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英语语言文化论文
浅谈非语言交际中的身势语
959 2-14
摘要
“身势语”同语言一样，都是文化的一部分。在不同文化中，身势语的意义并不完全相同。各民族有不同的非语言交际方式.例如：不同的民族在谈话时，对双方保持多大距离才合适有不同的看法；谈话双方身体接触的次数多少因文化不同而各异；在目光接触这一方面也有许多规定：看不看对方，什么时候看，看多久，什么人可以看，什么人不可以看；在某些场合下，在中国和讲English/">英语的国家无论微笑还是大笑，通常表示友好﹑赞同﹑满意﹑高兴﹑愉快，但是在某些场合，中国人的笑会引起西方人的反感；打手势时动作稍有不同，就会与原来的意图有所区别，对某种手势理解错了，也会引起意外的反应等等。因此，要用外语进行有效的交际，在说某种语言时就得了解说话人的手势，动作，举止等所表示的意思。而有些权威人士认为两者相互依存。在大多数情况下这是对的。在某些情况下，人体动作与所说的话不一致，口头说的与身势语表达的意思不一样。这时要借助其他信息或从整个情况中猜测说话人的意思，从某种意义上说，一切身势语都要放在一定的情景下去理解；忽视了整个情景就会发生误解。而通过中美身势语对比研究表明，两者有相似的地方，也有差异的地方，说明了解另一种语言中身势语的重要性。可见，真正掌握两种语言的人在换用另一种语言说话时也要换用另一种身势语。这样才能达到更好的交际效果。
关键词: 非语言交际 身势语 不同文化 不同方式
Body Language on Nonverbal Communication
Abstract
“Body language”, like our verbal language, is also a part of our
culture. But not all body language means the same thing in different
cultures. Different people have different ways of making nonverbal
communication. For example: different people have different ideas
about the proper distance between people conversing; the appropriateness
of physical contact varies with different cultures; one could draw
up quite a list of “rules” about eye contact: to look or not to
look; when to look and how long to look; who and who not to look
at; smiles and laughter usually convey friendliness, approval, satisfaction,
pleasure, joy and merriment, and, this is generally true in China
as well as the English-speaking countries, however, there are situations
when some Chinese will laugh that will cause negative reactions
by westerners; gestures can be particularly troublesome, for a slight
difference in making the gesture itself can mean something quite
different from that intended, and, a wrong interpretation of a gesture
can arouse quite unexpected reactions and so on. So in order to
communicate effectively in a foreign language, one should know also
the gestures, body movements, mannerisms and etc. that accompany
a particular language. Some authorities feel that the two are dependent
on each other. This is certainly true in most situations. But it
is also true that in certain situations body action contradicts
what is being said, just as the spoken words may mean something
quite different from what body language communicates. When this
occurs, one must try to get further information, or guess the meaning
from the context of the situation. In a sense, all body language
should be interpreted within a given context; to ignore the overall
situation could be misleading. A comparative study of Chinese and
American body language shows a number of similarities and diversities
of body language. It shows the importance of knowing the specific
gestures that go with a language. Observation shows that a truly
bilingual person switches his body language at the same time he
switches languages. This makes communication easier and better.
Key words: nonverbal communication body language different culture
different ways
Contents
1. Introduction …… 1
2. The necessity and importance of learning body language on nonverbal
communication …… 2
3. The concrete types and application of the body language …… 3
3.1 Types of body language …… 3
3.1.1 Distance between people conversing …… 3
3.1.2 Physical contact …… 3
3.1.3 Eye contact …… 4
3.1.4 Smiles and laughter …… 6
3.1.5 Gestures …… 6
3.2 Application of the body language …… 6
3.2.1 Greetings …… 6
3.2.2 Signs of affection …… 8
3.2.3 Physical contact in life …… 8
3.3 A comparative study of Chinese and American body language ……
9
4. Conclusion …… 12
1. Introduction
When a Chinese converses with a Canadian or American friend of the
opposite sex, would it be indecent to be looking at the other person?
If two young friends of the same sex walk with their arms around
each other’s shoulders or hold hands, would this be regarded by
English-speaking people as proper?
Does nodding the head mean “yes”, and shaking the head mean “no”
in all cultures?
There are not questions about language, but about body language,
about nonverbal communication.
Nonverbal communication, composed of pictures, dresses, eye contact,
spatial signals, gestures and so on, is as important as verbal communication.
People communicate in many different ways. One of the most important
ways, of course, is through language. Moreover, when language is
written it can be completely isolated from the context in which
it occurs; it can be treated as if it were an independent and self-contained
process.
Like all animals, people communicate by their actions as well as
by the noises they make. It is a sort of biological anomaly of man—something
like the giraffe’s neck, or the pelican’s beak—that our vocal noises
have so for outgrown in importance and frequency all our other methods
of signaling to one another. Language is obviously essential for
human beings, but it is not the whole story of human communication.
Not by a long shot.
The study of nonverbal communication should be complementary to
the study of language. The understanding of one should be helpful
in the further understanding of the other. Some authorities feel
that the two are dependent on each other. This is certainly true
in most situations. But it is also true that in certain situation
body action contradicts what is being said, just as the spoken words
may mean something quite different from what nonverbal communication
communicates. When this occurs, one must try to get further information,
or guess the meaning from the context of the situation. In a case,
all nonverbal communication should be interpreted within a given
context; to ignore the overall situation could be misleading.
2. The necessity and importance of learning body language on nonverbal
communication
Although we may not realize it, when we converse with others we
communicate by much more than words. By our expressions, gestures
and other body movements we send messages to these around us a smile
and an outstretched hand show welcome. A form is a sign of displeasure.
Nodding one’s head means agreement—“Yes”. Waving an outstretched
hand with open palm is the gesture for “goodbye”. Leaning back in
one’s seat and yawning at a talk or lecture shows lack of interest,
boredom. These gestures have come to be accepted in general as having
the meanings mentioned, at last to Chinese and Americans. There
are parts of the way in which we communicate. This “body language”,
like our verbal language, is also a part of our culture.
But not all body language means the same thing in different cultures.
Different people have different ways of making nonverbal communication.
The answers to the questions at the beginning of this chapter are
all “no”. Even nodding the head may have a different meaning. To
Nepalese, Sri Lankans, some Indians and some Eskimos it means not
“yes”, but “no”. So in order to communicate effectively in a foreign
language, one should know also the gestures, body movements, mannerisms
and etc. that accompany a particular language.
Body language is an important media through which people communicate
with each other. It refers to the patterns of facial expressions
and gestures that people use to express their feelings in communication.
The specialist on body language research—Fen. Lafle. Angles, once
said: "Once it was lost, a baby couldn t have grown into a
normal person". It s also true to the juveniles. In school
education, body language plays a positive role in cultivating the
students characters.
3. The concrete types and application of the body language
3.1 Types of body language
3.1.1 Distance between people conversing
Watch an Arab and an Englishman in conversation. The Arab, showing
friendliness in the manner of his people, will stand close to the
Englishman. The latter will move back, watching to the Englishman.
The Arab will then move forward to be closer; the Englishman will
keep moving backward. By the end of the conversation, the two may
be quite a distance from the conversation; the two may be quite
a distance from the place where they were originally standing!
Here, distance between the two is the key factor. Different people
have different ideas about the proper distance between people conversing.
According to studies, it seems there are four main distances in
American social and business relations: intimate, personal, social,
and public. Intimate distance ranges from direct physical contact
to a distance of about 45 centimeters; this is for people’s most
private relations and activities, between man and wife, for example.
Personal distance is about 45—80 centimeters and is most common
when friends, acquaintances and relatives converse. Social distance
may be anywhere from about 1.30 meters to 3 meters; people who work
together, or people doing business, as well as most of those in
conversation at social gatherings tend to keep a distance is farther
than any of the above and is generally for speakers in public and
for teachers in classrooms.
The important thing to keep in mind is that most English-speaking
people do not like people to be too close. Being too far apart,
of course, may be awkward, but being too close makes people uncomfortable,
unless there is a reason, such as showing affection or encouraging
intimacy. But that is another matter.
3.1.2 Physical contact
The appropriateness of physical contact varies with different cultures.
Figures from a study offer interesting insight into this matter.
Pairs of individuals sitting and chatting in college shops in different
places were observed for at last one hour each. The number of times
that either one touched the other in that one hour was recorded,
as follows: London, 0; Gainesville, Florida, 2; Pairs, 10; San Juan,
Puerto Rico, 180. These figures speak for themselves. (Robinett,
1978)
In English-speaking countries, physical contact is generally avoided
in conversation among ordinary friends or acquaintances. Merely
touching someone may cause an unpleasant reaction. If one touches
another person accidentally, he/she usually utters an apology such
as “Sorry, Oh, I’m sorry, Excuse me.”
In China, a common complaint of western mothers is that Chinese
often fondle their babies and very small children. Such behavior—whether
touching, patting, hugging or kissing—can be quite embarrassing
and awkward for the mothers. They know that no harm is meant, and
that such gestures are merely signs of friendliness or affection,
therefore they cannot openly show their displeasure. On the other
hand, such actions in their own culture would be considered rude,
intrusive and offensive and could arouse a strong dislike and even
repugnance. So the mothers often stand by and watch in awkward silence,
with mixed emotions, even when the fondling is by Chinese friends
or acquaintances.
Going beyond the milder forms of touching, we shall take up the
matter of hugging and embracing in public. This practice is fairly
common among women in many countries. And in most of the more industrialized
countries, it occurs frequently between husband and wife and close
members of the family when meeting after a period of absence. Hugging
and embracing among men, however, is a different matter. Among Arabs,
Russians, French, and in several of the east European and Mediterranean
countries, a warm hug and a kiss on the cheeks are a standard way
of welcome. The same is true with some Latin Americans. In East
Asia and in the English-speaking countries, though, the practice
is seldom seen. A simple handshake is the custom. The story is told
of what happened not long ago when the Japanese prime minister at
the time, Mr. Fukuda, went to the U.S. on a state visit. When he
stepped out of his car in front of the white house, he was greeted
by the American president whit a “bear hug”. The prime minister
was flabbergasted; others of the Japanese delegation were amazed;
many Americans were surprised—it was so unusual and so unexpected.
