、克莱尔也不外乎如此。但是,他们所具有的是一种和天才并不相关的能力,这种能力使他们能够总是走在电影浪潮的最前面。当然,卓别林是独一无二的,因为他身兼作者和制片人二职,从而使他既代表了电影,又代表了电影的发展。
于是,根据最基本的创作心理学,即在电影艺术中,天才的客观因素比在其他艺术领域中更容易多变,导演和电影之间的关系会发生突然的变化,这就会影响他电影的质量。当然,《密谋》无疑是部优秀的电影,但它的精华之处同样能从《公民凯恩》中找到。然而,《公民凯恩》开创了美国电影的另一个时代,而《密谋》只能属于二流电影。
但是,让我们对这个结论暂时持保留态度——我想这样会使我们更加接近问题的中心。我想作者策略的支持者们不仅会拒绝承认《密谋》次于《公民凯恩》,而且他们会热情地提出相反的观点。因为《密谋》是威尔斯的第六部电影,那么,某种程度的进步一定发生了。1953年的威尔斯不仅比1941年的他对自身和艺术有更多的了解,而且,不管他在好莱坞有多大的自由,《公民凯恩》只是一个RKO的制作而已。如果没有那些一流的技术人员和他们先进的技术设施的帮助,《公民凯恩》根本无法问世。比方说,如果没有格莱格•托兰德(Gregg Toland),这部电影永远不会像现在一样。而《密谋》则完全是威尔斯的个人作品。正因为它更为个人,而威尔斯的人格也随着他的年老而发展,《密谋》可以被认为是一部更为优秀的电影。
对于这个问题,我只能在一点上认同我那些年轻的同事,即年老并不会摧毁一个导演的创作能力,而一个年轻或者成熟导演的作品不见得总是比一个年老导演的作品来得好。据说《凡尔杜先生》比《淘金记》差;人们在批评《河流》和《黄金马车》,认为它们根本无法和《游戏规则》相比。对此,埃里克•侯麦相当精彩地回答道:“艺术的历史并没有告诉我们,一个真正的天才会随着他的衰老而创作力减退;我们必须从那些表面看私糟糕和枯燥的作品中,寻找那种希望达到简洁的欲望,这种欲望往往是一个艺术家‘最后的态度’,从提香、伦勃郎到马蒂斯、波讷尔,从贝多芬到斯特拉文斯基莫不如此。。。。。。”(《电影手册》第八期,《美国式雷诺阿》)。如果其他的艺术家能够免受年老的歧视,为什么电影导演不能呢?当然存在着老迷糊的特例,但这种现象比我们想象的要少得多。当波德莱尔全身瘫痪而只能言说他的名字时,难道他就不是波德莱尔了吗?罗伯特•马莱告诉我们,当乔伊斯的法文译者瓦莱里•拉尔博花了整整二十年与瘫痪做斗争后,他终于能够用20个简单的单词来表述自己了。就算只有这20个单词,他仍然能够做出一些相当具有洞见的文学评论。一个伟大的天才只会成熟而不会苍老。这个对其他艺术门类来说可行的心理法则同样适用于电影。那些以一个艺术家的年轻与否作为判断标准的批评是不堪一击的。甚至相反的观点才是正确的:当我们发现某种退步时,这很有可能是因为我们自己的判断失误,因为灵感的突然消失并不是一个多见的现象。从这个角度看,作者策略是正确的,我也会坚定地站在他们的一边,和他们一起与那些天真,甚至是愚蠢的偏见斗争到底。
但是,请永远记住,有些无可置疑的“天才”的确会退步或者丧失他们曾经的能量。我想我以上所说的可以证明这些。这并不是因为那个天才的衰老,而是由于电影本身:那些无法跟随电影发展脚步的人会最终被电影抛弃。因此,那些最终将导致灾难的失败并不必然意味着昨日的天才如今业已沦为平庸。这只是一个创作者的主观灵感和电影的客观情况之间的冲突,而作者策略的推崇者正是忽略了这点。对于那些认为《密谋》优于《公民凯恩》的人来说,他们只是从中看到了威尔斯。换句话说,他们只是认为作者+主题=作品就是作者,这样做的矛盾在于,主题成为了空洞乌有之物。他们中的有一些人会假装着同意我,只要考虑到作者,那么其他的所有都是相等的,一个好的主题自然比一个坏的主题好,但是,他们中的那些更为愚蠢的人会说他们更喜欢小制作的B级片,正因为主题的无聊陈腐使得作者有了更大的创作空间。
当然,他们会以“作者”的概念挑战我。我承认上述的公式是人为的,但是,我们在学校中所学到的形式和内容的区别不就是人为的吗?想从作者策略中受益的人首先必须证明自己无愧于这个名称,这个批评理论假设他们可以把“作者”和“导演”区分开来:尼古拉斯•雷是个作者,而休斯敦只是一个导演;布列松11和罗塞里尼是作者,而克雷芒只是一个伟大的导演等等。所以,作者的概念并不和作者/主题的区分相兼容,因为证明一个导演是否有资格成为一个作者永远比判断他是否很好地利用了他的资源来得重要。至少,从某种程度上说,作者自己就是他的主题;不管是什么故事,他总是讲述着同一个故事,而如果“故事”这个词会引起歧异的话,就让我们说他的态度总是统一的,他对人物和人物行为的道德判断总是一致的。雅克•里维特说作者就是用第一人称叙述的人。这个定义很好;让我们采用它。
简单的说,作者策略试图从艺术创作物中找出那些个人的因素,以它们为参照物,并假设它们会随着作品的生产发展和进步。当然存在着不符合这种理念的优质电影,但它们仍然会被认为是和那些具有特殊作者印记的作品相比而言比较差的电影。
我的目的并不在于否认这个策略的正面价值和它的方法论。首先,将电影看作成熟的艺术,并反对那些仍然统治着绝大多数影评的印象式相对主义是非常重要的。我承认,当一个批评者从每一部新电影的角度来重新判断一个导演时,他总是会受制于某种公开或者隐含的前提偏见。我也愿意承认,只要批评者是个人,他就无法避免这些,他会在批评之前把自己的感觉,不管是好与坏的,作为论述的起点。这当然是无法避免的也是应该的,但只有当这种第一印象被维持在适当的位置时才是这样。我们当然应该考虑这些印象,但我们不应该把它作为论述的基础。换句话说,所有批评都必须用一系列的价值角度来判断那部电影,但这个角度不能只是知性;一个判断的确定性往往来源于对一部电影的整体印象。我想至少有两种错误的批评,(a)把所有批评准绳都应用在一部电影上,(b)认为表达评论者的喜爱或者厌恶就足够了。第一种做法否认了趣味的作用,第二种则把批评者的个人好毋凌驾于作者之上。过于冷酷。。。。。。或者过于个人偏见!
我喜欢作者策略,正因为它在反对印象主义式的批评的同时保留了它的可取之处。事实上,它所倡导的价值观点并不是意识形态的。它以趣味和感性作为欣赏的出发点:它透过主题的好坏和技术的优差,直击那个躲在风格背后的人。但是,当这种批评做出了这种区分后,它便是有问题的了,因为它从一开始就假设,如果这部电影是由一个作者创作的话,那么它自然就是一部好电影。于是,衡量这部电影的准绳就是作者之前的电影。如果这个导演的确无愧于作者称号的话,那么这样做并不会有太大失误,因为信任一个艺术天才的能力总是比信任自己的批评鉴赏能力来得可靠。正是在这里,作者策略和“以美丽为依据的批评”同流合污了;换句话说,当人们面对一个天才时,设想一个艺术作品中的缺点只是人们无法发现的美丽而已。然而,正如我所指出的,这个方法甚至在文学等传统艺术门类的批评中也有其自身的限制,何况无数社会的和历史的因素都介入到了电影之中。当作者策略的执行者拥戴B级片时,他们正是无视于电影对这些因素的依靠。
我的另一个观点是,作者策略是相当难以成型的。手册中的最为优秀的批评家已经使用它多达三四年了,但是整个理论体系并没有成型。我们并不会忘记里维特对霍克斯的赞赏:“证明霍克斯是个天才的证据就在银幕上:只有看看《妙药春情》就知道它是一部怎样优秀的影片。但是有些人拒绝不承认这点;他们拒绝接受证据。他们没有任何理由拒绝它。。。。。。”你已经看到某种潜在的危险:一种审美的个人崇拜。
当然,这并不是最重要的,只要作者策略的拥护者是那些拥有良好品位的人。但是我认为它的负面影响是严重的。如果一部电影没有得到它应得的赞赏,是一定是不幸的,但这比不上诋毁一部优秀的影片,而原因只是它的导演被假设为不可能拍出这么好的作品来。的确,作者策略发现和鼓励那些初露头角的天才。但是他们也总是歧视那些出自一般导演之手的作品,有的时候,那些电影无疑是优秀的,但他们对它的反应只能是厌恶。明奈利的《渴望生活》是以美国大众文化为基础的,但是美国的喜剧、西部片和犯罪片则以另一种更为自觉自发的文化为基础。这种文化的影响无疑是有益的,它给予这些类型片以活力和丰满,使它们成为一种和大众谐调的艺术演化过程。人们可以从《电影手册》中读到一篇评论安东尼•曼的西部片的文章(我是如此的喜欢他的西部片!),但是对于这篇文章来说,这部电影仿佛并不是首先是一部西部片,它没有对剧本、表演和导演的任何套路做出任何评论。我知道对于一篇发表于电影杂志的文章来说,它有理由忽视这些平淡的细节;但是它们至少应该得到暗示,而不是完全无视,好象它们的存在是如此的荒谬而不值一提。不管怎么样,就算一部西部片像一个鸡蛋一样圆滑,他们也会贬低它,只要它的导演并不是一个作者。那么,如果福特的艺术不是简单地将人物和环境上升到完美的高度,《关山飞渡》难道还会是一部超级经典的西部片吗;作为审查委员会的一员,我看到过一些更为精彩的西部片,虽然它们是那么的默默无名,但是也精彩地运用了这个类型片的必要因素,并从头到尾地尊敬它的风格。
矛盾的是,作者策略的支持者们赞赏美国电影,而美国电影的生产限制比世界的其他地方都严格的多。当然,在这个国家,导演们会得到最佳的技术支持。但是第二个事实并不能消除第一个事实。然而,我必须承认好莱坞的自由比它自己所说的多得多,但是,我认为这种自由来自于把类型片作为运行的基础的传统。美国电影当然是经典电影,但是为什么不去赞赏它最值得赞赏的东西呢?那并不是这个或那个导演的天才,而是这个体系的先进,永远充满活力的传统和不畏接触新事物的勇气——如果需要证据的话,那可以由《花都艳舞》、《七年之痒》和《巴士站》等影片证明。洛根被指称为一个作者,至少是一个初露头角的作者,无疑是件幸运的事。但是,当《野宴》和《巴士站》等到正面评价时,我并不认为那些评价是切中要害的,比方说,那些评论并没有指出,在这两个影片中,社会真实虽然并不是最终的目的,但却恰当好处地和影片叙述的风格融合在了一起,就像战前的美国融合入美国的喜剧一样。
我的结论是:对我来说,作者策略证明了一个重要的真理,即电影需要的比其它艺术门类所需的多得多,而这正是因为对于电影来说,一种真实的艺术创作行动与其他的艺术相比更为不确定和脆弱。但是,如果把作者策略推到极至则将导致另一种错误:仅仅为了表扬一个作者而否认一些影片。我已经试着去证明,为什么一个平庸的作者有时能拍摄出惊人的电影来,而那些天才却会一不小心堕入平庸。我认为作者策略是一种有用有的确富有成效的批评方法,但它必须和其他的方法相结合,只能这样,我们才能把电影当作一种艺术来合理对待。这并不意味着否认作者的作用,而是还作者以他的前提和条件,因为如果没有这些前提条件,他只是一个空洞的概念而已。作者,当然,但是他是怎样形成的?
18/02/2008

