A Systemic Functional Linguistics Approach to Translation Studies 系统功能语言学视角下的翻译研究

1. A Systemic Functional Linguistics Approach to Translation Studies系统功能语言学视角下的翻译研究 Huang Guowen (Sun Yat-sen University) 中山大学 黃国文 <flshgw@mail.sysu.edu.cn>

2. Acknowledgements • I’d like to express my thanks to the School of Foreign Languages of Nanjing University of Technology for inviting me to give a talk here.

3. Acknowledgements • At Sun Yat-sen University a number of people have worked with me in the area of translation studies: • 张美芳 教授、博士（中山大学/澳门大学） • 尚媛媛 副教授、博士（深圳大学） • 王 鹏 讲师、博士（中山大学） • 李发根 教授、博士（江西师范大学） • 司显柱 教授、博士（江西财经大学）

4. 近年来我们的有关研究 • 黄国文 2001，《语篇分析的理论与实践》， 上海：上海外语教育出版社。 • 黄国文 2002，关于语篇与翻译，《外语与外语教学》2002第7期。 • 黄国文 2006，《翻译研究的语言学探索》， 上海：上海外语教育出版社。 • 张美芳、黄国文 2002，语篇语言学与翻译研究，《中国翻译》2002年第3期。 • 黄国文、张美芳 2003, 从语篇分析角度看翻译单位的确定,(香港)Translation Quarterly, 2003（30）。

5. 黄国文：功能语言学分析对翻译研究的启示,《 外语与外语教学》，2002 (5)。 • 黄国文：杜牧《清明》英译文的逻辑功能分析,《 外语与翻译》，2002 (1)。 • 黄国文：《清明》英译文的人际功能探讨,《 外语教学》， 2002 (3)。 • 黄国文：从语篇功能的角度看《清明》的几种英译文,钱军 编 《语言学：中国与世界同步 》， 北京：外语教学与研究出版社, 2002。 • 黄国文：唐诗英译文中的引述现象分析，《 外语学刊》2002 (3)。 • 黄国文：对唐诗《寻隐者不遇》英译文的功能语篇分析，《 解放军外语学院学报》，2002(5)。 • 黄国文：古诗英译文里的时态分析，《四川外语学院学报》2003（1）。

6. 黄国文：汉英语篇比较研究的功能语言学尝试，《外语与外语教学》2003（2）。黄国文：汉英语篇比较研究的功能语言学尝试，《外语与外语教学》2003（2）。 • 黄国文：从《天净沙 ·秋思》的英译文看 “形式对等”的重要性，《中国翻译》2003（2）。 • 黄国文：静态与动态在翻译中的表现——柳宗元的《江雪》英译文分析，《外语与翻译》2003（1）。 • 黄国文：翻译研究的功能语言学途径。《中国翻译》2004（5）。 • 黄国文：形式的选择与意义的体现——古诗英译文中的人称问题研究。《外语艺术教育研究》2004（4）。 • 黄国文：古诗英译分析的语言学尝试。《外语论坛》2006（1）。 • 黄国文：关于功能语言学与翻译研究。王东风 编《功能语言学与翻译研究》广州：中山大学出版社，2006。

7. Outline • 1 Introduction: Two general approaches to translation studies • 2 Functional Linguistics • 3 Functional Linguistics and translation studies • 4 Hallidayan functionalism in translation studies (Catford, Hatim & Mason, Bell, Baker) • 5 SFL approach revisited (assumptions, functional views of language, levels of analysis) • 6 Illustration: “Jiang Xue” • 7 Summary

8. 1 Introduction: Two approaches • Two approaches to translation studies: • (1) Linguistics (formal vs functional) • (2) Literary • Translation studies as a science • Translation as an art • Translation as a practice and translation studies as a inter-discipline or a multi-discipline

9. 2 Functional Linguistics • Linguistics: • (1) Formal linguistics (e.g. generative linguistics) • (2) Functional linguistics (including Systemic Functional Linguistics, Pragmatics, Cognitive Linguistics, Discourse Analysis, Sociolinguistics, etc.)

10. 2 Functional Linguistics • Functionalism in linguistics • (1) Prague School Linguistics (V. Mathesius, R. Jakobson, J. Firbas, N. Trubetzkoy) • (2) London School Linguistics (J. Firth) • (3) Copenhagen School (L. Hjelmslev) • (4) French functionalism (A. Martinet ) • (5) Systemic Functional Linguistics (M. Halliday)

11. 2 Functional Linguistics • (6) Autonomist functionalism or generative functionalism (S. Kuno, E. Prince) • (7) Functional grammar (S. Dik) • (8) Text/Discourse grammar (van Dijk) • (9) Mixed functionalism (S. Levinson)

12. 2 Functional Linguistics • (10) Typological functionalism (W. Croft) • (11) Role and Reference Grammar (R.D. van Valin, W.A. Foley) • (12) West Coast Functionalism (T. Givón, P. Hopper, S. Thompson) • (13) Cognitive linguistics (R.W. Langacker)

13. Note that different functional approaches are usually related in one way or another. E.g., • Halliday was Firth's student and both were influenced by the Prague School. Both Halliday and Firth came from a European tradition influenced by de Saussure (esp Halliday) (as was the Prague School to some extent). • What is clear is that there are influences rather than hierarchies involved here.