If the president had bowed low in Japanese fashion, it would have
been less a surprise than to be greeted in a way so uncommon in
either country!
The matter of physical contact between members of the same sex in
English-speaking countries is a delicate one. Once past childhood,
the holding of hands, or walking with an arm around another’s shoulder
is not considered proper. The implication is homosexuality, and
homosexuality generally arouses strong social disapproval in these
countries.
3.1.3 Eye contact
Eye contact is an important aspect of body language. One could
draw up quite a list of “rules” about eye contact: to look or not
to look; when to look and how long to look; who and who not to look
at. These passages from the book Body Language (Fast, 1971) are
amusing as well as informative:
“Tow strangers seated across from each other in a railway dining
car have the option of introducing themselves and facing a meal
of inconsequential and perhaps boring talk, or ignoring each other
and desperately trying to avoid each other’s glance. A writer, describing
such a situation in an essay, wrote, ‘they re-read the menu, they
fool with the cutlery, they inspect their own fingernails as if
seeing them for the first time. Comes the inevitable moment when
glances meet, but they meet only to shoot instantly away and out
the window for an intent view of the passing scene.’ ”
He points out that with people who are unfamiliar:
“We must void staring at them, and yet we must also avoid ignoring
them… We look at them long enough to make it quite clear that we
see them, and then we immediately look away.
There are different formulas for the exchange of glances depending
on where the meeting takes place. If you pass someone in the street
you may eye the oncoming person till you are about eight feet apart,
then you must look away as you pass. Before the eight-foot distance
is reached, each will signal in which direction he will pass. This
is done with a brief look in that direction. Each will veer slightly,
and the passing is done smoothly.”
In conversations with people who know each other, however, American
custom demands that there should be eye contact. This applies to
both the speaker and the listener. For either one not to look at
the other person could imply a number of things, among which are
fear, contempt, uneasiness, guilt, indifference, even in public
speaking there should be plenty of eye contact. For a speaker to
“burry his nose in his manuscript”, to read a speech instead of
looking at and talking to hid audience, as some Chinese speakers
are in the habit of doing, would be regarded as inconsiderate and
disrespectful.
In conversation, a person shows that he is listening by looking
at the other person’s eyes or face. If the other person is speaking
at some length, the listener will occasionally make sounds like
“Hmm”, “Ummm”, or nod his head to indicate his attention. If he
agrees with the speaker, he may nod or smile. If he disagrees or
has some reservations, he may slant his head to one side, raise
an eyebrow, have a quizzical look.
Staring at people or holding a glance too long is considered improper
in English-speaking countries. Even when the look may be one of
appreciation—as of beauty—it may make people uneasy and embarrassed.
Many Americans traveling abroad find the stares of the local people
irritating. They become extremely self-conscious and often end up
quite indignant about the “rudeness” of the people there, not realizing
that the practice may be quite common in the country and may be
nothing more than curiosity. Many English-speaking people in china
have heard to complain about this.
“The language of the eyes”—one of the most common and ancient ways
of exchanging feelings between boys and girls, men and women—is
especially elaborate in the United States. Much study has been made
of this: how people of the opposite sex show interest or indifference,
encouragement or discouragement, approval or disapproval, affection
or aversion. However, there are many differences even within the
United States. Men use their eyes in different ways than women;
there are differences of age, class or social status and geographical
region; there are differences of ethnic background.
The story is told of a teenage Puerto Rican girl in a New York high
school who was taken with a number of other girls to the principal
for suspected smoking. Although there was no proof of any wrongdoing
and although she had a good record, the principal decided she was
guilty and suspended her. “There was something sly and suspicious
about her,” he said in his report. “She just wouldn’t meet my eye.
She wouldn’t look at me.”
When she was questioned by the principal it was true that she kept
staring at the floor and refused to meet his eye. And in English
there is a saying “Don’t trust anyone who won’t look at you in the
eye.”
It so happened that one of the teachers had a Latin American background
and knew about Puerto Rican culture. After talking with the girl’s
parents, he went to the principal and explained that according to
Puerto Rican culture, a good girl “does not meet the eyes of an
adult.” Such behavior, he explained, “is a sign of respect and obedience.”
Fortunately, the principal accepted the explanation, admitted his
mistake and the matter was settled properly. This difference in
interpreting a simple eye gesture was a lesson in cultural diversity
that he would not easily forget.
Rules about eye-language are numerous and complex. What has been
mentioned gives a good idea of this; we shall not go further into
detail.
3.1.4 Smiles and laughter
Smiles and laughter usually convey friendliness, approval, satisfaction,
pleasure, joy and merriment. This is generally true in China as
well as the English-speaking countries. However, there are situations
when some Chinese will laugh that will cause negative reactions
by westerners. To illustrate, here is an excerpt from a letter by
an American to a Chinese friend on nonverbal gestures that often
cause cross-cultural misunderstanding:
“…One is the different meaning of laughter in China and American.
When an American is parking his bicycle, for example, and the bicycle
accidentally falls over, he feels embarrassed at his awkwardness,
and is quite angered and humiliated when Chinese onlookers laugh.
I have seen the same thing happen in the dining room, when a foreigner
drops a plate quite by accident and feels badly and Chinese onlookers
laugh, compounding his discomfort and causing anger and bad feeling.”
Such laughter, of course, is not at the person or his misfortune—whether
he be a foreigner or a Chinese. It can convey a number of feelings:
don’t take it so seriously; laugh it off, it’s nothing; such things
can happen to any of us, etc. However, for people unaware of this
attitude, the reaction to such laughter is usually quite unpleasant
and often generates ill feeling towards those laughing.
3.1.5 Gestures
Gestures can be particularly troublesome, for a slight difference
in making the gesture itself can mean something quite different
from that intended. A wrong interpretation of a gesture can arouse
quite unexpected reactions.
A well-known case is a gesture made by Winston Churchill, the doughty
prime minister who led Britain through the Second World War. As
he appeared before a large crowd, he was greeted with cheers and
applause. The occasion was a momentous one and Churchill flashed
the “V for victory” sign—with the forefinger and middle finger raised
to form a “V”. Whether by mistake or ignorance, instead of facing
the palm of his hand to the front, he made the “V” with the back
of his hand towards the audience. Some in the crowd applauded; some
gasped; some broke out in laughter. The prime minister’s gesture,
as given, meant quite something else. Instead of “V for victory”,
it meant something dirty; it was an obscene gesture!
3.2 Application of the body language
3.2.1 Greetings
Hoa has just arrived from Vietnam. Her cousin Phuong and some of
his American friends are waiting at the airport to greet her. Hoa
and Phuong are both excited about this meeting because they have
been separated for seven years. As soon as Hoa enters the passenger
terminal, Phuong introduces her to his friends Tom, Don, and Charles.
Tom steps forward and hugs and kisses Hoa. She pushes him away and
bursts into tears.
Among Chinese from Vietnam, if a boy hugs and kisses a girl in public,
he insults her. Chinese culture in Vietnam is very strict about
this, especially in the rural areas where Hoa grew up. She described
her village: “After children are ten years old, boys and girls cannot
play together. A boy and girl cannot date without their parents’
approval. A man and woman cannot hug or kiss if they’re not married.”
In Hoa’s village if anyone violated these rules, the villagers punished
the girl by forcing her to kneel on the ground so they could spit
at her and throw rocks at her. No wonder that Puong’s American friends
frightened Hoa. She did not know what punishment for public hugging
and kissing might be meted out to her in this country. She confused
Tom, who by American standards was dong the right thing.
Eventually Hoa learned to be comfortable when greeted with hugs
and kisses, accepting them as merely perfunctory acts.
Analogous to this situation is another in which Duane, a Chinese
American employee, invited his non-Chinese boss, Mr. Keck, to a
large family celebration. When Mr. Keck arrived, he shook hands
with Duane and, when introduced to Duane’s grandmother, leaned over
and kissed her on the cheek. This shocked the older woman, yet Mr.
Keck was totally unaware that he had committed a social blunder.
What he considered as a respectful act, grandmother considered disrespectful.
Instead, Mr. Keck should have nodded to the older woman and offered
her a verbal greeting.
◆ When establishing relations with Asians, avoid body contact. The
safest form is to nod and give a verbal salutation. Follow their
lead as the relationship changes.
Like customs everywhere, increased cross-cultural interaction brings
about changes in habits; many Asian businesspeople have accommodated
to the American handshaking tradition. On the other hand, in a situation
where it seems as if bowing would still be the only polite move
to make—especially to the Japanese—following these guidelines should
make it easier.
◆ When bowing to people from Japan, hands should slide down toward
the knees or remain at the side.
◆ Back and neck should be held in a rigid position, while eyes look
downward.
◆ The person in the inferior position always bows longer and lower.
Those from India, Sri Lanka, and Bangladesh use the namaste for
both greeting and farewells and as a sign of respect. They do this
by holding their hands chest-high in a prayerlike position, then
slightly nod the head; but they do not bow. American students of
yoga who are taught by Asian teachers become familiar with this
gesture that heralds the beginning of each session. Thais have a
similar greeting, but they call it a wai.
While body contact is generally taboo in most Asian countries, elsewhere,
body contact is expected; shying away from contact gives off negative
signals.
◆ When greeting, people from Indian, Sri Lanka, Bangladesh, and
Thailand hold their hands together in front of their chins in a
prayerlike position and nod their heads.
◆ When greeting, most Latinos expect body contact. Hugging and kissing
on the check are acceptable for both the same sex and the opposite
sex. The abrazo is commonplace—friends embrace and simultaneously
pat each other on the back.