中国电影史参考片目

 

吴永刚《神女》

袁牧之《马路天使》

君里、蔡楚生《一江春水向东流》

费穆《小城之春》

沈浮《万家灯火》

君里《乌鸦与麻雀》

水华《林家铺子》

凌子风《红旗谱》

谢晋《红色娘子军》《芙蓉镇》

李俊《农奴》

张暖忻《青春祭》

陈凯歌《黄土地》《霸王别姬》

张艺谋《红高粱》《秋菊打官司》

田壮壮《猎场扎撒》《蓝风筝》

黄建新《黑炮事件》

何平《双旗镇刀客》

姜文《阳光灿烂的日子》

贾樟柯《小武》

王小帅《冬春的日子》

张元《北京杂种》

宁瀛《民警故事》《无穷动》

侯孝贤《童年往事》《悲情城市》《戏梦人生》

杨德昌《牯岭街少年杀人事件》《一一》

蔡明亮《爱情万岁》

李安《饮食男女》

胡金铨《侠女》

吴宇森《英雄本色》

王家卫《重庆森林》彭浩翔《买凶拍人》

14/02/2008

what is an author/Michel Foucault

what is an author?

Michel Foucault

The coming into being of the notion of "author" constitutes the privileged moment of individualization in the history of ideas, knowledge, literature, philosophy, and the sciences. Even today, when we reconstruct the history of a concept, literary genre, or school of philosophy, such categories seem relatively weak, secondary, and super­imposed scansions in comparison with the solid and fundamental unit of the author and the work.

I shall not offer here a sociohistorical analysis of the author's persona. Certainly, it would be worth examining how the author became individualized in a culture like ours, what status he has been given, at what moment studies of authenticity and attribution began, in what kind of system of valorization the author was involved, at what point we began to recount the lives of authors rather than of heroes, and how this fundamental category of "the-man-and-his-work criticism" began. For the moment, however, I want to deal solely with the relationship between text and author and with the manner in which the text points to this figure that, at least in appearance; is outside it and antecedes it.

Beckett nicely formulates the theme with which I would like to begin: "What does it matter who is speaking;' someone said; 'what does it matter who is speaking.'" In this indifference appears one of the fundamental ethical principles of contemporary writing [écriture].

I say "ethical" because this indifference is really not a trait characterizing the manner in which one speaks and writes but, rather, a kind of immanent rule, taken up over and over again, never fully applied, not designating writing as something completed, but dominating it as a practice. Since it is too familiar to require a lengthy analysis, this immanent rule can be adequately illustrated here by tracing two of its major themes.

First of all, we can say that today's writing has freed itself from the theme of expression. Referring only to itself; but without being restricted to the confines of its interiority, writing is identified with its own unfolded exteriority. This means that it is an interplay of signs arranged less according to its signified content than according to the very nature of the signifier. Writing unfolds like a game [jeu] that invariably goes beyond its own rules and transgresses its limits. In writing, the point is not to manifest or exalt the act of writing, nor is it to pin a subject within language; it is, rather, a question of creating a space into which the writing subject constantly disappears.

The second theme, writing's relationship with death, is even more familiar. This link subverts an old tradition exemplified by the Greek epic, which was intended to perpetuate the immortality of the hero: if he was willing to die young, it was so that his life, consecrated and magnified by death, might pass into immortality; the narrative then redeemed this accepted death. In another way, the motivation, as well as the theme and the pretext of Arabian narratives – such as The Thousand and One Nights – was also the eluding of death: one spoke, telling stories into the early morning, in order to forestall death, to postpone the day of reckoning that would silence the narrator. Scheherazade's narrative is an effort, renewed each night, to keep death outside the circle of life.

Our culture has metamorphosed this idea of narrative, or writing, as something designed to ward off death. Writing has become linked to sacrifice, even to the sacrifice of life: it is now a voluntary effacement that does not need to be represented in books, since it is brought about in the writer's very existence. The work, which once had the duty of providing immortality, now possesses the right to kill, to be its author's murderer, as in the cases of Flaubert, Proust, and Kafka. That is not all, however: this relationship between writing and death is also manifested in the effacement of the writing subject's individual characteristics. Using all the contrivances that he sets up between himself and what he writes, the writing subject cancels out the signs of his particular individuality. As a result, the mark of the writer is reduced to nothing more than the singularity of his absence; he must assume the role of the dead man in the game of writing.

None of this is recent; criticism and philosophy took note of the disappearance – or death - of the author some time ago. But the consequences of their discovery of it have not been sufficiently examined, nor has its import been accurately measured. A certain number of notions that are intended to replace the privileged position of the author actually seem to preserve that privilege and suppress the real meaning of his disappearance. I shall examine two of these notions, both of great importance today.

The first is the idea of the work [oeuvre]. It is a very familiar thesis that the task of criticism is not to bring out the work's relationships with the author, nor to reconstruct through the text a thought or experience, but rather to analyze the work through its structure, its architecture, its intrinsic form, and the play of its internal relationships. At this point, however, a problem arises: What is a work? What is this curious unity which we designate as a work? Of what elements is it composed? Is it not what an author has written? Difficulties appear immediately. If an individual were not an author, could we say that what he wrote, said, left behind in his papers, or what has been collected of his remarks, could be called a "work"? When Sade was not considered an author, what was the status of his papers? Simply rolls of paper onto which he ceaselessly uncoiled his fantasies during his imprisonment.

Even when an individual has been accepted as an author, we must still ask whether everything that he wrote, said, or left behind is part of his work. The problem is both theoretical and technical. When undertaking the publication of Nietzsche's works, for example, where should one stop? Surely everything must be published, but what is "everything"? Everything that Nietzsche himself published, certainly. And what about the rough drafts for his works? Obviously. The plans for his aphorisms? Yes. The deleted passages and the notes at the bottom of the page? Yes. What if, within a workbook filled with aphorisms, one finds a reference, the notation of a meeting or of an address, or a laundry list: is it a work, or not? Why not? And so on, ad infinitum. How can one define a work amid the millions of traces left by someone after his death? A theory of the work does not exist, and the empirical task of those who naively undertake the editing of works often suffers in the absence of such a theory.

