3.4 Comparative Study of Chinese and English Texts ( 35 minutes)
作为话语分析的分支，语篇分析研究大于句子的语言单位语篇的组织结构规律，其主要概念为粘合(cohesion)，即把句子在语法和语义上连结起来的表层形式特征，和连贯(coherence)即语篇的深层概念和逻辑上的统一性。作为与翻译的理解与表达密切相关的学科，语篇分析理所当然地被纳入了翻译理论的研究范围。本文从篇章的连贯、粘合与宏观结构方面探讨英汉翻译的谋篇布局问题。
3.4.1主位结构和篇章的连贯性( 15 minutes)
语篇分析学家把句子划分为主位和述位，从而探讨句法结构和语言功能的关系以及篇章的信息分布规律。句子的第一个直接成分(left-most constitute)为主位，其余部分为述位。主位是句子的出发点、句子的主题内容或一系列句子的“中心主语”而发展的“所指”。主位结构的功能为确定语篇的结构框架，使说话人从不同的出发点来发展语篇的主题。 主—述位模式
主位提供已知信息，述位提供未知信息。一般说来，作者/说话人是根据
读者/听者对当前话题的了解情况或已知的信息来选择下一句话的主位,所以英语句
子的主—述位模式一般为:连续主位发展型(constant theme progression )、 线性
发展型( linear progression )、派生主位发展型(derived theme progression )、延续平行发展型(extended parallel progression )和连贯中断型(coherence breaks )。
语篇的连贯性通过已知信息、新信息的发展并以形式上的衔接得以实现。
1.连续发展(平行) 型(constant/parallel theme-rheme progression )
主位相同, 述位不同, 即以后的各个句子均以第一句的主位(a) 引出不同的述位(b,
c, d) ; 或反过来, 述位相同, 主位不同, 即以后的各句均由不同的主位(a, c, d)
出发,述位为相同的 (b)。
(1) Nambi‖had spent the whole day in meditation. He‖ had been fervently
praying to the Goddess not to desert him. He‖began the story. He‖went on for an hour without a stop.
Jack‖got married, Jan‖got married and Tom‖got married too.
The teacher (主位1 ) entered the classroom. She (主位1) put the case on the
desk and began the class.
在这个语篇中,每一个句子的主语主位化,构成篇章的出发点,作为其后两个小句的
共同主位而发展整个语篇的主题(topic entity) ,回答“What did the teacher do ?”这个问题。
如果后一句子改为“The case was put on the desk and the class was begun by
her”,这一串句子就不能构成连贯的语篇,因为后两个子句的主位“the case” , “the class”是上文所没有的新信息,构成两个新的、没有关联的出发点,这就破坏
了语篇的连贯性,尽管它包含了和原文相同的概念意义。
2. 线性发展型 ( linear theme-rheme progression )
前一句的述位(b)成为后一句的主位, 第二句的述位( c)又成为第三句的主位; 或
前一句的主位(a)成为后一句的述位, 第二句的主位(c)又成为第三句的述位, 以后
依此类推:ab bc cd
I‖was told a similar story about another person —the friend of a friend.
He‖was knocked down on a mid-town street by a car late at night. The car‖
didn’t stop and no one saw the accident.
The newspaper‖had fallen on the floor. I‖picked it up. But the boy‖saw
me.
3. 派生发展型 (derived theme-rheme progression )
前一句的总主位或总述位派生出几个次主位:
They‖rode on abstractedly. The lady‖thought about the doll’s house, for
she had been poor and had never had one as a child, the man‖thought how he had almost a million dollars and the little girl‖thought about the odd doings on the dingy street that they had left behind.
I‖saw three children playing in the courtyard . The girl in red‖was chasing
a butterfly. The younger girl‖was patting a ball. And the boy‖was riding a bike.
4. 延续平行发展型(extended parallel progression )
第一个和最后一个出现的主位相同, 但之间被一线性发展序列隔开:
Body language‖varies from culture to culture . To say yes, Americans‖nod
their heads up and down. Japanese and Italians‖use the same nod to say no. Body language‖is an important skill for international managers .