◆ When greeting, most middle easterners, especially Muslims, avoid
body contact with the opposite sex, but men may embrace and kiss
one anther. Women may do the same. When shaking hands, men should
avoid pulling their hands away too quickly.
◆ When greeting most Americans, expect soma body contract. Women
kiss once on each cheek and hug; men shake hands. Men may also hug
and kiss women on the cheek if they are close friends.
◆ When greeting orthodox Jews, avoid body contact with the opposite
sex.
3.2.2 Signs of affection
Sheree Bykofsky, an American writer, is thrilled when a cruise ship
line purchases copies of her hew romantic travel guide, the best
place to kiss in and around New York City. The cruise line plans
to give the books as dinner favors during their special valentine’s
cruise.
They invite Sheree on board to greet the passengers and autograph
their copies. The Americans and Europeans delight in meeting the
author and having her sign their books. However, when Sheree visits
the tables of the Japanese passengers, most of them refuse to acknowledge
her.
Japanese people do not approve of public body contact and, thus,
have developed a complex system of bowing to express relationships.
Touching a member of the opposite sex is particularly repugnant
to their sensitivities; consequently, kissing in public is considered
a disgraceful act.
The Japanese snubbed Sheree because the title of her book suggested
behavior that did not conform to their standards of respect. They
would not acknowledge her because, in their eyes, she promoted vulgarity.
Asians from countries other than Japan are equally disapproving
when they see American men and women or two men to walk in public
holding hands. However, when they practice this sign of friendship
in the states, they are frequently mistaken for homosexuals. This
shocks them.
Same-sex hand holding or walking arm-in-arm also occurs among Latinos,
French, Spanish, Italians, Greeks, and middle easterners.
◆ Most Japanese people strongly disapprove of public expression
of affection by males and females through kissing or any other form
of body contact.
◆ Same-sex hand holding between Asians, middle-easterners, Latinos,
or those from Mediterranean countries is a sign of friendship. Walking
with arms on each other’s shoulders or with hands or arms linked
also equates with camaraderie.
3.2.3 Physical contact
When Dorothy receives a wedding invitation to attend her Japanese
neighbor’s wedding, she is thrilled. She has always admired the
Yamashita family. She is very fond of lance, the about-to-be-married
son, and feels extremely close to Grace, his mother. Dorothy feels
honored to be included in the family festivities.
After the beautiful church ceremony, Dorothy stands in line to greet
the bridal party. However, when Dorothy, a very affectionate person,
steps forward to embrace the mother of the groom, Grace steps backward.
Dorothy feels rejected.
Even at such a joyous occasion as a wedding, Japanese customs about
physical contact in public are not relaxed, even when taking place
between the same sex. Truly, more formality is demonstrated in such
situations. Consider the extreme reserve displayed at the 1993 royal
wedding of crown prince Naruhito to Massako Owada. The physical
acts of the royal couple consisted only of sipping sacred sake and
making bows—no touching, no hugging, no kissing between the couple,
certainly none by the wedding guests.
In Dorothy’s situation, even though she felt very close to Grace,
she would have been more socially correct had she bowed her head
slightly and then offered only verbal felicitations. In situations
like these, it is best to observe the manner in which other wedding
guests congratulate family members and then follow their example.
3.3 A comparative study of Chinese and American body language
A comparative study of Chinese and American body language shows
a number of similarities; for example: men don’t hug or embrace
when meeting; a handshake is the most common gesture that goes with
a greeting; waving a hand to say “goodbye” is the same; a frown
shows displeasure, and the wrinkling of one’s nose is a sign of
dislike, disgust or disapproval; nodding means “yes”, and shaking
one’s head means “no”; pouting has the same meaning—displeasure,
bad humor, resentment; a pat on the back of a man or boy indicates
approval, praise, encouragement; gritting one’s teeth may express
anger, fury, or determination.
The charts on the following pages provide examples of some of the
difference:
Different Body Language, Same Meaning
Meaning Body Language in China Body Language in U.S.
“Come here” (beckoning someone to come) hand extended toward person,open
palm, palm down, withall fingers crooked in a beckoning motion hand
extended toward person,closed hand, palm up, with forefinger only
moving backand forth (in china this samegesture would be consideredoffensive
by many)
“Shame on you!” (semi-joking gesture) forefinger of one hand extended,
tip touches one’s own face several times quickly; similar to scratching,but
with the forefinger straight (usually with the remark “shame on
you!”) forefinger of each hand extended, palms down in front of
one’s body; one forefinger makes several brushing movements over
the back of the other forefinger
‘I’m very full” (after a meal) one or both hands open, lightly patting
one’s own stomach hand raised to throat, fingersextended, palm down
(oftenwith the remark “I’m full upto here.”)
Same Body Language in Tow Cultures
but with Different Meaning
Meaning in China Body Language Meaning in U. S.
anger, irritation, frustration, remorse stamping one’s foot impatience
thank you; mutual positive feelings speaker or performerclapping
at same timeaudience applauds applauding oneself;improper, immodest
Curiosity, sometimes surprise staring, gaping considered impolite;makes
people embarrassed,self-conscious
disapproval, hissing “shah” calling for silence
seldom used;occasionally adults may pat head of children to show
affection; patting the head of a teenager or adult would cause displeasure
and can be insulting pat on head giving comfort, consolation or
encouragement; also shows affection
Body Language and Meaning in One Culture;
No Equivalent in Other Culture
Body Language Meaning in U.S.
chewing one’s fingernails emotional stress, worried, doesn’t know
what to do
thumbing one’s nose (one thumb on tip of own nose, fingers curled
and moving together) defiance, contempt
wagging one’s finger (forefinger of one hand raised, other fingers
clasped, the raised forefinger is wagged from side to side) warning
not to do something; indicating that what the other person is doing
is wrong
thumb down (arm crooked in front of body, closed fist, thumb extended
down, one or several downward movements) rejection of a proposal,
idea, person; nonverbal way of saying a strong “no”
winking (quick closing of one eye, generally with a smile and slight
nod) may show several feelings; understanding, approval, encouragement,
trying to get across a message, solidarity
touching or pointing to tip of one’s own nose with raised forefinger
“It’s me” “I’m the one” (to westerners, the gesture would seem slightly
funny)
using an open hand to cover one’s mouth while speaking (generally
used by older people) to show confidentiality and secrecy; sometimes
no meaning
using both hands (when one would be enough) in offering something
to a visitor or another person respect
(when one’s tea cup is being refilled by the host or hostess) putting
one or both hands upright, palm open, beside the cup “Thank you”
upraised forefinger of each hand coming together in front of the
body until the two touch boy and girl in love; a good match
The examples in the charts are by no means complete, but are enough
to illustrate the diversity of body language and to show the importance
of knowing the specific gestures that go with a language.
4. Conclusion
The study of body language should be complementary to the study
of language. The understanding of one should be helpful in the further
understanding of the other. Some authorities feel that the two are
dependent on each other. This is certainly true in most situations.
But it is also true that in certain situations body action contradicts
what is being said, just as the spoken words may mean something
quite different from what body language communicates. When this
occurs, one must try to get further information, or guess the meaning
from the context of the situation. In a sense, all body language
should be interpreted within a given context; to ignore the overall
situation could be misleading.
A word of general advice: when one communicates in a certain language,
it is generally advisable to use the nonverbal behavior that goes
with that particular language. Observation shows that a truly bilingual
person switches his body language at the same time he switches languages.
This makes communication easier and better。
Acknowledgement
The authors gratefully acknowledge Xu Mingwu, Prof for his assistance
in this study.
Bibliography
[1] Fast, Julius. 1971. Body Language . Pocket Books, N.Y.
[2] Liu Yongfa, Liu Xuan’en. 1997. The Practical Body Language.
Hua Wen Press.
[3] Robinett, Betty W. 1978. Teaching English to speakers of other
Language: Substance and Technique. McGraw-hill, N.Y.
[4] Samovar L. A. 1981. Understanding Intercultural Communication.
Wadsworth Publishing Company.
[5] Shen Minxian. 1999. The Use of the Body Language in Elementary
School. Shanghai Education Vol. 12.
[6] Stern H. H. 1983. Fundamental Concepts of Language Teaching.
London: Oxford university press.