We could go even further. Does The Thousand and One Nights constitute a work? What about Clement of Alexandria's Miscellanies or Diogenes Laërtes' Lives? A multitude of questions arises with regard to this notion of the work. Consequently, it is not enough to declare that we should do without the writer (the author) and study the work itself. The word work and the unity that it designates are probably as problematic as the status of the author's individuality.
Another notion which has hindered us from taking full measure of the author's disappearance, blurring and concealing the moment of this effacement and subtly preserving the author's existence, is the notion of writing [écriture]. When rigorously applied, this notion should allow us not only to circumvent references to the author, but also to situate his recent absence. The notion of writing, as currently employed, is concerned with neither the act of writing nor the indication – be it symptom or sign – of a meaning that someone might have wanted to express. We try, with great effort, to imagine the general condition of each text, the condition of both the space in which it is dispersed and the time in which it unfolds.

In current usage, however, the notion of writing seems to transpose the empirical characteristics of the author into a transcendental anonymity. We are content to efface the more visible marks of the author's empiricity by playing off, one against the other, two ways of characterizing writing, namely, the critical and the religious approaches. Giving writing a primal status seems to be a way of retranslating, in transcendental terms, both the theological affirmation of its sacred character and the critical affirmation of its creative character. To admit that writing is, because of the very history that it made possible, subject to the test of oblivion and repression, seems to represent, in transcendental terms, the religious principle of the hidden meaning (which requires interpretation) and the critical principle of implicit signification, silent determinations, and obscured contents (which give rise to commentary). To imagine writing as absence seems to be a simple repetition, in transcendental terms, of both the religious principle of inalterable and yet never fulfilled tradition, and the aesthetic principle of the work's survival, its perpetuation beyond the author's death, and its enigmatic excess in relation to him.

This usage of the notion of writing runs the risk of maintaining the author's privileges under the protection of the a priori: it keeps alive, in the gray light of neutralization, the interplay of those representations that formed a particular image of the author. The author's disappearance, which, since Mallarmé, has been a constantly recurring event, is subject to a series of transcendental barriers. There seems to be an important dividing line between those who believe that they can still locate today's discontinuities [ruptures] in the historico-transcendental tradition of the nineteenth century and those who try to free themselves once and for all from that tradition.

§

It is not enough, however, to repeat the empty affirmation that the author has disappeared. For the same reason, it is not enough to keep repeating that God and man have died a common death. Instead, we must locate the space left empty by the author's disappearance, follow the distribution of gaps and breaches, and watch for the openings this disappearance uncovers.

First, we need to clarify briefly the problems arising from the use of the author's name. What is an author's name? How does it function? Far from offering a solution, I shall only indicate some of the difficulties that it presents.

The author's name is a proper name, and therefore it raises the problems common to all proper names. (Here I refer to Searle's analyses, among others.') Obviously, one cannot turn a proper name into a pure and simple reference. It has other than indicative functions: more than an indication, a gesture, a finger pointed at someone, it is the equivalent of a description. When one says "Aristotle," one employs a word that is the equivalent of one, or a series, of definite descriptions, such as "the author of the Analytics," "the founder of ontology," and so forth. One cannot stop there, however, because a proper name does not have just one signification. When we discover that Arthur Rimbaud did not write La Chasse spirituelle, we cannot pretend that the meaning of this proper name, or that of the author, has been altered. The proper name and the author's name are situated between the two poles of description and designation: they must have a certain link with what they name, but one that is neither entirely in the mode of designation nor in that of description; it must be a specific link. However - and it is here that the particular difficulties of the author's name arise - the links between the proper name and the individual named and between the author's name and what it names are not isomorphic and do not function in the same way. There are several differences.

If for example, Pierre Dupont does not have blue eyes, or was not born in Paris, or is not a doctor, the name Pierre Dupont will still always refer to the same person, such things do not modify the link of designation. The problems raised by the author's name are much more complex, however. If I discover that Shakespeare was not born in the house we visit today, this is a modification that, obviously, will not alter the functioning of the author's name. But if we proved that Shakespeare did not write those sonnets which pass for his, that would constitute a significant change and affect the manner in which the author's name functions. If we proved that Shakespeare wrote Bacon's Organon by showing that the same author wrote both the works of Bacon and those of Shakespeare, that would be a third type of change that would entirely modify the functioning of the author's name. The author's name is not, therefore, just a proper name like the rest.

Many other facts point out the paradoxical singularity of the author's name. To say that Pierre Dupont does not exist is not at all the same as saying that Homer or Hermes Trismegistus did not exist. In the first case, it means that no one has the name Pierre Dupont; in the second, it means that several people were mixed together under one name, or that the true author had none of the traits traditionally ascribed to the personae of Homer or Hermes. To say that X's real name is actually Jacques Durand instead of Pierre Dupont is not the same as saying that Stendhal's name was Henri Beyle. One could also question the meaning and functioning of propositions like "Bourbaki is so-and-so, so-and-so, and so-forth," and "Victor Eremite, Climacus, Anticlimacus, Prater Taciturnus, Constantine Constantius, all of these are Kierkegaard."

These differences may result from the fact that an author's name is not simply an element in a discourse (capable of being either subject or object, of being replaced by a pronoun, and the like); it performs a certain role with regard to narrative discourse, assuring a classificatory function. Such a name permits one to group together a certain number of texts, define them, differentiate them from and contrast them to others. In addition, it establishes a relationship among the texts. Hermes Trismegistus did not exist, nor did Hippocrates - in the sense that Balzac existed - but the fact that several texts have been placed under the same name indicates that there has been established among them a relationship of homogeneity, filiation, authentication of some texts by the use of others, reciprocal explication, or concomitant utilization. The author's name serves to characterize a certain mode of being of discourse: the fact that the discourse has an author's name, that one can say "this was written by so-and-so" or "so-and-so is its author," shows that this discourse is not ordinary everyday speech that merely comes and goes, not something that is immediately consumable. On the contrary, it is a speech that must be received in a certain mode and that, in a given culture, must receive a certain status.

It would seem that the author's name, unlike other proper names, does not pass from the interior of a discourse to the real and exterior individual who produced it; instead, the name seems always to be present, marking off the edges of the text, revealing, or at least characterizing, its mode of being. The author's name manifests the appearance of a certain discursive set and indicates the status of this discourse within a society and a culture. It has no legal status, nor is it located in the fiction of the work; rather, it is located in the break that founds a certain discursive construct and its very particular mode of being. As a result, we could say that in a civilization like our own there area certain number of discourses endowed with the "author function" while others are deprived of it. A private letter may well have a signer – it does not have an author; a contract may well have a guarantor – it does not have an author. An anonymous text posted on a wall probably has an editor – but not an author. The author function is therefore characteristic of the mode of existence, circulation, and functioning of certain discourses within a society.

§

Let us analyze this "author function" as we have just described it. In our culture, how does one characterize a discourse containing the author function? In what way is this discourse different from other discourses? If we limit our remarks to the author of a book or a text, we can isolate four different characteristics.

First of all, discourses are objects of appropriation. The form of ownership from which they spring is of a rather particular type, one that has been codified for many years. We should note that, historically, this type of ownership has always been subsequent to what one might call penal appropriation. Texts, books, and discourses really began to have authors (other than mythical, sacralized and sacralizing figures) to the extent that authors became subject to punishment, that is, to the extent that discourses could be transgressive. In our culture (and doubtless in many others), discourse was not originally a product, a thing, a kind of goods; it was essentially an act - an act placed in the bipolar field of the sacred and the profane, the licit and the illicit, the religious and the blasphemous. Historically, it was a gesture fraught with risks before becoming goods caught up in a circuit of ownership.

Once a system of ownership for texts came into being, once strict rules concerning author's rights, author-publisher relations, rights of reproduction, and related matters were enacted - at the end of the eighteenth and the beginning of the nineteenth century - the possibility of transgression attached to the act of writing took on, more and more, the form of an imperative peculiar to literature. It is as if the author, beginning with the moment at which he was placed in the system of property that characterizes our society, compensated for the status that he thus acquired by rediscovering the old bipolar field of discourse, systematically practicing transgression and thereby restoring danger to a writing that was now guaranteed the benefits of ownership.

The author function does not affect all discourses in a universal and constant way, however. In our civilization, it has not always been the same types of texts that have required attribution to an author. There was a time when the texts we today call "literary" (narratives, stories, epics, tragedies, comedies) were accepted, put into circulation, and valorized without any question about the identity of their author, their anonymity caused no difficulties since their ancientness, whether real or imagined, was regarded as a sufficient guarantee of their status. On the other hand, those texts we now would call scientific - those dealing with cosmology and the heavens, medicine and illnesses, natural sciences and geography - were accepted in the Middle Ages, and accepted as "true," only when marked with the name of their author. "Hippocrates said," "Pliny recounts," were not really formulas of an argument based on authority; they were the markers inserted in discourses that were supposed to be received as statements of demonstrated truth.