5. 连贯中断型(coherence breaks )
在发展序列中出现前面未提及的一个新的主位, 如以下序列中的d: ,
c>,
I‖was playing basketball with my father in our backyard according to
procedures we had developed. My father‖would stand beneath the hoop, shout, and I would shoot over his head at the basket attached to our garage. Our next door neighbor‖, aged five, wandered over into our yard with a playmate. 语篇的衔接手段
关于语篇的衔接手段 , 韩礼德 (Halliday) 和哈桑 (Hasan) 有系统的论述 , (1976,1985 ) 他们将其划分为语法手段和词汇手段两大类。胡壮麟先生的分类更为细致具体 , 也更具可操作性。胡壮麟先生在《语篇的衔接与连贯》中列举了指称性、结构衔接、逻辑衔接、词汇衔接四项作为衔接的主要手段。
1) 指称衔接
指称关系分为直示、照应、照应性和所指关系。照应性把直示和照应两个概念统一于一个系统中 , 而且包括了其他衔接手段 , 如外指 (包括情景指称和人指) 和内指 (包括回指与下指) 。
2) 结构衔接
结构衔接具体分为替代、省略和同构关系。所谓同构关系 , 又称同构衔接 , 与修辞学中的排比相近 ,“不能光指形式上的相似 , 也不能光指语义上的相似 , 而是要求形式与语义的统一 , (胡壮麟 ,1994:85 ) 具体表现为重复、添加、交替、拼合。
3) 逻辑衔接
逻辑连接按连接语义区分为添加、转折、因果、时空; 按抽象逻辑语义区分为详述 (对已有信息的进一步说明、评论或举例) 、延伸 (在表达前句或基本小句的语义之外增加新的陈述或交代其例外情况) 和增强 (给另一个句子或小句提供有关时空、因果、理由和方式等方面的信息) 。
4) 词汇衔接
词汇衔接手段具体有重复 (使用泛指词以避免累赘) 、相似性 (使用同义词、近义词 , 意义相反、互补对立的词等等) 、分类关系 (使用在语义上有类属联系的词) 和组合搭配等。 重复：具有同样语义同一形式的词汇在同一语篇中反复出现 , 叫做词汇重复。累赘重复是语言使用一忌 , 但在特定的情景中有意识的词项重复却可用于组织篇章 , 使语义贯通 , 上下衔接的作用。
How many loved your moments of glad grace,
And loved your beauty with love false or true,
But one man loved the pilgrim soul in you,
And loved the sorrows of your changing face;
(William Butler Yeats, When You Are Old )
Arise , arise , arise !
There is blood on the earth that denies ye bread;
Be ye wounds like eyes,
To weep for the dead , the dead , the dead.
(Percy B. Shelley: An Ode )
该首政治诗歌作于 1819年 10 月 , 西班牙人恢复自由的前夕。雪莱连续使用
arise和 dead ,表达出强烈的号召: 号召西班牙人民起来 , 拿起武器保护自己 , 为自由和独立而战 , 为死去的勇士而战。词项的重复表达出更加强烈的语气 , 更
加丰富的感情。
在语篇中遇到其他位置出现过的人、物、事情或地点时 , 可用一些泛指上述概念的词语替代 , 即泛指词 , 如英语person, thing, place, fact 等。泛指词的使用可以丰富词汇 , 精简语言 , 衔接语篇 , 达到语义的贯通。 例如:
I turned to the ascent of the peak. The thing is perfectly easy.
Robert seems very worried about something. I think you ought to have a talk
with the boy.
同义词包括同义词和近义词，可用于同样意义或相近意义的不同词项之间的接应关系 , 人、物、过程、性质都可。在文学作品中, 词语常以同义词形式出现,以避免语篇单调呆板, 从而更精确地表意, 更细腻地传情, 更形象地绘物, 起到组织语段、构建语篇及加强段落的表达。
We observe today not a victory of a party but a celebration of freedom,
symbolizing an end as well as a beginning, signifying renewal as well as change.
Someone who is infantile behaves in a foolish and childish way.
Everyday as one word is an adjective meaning “commonplace” ,“normal” .
反义词指在两个词项之间存在一种意义上的对比关系，包括相对关系、互补关系、换位关系等。两个反义词在同一个句子或语篇中出现是使其在意义上形成对照, 从正反两个方面对某个事物或现象进行描写, 从而使所在的句子或语篇上下衔接 , 同时增强语言的表现能力, 使听者或读者得到全面而生动的印象。
Is life so dear, or peace so sweet, as to be purchased at the price of chains
and slavery? . . . I know not what course others may take; but as for me, give me liberty or give me death!
I dozed, dreamed, and forgot my dreams the moment I wakened.
What Dr. King promised was not a ranch-style house and an acre of manicured
lawn for every black man, but jail and finally freedom.
But genuine achievers are often those who fail for a long time.
Above is paradise, below are Suzhou and Hangzhou.