[7] 毕继万 《跨文化非语言交际》，1999，外语教学与研究出版。
[8] 邓炎昌 《语言与文化》， 1989，外语教学与研究出版社。
[9] 赵艳萍 《文化与交际》， 1999，中国人民大学出版社。
全球化时代英语的普及和中国文学批评话语的建构
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提 要:探讨全球化这个现象已成为整个人文社会科学领域的一个前沿理论课题。本文从全球化时代English/">英语的普及以及对中国文学批评话语的冲击入手,提出了一些相应的对策:既迎接全球化的挑战,掌握English/">英语这一文化传播工具,同时又在与西方学术界的交流中借助English/">英语这一工具提出中国批评的策略,最终达到中国文学批评话语的建构。因而一味反对English/">英语的普及只能使对外开放的大门关闭,而全盘西化则会导致中国文化身份的失却。
关键词:全球化;English/">英语;批评话语;后殖民
Ａｂｓｔｒａｃｔ:Ｅｘｐｌｏｒｉｎｇｔｈｅｐｈｅｎｏｍｅｎｏｎｏｆｇｌｏｂａｌｉｚａｔｉｏｎｈａｓｂｅｃｏｍｅａｆｒｏｎｔｉｅｒｔｈｅｏｒｅｔｉｃａｌｔｏｐｉｃｉｎｔｈｅｈｕｍａｎｉｔｉｅｓａｎｄｓｏｃｉａｌｓｃｉ
ｅｎｃｅｓ.ＳｔａｒｔｉｎｇｗｉｔｈｔｈｅｐｏｐｕｌａｒｉｚａｔｉｏｎｏｆＥｎｇｌｉｓｈｉｎｔｈｅａｇｅｏｆｇｌｏｂａｌｉｚａｔｉｏｎａｎｄｉｔｓｉｍｐａｃｔｏｎＣｈｉｎｅｓｅｃｒｉｔｉｃａｌｄｉｓｃｏｕｒｓｅ,ｔｈｅｅｓｓａｙｐｕｔｓｆｏｒｗａｒｄｓｏｍｅｃｏｒｒｅｓｐｏｎｄｉｎｇｓｔｒａｔｅｇｉｅｓ:ｃｏｎｆｒｏｎｔｉｎｇｔｈｅｃｈａｌｌｅｎｇｅｏｆｇｌｏｂａｌｉｚａｔｉｏｎａｎｄｍａｓｔｅｒｉｎｇｔｈｅＥｎｇｌｉｓｈｌａｎｇｕａｇｅ,ｂｙｍｅｎａｓｏｆｗｈｉｃｈ,ｐｕｔｔｉｎｇｆｏｒｗａｒｄＣｈｉｎｅｓｅｃｒｉｔｉｃａｌｓｔｒａｔｅｇｉｅｓｉｎｃｏｍｍｕｎｉｃａｔｉｎｇｗｉｔｈＷｅｓｔｅｒｎｓｃｈｏｌａｒｓｈｉｐｉｎａｎａｔｔｅｍｐｔｔｏｃｏｎｓｔｒｕｃｔＣｈｉｎｅｓｅｃｒｉｔｉｃａｌｄｉｓｃｏｕｒｓｅ.Ｔｏｔｈｅａｕｔｈｏｒ,ｉｔｗｉｌｌｃａｕｓｅｔｈｅｅｎｄｏｆＣｈｉｎａ’ｓｏｐｅｎｎｅｓｓｔｏｔｈｅｏｕｔｓｉｄｅｗｏｒｌｄｔｏｂｅｖｉｏｌｅｎｔｌｙｏｐｐｏｓｅｄｔｏｔｈｅｐｏｐｕｌａｒｉｚａｔｉｏｎｏｆＥｎｇｌｉｓｈ,ｂｕｔｏｎｔｈｅｏｔｈｅｒｈａｎｄ,Ｃｈｉｎｅｓｅｃｕｌｔｕｒａｌｉｄｅｎｔｉｔｙｗｉｌｌｂｅｌｏｓｔｉｆａｎａｌｌ＿ｒｏｕｎｄＷｅｓｔｅｒｎｉｚａｔｉｏｎｉｓｐｒａｃ
ｔｉｃｅｄ.Ｋｅｙｗｏｒｄｓ:ｇｌｏｂａｌｉｚａｔｉｏｎ,Ｅｎｇｌｉｓｈ,ｃｒｉｔｉｃａｌｄｉｓｃｏｕｒｓｅ,ｐｏｓｔｃｏｌｏｎｉａｌ
中图分类号:Ｉ206
文献标识码:Ａ
文章编号:1004-6038(2000)08-0048-04
作者简介:王宁(1955-),教授,博士,研究方向:比较文学,西方文论,文学翻译
在所有的主要国际性语言中,English/">英语毫无疑问是最为普及和最具有影响力的一种语言,这不仅体现在东西方的学术研究中,同时也体现于人们的日常生活以及对外贸易中。既然我们现在处于一个全球化或跨国资本化的时代,那么English/">英语的功能也就变得越来越明显,因而也就对在世界范围内使用十分广泛的其他语言构成了挑战。
20世纪初和80年代西方文学对中国文学的影响在很大程度上正是得助于英文这个中介。中国实行改革开放以来,English/">英语对青年人的生活和工作有着极大的吸引力,而且在某种程度上已成了不可缺少的东西,它毫无疑问是中国目前使用得最为广泛的一种外国语言。许多科学家把English/">英语当作与国际社会进行交流并推广他们科研成果的唯一手段,但也有少数人,特别是一些从事中国传统文化研究的观念老化的人文知识分子,则对English/">英语在全球化时代的普及和渗透感到忧心忡忡,他们甚至担心,英语的普及或许会损害中国的民族和文化身份,甚至有可能使中国的文学批评话语"殖民化"。
本文的写作实际上是对中国的批评界和知识界流行的文化"非殖民化"尝试作出的回应。全球化语境下英语的普及和文化渗透性在当前这个全球化或跨国资本化的时代,英语在我们的科学研究和知识生活中扮演着越来越重要的角色,这一点尤其体现于近来人们对国际互联网的使用。在我们的文化研究和文学研究领域内,特别是英语语言文学系科,我们不得不面临着近几年来风行于英语国家的文化研究(ＣｕｌｔｕｒａｌＳｔｕｄｉｅｓ)产生的巨大影响,因为它作为一门跨学科的学术理论话语,目前已经进入了中国的批评理论界。有些人甚至认为,文化研究的崛起不啻是为经典文学和传统的文学研究敲响了丧钟,另一些人则怀着喜悦的心情欢迎这种冲击波,以便借此机会扩大带有精英意识的文学经典的范围,甚至对之进行重新建构。确实,文化研究已经在近几年里逐步介绍到了中国,并在中国的批评界得到讨论,这是伴随着后现代主义在中国语境下的辩论日渐衰落后的一个事件,基本上与关于后殖民主义或后殖民性的讨论同步进行。毫无疑问,文化研究是英语世界的最新现象,它甚至对精英文化和经典文学的研究也构成了挑战。所谓语言全球化在很大程度上象征着美国的语言霸权,因为它的政治影响和经济力量已经对英语本身产生了深刻的影响,所谓的"美国英语"(Ａｍｅｒｉｃａｎ
ｉｓｍ)就是这方面的一个例子。因此探讨英语的普及而不涉及文化研究的盛行就无法将其与中国文化和批评话语的"非殖民化"相联系。
在我看来,任何文化或文学现象,无论是东方的还是西方的,都可以在一种国际视角中被当做一个"文本"来考察。同样,任何文化或文学,假如要被放到一个广阔的国际语境中来考察或试图更为有效地与国际社会或学术界进行交流,那么它就别无选择地要借助English/">英语之中介才能发挥作用。这对于中国的后殖民研究者大概是一个悖论:一方面,他们试图使中国文化和批评话语非殖民化以便捍卫并保持中国的民族和文化身份;但另一方面,为了能够更有效地同西方学术界进行交流和对话,他们又不得不用英文来发表自己的著述,因为English/">英语是当今学术交流唯一有效的国际性语言。
为了论述的方便,我首先略述一下文化研究的历史和在西方的研究现状。正如同其在西方的情形一样,文化研究并不指向传统的精英文化,而是专指当代非精英文化和大众文化,甚至包括消费文化和传媒文化。但另一方面,就文化研究所涉及领域而言,它无疑包括这样几个方面:
(1)专事后殖民写作/话语研究的种族研究(ｅｔｈｎｉｃｓｔｕｄｙ),其中包括爱德华·赛义德(ＥｄｗａｒｄＳａｉｄ)的东方主义概念的建构以及对此进行的意识形态的和学科层面的批判,佳亚特里·斯皮瓦克(ＧａｙａｔｒｉＳｐｉｖａｋ)的从解构和第三世界女性批评家的立场对帝国霸权的批判,以及霍米·巴巴(ＨｏｍｉＢｈａｂｈａ)的有意混杂民族和文化身份进而消解帝国话语的后殖民批判理论。当然随着国际性的后殖民讨论的进一步深入,巴巴的理论越来越有影响和冲击力,特别是对包括中国在内的第三世界学者和批评家有着极大的诱惑力,因为他们目前在文化研究的语境下最为关注的现象是民族身份和散居民族(Ｄｉａｓｐｏｒａ)文化问题。
(2)以专注某一特定区域的政治、经济、社会和文化为主进行跨学科研究的区域研究(ａｒｅａｓｔｕｄｙ),例如目前对东西方学者都有着诱惑力的亚洲和太平洋地区研究等。在这一框架下,诸如全球化问题、反帝国主义的策略以及亚洲认同等问题都成了研究者们关注的对象。尤其是近几年来的亚洲金融危机更是成了学者们无法回避的问题,因为它可以说是全球化给经济界和金融界带来的一个直接后果。就我们所从事的人文社会科学研究领域而言,我认为,文化全球化作为经济全球化的一个直接结果,完全有可能带来两方面的后果:其积极的意义在于,它使我们的文化工业和学术研究直接受到市场经济的制约,而非仅依赖于政府的行政命令,因而使得经济建设和文化建设的关系更为密切;它的消极方面则体现在,它使得精英文化的生产或非市场指向的文化生产变得越来越困难,其结果是产生了一种新的等级制度。在中国当前的的语境下,有两种倾向值得我们警惕:过分地夸大文化全球化的作用以致于根本忽视了文化本土化倾向,结果会使中国文化丧失其固有的民族身份;过分强调文化本土化、并以对全球化的敌意来排斥一切外来影响也会产生另一种形式的文化民族主义。后者很可能会使中国的国际文化交流和学术交流后退,甚至给经济建设带来障碍。
(3)专注女性写作/话语和女性研究的性别研究(ｇｅｎｄｅｒｓｔｕｄｙ),其特征是把注意力从过去的政治取向的女权主义文化政见转到注重女性自身的生理和生物属性,在一个多元文化的语境下不以全然对抗的立场出现。在这一方面,妇女的文化身份被重构为一种双重边缘的力量,她们经历着从边缘向中心的运动,最后的企图在于消解旧的中心,重建新的不同于以往的男性意识的女性话语。在最近几年里,随着女性写作在中国的繁荣,女权主义批评和妇女研究对男性和女性学者都越来越有吸引力。