A switch takes place in the seventeenth or eighteenth century. Scientific discourses began to be received for themselves, in the anonymity of an established or always redemonstrable truth; their membership in a systematic ensemble, and not the reference to the individual who produced them, stood as their guarantee. The author function faded away, and the inventor's name served only to christen a theorem, proposition, particular effect, property, body, group of elements, or pathological syndrome. By the same token, literary discourses came to be accepted only when endowed with the author function. We now ask of each poetic or fictional text: From where does it come, who wrote it, when, under what circumstances, or beginning with what design? The meaning ascribed to it and the status or value accorded it depend on the manner in which we answer these questions. And if a text should be discovered in a state of anonymity – whether as a consequence of an accident or the author's explicit wish – the game becomes one of rediscovering the author. Since literary anonymity is not tolerable, we can accept it only in the guise of an enigma. As a result, the author function today plays an important role in our view of literary works. (These are obviously generalizations that would have to be refined insofar as recent critical practice is concerned. Criticism began some time ago to treat works according to their genre and type, following the recurrent elements that are enfigured in them, as proper variations around an invariant that is no longer the individual creator. Even so, if in mathematics reference to the author is barely anything any longer but a manner of naming theorems or sets of propositions, in biology and medicine the indication of the author and the date of his work playa rather different role. It is not simply a manner of indicating the source, but of providing a certain index of "reality" in relation to the techniques and objects of experience made use of in a particular period and in such-and-such a laboratory.)

The third characteristic of this author function is that it does not develop spontaneously as the attribution of a discourse to an individual. It is, rather, the result of a complex operation that constructs a certain being of reason that we call "author." Critics doubtless try to give this being of reason a realistic status, by discerning, in the individual, a "deep" motive, a "creative" power, or a "design," the milieu in which writing originates. Nevertheless, these aspects of an individual which we designate as making him an author are only a projection, in more or less psychologizing terms, of the operations we force texts to undergo, the connections we make, the traits we establish as pertinent, the continuities we recognize, or the exclusions we practice. All these operations vary according to periods and types of discourse. We do not-construct a "philosophical author" as we do a "poet," just as in the eighteenth century one did not construct a novelist as we do today. StilI, we can find through the ages certain constants in the rules of author construction.

It seems, for example that the manner in which literary criticism once defined the author – or, rather, constructed the figure of the author beginning with existing texts and discourses – is directly derived from the manner in which Christian tradition authenticated (or rejected) the texts at its disposal. In order to "rediscover" an author in a work, modern criticism uses methods similar to those that Christian exegesis employed when trying to prove the value of a text by its author's saintliness. In De Viris Mustribus, Saint Jerome explains that homonymy is not sufficient to identify legitimately authors of more than one work: different individuals could have had the same name, or one man could have, illegitimately, borrowed another's patronymic. The name as an individual trademark is not enough when one works within a textual tradition.

How, then, can one attribute several discourses to one and the same author? How can one use the author function to determine if one is dealing with one or several individuals? Saint Jerome proposes four criteria: (i) if among several books attributed to an author one is inferior to the others, it must be withdrawn from the list of the author's works (the author is therefore defined as a constant level of value); (2) the same should be done if certain texts contradict the doctrine expounded in the author's other works (the author is thus defined as a field of conceptual or theoretical coherence); (3) one must also exclude works that are written in a different style, containing words and expressions not ordinarily found in the writer's production (the author is here conceived as a stylistic unity); (4) finally, passages quoting statements made or mentioning events that occurred after the author's death must be regarded as interpolated texts (the author is here seen as a historical figure at the crossroads of a certain number of events).

Modern literary criticism, even when – as is now customary – it is not concerned with questions of authentication, still defines the author in much the same way: the author provides the basis for explaining not only the presence of certain events in a work, but also their transformations, distortions, and diverse modifications (through his biography, the determination of his individual perspective, the analysis of his social position, and the revelation of his basic design). The author is also the principle of a certain unity of writing - all differences having to be resolved, at least in part, by the principles of evolution, maturation, or influence. The author also serves to neutralize the contradictions that may emerge in a series of texts: there must be - at a certain level of his thought or desire, of his consciousness or unconscious - a point where contradictions are resolved, where incompatible elements are at last tied together or organized around a fundamental or originating contradiction. Finally, the author is a particular source of expression that, in more or less completed forms, is manifested equally well, and with similar validity, in works, sketches, letters, fragments, and so on. Clearly, Saint Jerome's four criteria of authenticity (criteria that seem totally insufficient for today's exegetes) do define the four modalities according to which modern criticism brings the author function into play.

But the author function is not a pure and simple reconstruction made secondhand from a text given as inert material. The text always contains a certain number of signs referring to the author. These signs, well known to grammarians, are personal pronouns, adverbs of time and place, and verb conjugation. Such elements do not play the same role in discourses provided with the author function as in those lacking it. In the latter, such "shifters" refer to the real speaker and to the spatio-temporal coordinates of his discourse (although certain modifications can occur, as in the operation of relating discourses in the first person). In the former, however, their role is more complex and variable. Everyone knows that, in a novel offered as a narrator's account, neither the first-person pronoun nor the present indicative refers exactly to the writer or to the moment in which he writes but, rather, to an alter ego whose distance from the author varies, often changing in the course of the work. It would be just as wrong to equate the author with the real writer as to equate him with the fictitious speaker; the author function is carried out and operates in the scission itself, in this division and this distance.

One might object that this is a characteristic peculiar to novelistic or poetic discourse, a game in which only "quasi discourses" participate. In fact, however, all discourses endowed with the author function possess this plurality of self. The self that speaks in the preface to a treatise on mathematics - and that indicates the circumstances ofthe treatise's composition identical neither in its position nor in its functioning to self speaks in the course of a demonstration, and that appears the form of "I conclude" or "I suppose." In the first case, the "I" refers to an individual without an equivalent who, in a determined place and time, completed a certain task; in the second, the "I" indicates an instance and a level of demonstration which any individual could perform provided that he accepted the same system of symbols, play of axioms and set of previous demonstrations. We could also, in the same treatise locate a third self; one that speaks to tell the work's meaning, the obstacles encountered, the results obtained, and the remaining problems; this self is situated in the field of already existing or yet-to-appear mathematical discourses. The author function is not assumed by the first of these selves at the expense of the other two, which would then be nothing more than a fictitious splitting in two of the first one. On the contrary, in these discourses the author function operates so as to effect the dispersion of these three simultaneous selves.

No doubt, analysis could discover still more characteristic traits of the author function. I will limit myself to these four, however, because they seem both the most visible and the most important. They can be summarized as follows:(1) the author function is linked to the juridical and institutional system that encompasses, determines, and articulates the universe of discourses; (2) it does not affect all discourses in the same way at all times and in all types of civilization; (3) it is not defined by the spontaneous attribution of a discourse to its producer but, rather, by a series of specific and complex operations; (4) it does not refer purely and simply to a real individual, since it can give rise simultaneously to several selves, to several subjects - positions that can be occupied by different classes of individuals.

Up to this point I have unjustifiably limited my subject. Certainly the author function in painting, music, and other arts should have been discussed; but even supposing that we remain within the world of discourse, as I want to do, I seem to have given the term "author" much too narrow a meaning. I have discussed the author only in the limited sense of a person to whom the production of a text, a book, or a work can be legitimately attributed. It is easy to see that in the sphere of discourse one can be the author of much more than a book - one can be the author of a theory, tradition, or discipline in which other books and authors will in their turn find a place. These authors are in a position that I will call "transdiscursive." This is a recurring phenomenon – certainly as old as our civilization. Homer, Aristotle, and the Church Fathers, as well as the first mathematicians and the originators of the Hippocratic tradition, all played this role. Furthermore, in the course of the nineteenth century, there appeared in Europe another, more uncommon, kind of author, whom one should confuse with neither the "great" literary authors, nor the authors of religious texts, nor the founders of science. In a somewhat arbitrary way we shall call those who belong in this last group "founders of discursivity."

They are unique in that they are not just the authors of their own works. They have produced something else: the possibilities and the rules for the formation of other texts. In this sense they are very different, for example, from a novelist, who is, in fact, nothing more than the author of his own text. Freud is not just the author of The Interpretation of Dreams or Jokes and Their Relation to the Unconscious; Marx is not just the author of the Communist Manifesto or Das Kapital: they both have established an endless possibility of discourse. Obviously, it is easy to object. One might say that it is not true that the author of a novel is only the author of his own text; in a sense, he also, provided that he acquires some "importance," governs and commands more than that. To take a very simple example, one could say that Ann Radcliffe not only wrote The Castles of Athlin and Dunbayne and several other novels but also made possible the appearance of the Gothic horror novel at the beginning of the nineteenth century; in that respect, her author function exceeds her own work. But I think there is an answer to this objection. These founders of discursivity (I use Marx and Freud as examples, because I believe them to be both the first and the most important cases) make possible something altogether different from what a novelist makes possible. Ann Radcliffe's texts opened the way for a certain number of resemblances and analogies which have their model or principle in her work. The latter contains characteristic signs, figures, relationships, and structures that could be reused by others. In other words, to say that Ann Radcliffe founded the Gothic horror novel means that in the nineteenth-century Gothic novel one will find, as in Ann Radcliffe's works, the theme of the heroine caught in the trap of her own innocence, the hidden castle, the character of the black, cursed hero devoted to making the world expiate the evil done to him, and all the rest of it. On the other hand, when I speak of Marx or Freud as founders of discursivity, I mean that they made possible not only a certain number of analogies but also (and equally important) a certain number of differences. They have created a possibility for something other than their discourse, yet something belonging to what they founded. To say that Freud founded psychoanalysis does not (simply) mean that we find the concept of the libido or the technique of dream analysis in the works of Karl Abraham, or Melanie Klein; it means that Freud made possible a certain number of divergences – with respect to his own texts, concepts and hypotheses – that all arise from the psychoanalytic discourse itself.