词汇衔接也可经词语间的上下义关系体现, 上下义关系可分为两种情况, 第一种情况是上义词出现在下义词之前, 下义词的出现对相应的上义词起到进一步说明、意义更加明确的衔接作用, 如:
Marian had dreams of becoming a musician, a folksinger
另一种情况是上义词出现在下义词之后, 对上文相应的下义词起到归类或概括的衔接作用,如:
Cathedral: n. [count] an important large church.
Yesterday a pigeon carried the first message from Pinhurst to Sillbury. The
bird covered the distance in three minutes .
There was a fine old rocking-chair that his father used to sit in, a desk
where he wrote letters, a nest of small tables and a dark, imposing bookcase. Now all this furniture was to be sold, and with it his own past.
许多词项倾向于在同一语境中出现, 具有语篇衔接力, 这样的衔接叫做搭配性衔接 (Halliday,1976, 2001:284 ) 。属于组合搭配的分别有结果关系、修饰关系或者在语境中出现的参与者可以预期某种过程 , 或者从某种过程可以期待有关的参与者。搭配性衔接强调的是一系列词语在篇章中共现的潜在联想性 (potential associativeness), 例如 boat往往会使人联想到row, sink 等，从而在语境中共现。搭配性衔接对语言信息的生成和解释均有一定的指导作用, 有助于对篇章的潜在的语义演化做出预测和推测。试运用搭配性衔接理论分析如下文字:
In recent years, youthful mind-benders have tripped on everything from
airplane glue to morning-glory seeds. 近年来, 年轻的吸毒者服用种种迷幻药, 从大麻烟卷烟蒂乃至牵牛花籽等应有尽有。 ”
Many Third World nations with high unemployment and low wages have seen an
emigration of workers to the developed nations. Western Europe has received millions of such workers from Mediterranean countries. The developing nations profit when these workers bring their savings and their acquired technical skills back home. Many developing nations benefit when Western nations establish manufacturing in their countries to take advantage of cheap labor.
在语篇中, 如果对于一个词语的解释不能从词语本身获得, 而必须从该词语所指的对象中寻求答案, 这就产生了照应关系(Halliday and Hasan ,1976) :
Credit cards enable their holders to obtain goods and services on credit.
They are issued by retail stores, banks, credit card companies to approved clients. The bank or credit card company settles the client’ s bills, invoicing him monthly and charging interest on any outstanding debts. Their profit comes from the high rate of interest charged, the card-holders subscriptions, and the fees paid by some organizations that accept cards. 英语中的指示照应有时包含着时空概念, 也就是, this/ these 这(些)通常指距离现今较近的时空概念, 而that/ those 通常指时空上较远的时空概念, 我们在英译汉时应当对此有适当体现, 但是英语中的this 和that 并非与汉语的“这”与“那”构成一一对应关系。英语中的that 使用频率比 this高, 而汉语中的“这”使用频率比“那”高得多,因此汉译时常有化远为近的需要:
According to an Asian woman’ s website poll, more than half of the respondents
suggested that the new economy dress code should be comfortable. Even employers agree with that.
If possible, ask her to lunch to learn more about her. Think of it as a job
interview, because that is virtually what it is.
替代指的是用替代的形式来取代上文中的某一成分。它能使语篇行文更加简洁, 同时由于替代部分在语音上多属于非重读 ,能使话语中的新信息得到强调突出。省略指的是把语言结构中的某个成分省去不提, 有时也可看成一种零替代形式。替代和省略都可进一步分为名词性、动词性和分句性等三种。省略和替代都是遵照语言习惯和语法规则, 为避免重复、突出新信息并使上下文紧密连接的衔接手段。
Historical evidence shows that birth ( . . . ) and death rates level off as
countries move into the industrial stage.
But can Europe learn to work together ? They believe it must ( . . . ) . The truth of course is that you have to pay a professional to do it for you.
This should be looked at as another investment : you have to spend money in short term to save money in the long term.
篇章在语义和概念上的连贯性是由主述位结构和其他句法、词汇的粘连形式来实现的。 粘合即话语的组成部分,它是把句子组合起来的表层语言形式,包括照应、替代、省略、连接和其他词汇形式。
本节简述粘合在翻译中的应用。
以下是《大学》“孔经”中的一段和James Legge的译文:
所谓诚其意者,毋自欺也。如恶恶臭,如好好色,此之谓自谦,故君子必慎其独也。小人闲居为不善,无所不至,见君子而后厌然,掩其不善,而著其善,人之视己,如见其肺肝然,则何益矣? 此谓诚于中,形于外,故君子必慎其独也。
What is meant by “making the thoughts sincere” is the allowing no self- deception欺骗, as when we hate a bad smell, and as when we love what is beautiful. This is called self-enjoyment. Therefore, the superior man must be watchful over himself when he is alone. There is no evil to which the mean man, dwelling retired, will not proceed, but when he sees a superior man, he instantly tries to disguise himself, concealing his evil, and displaying what is good. The other beholds 目睹，看见，注意到him, as if he saw his heart and veins 静脉—of what use is his disguise? This is an instance of the saying —“What truly is within will be manifested without.” Therefore, the superior man must be watchful over himself.