(4)专注影视、广告业和其他属于大众文化形式的传媒研究(ｍｅｄｉａｓｔｕｄｙ),其中自然包括以语言作为文化传播媒介的翻译研究,这也许是当前的文化研究者最为关心的问题。面对非精英取向的文化研究的强有力冲击,经典文学和精英文化受到越来越严峻的挑战。国际互联网这一第四媒体的普及也给虚构文学以及传统的电影和电视工业带来了严峻的挑战,文学创作和理论批评的领地变得越来越狭窄,因而毫不奇怪,不少文学研究者和批评家对下一个千年文学的前景感到忧心忡忡。这就是我对文化研究在当今西方和中国之情形的理解和描述。应当指出的是,文化研究的这些方面都是通过English/">英语的普及或English/">英语的语言霸权主义的强力而实现的,因此毫无疑问,这已经显出了全球化时代不可避免的种种症候。据说在这一时代,人人都必须学习用English/">英语阅读和写作,并用English/">英语进行交流,若不想把自己孤立于国际社会,他/她都不得不面临English/">英语的渗透。因而人们便提出了这样的问题:面对English/">英语的巨大影响,如何才能保持民族和文化身份的特征?显然,在全球化和跨国资本的语境下,人文学者们都认为,English/">英语确实作为一种新的霸权在发挥着作用,没有它,人们就无法跟上国际科学技术和学术研究的最新进展。随着English/">英语的普及,文化和民族身份研究也越来越引起东西方学者的关注,因为他们已不只是在自己的国家或地区发挥作用了。正如霍米·巴巴的混杂(ｈｙｂｒｉｄｉｔｙ)理论所显示的,随着全球化时代文化旅行和文化传播的进行,人们的民族和文化身份也变得愈益模糊。一个人不管是身处中心(第一世界)或边缘地带(第三世界),都有可能同时在中心和边缘发挥作用,就像那些没有中心、没有总部、同时也不受本国政府管辖的巨型跨国公司的运作方式那样。同样,中国和西方的一些有着双重身份和国际知名度的学者也可以同时在东方和西方的学术领域发挥作用。由于他们频繁的国际性交往和活动,他们的语言身份自然也是模糊的,这样,英语就义不容辞地成了使他们得以与外界进行交流的唯一手段。一方面,中国的人文社会科学学者不遗余力地向国人介绍西方学术理论研究的最新进展,以便借此来更新中国传统的学术研究;另一方面,他们也必须用英文写出学术著作,在国际主要学术期刊上发表或在国际知名的大学出版社出版,才能得到西方乃至国际学术界的承认。对于这一现象,我们自然应予以重视,因为它在我们的文化研究领域里也占有重要的地位。因此,作为"地球村"里人们使用最为广泛的一种国际性语言,英语的影响正变得越来越广泛,特别是在那些现代化进程快得使人难以预料的国家和地区更是如此。在这些国家,现代化在某种程度上说来几乎等同于西化。
在当今的中国,随着改革开放进程的加快,English/">英语的普及具体体现在下列几个方面:1 各主要大学,都有English/">英语系或以English/">英语为主的外语系(院),它们代表着中国的外语教学与研究水平,而其他的外语教学和研究则发展缓慢,有的甚至呈萎缩状况。2
所有的大学生和研究生都应把English/">英语课当做一门必修课,而不管他们今后所要从事的工作需要与否。3 博士研究生在撰写博士论文时,不管是什么领域的,都必须使用原文资料,通常是English/">英语资料,只有这样才能有所创新,才能提交答辩并通过。4
任何学者或研究人员要想申请高一级的职称,都必须首先通过一门外语(通常是English/">英语)考试才能申报。5
在几乎所有的城市中学(甚至一些大城市的小学)和许多农村中学,学生都必须学一门外语(通常也是English/">英语)才能拿到毕业证书,等等。English/">英语除了在中国的高等院校和研究机构使用外,还广泛地应用于商业和贸易业务或消费和广告业务。
毫无疑问,中国的English/">英语教学正在日益繁荣,这一点尤其体现在English/">英语教师的收入上,他们比其他语种的教师,显然收入要高一些。这一切都无可辩驳地显示出,中国的学术研究正变得越来越国际化或全球化,也越来越规范化。如果没有英语的中介,这肯定是无法实现的。这不仅是一个客观的事实,也是任何人都无法预料也无法抗拒的历史之必然。因而现在的情形是:在全球化的时代,不管你喜欢与否,你都必须懂一些英语,没有这一技能你就无法成功地在当今时代生活和工作下去。中国文化和批评话语必须"非殖民化"吗?由于全球化的到来,中国可以在世界上找到自己无可替代的地位和独特价值。作为经济和金融全球化的一个直接后果,文化全球化对中国的知识生活以及文学写作和批评话语有着更为深刻的影响。学者们不得不感到自己实际上处于(文化)全球化的进程中。随着越来越多的学者已能使用互联网来从事学术研究,文化全球化实际上已经使我们更为方便地直接与国际社会和学术界进行有效的交流。在中国的文学理论批评界,有些学者借助英语花上大量的时间和精力把西方在批评理论和文化研究领域里的最新研究成果翻译成中文介绍给国内同行,旨在影响并更新中国的文学理论和批评。自80年代初以来,诸如形式主义、新批评、现象学、结构主义、存在主义、精神分析学、后结构主义、阐释学、接受美学、新历史主义、后现代主义、后殖民主义和文化研究等西方批评理论或文化思潮如同走马灯一般匆匆进入中国当代文坛和思想界,对中国的文学理论批评及文学研究产生了巨大的影响。与此同时,或更早一些,几乎西方所有的现代主义文学大师的主要作品均翻译成了中文,对相当一批中国当代青年作家所产生的影响甚至超过许多中国作家所产生的影响。但另一方面,也出现了一些不健康的倾向:一些理论功底和英文水平都相当差的青年学者为了追逐流行的时尚,在自己的批评理论著述中大量滥用从西方借来的批评术语,造成的结果是,连本专业的同行都读不懂他们的文章。这显然不利于中国的文学理论和文学研究与国际文学研究界进行平等的对话。因此,毫不奇怪,他们的激进作法使恪守传统的那部分中国学者不满甚至恼怒,因为在这些学者看来,中国是一个文学和理论批评大国,但在国际理论批评争鸣中发不出自己的声音,中国学者却没有自己的批评话语。出于对重建中国批评理论话语的关心,这些学者号召建立自己的批评理论话语,并将其视为中国的文化"非殖民化"进程中的一种后殖民策略。在比较文学研究领域,建立"中国学派"的声音再度进入人们的耳际,这尤其在一些关于文学理论和比较文学的研讨会以及一些刊物上发表的批评论文中可见端倪。显然,在这些人看来,全球化和外来影响不可避免地与中国文学的发展以及中国批评话语的建构相对立,因而也就成了中国文化及其理论批评话语的"殖民化"的主要原因。当然,在这一影响中充当中介的正是英语的普及。
如果认真地考察这一现象,那么我们就应当说,认为中国文化和批评理论话语是否"被殖民"应视不同的情形而定,决不可一概而论。有些人认为,English/">英语的普及是过去20年里中国文学理论批评从内容到表达形式(话语)全盘西化的主要原因,因为许多理论教义和文化学术思潮都是通过英文的中介进入中国文化界的。结果,中国文化便失去了自己的民族身份,批评家也失去了自己的话语,如果他们在国际论坛上不能用英文发言的话,甚至连自己的声音也丧失了。另一些人则认为,通过建立比较文学"中国学派"来实现中国文化的非殖民化是必要的,这在80年代初比较文学在经历了漫长时间的"沉默"后再度勃兴时曾颇有吸引力,但在当前这个多极角逐和多元走向的世界,这种建立学派的尝试实际上是过时的"欧洲中心主义"(Ｅｕｒｏｃｅｎｔｒｉｓｍ)或"西方中心主义"(Ｗｅｓｔｃｅｎｔｒｉｓｍ)的翻版,即所谓的"中国中心主义"(Ｃｈｉｎａ
ｃｅｎｔｒｉｓｍ)。他们似乎有充分的理由提出这样一个问题:为什么有那么多中国人学习English/">英语以致于掌握English/">英语与否竟成了衡量一个人是否品味高或学识渊博的标准?而与其相对照的是,在西方,特别是在美国,懂中文的人却很少,更不用说把握中国文化和哲学思想的内在精神了。中国学生或学者为了能出国深造,首先得通过English/">英语考试,而那些来中国工作的西方专家却不必学汉语,他们来中国做生意或旅游往往都由年轻的中国翻译或导游陪同。这难道不是一种文化交流上的失衡吗?我们并不否认上述现象确实存在,但是要探讨这些现象,还得采取一种辩证的态度进行考察分析。应当承认,这些学者也有自己的理由担心English/">英语在国际社会的渗透性力量和语言霸权,以及由此而造成的中国文化和理论批评话语的"殖民化"现象。