This would seem to present a new difficulty, however, or at least a new problem: is the above not true, after all, of any founder of a science, or of any author who has introduced some transformation into a science that might be called fecund? After all, Galileo made possible not only those discourses which repeated the laws he had formulated, but also statements very different from what he himself had said. If Georges Cuvier is the founder of biology, or Ferdinand de Saussure the founder of linguistics, it is not because they were imitated, nor because people have since taken up again the concept of organism or sign; it is because Cuvier made possible, to a certain extent, a theory of evolution diametrically opposed to his own fixism; it is because Saussure made possible a generative grammar radically different from his structural analyses. Superficially, then, the initiation of discursive practices appears similar to the founding of any scientific endeavor.

Still, there is a difference, and a notable one. In the case of a science, the act that founds it is on an equal footing with its future transformations; this act becomes in some respects part of the set of modifications that I makes possible. Of course, this belonging can take several forms. In the future development of a science, the founding act may appear as little more than a particular instance of a more general phenomenon that unveils itself in the process. It can also turn out to be marred by intuition and empirical bias; one must then reformulate it, making it the object of a certain number of supplementary theoretical operations that establish it more rigorously, and so on. Finally, it can seem to be a hasty generalization that must be retraced. In other words, the founding act of a science can always be reintroduced within the machinery of those transformations which derive from it.

In contrast, the initiation of a discursive practice is heterogeneous to its subsequent transformations. To expand a type of discursivity such as psychoanalysis as founded by Freud, is not to give it a form generality it would not have permitted at the outset but, rather, open it up to a certain number of possible applications. To limit psy choanalysis as a type of discursivity is, in reality, to try to isolate in the founding act an eventually restricted number of propositions or statements to which, alone, one grants a founding value, and in relation to which certain concepts or theories accepted by Freud might be considered as derived, secondary, and accessory. In addition, one does not declare certain propositions in the work of these founders to be false: instead, when trying to seize the act of founding, one sets aside those statements that are not pertinent, either because they are deemed inessential, or because they are considered "prehistoric" and derived from another type of discursivity. In other words, unlike the founding of a science, the initiation of a discursive practice does not participate in its later transformations. As a result, one defines a proposition's theoretical validity in relation to the work of the founders - while, in the case of Galileo and Newton, it is in relation to what physics or cosmology is in its intrinsic structure and normativity that one affirms the validity of any proposition those men may have put forth. To phrase it very schematically: the work of initiators of discursivity is not situated in the space that science defines; rather, it is the science or the discursivity which refers back to their work as primary coordinates.

In this way we can understand the inevitable necessity, within these fields of discursivity, for a "return to the origin." This return which is part of the discursive field itself, never stops modifying it. The return is not a historical supplement that would be added to the discursivity, or merely an ornament; on the contrary, it constitutes a effective and necessary task of transforming the discursive practice itself. Reexamination of Galileo's text may well change our understanding of the history of mechanics, but it will never be able to change mechanics itself. On the other hand, reexamining Freud's texts modifies psychoanalysis itself, just as a reexamination of Marx's would modify Marxism.

What I have just outlined regarding these "discursive instaurations" is, of course, very schematic; this is true, in particular, of the opposition I have tried to draw between discursive initiation and scientific founding. It is not always easy to distinguish between the two; moreover, nothing proves that they are two mutually exclusive procedures. I have attempted the distinction for only one reason: to show that the author function, which is complex enough when one tries to situate it at the level of a book or a series of texts that carry a given signature, involves still more determining factors when one tries to analyze it in larger units; such as groups of works or entire disciplines.

§

To conclude, I would like to review the reasons why I attach a certain importance to what l have said.

On the one hand, an analysis in the direction that I have outlined might provide for an approach to a typology of discourse. It seems to me, at least at first glance, that such a typology cannot be constructed solely from the grammatical features, formal structures, and objects of discourse: more likely, there exist properties or relationships peculiar to discourse (not reducible to the rules of grammar and logic), and one must use these to distinguish the major categories of discourse. The relationship (or non-relationship) with an author, and the different forms this relationship takes, constitute – in a quite visible manner – one of these discursive properties.

On the other hand, I believe that one could find here an introduction to the historical analysis of discourse. Perhaps it is time to study discourses not only in terms of their expressive value or formal transformations but according to their modes of existence. The modes of circulation, valorization, attribution, and appropriation of discourses vary with each culture and are modified within each. The manner in which they are articulated according to social relationships can be more readily understood, I believe, in the activity of the author function and in its modifications than in the themes or concepts that discourses set in motion.

It would seem that one could also, beginning with analyses of this type, reexamine the privileges of the subject. I realize that in undertaking the internal and architectonic analysis of a work (be it a literary text, philosophical system, or scientific work), in setting aside biographical and psychological references, one has already called back into question the absolute character and founding role of the subject. Still, perhaps one must return to this question, not in order to reestablish the theme of an originating subject but to grasp the subject's points of insertion, modes of functioning, and system of dependencies. Doing so means overturning the traditional problem, no longer raising the questions: How can a free subject penetrate the density of things and give it meaning? How can it activate the rules of a language from within and thus give rise to the designs that are properly its own? Instead, these questions will be raised: How, under what conditions, and in what forms can something like a subject appear in the order of discourse? What place can it occupy in each type of discourse, what functions can it assume, and by obeying what rules? In short, it is a matter of depriving the subject (or its substitute) of its role as originator, and of analyzing the subject as a variable and complex function of discourse.

Second, there are reasons dealing with the "ideological" status of the author. The question then becomes: How can one reduce the great peril, the great danger with which fiction threatens our world? The answer is: One can reduce it with the author. The author allows a limitation of the cancerous and dangerous proliferation of significations within a world where one is thrifty not only with one's resources and riches but also with one's discourses and their significations. The author is the principle of thrift in the proliferation of meaning. As a result, we must entirely reverse the traditional idea of the author. We are accustomed, as we have seen earlier, to saying that the author is the genial creator of a work in which he deposits, with infinite wealth and generosity, an inexhaustible world of significations. We are used to thinking that the author is so different from all other men, and so transcendent with regard to all languages that, as soon as he speaks, meaning begins to proliferate, to proliferate indefinitely.

The truth is quite the contrary: the author is not an indefinite source of significations that fill a work; the author does not precede the works; he is a certain functional principle by which, in our culture, one limits, excludes, and chooses; in short, by which one impedes the free circulation, the free manipulation, the free composition, decomposition, and recomposition of fiction. In fact, if we are accustomed to presenting the author as a genius, as a perpetual surging of invention, it is because, in reality, we make him function in exactly the opposite fashion. One can say that the author is an ideological product, since we represent him as the opposite of his historically real function. When a historically given function is represented in a figure that inserts it, one has an ideological production. The author is therefore the ideological figure by which one marks the manner in which we fear the proliferation of meaning.

In saying this, I seem to call for a form of culture in which fiction would not be limited by the figure of the author. It would be pure romanticism, however, to imagine a culture in which the fictive would operate in an absolutely free state, in which fiction would be put at the disposal of everyone and would develop without passing through something like a necessary or constraining figure. Although, since the eighteenth century, the author has played the role of the regulator of the fictive; a role quite characteristic of our era of industrial and bourgeois society, of individualism and private property, still, given the historical modifications that are taking place, it does not seem necessary that the author function remain constant in form, complexity, and even in existence. I think that, as our society changes, at the very moment when it is in the process of changing, the author function will disappear, and in such a manner that fiction and its polysemous texts will once again function according to another mode, but still with a system of constraint – one that will no longer be the author but will have to be determined or, perhaps, experienced [expérimenter].

All discourses, whatever their status, form, value, and whatever the treatment to which they will be subjected, would then develop in the anonymity of a murmur. We would no longer hear the questions that have been rehashed for so long: Who really spoke? Is it really he and not someone else? With what authenticity or originality? And what part of his deepest sell did he express in his discourse? Instead, there would be other questions, like these: What are the modes of existence of this discourse? Where has it been used, how can it circulate, and who can appropriate it for himself? What are the places in it where there is room for possible subjects? Who can assume these various subject functions? And behind all these questions, we would hear hardly anything but the stirring of an indifference: What difference does it make who is speaking?

§

NOTES
i John Searle, Essay in the philosophy of language (Cambridge, Eng.: Cambridge University Press, 1969) pp. 162-74

*This essay is the text of a lecture presented to the Societé Francais de philosophie on 22 February 1969 (Foucault gave a modified form of the lecture in the United States in 1970). This translation by Josué V. Harari has been slightly modified.
13/02/2008

Roland Barthes, The Death of the Author

  
   转引自http://www.douban.com/group/topic/1999883/
  
  In his story Sarrasine, Balzac, speaking of a castrato disguised as a woman, writes this sentence: "It was Woman, with her sudden fears, her irrational whims, her instinctive fears, her unprovoked bravado, her daring and her delicious delicacy of feeling" Who is speaking in this way? Is it the story's hero, concerned to ignore the castrato concealed beneath the woman? Is it the man Balzac, endowed by his personal experience with a philosophy of Woman? Is it the author Balzac, professing certain "literary" ideas of femininity? Is it universal wisdom? or romantic psychology? It will always be impossible to know, for the good reason that all writing is itself this special voice, consisting of several indiscernible voices, and that literature is precisely the invention of this voice, to which we cannot assign a specific origin: literature is that neuter, that composite, that oblique into which every subject escapes, the trap where all identity is lost, beginning with the very identity of the body that writes.
  