14. 3 Functional Linguistics and translation studies • As a practice, the history of translation is as old as that of the human society. • In terms of theoretical approaches to translation studies, almost every linguistic theory/model has something to offer to the study of translation (as a theory or as a practice). • Thus, one can say that there are more than 10 “functional linguistics” approaches to translation studies.

15. 3 Functional Linguistics and translation studies • There are a number of important functional approaches to translation studies. Below are three major ones: • (1) Hallidayan functionalism (M. Baker, B. Hatim, R. Bell, J. House) • (2) German functionalism (K. Reiss, H. Vermeer, C. Nord, J. Holz-Manttari) • (3) Pragmatics/Mixed functionalism (E-A. Gutt, L. Hickey)

16. 3 Functional Linguistics and translation studies • Basic assumptions: • Viewing language as a means of communication • Emphasizing cognitive, socio-cultural, physiological factors • Regarding semantic, pragmatic, functional patterning as central • Doing analysis of texts and their contexts

17. Translation is translating meaning!

18. 4 Hallidayan functionalism in translation studies • Background (neo-Firthian ) • Developments of Hallidayan linguistics: four stages • (1) 1961--: Scale and Category Grammar • (2) 1966--: Systemic Grammar • (3) 1970--: Functional Grammar (Systemic Functional Grammar) • (4) 1978--: Systemic Functional Linguistics

19. Halliday develops his theory of language from the study of syntax. From “a theory of syntax” to “a theory of language” • Scale and Category Grammar, • Systemic Grammar, • Functional Grammar, • Systemic Functional Grammar, • Systemic Functional Linguistics

20. 4.1 Catford’s approach • J. C. Catford, A Linguistic Theory of Translation: An Essay in Applied Linguistics, 1965. (卡特福德《翻译的语言学理论》;穆雷译. 北京旅游出版社 1991) • Notes: (1) Based on Scale and Category Grammar; (2) An Essay in Applied Linguistics • In 1956, the University of Edinburgh established the first School of Applied Linguistics under the direction of J.C. Catford.

21. 《翻译的语言学理论》目录 (穆雷译) 第一章：普通语言学理论 第二章：翻译的定义和基本类型 第三章：翻译等值 第四章：形式对应 第五章：意义和完全翻译 第六章：转移 第七章：翻译等值的条件 第八章：按音位学原理的翻译，或称音位翻译 第九章：按字形学原理的翻译，或称字形翻译 第十章：音译 第十一章：语法翻译和词汇翻译 第十二章：翻译转换或翻译转位 第十三章：翻译中的语言变体 第十四章：可译性的限度

22. “早在1965年，J.C. Catford 就试图用M.A.K. Halliday （1956, 1961）的阶和范畴语法思想来建立一个基于语言学的翻译理论模式，他所说的诸如“语境”（Context）和“语境意义”（Contextual Meaning）这些概念都是源于Halliday及其老师、伦敦学派的奠基人J.R. Firth的语言学理论。” (黄国文 2004)

23. “Catford（1965）以系统语言学为基础，提出了‘翻译对等论’。他认为，翻译实践的中心问题是寻求等值成分：等值关系可以在 ‘层面’ (levels, 语法、词汇、语音、词形等) 和 ‘等级’ (ranks, 语法结构、句子、短语、词、词素等) 的任何一个交叉点上建立。” (黄国文 2003)

24. Definition • Translation: the replacement of textual material in one language (SL) by equivalent textual material in another language (TL). (Catford 1965) • 翻译是用另一种语言（译语）的等值的文本材料来替换一种语言（原语）的文本材料。（穆雷 译1990）

25. “textual material” • “textual material” (rather than “text”): it is not the entirety of a SL which is translated • Replacement: replacement of SL grammar and lexis by equivalent TL grammar and lexis • Replacement of SL graphology by TL graphology – but the TL graphological form is by no means a translation equivalent of the SL graphological form

26. “equivalent” • “The central problem of translation practice is that of finding TL translation equivalents. A central task of translation theory is that of defining the nature and conditions of translation equivalence.”

27. “transference” • “at one or more levels there may be no replacement at all, but simple transference of SL material into the TL text.” • In normal translation, the TL text has a TL meaning. The values of TL items are entirely those set up by formal and contextual relations in the TL itself.

28. However, it is possible to carry out an operation in which the TL text, or part of the TL text, does have values set up in the SL (i.e. has SL meaning). • Catford calls this process “transference”.