实际上,自90年代初以来,随着后现代主义和后殖民主义批评理论的引进,中国的文化学术界曾出现过一股"后学热",尤其是"后殖民热"成了中国的语境下反对所谓西方文化新殖民主义渗透的一个对抗性策略。中国许多的"保守主义者"确实认为,早在20世纪初,中国文化和文学话语就"被殖民"了,自五四时期以来,中国的语言变得越来越欧化或西化,因而这一历史责任是推卸不掉的。确实,在那以前的中国文化和文学基本上不大受到任何西方影响;同样,中国对外开放以来,各种西方学术思潮和文化理论蜂拥进入中国,对中国现代文化和文学话语产生了强烈的影响。在这方面,鲁迅的"拿来主义"原则直到今天都很有影响。当然,这既是一件好事,同时也是一件坏事:对于中国文化和文学走向世界进而跻身世界文化和文学的主流是颇为有益的;另一方面,这些理论思潮的进入无疑淡化了有着悠久传统的中国文化和民族身份,使其"被殖民"了。我们现在面临的这样一种两难正变得越来越明显,同时也使我们越来越担心中国文化和文学批评的前景。实际上,在我看来,解决这一两难并继续对外交流决不意味着贬低中国文化或消解文学话语,因为这是中国文化和文学所经历的现代化进程中一种必不可少的牺牲。在对中国文化和文学批评中的现象作了这番详细考察之后,我觉得对这些复杂的现象应采取一种辩证的态度。English/">英语的普及并不一定会导致中国文化和文学批评话语的"殖民化",我们完全有必要在过去的年代里花很大的力气通过English/">英语的中介把西方文化和文学作品翻译介绍到中国,因为这肯定有助于我们更好地理解世界和繁荣中国文学和文化。随着中国的国际地位日益提高,中国文化和文学的美学价值和深刻思想也越来越得到西方汉学家以及普通大众的承认。English/">英语的普及也会帮助我们把中国文化和文学的内在精神介绍给外部世界。在这方面,我们的科学家已经先走了一步,人文社会科学工作者为什么不能也这样做呢?就拿我所从事的比较文学研究来说吧,这是当今中国最具有国际性的学科之一。如果我们承认中国比较文学研究的第一阶段以接受-影响(特别是西方文学是如何影响中国文学的)为特色的话,那么我们将进入的第二个阶段就应当以更多地关注中国文化和文学在全世界的传播为主。这样,用英文来发表我们的研究成果就显得更为重要了。在这方面,我们的科学家同样又走在了前头,他们用以衡量其科研成果之价值的一个标准就是看有多少成果(用英文)发表在世界一流刊物上,而我们的人文社会科学研究者则处于刚刚开始的阶段。因而通过English/">英语的中介把中国文化的光辉遗产及其优秀的文学作品介绍给世界肯定是极为有益的,这样,越来越多的西方人就会了解真正的中国究竟是何面貌,而无须从那些出于无知或偏见对中国误解甚至曲解的西方人写出的著述中来了解中国及中国人民。这样看来,强调文化非殖民化并不意味着取消English/">英语及其教学的普及和提高,因为尽管中国过去曾受到部分地殖民化,但中国文化并没有被殖民。与其相反的是,一些试图使中国文化殖民的外国人不是被"汉化"就是深深受到了中国文化的影响。只有全面地提高英语水平,我们才能更为有效地与国际社会进行交流。因此,英语的普及与中国的文学批评话语的建构并不矛盾,倒是借助英语,我们才能更好地理解世界并建构中国批评话语。中国批评话语建构过程中英语的作用自从中国正式进入社会主义市场经济体制以来,实际上也就进入了全球化的机制,而中国的加入世界贸易组织(ＷＴＯ)更是从机构上完善了这一进程。因此,它无法回避无情的"丛林法则"(ｌａｗｏｆｊｕｎｇｌｅ)。
可以预见,English/">英语将在人们未来的生活中扮演越来越重要的角色:我们生活在一个巨大的"地球村"里,可以很容易地彼此进行交流,既交流对不同论题的看法,同时也就某些重大的项目进行通力合作。如果我们各自总是讲自己的母语的话,那么有着数百种语言的世界将乱成什么样子!我们肯定要商定以一、二种相对说来为较多的人使用的国际性语言作为我们交流的工具。港澳台同胞在与我们交流的过程中一般很自觉用普通话;我们的北欧合作伙伴也自觉地使用English/">英语作为语言,因为就其使用的广度和普及的程度而言,English/">英语都是最为理想的国际性交流语言,因此我们不得不在国际交流中使用它。为了使我们的研究成果得到国际学术界的承认,我们也必须用English/">英语撰写我们的主要著述,或者将我们的重要观点翻译成英文,这大概令那些观念保守者大为失望。他们会问:既然世界上使用汉语的人最多,为什么国际著名刊物都是英文刊物呢?为什么诺贝文学奖评奖委员会委员(除个别委员外)竟不能用原文阅读中国文学作品呢?确实,以汉语为母语的人数位居世界第一,但有没有可能让全世界的人统统用汉语来进行交流呢?这显然是不现实的。不仅是因为中国政府不能向所有有兴趣选修汉语的各国学生提供资助,而且更为重要的是,汉语是世界上最难掌握的语言之一,甚至在不少中国知识分子眼里也是如此。此外,汉语的方块字也无法与国际流行的语言系统或因特网相兼容。既然English/">英语已经成了目前世界上使用人数最多(或作为母语,或作为一种官方交流语言,或作为第一外语)的一种国际性语言,那我们为什么不能使用它来交流呢?应当认识到,这是我们不得不做的一种选择,否则我们就将再度使自己孤立于国际社会和学术界。可以理解,在我们的文学批评和文化研究领域内,学者们非常担心中国文化和文学批评话语可能遭遇到的"殖民化"。但应对的策略不应当是阻止人们学习English/">英语和用English/">英语来进行国际学术交流。如果我们掌握了English/">英语,尽管它不是我们的母语,我们仍然可以运用它在国际学术界发出我们的"声音"。反之,如果中国学者在国际学术界只能与一些外籍华人和少数汉学家进行交流,那造成的损失将是无法弥补的。
值得庆幸的是,学习中文在国外越来越普及。越来越多的外国人来到中国,不仅为了和中国做生意而学习汉语,而且还为了能更好地掌握中国文化和文学的精神实质。这一点完全可从中文热在全世界的兴起见出端倪。我们可以从中得到什么启示呢?过去,当中国处于落后状态时,这种现象显然是不可能出现的。那些对与中国做生意颇有兴趣的人只是学一些语言以便和中国的合作伙伴进行谈判,而现在,由于西方文化已经发展到了尽头,并暴露出一些无法解决的危机,因而一些西方有识之士认为只有从他种文化(例如中国文化)的视角来反观自身才能有助于解脱自身的危机。因此随着中国的综合国力的强大,随着中国文化的精神实质愈益为世人瞩目,越来越多的西方青年来到中国并非只是为了学习语言,而是在掌握语言技能后继续攻读学士、硕士和博士学位。但是在他们的初学阶段,为了使他们对中国文化和文学产生兴趣,我们可以用English/">英语给他们做这方面的讲座,当他们觉得用English/">英语讲授中国文化课会失去一些东西时,他们就会更倾向于直接听用汉语讲授的课程。可以预见,随着中国经济的飞速发展以及中国文化和文学的稳步发展,汉语将在未来的国际交流中显得越来越重要,并且越来越普及。若希望那样一种情形得以实现,我们就只有在现阶段重视英语学习,利用英语来普及中国文化和文学,而非使之"殖民化"。也许可以这样说,我们现在努力多学英语是为了将来少讲英语。但这一天的到来似乎还有着漫长的距离。
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语言知识是外语教学的立脚点
198 2-14
外语教学的内涵是教学生学会外语。学生是人类新生代的精英群，教者自应借鉴人类学习外语的经验，力求按照人类学习外语的规律去组织他们的学习活动。人类学习外语几千年了，Louis
G.Kelly写过一本巨著25 Centuries of Language Teaching，阐述500B.C.—1969年的语言教学方法(＊国外文献中的语言教学包括母语、二语、外语教学，实际内容多为二语、外语教学；本文以下选称外语教学)。就是把外语教学的起始时间放在古希腊的旺盛时期。而实际上人类早在两河文化时期就开始学习外语了，只是那时尚无固定的教学形式，主要通过地中海沿岸的经商活动进行；其重大结果是传播、发展了腓尼基字母。腓尼基字母产生希腊字母，希腊字母再产生拉丁字母(罗马字母)和期拉夫字母(基利尔字母和格拉戈尔字母)。拉丁字母因拉丁语而传遍欧州，使English/">英语也废弃了自己的鲁纳字母而采用了拉丁字母。字母是负载语言的元件，语言是文化的载体。所以，如果没有由腓尼基主导的地中海沿岸“经商—习语”活动，被尊为人类文化重要源头的希腊文化都可以保存下来，或者是另一副历史面貌。可见，怎样教会人们学会外语是一件大事，弄清其立脚点是按规律进行外语教学所不可忽视的前提性工作。
一、外语教学的历史回顾
人类究竟是怎样学习外语的呢?从史实看，地中海沿岸的“经商—习语”时期所学的目的语本身尚无规范的三要素结构，经商又是没有强制力的自由活动，语言教学只是经商的手段和副产物，所以只能通过交流沟通的接触活动，像母语学习那样自然学会。推想起来，可能有点像当代交流观点所主张的交际法那样：通过交流学习语言，学语时以交际沟通为目的，沟通了，也就学到了语言。由于当时的学语者虽是为了解决生活问题而学习，但并无今天二语学习者所处的固定语言环境(＊目的语社会和信息源随着经商的船队而流动)，所以他们的具体学习活动只能是接触模仿，走“经验积累”的学语之路。
继承发展希腊文化的是罗马。罗马(西罗马)凭其军事力量统治整个欧州，拉丁语也随之用于全欧，并且没有随西罗马之衰败而退出欧洲。相反，拉丁语在欧州“横行”了一千多年；先是作为各国的官方语言、宗教语言和科学语言，取代了多个本族语的地位；直到文艺复兴兴起以后，才逐渐退居外语的地位。但在很长一段时期拉丁语仍被视为人文科学的基础。比如，17世纪之前英国仍把Grammar一词理解为学习拉丁语；18世纪以后，德国小学生还以没学好拉丁语变格为耻。在漫长的中世纪及中世纪之前，由于封建统治和拉丁语语法的繁杂，以致教学拉丁语只能是指令式宣讲的，走“规则宣讲”的理性主义的学语之路；采用过词汇翻译教学法和语法翻译教学法。后世学者举了一个典型的例子，说明当时语言教学理性化到只重规则而不计其他。
T.：“翻译这个句子‘棕色的牛坐在树枝上吱吱地叫’”。
Ss.：“什么?哪有这样的事!”(＊牛会坐在树枝上还会像鸟叫?)