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  Probably this has always been the case: once an action is recounted, for intransitive ends, and no longer in order to act directly upon reality — that is, finally external to any function but the very exercise of the symbol — this disjunction occurs, the voice loses its origin, the author enters his own death, writing begins. Nevertheless, the feeling about this phenomenon has been variable; in primitive societies, narrative is never undertaken by a person, but by a mediator, shaman or speaker, whose "performance" may be admired (that is, his mastery of the narrative code), but not his "genius" The author is a modern figure, produced no doubt by our society insofar as, at the end of the middle ages, with English empiricism, French rationalism and the personal faith of the Reformation, it discovered the prestige of the individual, or, to put it more nobly, of the "human person" Hence it is logical that with regard to literature it should be positivism, resume and the result of capitalist ideology, which has accorded the greatest importance to the author's "person" The author still rules in manuals of literary history, in biographies of writers, in magazine interviews, and even in the awareness of literary men, anxious to unite, by their private journals, their person and their work; the image of literature to be found in contemporary culture is tyrannically centered on the author, his person, his history, his tastes, his passions; criticism still consists, most of the time, in saying that Baudelaire's work is the failure of the man Baudelaire, Van Gogh's work his madness, Tchaikovsky's his vice: the explanation of the work is always sought in the man who has produced it, as if, through the more or less transparent allegory of fiction, it was always finally the voice of one and the same person, the author, which delivered his "confidence."
  
  · · ·
  
  Though the Author's empire is still very powerful (recent criticism has often merely consolidated it), it is evident that for a long time now certain writers have attempted to topple it. In France, Mallarme was doubtless the first to see and foresee in its full extent the necessity of substituting language itself for the man who hitherto was supposed to own it; for Mallarme, as for us, it is language which speaks, not the author: to write is to reach, through a preexisting impersonality — never to be confused with the castrating objectivity of the realistic novelist — that point where language alone acts, "performs," and not "oneself": Mallarme's entire poetics consists in suppressing the author for the sake of the writing (which is, as we shall see, to restore the status of the reader.) Valery, encumbered with a psychology of the Self, greatly edulcorated Mallarme's theory, but, turning in a preference for classicism to the lessons of rhetoric, he unceasingly questioned and mocked the Author, emphasized the linguistic and almost "chance" nature of his activity, and throughout his prose works championed the essentially verbal condition of literature, in the face of which any recourse to the writer's inferiority seemed to him pure superstition. It is clear that Proust himself, despite the apparent psychological character of what is called his analyses, undertook the responsibility of inexorably blurring, by an extreme subtilization, the relation of the writer and his characters: by making the narrator not the person who has seen or felt, nor even the person who writes, but the person who will write (the young man of the novel — but, in fact, how old is he, and who is he? — wants to write but cannot, and the novel ends when at last the writing becomes possible), Proust has given modern writing its epic: by a radical reversal, instead of putting his life into his novel, as we say so often, he makes his very life into a work for which his own book was in a sense the model, so that it is quite obvious to us that it is not Charlus who imitates Montesquiou, but that Montesquiou in his anecdotal, historical reality is merely a secondary fragment, derived from Charlus. Surrealism lastly — to remain on the level of this prehistory of modernity — surrealism doubtless could not accord language a sovereign place, since language is a system and since what the movement sought was, romantically, a direct subversion of all codes — an illusory subversion, moreover, for a code cannot be destroyed, it can only be "played with"; but by abruptly violating expected meanings (this was the famous surrealist "jolt"), by entrusting to the hand the responsibility of writing as fast as possible what the head itself ignores (this was automatic writing), by accepting the principle and the experience of a collective writing, surrealism helped secularize the image of the Author. Finally, outside of literature itself (actually, these distinctions are being superseded), linguistics has just furnished the destruction of the Author with a precious analytic instrument by showing that utterance in its entirety is a void process, which functions perfectly without requiring to be filled by the person of the interlocutors: linguistically, the author is never anything more than the man who writes, just as I is no more than the man who says I: language knows a "subject," not a "person," end this subject, void outside of the very utterance which defines it, suffices to make language "work," that is, to exhaust it.
  
  · · ·
  
  The absence of the Author (with Brecht, we might speak here of a real "alienation:' the Author diminishing like a tiny figure at the far end of the literary stage) is not only a historical fact or an act of writing: it utterly transforms the modern text (or — what is the same thing — the text is henceforth written and read so that in it, on every level, the Author absents himself). Time, first of all, is no longer the same. The Author, when we believe in him, is always conceived as the past of his own book: the book and the author take their places of their own accord on the same line, cast as a before and an after: the Author is supposed to feed the book — that is, he pre-exists it, thinks, suffers, lives for it; he maintains with his work the same relation of antecedence a father maintains with his child. Quite the contrary, the modern writer (scriptor) is born simultaneously with his text; he is in no way supplied with a being which precedes or transcends his writing, he is in no way the subject of which his book is the predicate; there is no other time than that of the utterance, and every text is eternally written here and now. This is because (or: it follows that) to write can no longer designate an operation of recording, of observing, of representing, of "painting" (as the Classic writers put it), but rather what the linguisticians, following the vocabulary of the Oxford school, call a performative, a rare verbal form (exclusively given to the first person and to the present), in which utterance has no other content than the act by which it is uttered: something like the / Command of kings or the I Sing of the early bards; the modern writer, having buried the Author, can therefore no longer believe, according to the "pathos" of his predecessors, that his hand is too slow for his thought or his passion, and that in consequence, making a law out of necessity, he must accentuate this gap and endlessly "elaborate" his form; for him, on the contrary, his hand, detached from any voice, borne by a pure gesture of inscription (and not of expression), traces a field without origin — or which, at least, has no other origin than language itself, that is, the very thing which ceaselessly questions any origin.
  
  · · ·
  
  We know that a text does not consist of a line of words, releasing a single "theological" meaning (the "message" of the Author-God), but is a space of many dimensions, in which are wedded and contested various kinds of writing, no one of which is original: the text is a tissue of citations, resulting from the thousand sources of culture. Like Bouvard and Pecuchet, those eternal copyists, both sublime and comical and whose profound absurdity precisely designates the truth of writing, the writer can only imitate a gesture forever anterior, never original; his only power is to combine the different kinds of writing, to oppose some by others, so as never to sustain himself by just one of them; if he wants to express himself, at least he should know that the internal "thing" he claims to "translate" is itself only a readymade dictionary whose words can be explained (defined) only by other words, and so on ad infinitum: an experience which occurred in an exemplary fashion to the young De Quincey, so gifted in Greek that in order to translate into that dead language certain absolutely modern ideas and images, Baudelaire tells us, "he created for it a standing dictionary much more complex and extensive than the one which results from the vulgar patience of purely literary themes" (Paradis Artificiels). succeeding the Author, the writer no longer contains within himself passions, humors, sentiments, impressions, but that enormous dictionary, from which he derives a writing which can know no end or halt: life can only imitate the book, and the book itself is only a tissue of signs, a lost, infinitely remote imitation.
  
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  Once the Author is gone, the claim to "decipher" a text becomes quite useless. To give an Author to a text is to impose upon that text a stop clause, to furnish it with a final signification, to close the writing. This conception perfectly suits criticism, which can then take as its major task the discovery of the Author (or his hypostases: society, history, the psyche, freedom) beneath the work: once the Author is discovered, the text is "explained:' the critic has conquered; hence it is scarcely surprising not only that, historically, the reign of the Author should also have been that of the Critic, but that criticism (even "new criticism") should be overthrown along with the Author. In a multiple writing, indeed, everything is to be distinguished, but nothing deciphered; structure can be followed, "threaded" (like a stocking that has run) in all its recurrences and all its stages, but there is no underlying ground; the space of the writing is to be traversed, not penetrated: writing ceaselessly posits meaning but always in order to evaporate it: it proceeds to a systematic exemption of meaning. Thus literature (it would be better, henceforth, to say writing), by refusing to assign to the text (and to the world as text) a "secret:' that is, an ultimate meaning, liberates an activity which we might call counter-theological, properly revolutionary, for to refuse to arrest meaning is finally to refuse God and his hypostases, reason, science, the law.
  