凯普兰(Robert Kaplan , 1966)运用对比修辞方法对不同文化、思维模式对篇章的组织方式的影响时指出,英语的篇章组织发展为直线型,即段落常以主题句开始,提出主要论点,然后此主题分为若干要点在段落中加以发展;东方各语言的篇章组织模式多为螺旋型,即由表面到核心,由具体到抽象。然而,分析以上原文(以及同一章的许多其他段落),可发现汉语的谋篇布局模式具有相当的灵活性,既有所谓的螺旋型,更多的则是由里到表的直线型。在以上引文中,第一句承接上文开门见山地提出本段的主题,即“诚意”的论点,随后以“恶恶臭”, “好好色”二例对其加以解释,再以“君子慎独”, “小人掩其不善”发展“毋自欺”这一主题,最后一句重复主题,作为段落的结尾。原文在逻辑组织上、概念上首尾贯通,就是连贯。在粘合手段上有句法的排比如“如恶恶臭、如好好色”;有反义对照如“君子”、“小人”;有代词照应如“此之谓自谦”、“此谓诚于中”等;有词汇连接如“故君子必慎其独也”等。
正是由于汉英两种语言(至少在某些语体)篇章组织结构上的相似性,才有可能在汉译英时保留汉语篇章的某些形式特征。如James Legge 的译文所示,原文的粘合形式一一照译不误,如排比: “as when we hate a bad smell” , “as when we love what is beautiful”;照应:“This is called self-enjoyment”, “The other beholds him”;连接: “Therefore”等。
然而,也有不少汉语语篇相当简炼,体现了汉语重“意合”而非“形合”的特点。篇章的连贯是通过概念内容的完整统一来实现的,句与句之间缺乏明显的、外在的粘连形式。翻译时,就须适当补充,在语义和结构上加以调整,使译文通顺流畅。请比较下例:
父亲是革命家,也是诗人。他的诗,非文人墨客的谴兴之作。诗言志,父亲的诗中的一题,一景,一人,一事,无不记述着中国革命发展的英雄业绩。古往今来,有史诗一说,父亲的诗篇,连贯起来,可谓中国革命的不朽史诗。
Father is a poet as well as a revolutionary. However, his poetical writings are unlike those of some men of letters which involve private concerns. As the saying goes, “Poetry expresses genuine feelings”. There is not one line or one episode in Father’s poems but portrays some soul- stirring heroic deeds of the Chinese people in their revolutionary struggles. In the West, there is the word “epic”. Father’s poetical writings, in their entirety, deserve to be called a spectacular epic of the Chinese revolution. ( Tr. X. Y. Z)
原句的第一句为全篇的主题,其余各句是该主题的发展。语篇在意义上是连贯的,而在文句衔接上却相当简略。译文在句子的粘连和某些词语的语义方面作了适当调整。例如,增加了连接副词“However”,以表达此句与上句的转折关系;原文的“诗言志”一句似乎与上下文没有多大联系,读起来显得突兀。为求通畅并与下句关联,译文增添了“As the saying goes”,以合理地引出下句,并且,没有把“言志”按字面意义译为“志向” (aspiration) 而调整为“感情” (feelings),即“诗言情”,相应地,把“革命发展的英雄业绩”调整为“中国人民革命斗争中的英雄业绩”,这样,上文的“言志”和下文的“业绩”便自然地连接起来。此外,原文的“古往今来”仅为了引出下文,并无具体含义,因此译文没有照字面将它译为through the ages ,而处理成“In the West”,这是便于在结构上与上文的“As the saying goes”衔接,在语义上也产生了比较对照的效果。
总之,从语篇分析的角度讲,语篇是概念和意义的统一体,汉英语篇都有一些相同的粘合方式,但在各种方式的使用和使用频率上都有相当差异。译者应当把握其异同,并进行适当的语义的、结构的调整,使译文达意、自然、流畅。
3.4.3 段落的概念结构与语篇的连贯性( 10 minutes)
以上讨论了段落以内的信息结构和句子的粘合问题,引用的也都是句与句的粘合关系比较明显,概念也都集中在同一主题或同一主题的某个侧面的例子。如以上所述,凯普兰认为,英语的组织结构为直线型。许多修辞学家也指出,英语的段落发展一般遵循如下模式:第一
个句子往往是主题句,提出篇章的主要论点,此论点被划分为若干相互联系的要点并分别在随后的段落中加以发展,这也是一般英语读者所期望的传统的篇章模式。然而,在许多汉语文本中,由于语体特点和作者的个人风格,一个段落包含了大量的信息,这些信息大体上围绕同一主题,但表现的是并无密切联系的这一主题的不同侧面。遇到这种情况,就需要对原文的段落重新划分,使每个段落符合英语段落的特点并保留原文篇章的连贯性。
以下是“宁波大学概况”的第一段:
宁波大学是一所包括文、经、法、理、工、农、师范等多学科的综合性大学,受国家教委和省、市政府的共同领导。邓小平为学校亲笔题写了校名,江泽民为学校题了辞。在创建和发展过程中得到了爱国侨胞的大量捐助和广泛支持。1996年 3 月,宁波大学、宁波师范学院、浙江水产学院宁波分院三校联合办学,实行统一领导,统一规划,统一建设。宁波大学是 1986 年由以故香港环球航运集团名誉主席包玉刚先生率先捐资创建的。宁波师范学院创办于 1956 年,受到邵氏兄弟(香港)有限公司主席邵逸夫先生的多项捐助;浙江水产学院创办于 1958 年,1986 年在宁波设立分院。三校合并以后,学校规模成倍扩大,办学实力显著增强。
引文从三方面简要介绍了宁波大学的情况:1) 宁波大学的性质和行政地位;2) 宁波大学得到的政治、经济支持; 3) 宁波大学各组成部分的情况。这三个方面在概念上都与篇章的主题相联系,但联系的密切程度却不一样。其中,第一个方面为主题的确定性成分(determinate component ),联系程度最高;二、三方面为典型性成分( typical component )即相对较次要的概念,与主要概念的联系就相对要低一些。特别是第三个方面,它包含了“宁波大学”各组成部分的简要历史,与主题的联系就更低了。如果把这些联系程度不同的成分放在同一英语段落中,似乎不大符合英语段落的规律。基于以上考虑,我们把它译为:
A Brief Introduction to Ningbo University
Ningbo University is a comprehensive university offering academic courses in liberal art, economics, law, science, agronomy and education. It is under the coleadership of the State Education Commission and the provincial and municipal governments.
Ningbo University has its name celebrated by Deng Xiaoping’s autograph and Jiang Zeming’s inscription. Throughout its establishment and development, the University has been upheld by considerable donations and generous support from patriotic overseas Chinese. In March 1996, Ningbo University was combined with Ningbo Teachers’ College and the Ningbo Branch Campus of Zhejiang Marine Products College, and the combination brings the three under unified administration, management and construction. Of these three institutions, the original Ningbo University owed its foundation to the initial donation of Sir Pao Yuh-gang, late honorary chairman of Globe Navigation Group, Hong Kong. Ningbo Teachers’ College was established in 1956 and
benefited from repeated donations from Mr. Shauh Yi-fu, chairman of Shauh & Brothers Co. Ltd. (Hong Kong). Zhejiang Marine Products College originated in 1958 and started its Ningbo Branch Campus in 1986. With the combination of the three institutions, the present Ningbo University has multiple dimensions and a greater educational scope.
关于段落的划分,语篇分析学家提出了不少方法,如根据背景(时间与空间)的变化、主位的改变、副词段落标记等,但仍无定论。比较清楚的是,英语中一个好的段落中的句子应当在概念和逻辑上与该段落表现的主题直接相关,以上引文是按这一原则做出的,也得到了英语专家的认可。
本文从篇章的信息分布、粘合手段和段落结构三方面探讨了汉译英的谋篇布局问题。诚然,文无定法正如难以找到适合各种语体的共通的语篇模式一样,同一原文可以有多种译文,文中所举各例也不例外。但在忠实的前提下对原文进行语篇分析,把握其结构特征,进而使译文符合英文的篇章特点则有助于通顺、自然地传达原作内容。此外,应用语篇分析的方法也可以使翻译和翻译批评中少一些主观性,多一些科学性。当然,语篇分析是现代语言学新兴的分支,它在翻译中的应用是比较新的课题,本文仅是这个领域中段落层次上的一个初步的体会,企望抛砖引玉,得到行家的指点。