T.：“没有那样的事不要紧；我们不是学习句子的内容”。
当然，在逾千年的教学实践中，也发生过不同的改革。其中影响较大的有两次。第一次是11世纪，改革内容主要是将讲解语法的单句或课文改为对话，即以对话形式背诵语法例句。这隐含了培养交流技能的意图。第二次是16—17世纪，正当文艺复兴之后，改革内容主要是以连贯课文为中心，删减语法例句，提高本族语地位和倡导学习听、说、写、读的技能。这期间产生了许多影响深远的外语教学法观点、方法。比如，Roger
Aschan(1515—1566)主张的来回翻译，用归纳法教语法；Joseph Webbe(1560—1633)通过课文学语法，通过练习培养语言习惯，重视听力训练和培养交际沟通，能够读、写、说、使用翻译而不求等值。虽然此次改革并未改动拉丁语教学法的理性主义基础，但已为近代语法翻译法和直接法的兴起奠定了路基。尤其是夸美纽斯(J.A.Comenius,1592—1670)在《感性世纪图解》和《语言和科学入门》二书中所表现的经验主义的学语观点，对后世的影响极大。
就在这个时期，西欧各种现代语言逐渐进入外语教学领域，各个语种(尤其是English/">英语)的语法也日趋规范，到18世纪末便形成了由J.V.Meidinger等人主导的近代语法翻译法。这种方法也被称作The
Sentencebased Approach to Language Teaching。显然，它是一种理性主义教学法，而不是夸美纽斯等人传播的经验主义教学法。这可能与工业革命在18世纪末产生有关。因为工业革命的人文本质就是革感性的命，走理性化的道路。
到了19世纪末期，资本主义的发展导致了西欧工业国在海外争夺市场和殖民地，口头交流成了外语教学的首要目的；而且最宽广的教学区域是市场所在地，其教学情景有点类似公元前地中海沿岸的“经商——习语”。因而，1882年爆发了欧州外语教学改革运动，从而形成了要求语义与实物直接挂钩的直接教学法。它当然是经验主义的教学法。
到了20世纪40年代，由于对轴心国战争的需要，结构主义语言学家研制了听说法/结构法。这种方法以句型操练为其独有的特点，句型又被看作语言结构的缩影。因此，听说法应是一种理性主义的教学法。
及至20世纪70年代，由乔姆斯基语言学的影响和区域经济发展的需要，产生了意念法并发展成为交际法。交际法要求按学生需要取材，通过交流学习语言，这又走到了接触积累的经验主义教学法圈子。但交际法立论基点(＊乔姆斯基理论)又是理性主义的，所以交际法产生之后就不稳定；先是争论，后是“各显神通”地提出不同的变化。一直到20世纪80年代以来尚无具有新颖教学观点的教学法派产生。综观国内外语/语言教学的热点活动，仍在经验主义圈子里打转。
通过上述简略的历史回顾，我们可以看到，人类教学外语的道路，可从哲学高度概括为两条：理性主义的和经验主义的。多少年来，人们一直在从理性主义或经验主义出发建构一种理想的外语教学。理性主义的教学以知识为立脚点是不言而喻的；因为它的特点就在于运用知识去认识事物，依靠知识从己知认识未知。所以各个理性主义的外语教学法无不重视语言知识，尤其是语法知识。至于经验主义的语言教学，其活动是通过接触模仿，积累经验。但从认识过程看，经验升为理论(＊虽然可能是隐性的)，才能保证认识的不断发展并使认识主体取得创新能力；故经验主义的语言教学之能够成功的机制，也包含了语言知识的作用。所以不同的经验主义知识更不用说了，这突出地表现于直接法主张用归纳法教语法。交际法在用意念——功能取代教学语法的企图失败之后，也主张采用“具体用法”、“语言意识”、“隐性语法”等等方法去教语法。只是交际法的产生是为了寻找一条理想的教学法以适应现实发展的需要。
二、交际教学法以后的外语教学
交际教学法始于20世纪70年代初期，它是适应两种现实需要而产生的：一方面，经济发展提出了普及外语的需要；另一方面，科技的高速发展使人类应学的东西越来越多而必须提高学语速度。两种需要的综合使人们在哲学观点上走向了现实主义，企求从满足现实需要着眼去创造外语教学法，而不像交际法以前那样从改进既有外语教学法着眼去构思新的教学法思想。所以交际法的实质是一种适应现实需要的外语教学法思想。
我们这样说有五点根据：1从操作层面看，交际法可以概括为“急用先学，学用结合，立竿见影”；2从立论根据说，它曾企图用意念、功能范畴取代传统的教学语法，从而落实因乔姆斯基学说而引见的语言习得论(内在论)；3从建构目的说是为了解决欧共体在经济发展中的语言障碍；4从使用结果看，据《人民日报》1998年9月2日6版报道，经过20多年的交际法教学实践，“欧洲青年人会讲两种以上外语者为数并不多，在成年人中间，可用一门外语阅读者，也只占45％”；590年代以来产生了实现交际法理想的模式，这些模式大都持弱交际观，可看作交际法的变体，变去变来都在想提出一种更加简明易行的“急用先学，学用结合，立竿见影”的模式。但截至目前，仍不能认为已有一种可以达到这种理想的模式或路子。因为交际法的根植于理性主义(＊乔姆斯基学说)，而其生长却采用了经验主义(＊通过交际学交际)。这造成了交际法提出之后的混乱情况。
美国亚历桑那大学刘骏教授把交际法以后的教学法统称为“后教学法时代的教学法”(Methods in the PostMethods
Era)。他根据自己所作的调查研究，认为这个时代是交际法、折衷法、近代语法翻译法、直接法、听读法、暗示教学法、默教法、全身反应法、自然途径、集体语言学习法等10种方法的自由选用。笔者认为，这种选用正是着眼经济和科技高速发展之需要而进行的实性探索。这种探索不是追求改进某一种教学法，它表现了人类在教学外语中正在力求适应现实的需要，而提出自己的理想。所以交际法的内容基本上与在早的教学法极不联系。反观交际法以前的教学法却主要是为了改革外语教学现实而提出自己的理想。比如，直接法是为了改革翻译法，听说法是为了改革直接法。不过，宏观地看，改革现实的需要是加快和普及教学外语，适应现实的需要也是加快和普及外语。外语作为语言不能脱离三要素，外语作为实际运用于交际之中的言语(parole,speech)或语言行为(performace)，须得生成于语言系统(system
of language,即语言)或语言能力(competence，指掌握构成某一语言所有话语的基础的代码的能力)；而语言系统和语言能力实际是一种语言知识系统。所以，只要我们承认学习外语不可能象鹦鹉学舌那样学一句用一句，那就必须通过学习语言知识以养成目的语语言系统或语言能力。因此，排拆语言知识的外语教学是不可能存在的。即使是采用经验主义教学法，也得从接触积累中自觉或不自觉地去归纳提炼出语言知识。
三、语言习得论怎样看待语言知识
语言习得论推动了外语教学研究，也在一定程度上造成了外语教学的混乱。
语言习得论源自乔姆斯基在20世纪50年代提出的语言学理论。这个理论提出了心智主义(Mentalism)的认识论思想，对于语言是什么和人类怎样获得语言作了全新的解释：语言是人类独有的一种种属属性，它是由人类的遗传基因规定下来的一种特定物质状态，存在于大脑中，在后天语言环境的作用下，发育成长而进入一种稳定状态，先获得某种具体语言的语言知识，从而具体运用该语言的能力；再由语言能力生成无穷无尽的语言行为。因此，语言知识或语言能力是人脑中不依靠学习而能自然构建起来的一种系统，是语言学习的内容。但它是一种物质状态，故不能简单地解释说“语言是用于交际的符号系统”。这样，语言知识/能力的形成便是在后天语言经验的作用下，从元始状态(initial
state)进入一种稳定状态(steady state)的过程和结果，而不是靠“刺激—反应”训练而形成的习惯。这个理论推演开来，就认为人类借助大脑中存在的先天语言属性，形成语言能力(competence)，有了语言能力便能生成语言行为。这种先天语言属性被称为包含了所有语言之普通原则的普遍语法，普遍语法体现语言习得机制(L.A.D.)。所以人类获得语言是一种生理现象，既不依靠认知活动，也不受生活环境的影响。其内部过程应是固定不变的，只是人们尚未探明。这样，描述获得语言的过程和描述语言的发展就不宜使用学习，而应该使用习得(获得，acquisition)。那样才可表明，获得语言是在接触到的目的语材料激活固定在普通语法中的参数后，逐渐形成的语言能力的结果。所以习得是一个内在的遵循一定程序规律的自然过程。反之，学习却是一个外力灌输的过程，是把动物学习规律用之于人类学语的过程，是不符合人类语言本质和发展规律的活动。从这种演释出发，人们开始研究语言，并有意无意地把语言习得一语看作科学概念，而把语言学习看作是前科学概念。
西方研究语言习得的人员很多，其著作多不胜读，观点之多也难备述。但互相矛盾、前后矛盾的观点也不在少数。这些研究范围既广，内容也细致深入，对外语教学有其贡献。比如，对中介语的研究、对个体差异的研究以及使用实证研究方法等等。但他们始终或明或暗地以语言的内在生长论为基础，并且似乎忘了内在生长论的标志是习得者取得目的语的内在语法；忘了competence的基本含义是语言知识：忘了knowledge
of language也表示实际使用语言的能力。他们脱离了语言知识这个立脚点，而又引用语言学习论的一些内容以求自圆其说。弄来弄去，以至对习得这个概念也没形成共识。比如，我国同行熟悉的、研究语言习得很有成就的学者Rod
Ellis在所著The Study of Second Language Acquistion一书(1994年版)的绪论中就说：“...the
nature of this object(＊second language acquistioin) is far from
clear....