  · · ·
  
  Let us return to Balzac's sentence: no one (that is, no "person") utters it: its source, its voice is not to be located; and yet it is perfectly read; this is because the true locus of writing is reading. Another very specific example can make this understood: recent investigations (J. P. Vernant) have shed light upon the constitutively ambiguous nature of Greek tragedy, the text of which is woven with words that have double meanings, each character understanding them unilaterally (this perpetual misunderstanding is precisely what is meant by "the tragic"); yet there is someone who understands each word in its duplicity, and understands further, one might say, the very deafness of the characters speaking in front of him: this someone is precisely the reader (or here the spectator). In this way is revealed the whole being of writing: a text consists of multiple writings, issuing from several cultures and entering into dialogue with each other, into parody, into contestation; but there is one place where this multiplicity is collected, united, and this place is not the author, as we have hitherto said it was, but the reader: the reader is the very space in which are inscribed, without any being lost, all the citations a writing consists of; the unity of a text is not in its origin, it is in its destination; but this destination can no longer be personal: the reader is a man without history, without biography, without psychology; he is only that someone who holds gathered into a single field all the paths of which the text is constituted. This is why it is absurd to hear the new writing condemned in the name of a humanism which hypocritically appoints itself the champion of the reader's rights. The reader has never been the concern of classical criticism; for it, there is no other man in literature but the one who writes. We are now beginning to be the dupes no longer of such antiphrases, by which our society proudly champions precisely what it dismisses, ignores, smothers or destroys; we know that to restore to writing its future, we must reverse its myth: the birth of the reader must be ransomed by the death of the Author.
  
  
  — translated by Richard Howard
另一个译本
Roland Barthes, "The Death of the Author" (1977)

  1. In his story "Sarrasine" Balzac, describing a castrato disguised as a woman, writes the following sentence: "This was woman herself, with her sudden fears, her irrational whims, her instinctive worries, her impetuous boldness, her fussings, and her delicious sensibility." Who is speaking thus? Is it the hero of the story bent on remaining ignorant of the castrato hidden beneath the woman? Is it Balzac the individual, furnished by his personal experience with a philosophy of Woman? Is it Balzac the author professing "literary" ideas on femininity? Is it universal wisdom? Romantic psychology? We shall never know, for the good reason that writing is the destruction of every voice, of every point of origin. Writing is the neutral, composite, oblique space where our subject slips away, the negative where all identity is lost, starting with the very identity of the body writing.

  2. No doubt it has always been that way. As soon as a fact is narrated no longer with a view to acting directly on reality but intransitively, that is to say, finally outside of any function other than that of the very practice of the symbol itself, this disconnection occurs, the voice loses its origin, the author enters into his own death, writing begins. The sense of this phenomenon, however, is varied; in ethnographic societies the responsibility for a narrative is never assumed by a person but by a mediator, shaman, or relator whose "performance" - the mastery of the narrative code - may possibly be admired but never his "genius." The author is a modern figure, a product of our society insofar as, emerging from the Middle Ages with English empiricism, French rationalism and the personal faith of the Reformation, it discovered the prestige of the individual, of, as it is more nobly put, the "human person." It is thus logical that in literature it should be this positivism, the epitome and culmination of capitalist ideology, which has attached the greatest importance to the "person" of the author. The author still reigns in histories of literature, biographies of writers, interviews, magazines, as in the very consciousness of men of letters anxious to unite their person and their work through diaries and memoirs. The image of literature to be found in ordinary culture is tyrannically centered on the author, his person, his life, his tastes, his passions, while criticism still consists for the most part in saying that Baudelaire's work is the failure of Baudelaire the man, van Gogh's his madness, Tchaikovsky's his vice. The explanation of a work is always sought in the man or woman who produced it, as if it were always in the end, through the more or less transparent allegory of the fiction, the voice of a single person, the author "confiding" in us.

  3. Though the sway of the Author remains powerful (the New Criticism has often done no more than consolidate it), it goes without saying that certain writers have long since attempted to loosen it. [Barthes here discusses French-language authors, like Mallarmé and Proust, who have insisted that language speaks, not the author. Surrealism also desacralized the image of the Author.] Linguistically, the author is never more than the instance writing, just as I is nothing other than the instance saying I: language knows a "subject," not a "person," and this subject, empty outside of the very enunciation which defines it, suffices to make language "hold together," suffices, that is to say, to exhaust it.

  4. The removal of the Author [. . .] is not merely an historical fact or an act of writing; it utterly transforms the modern text (or - which is the same thing - the text is henceforth made and read in such a way that at all its levels the author is absent). The temporality is different. The Author, when believed in, is always conceived of as the past of his own book: book and author stand automatically on a single line divided into a before and an after. The Author is though to nourish the book, which is to say that he exists before it, thinks, suffers, lives for it, is in the same relation of antecedence to his work as a father to his child. In complete contrast, the modern scriptor is born simultaneously with the text, is in no way equipped with a being preceding or exceeding the writing, is not the subject with the book as predicate; there is no other time than that of the enunciation and every text is eternally written here and now. The fact is (or, it follows) that writing can no longer designate an operation of recording, notation, representation, "depiction" (as the classics would say); rather, it designates exactly what linguists, referring to Oxford philosophy, call a performative, a rare verbal form (exclusively given in the first person and in the present tense) in which the enunciation has no other content (contains no other proposition) than the act by which it is uttered - something like the I declare of kings of the I sing of very ancient poets. [. . .]

  5. We know now that a text is not a line of words releasing a single "theological" meaning (the "message" of the Author-God) but a multidimensional space in which a variety of writings, none of them original, blend and clash. The text is a tissue of quotations drawn from the innumerable centers of culture. [. . .T]he writer can only imitate a gesture that is always anterior, never original. His only power is to mix writings, to counter the ones with the others, in such a way as never to rest on any one of them. [. . .] Succeeding the Author, the scriptor no longer bears within him passions, humors, feelings, impressions, but rather this immense dictionary from which he draws a writing that can know no halt: life never does more than imitate the book, and the book itself is only a tissue of signs, an imitation that is lost, infinitely deferred.

  6. Once the Author is removed, the claim to decipher a text becomes quite futile. To give a text an Author is to impose a limit on that text, to furnish it with a final signified, to close the writing. Such a conception suits criticism very well, the latter then allotting itself the important task of discovering the Author (or its hypostases: soceity, history, psyche, liberty) beneath the work: when the Author has been found, the text is "explained" - victory to the critic. Hence there is no surprise in the fact that, historically, the reign of the Author has also been that of the Critic, nor again in the fact that criticism (be it new) is today undermined along with the Author. In the multiplicity of writing, everything is to be disentangled, nothing deciphered; the structure can be followed, "run" (like the thread of a stocking) at every point and at every level, but there is nothing beneath: the space of writing is to be ranged over, not pierced; writing ceaselessly posits menaing ceaselessly to evaporate it, carrying out a systematic exemption of meaning. In precisely this way literature (it would be better from now on to say writing), by refusing to assign a "secret," an ultimate meaning, to the text (and to the world as text), liberates what may be called an antitheological activity, an activity that is truly revolutionary since to refuse to fix meaning is, in the end, to refuse God and his hypostases - reason, science, law.

  7. [Barthes goes back to Balzac, then cryptically refers to Greek tragedy.] Thus is revealed the total existence of writing: a text is made of multiple writings, drawn from many cultures and entering into mutual relations to dialogue, parody, contestation, but there is one place where this multiplicity is focused and that place is the reader, not, as was hitherto said, the author. The reader is the space on which all the quotations that make up a writing are inscribed without any of them being lost; a text's unity lies not in its origin but in its destination. Yet this destination cannot any longer be personal: the reader is without history, biography, psychology; he is simply that someone who holds together in a single field all the traces by which the written text is constituted. Which is why it is derisory to condemn the new writing in the name of a humanism hypocritically turned champion of the reader's rights. Classic criticism has never paid any attention to the reader; for it, the writer is the only person in literature. We are now beginning to let ourselves be fooled no longer by the arrogant antiphrastical recriminations of good society in favor of the very thing it sets aside, ignores, smothers, or destroys; we know that to give writing its future, it is necessary to overthrow the myth: the birth of the reader must be at the cost of the death of the Author.
10/02/2008

《体态秘语》的访谈

文章来源:http://www.wenyixue.com/html/xinwenzhongxin/zhongxinxinwen/2008/0205/1927.html   
 

数日前,北京师范大学教授季广茂就译著《体态秘语——肢体语言手册》接受了某刊记者的书面采访,内容如下:

  问:是什么原因使您想要翻译这本书?

  答:这本书是我带着两个优秀的在校硕士研究生一起翻译的。不是我的选题,是首都师范大学出版社的选题。出版社很有眼光。出版社总编找我,我翻了翻,觉得非常有趣,就立即接受了。我们花了大约半年左右的时间翻译出来,我们还是比较满意的,因为从中学到了许多东西。

  问:它的哪一方面最吸引您?

  答:它之所以吸引我们,一是因为它非常有趣,非常好玩(我常把有趣和好玩视为学问的“命根”),二是作者是英国牛津大学毕业的心理学博士,是英国第四频道(UK Channel 4)“老大哥”(Big Brother)栏目的顾问和常驻心理学家,具有一般学者不具有的精微的洞察力。这是学术训练的结果,也是日常精心观察、耐心体味的结果,更与英国的经验主义传统密切相关。此外,这种洞察力又是以常识的形式表现出来的,而不是艰涩的学术理论表现出来的。我们现在缺少学识,更缺少常识。接触过不少对中国略有所知的外国学者,他们一般都惊呼在中国,没有常识(common sense),所以才有那么多卑鄙的骗子,才有那么多低劣的骗术。

  问:我在看这本书的时候,我的同事也对表示这本书非常吸引眼球,首先是题目好,另一方面,是人们太想知道别人的内心,有种猎奇,偷窥的心态。也反映了作为个体的人在社会中的某些不安情绪。除了这些,您认为读者之所以会对这本书感兴趣,还包含了哪些心理学因素?