29. In translation, there is substitution of TL meanings for SL meanings: not transference of SL meanings into the TL. In transference there is an implantation of SL meanings into the TL text. • These two processes must be clearly differentiated in any theory of translation.

30. “textual equivalence” vs “formal correspondence” • “A textual equivalent is any TL text or portion of text which is observed on a particular occasion to be the equivalent of a given SL text or portion of text. ”

31. “A formal correspondent, on the other hand, is any TL category (unit, class, structure, element of structure, etc.) which can be said to occupy, as nearly as possible, the ‘same’ place in the ‘economy’ of the TL as the given SL category occupies in the SL.”

32. 穆雷. 评卡特福德的《翻译的语言学理论》[J] 《外语教学》1990 (2):37 • 林克难. 重新认识卡特福德翻译理论 [J] 《天津外国语学院学报》 2001(1) • 刘文华 梁燕.卡特福德翻译等值论中的翻译的转移及对语言教学的启示 [J] 《鞍山师范学院学报》 2004(3) • 范祥涛. 从卡特福德到翻译规律的探讨 --兼论语料库翻译研究的意义[J] 《外语研究》 2006（2） • 孙乃荣 王秀娟.《语言学翻译理论》评介[J].《安徽工业大学学报》 2006（6）

33. 4.2 Approach by Hatim & Mason • Hatim & Mason (1990) takes a functional discourse approach • Register analysis • Discourse structure • Texture • Text type • Context • Intertextuality and intentionality

34. 4.3 Bell’s approach • Bell (1991) focuses on elements in communication • What? • Why? • When? • How? • Where? • Who?

35. 4.4 Baker’s approach • Baker (1992) focuses on “equivalence”: • Equivalence at word level • Equivalence above word level • Grammatical equivalence • Textual equivalence • Pragmatic equivalence

36. 5 SFL approach revisited • Revisiting the Systemic Functional Linguistics approach to translation studies

37. 5.1 Basic assumptions • A translated text is different from the original text in terms of context of co-text, context of situation and context of culture. • A functional linguistics approach to the analysis of a translated text is a functional linguistics study of the text and its context.

38. 5.2A functional view of language • Language as meaning-potential • Choices of language are meaningful in relation to the system of choices available (what could have been said but was not) • Language as metafunctional • Ideational • Interpersonal • Textual • Language as multi-stratal • (Discourse) Semantics • Lexicogrammar • Phonology / Graphology

39. The traffic light system • Stop Slow down RED Go AMBER GREEN Meaning (is realized by) Form

40. Language as meaning-potential • He is my father/dad. • 父亲。 • 他是我 爸爸。 • 老窦。

41. Meaning as metafunctional • Ideational metafunction • Interpersonal metafunction • Textual metafunction • Ideational equivalence • Interpersonal equivalence • Textual equivalence

42. Ideational equivalence • A. He is a teacher of English. (Relational process) • B. He teaches English. (Material process) • (1) 他是英语老师。（关系过程） • (2) 他教授英语的。（物质过程）

43. Interpersonal equivalence • 窈窕淑女，君子好逑。（《诗经》） • A good young man is wooing a maiden fair he loves. （许渊冲 译，1992） • The lad is keen to woo the lass, a very dream.（赵彦春 译，2002） • A lad would like to woo a lass with pretty looks.（汪榕培 译，1997）

44. Textual equivalence • They arrived at the airport yesterday afternoon and were met by the mayor of Beijing there. (passive) • （1）他们昨天下午到达机场，北京市市长到那里接见了他们。（主动语态） • （2）他们昨天下午到达机场，便受到北京市市长的接见。 （被动语态）

45. 5.3 Levels of analysis • (1) Ideology • (2) Context of Culture: genre (schematic patterning) • (3) Context of Situation: register (field, tenor, mode) • (4) Context of co-text: language (Ideational, Interpersonal, Textual)

46. 5.3 Levels of analysis • Metafunction: • Transitivity (process types: material, mental, relational, verbal, behavioral, existential), • Ergativity, • Voice; • Speech role (offer, statement, command, question), • Mood (declarative, indicative, interrogative), • Modality (modalisation, modulation);

47. 5.3 Levels of analysis • Thematic structure, • Information structure, • Cohesion (reference, ellipsis, substitution, conjunction). • Grammatical metaphor (ideational, interpersonal, textual) • Groups and phrases • Clauses

48. 5.3 Levels of analysis • Clauses in combination • Types of relations between clauses: logical dependency relations (dependence/ hypotaxis; equality/parataxis); logico-semantic relation: (a) expansion: elaboration, extension, enhancement, (b) projection: locution, idea)

49. 6 Illustration: “Jiang Xue” • Illustrations: River Snow • 柳宗元《江雪》

50. 6. Illustration: “Jiang Xue” 江 雪 柳宗元 千山鸟飞绝， 万径人踪灭。 孤舟蓑笠翁， 独钓寒江雪。