  答:原来的题目是“Books of Tells”,在这里,“tell”是扑克游戏的专门用语。人们在玩扑克时,一方面极力避免暴露自己的底细(拿到了什么牌,要采取何种策略),另一方面极力窥测对方的秘密(猜测对方拿到了什么牌,要采取何种策略)。狡猾的扑克玩家都长着一张“扑克脸”,上面写着“莫测高深、老谋深算”八个大字。汉语没有具有与之对应的语句,只好意译,已经失去原来的机趣,令人遗憾。

  不错,“得人心者得天下”,无论“人心”是什么,是“知”、是“情”、是“意”还是“欲”,总之要得人心,就要知人心。知人心的方式有很多种,但作者在这里要我们观察人的体态(包括姿势、手势等),因为体态在很大程度上不是人所能够控制的。我看这不算“猎奇”,因为真要“猎”,“猎”的东西也不“奇”,都是生活中常见的江西。觉得它与“偷窥”没有任何关系,因为它观察的都是公开的、自然的(至少发出姿势的人会认为是自然的)的体态,与隐私无关,不过正是这些公开的、自然的体态在不经意间暴露了做出如此体态之人的心理,甚至最深层的心理。如果读者对此书感兴趣,或许这是唯一的“兴趣点”,也是出版社的“卖点”。

  问:因为我们的杂志是本科技类的杂志,所以下面这个问题是我对这本书的科学性的一点置疑。希望您不要介意。“体态秘语”这个题目非常具有诱惑力,满足了大众的猎奇心理。(这本书的定位是大众心理、成功学)但我认为它的有些论据是用了简单枚举法,但这样可能得不到“确定性”或者说是“真实可靠的”结论。前半部分作者对他的结论是比较肯定的。(总结这个词可能说明不了问题,结论可能是他猜到的。)他的后半部分,在下结论时也还是有点迟疑的,有些结论是开放性的。您对此怎么看?

  答:问题很好,很有深度,我不会介意的。我想的说的是,这是一本比较通俗的学术著作。这样的题目有任何诱惑力可言吗?能满足大众的猎奇心理?我的答案是否定的。至于与“成功学”,更没有什么关系吧?至于怀疑它的“科学性”,怀疑它在结论上的“确定性”和“真实可靠性”,那就涉及对“科学”一词的认识了。“科学性”有强有弱,不可强求一律。严格说来,只有“自然科学”意义上的“科学”才符合“科学”的本意,“社会科学”一词并不准确,其“科学”一词是从“自然科学”那里借来的,已非其本意,正像“机器人”中的“人”是从咱们正常“人”那里借来的一样。什么是“科学”?目前学术界没有公认的定义,美国有个专家组搞了多年,想搞出一个公认的定义,最后不了了之,以失败告终。但一般说来,“科学”不“科学”,有两个标准来判断,这一点还是比较公认的。其一是有一套自洽(zìqià)的理论(合乎逻辑、前后一致),其二是能够通过实验证明这个理论的“普遍有效性”。所谓“普遍有效性”,一是要有效,二是要普遍地有效,例外越少越好。依据这个标准,“心理学”不可能是真正意义上的科学,因为它一般没有自洽的理论,更无法通过实验证明其“普遍有效性”,因为人心易变,何况有时被实验者根本不承认存在某种心理,尽管那种心理真的存在过(比如“性心理”)。心理学如此,精神分析尤其如此。所以总有人指责心理学(特别是精神分析)“不科学”,“不坚实”,“好臆想”。这些指责都是对的,但无损它的价值。换言之,不是科学,或者“科学性”不强,未必没有意义。科学性不是判断一个学科的唯一尺度。学术研究既要“大胆的假设”,也要“小心地求证”;有的学科,其价值在于“大胆的假设”,如哲学和文艺批评;有的学科,只能“小心求证”,有一说一,有二说二,来不得半点虚假,如自然科学。

  问:在看这本书的时候,我想到了之前的一本书叫《格调》是说按照人的衣着,谈吐就可以判断出一个人的阶级,身份,地位等等。而《体态》这本书在某些地方似乎也起到了这样的作用。当时《格调》出版的时候,人们褒贬不一(也是有关阶级的一些争议)。但这本《体态》,除了注意修饰自己的行为习惯,您认为读者会不会更努力的扮演好自己的角色,无论是支配性的还是屈从性的。读完之后,突然有这样一个想法跑出来,不知道您怎么看?

  答:《格调》一书,没有读过,无从评论。但我怀疑,读过此书,就能“按照人的衣着,谈吐就可以判断出一个人的阶级,身份,地位等等”?如果真能如此,那做出“判断”之人必定神乎其神,有“半仙”之才,充满“街头智慧”。可能肯定的是,《体态》一书决无此功能,它只能让我们明白事理,却无法照方抓药,改变自己的言谈举止,改善自己的形象,因为人的体态并不停留在“意识”的层面上,大多居于“无意识”的层面。读者是否能够扮演好自己的角色,但与本书没有关系,因为它于事无补。相反,它是要教会读者去识破别人的“表演”。从这个意义上说,它不是“建设性的”而是“破坏性的”。这两者的关系,读者一定要摆正。

  在这方面它举了许多生动有趣的例子(随便说一句,正是这些例子使本书生动可观)。比如,作者这样说:“心理学家发现,如果婚姻中的一方露出轻蔑的表情,即使另一方没有觉察到他或她的所作所为,婚姻还是很容易破裂。”短短一句话,令人回味无穷。(1)一个轻蔑的表情,竟然会有如此巨大的破坏力,一般人是想象不到的;(2)揆诸事实,又常常如此,如果有过婚恋的经验,都会明白这个道理,心知肚明;(3)较为奇妙的是,即使被轻蔑的一方没有注意到这个表情的存在,它也照样发挥力量,也就是说,它是在无意识的层面上运作的,而不是在意识的层面上运作的;(4)更为奇妙的是,可以依此推测,蔑视的一方未必是有意的蔑视,被蔑视的一方感觉自己被蔑视了,但不知道是如何被蔑视的。这才是真正的学术智慧,而非街头骗术,或伪装成大众的导师,在那里愚蠢地发号施令。

 

 

 

  版权信息:

  体态秘语——肢体语言手册

  作者:()彼得﹒卡雷特|译者:季广茂//邱娟//丁洁如

  出版社:首都师范大学出版社

  出版日期:200612

  ISBN781064990 页数:283

07/02/2008

一封回信

  加缪的作品也是我很喜欢的。如果一个人正在思考着自身以及其身在其中的世界,他无可回避地将要进入这个让他觉得陌生的、让你身在其中却又如此遥远的世界,对于这样一个年轻人,存在主义的作品多多少少会有一定的吸引力的。我个人觉得最主要的是一种疏离的状态,在《局外人》里表现出来的是主人公对自己的事件、自己的身份、围绕自己自行运转的整个世界都显现出了一种特别的疏离状态。我觉得这种疏离状态其实在我们的生活中,我们有时候也会在各种不同的情形下会碰到,特别是当你对于你自己所处的现实采取不那么认同的态度,却又不得不身在其中随同着现实一起麻木地运转的时候。这就是所谓疏离的根源吧。事实上,类似的情绪在西方五六十年代的电影和文学作品中十分普遍,加缪的作品十分精致、出色地把这种情绪转化到高级艺术(high art)中,而其他比如好莱坞大量的黑色电影,也弥漫着类似的情绪,只不过那些硬汉侦探片是这种情绪的大众版本。
  昆德拉的《小说的艺术》我看得太早了,现在无法记起他说这几个人的语境。但总的来说,这些人是典型的西方文学人物。每个人都刺中西方文化的要害,无法一两语就能说尽。浮士德即所谓的浮士德精神,在向善与向恶的几乎足以把自我撕裂的内在反向张力中永不停息地探索,在强韧的生命力的支撑下,虽然要无可避免地经历无尽的生命苦痛,但最终反而使得自己的精神获得不断地扩展,不断地向着新的境界提升。唐璜也是欧洲流传很广的人物原型,版本很多,在绝大部分的版本中都是以无耻的好色之徒的面目出现,特别是在莫扎特的歌剧版本中。但事实上,这个人物后来也变得很复杂。在拜伦的长诗《唐璜》中,他放荡不羁的生活与他对其所在的贵族社会生活的洞察、藐视与冷笑联系在一起,十分反讽,这使得这个人物的内涵变得极为复杂。这种改变与拜伦自己作品中一贯的情绪、他对于其所生活的英国上层社会的态度有着深层的关系。唐·吉诃德的形象经过后世的文学家、思想者不断地解释,已经变成一个最有思想价值的文学人物之一。各人的立场和语境不同,都会有不同的理解,但总得来说,这个人总是与一种试图以幻想和想象来超越现实的努力联系在一起。最后一人我不记得了。
  简单地说这么一些,希望对你有所帮助。