In order to study how learners acquire a second language, a clear,operational
definition of what is meant by the term‘acquistion’is needed. Unfortunately,researchers
have been unable to agree on such a definition.‘Acquisition’can
mean several things.有的学生甚至认为已无必要区分习得与学习。比如，美国奥本大学蒋楠教授2001年春介绍美国学者对此的一般看法时说：“习得一词各人用法不一，除了克拉申作了‘学习’和‘习得’的区别外，除非要强调这种区别，大多数情况下这两个词是互相替代的，没有什么区别。”
在这种情况下，西方学者抓住乔学认为后天语言经验对习得语言具有激活作用(triggering effect)和定型作用(shaping
effect)大做文章，把语言习得论的内容向语言学习论扩展，或者说把语言学习论纳入语言习得论。所以，Rod Elilis也说，It(＊acquisition)can
take place in either a naturalistic or an instructional setting。但是，学习一般指经验的获得及行为变化的过程，而行为的变化是由经验获得引起的。经验之所以能引导行为的变化，在于它被概括出了可以指导行为的准则。这种概括表现为认识的成果，即知识。所以学习是以知识为立脚点的认识活动。因此习得论这种发展已从习语者习语的内、外活动，反映了知识是外语教学的立脚点。我们仍以上引Rod
Ellis的著作为例，从此书所述语言习得研究的四个内容，我们便可看到习得论实际也或明或暗地以语言知识为习语的立脚点。(＊为了清楚标示以下观点来自习得论者，在论述中把学习者一律称为习语者。)
1.习语者学到了什么。这是习得论关于习语者的描述，包含了习得论的主要研究方法。其内容是中介语的研究、错误分析、习得程序的认定、习语者语言的变化性和语用特征。这五方面不但离不了语言知识，而且必以知识为前提。比如，中介语是习语者学习中的语言，判断中介语发展水平及其特点的标准是语言知识，尤其是语法知识。错误分析中的识别错误离不了语法。习得程序的认定，主要是根据不同习语者掌握某些目的语语法、语音项目的先后顺序而推论习语者脑内的习得顺序，同样是以语言知识为立脚点。习语者语言的变化性主要研究他们在不同场合运用的不同语言结构和语体，如果离开语言知识，当然不可能发生。至于习语者语言的语用特征，既牵涉语用学，也涉及目的语的结构与功能。所以不论习语者习得了什么语言，都是以语言知识为立脚点的。
2.习语者怎样习得语言。这是对制约习得语言的外在因素和内在因素的解释。
(1)习语者的外在因素。首先是社会因素；主要是自然环境与教学环境。自然环境指目的语为习语者所在地的本族语、官方用语、族际通用语、多数人的母语。在这种环境下习得，存在按乔氏理论习得的可能；但习得的首要成果是内化目的语语法。其次是输入和交互作用，这种活动的效果取决于对输入或交互活动语料的理解与选择，如果不能理解或选择，输入必然中断，交互作用也联结不上来，而在外语教学中理解与选择的首要障碍是语言结构，如语法、词汇、语音等等。这反证语言知识应是外语教学的立脚点。
(2)习语者的内在因素。这是不能直接观察到的，影响习得效果的内隐因素。习得论系借助习语者输出的语言进行分析推论。共有三类因素：
首先是语言迁移。习得论认为迁移主要表示习语者建立第二语言体系之时第一语言特征的自动参入。最初他们认为这是行为主义的理论，否定了本族语的正、负迁移说。但20世纪80年代以后，他们从音位学、句法、语义、语用学各个方面论证了语言习得存在迁移：认为迁移是习得因素之一。比如，Odlin1989年说，there
is a large and growing body of research that indicates that transfer
is indeed a very important factor in second language acquisition。其他习得论者也纷纷研究形成迁移的原因。而迁移的内容主要是语言知识。这种见解与心理学对迁移的解释也是一致的。心理学的行为主义学习论与格式塔学习论都用到迁移。格式塔的关系迁移理论和布鲁纳的原理迁移论尤其重视学习者既有知识的迁移作用。所以习得论者承认迁移等于承认第一语言是习得二语的手段，而这种手段作用主要体现于语言知识能够作为获得外语的基础手段。
其次，习得论者已承认了认知的作用。这种作用存在于输入语料/信息以及输出时建构语言系统的心智活动之中；这意味着目的语的理解与产出都离不了认知活动。这样，习得论者就把中介语和习语者语言的变化都与认知活动挂钩了，从而远离了二语/外语在脑内自然生长的“经典性习得理论”。目前国外学者已根据二语习得认知论提出了多种习得模式，如竞技模式、功能模式等等，各种习得模式都在一定程度上以语言知识作为首要的习得内容。尤其是Andersen提出的思想和谐控制模式。Rod
Ellis说，Adaptive Control of Thought Model sees language acquisition,like
all other kinds of learning, as a process of procedualing ‘declarative
knowledge’(i.e.knowledge stored as facts).
此外，习得论认定的习语者的内在因素就是语言的普遍现象。这有两个内容：一个是“经典习得论”所遵从的语言习得机制，即借助习语者天生的普遍语法内化目的语语法。另一个是从语言类型学出发，认为第一语言知识包含了目的语也含有的语言普遍性。因为输入的语料并不能给习语者提供形成目的语言要用到的全部语言规则所必需的信息，从而使习语者必须利用语言普遍性从第一语言的知识中获取所缺信息。所以，不论怎样解释语言普遍现象对习得的作用，习得语言知识是居先的。
除了描述习语者语言和解释习语者的外在、内在因素之外，习得论的另一重要内容是对习语者的研究。这主要是研究个体差异。个体差异可分两类：一为固定的个体差异，即年龄与习语潜能。鉴别这两种差异的标准主要是语法能力和发音能力。一为可变的个体差异，即动机和认知方式。动机的主要决定因素是习语者由于所处的社会环境的不同而产生的习语需要。如果习语者身处目的语社会之中，他们习语首位需要是用，如第二语言习语者。如果习语者身处于非目的语社会之中，他们的首位需要是掌握习得目的语的基础、手段，那就是语言知识。至于认知方式，不论是场独立型或场依赖型，其主导因素既包含个性差异，也包含习语者所处语言环境的影响，因为目的语环境在影响动力的同时，也影响认知方式；比如，第二语言习语者天天、时时都与第二语为本族语者接触，不大可能不采取场依赖型的认知方式；但外语习语者却不同了。所以对于外语习语者说，认知方式的特点也在很大程度上取决于语言知识的作用。
除了上述习语者语言、习得因素和个体差异之外，现在习得论也研究课堂教学的习得作用。在早的习得论者以克拉申为主的一派，承认课堂教学学得的语言知识对语言输出有监查作用，现在习得论者大都认为课堂教学也能习得。而在习得论者原来的理念中，课堂教学至多只能学习语言知识。
四、我国外语教学特点
与欧美和一些前英美殖民地国家的二语教学或外语教学相比，在我国教学生学会外语具有许多特点。这些特点可以从教学客体、教学主体、教学环境等方面加以考察；其集中体现则是对语言知识学习的首位需要。下面分三部分阐述。
1.教学客体的特点
教学客体指目的语语言，如English/">英语。虽然我国学生和外国人同样学习English/">英语，但我国学生学习的是作为中国学校中一门科目的English/">英语课；它受到各级学校课程结构的制约，因而具有以下特点：
(1)英/外语科和其他科目具有同样的教育任务并须包含人文教育的内容，这些须得通过知识的吸收与建构而完成。
(2)英/外语科学习的对象是外语，不是第二语言。外语是学生可能用到的工具，学生对之选择性大。二语则是学生的生活条件，学生对之选择性小。
(3)外/English/">英语科开设于小学、中学、大学，目的连贯而学程不一定连贯：学生有的只能读小学、初中，有的只能读高中，有的只能读大专，有的可读到本科以上。所以我国学校的外语教学是分阶段完成的；并且各学段的毕业生都可能终止在校的学习，而在某一个时间自学外语或上学继续学习外语。这样，各级学校的外语教学都必须把可持续学习放在首要地位，而能保证可持续学习的语料，首先是语言知识。
(4)由于上述三个特点滋生出在教学对象方面的第四个特点，那就是学习内容有限。外语教学既不追求绝对的双语水平(ambilingual)，也不可能像二语学习那样全面地面向生活。与“生活中需要什么就学什么”相反，外语课所学的目的语内容是相当有限的，因为它要求达到的只是相对的外语沟通水平。所以它需要学习再生力强的结构、中性的功能以及使用频率高的词汇；结合生活需要的内容中能占很小部分。从这些内容看，外语课的学习内容主要应立脚于语言知识。
2.教学主体的特点
教学主体指学习外语的学生。在这方面，我国学生具有四个特点。
(1)我国学外语的学生哪怕是小学初年级的学生，他们的思维能力已相对成熟，缺乏的是目的语语言形式。比如，我们小学一年级的学生在掌握汉语拼音之后，便能阅读“十万个为什么”以及具有相当难度的童话、故事等读物。如果不借助汉语拼音突破语言形式关，大致得在小学四、五年级以后才能阅读。在外语教学中这种思维实际超前于语言发展的情况，说明教学必须立脚于语言知识以尽快掌握目的语语言形式。
(2)我国学生学习外语的时间投入有限，不可能通过大量接触模仿去学会。儿童习得母语估计要用一万小时。根据全国初、高中English/">英语教学调查1，我国中学生学习English/">英语每周课内课外共投入6小时45分(＊以每学时45分计，含不合规定而多用的时间，下同)。每学期以上课20周计共135学时，初、高中总共1620小时。小学每周约2小时，全程240小时。大学每周至多与中学等同，但仅2—3年，故全程约540—810小时。这样，我们的学生即使从小学一年级学到大学本科，至多能投入2400—2670小时。实际上还很可能投入不到这么多时间。因为课程标准规定中学、大学每周的English/">英语课时仅四学时，目前每学时仅40分钟；每学期实际上课时间也不足20周。除了学校的课堂内外，我们的学生又很难得有其他接触外语的机会。因此我国学生唯有充分利用语言知识，以求学一用十。
(3)我国学生对于使用外语含有前瞻性，大多数学生只是为了将来的发展需要而学习外语。这使外语教学只宜把“学了要用”作为远景性目的，而不是现实目标。因此不必，也不可能主要在模拟交际中学习，而适宜以语言知识的学习作为起点。因为即使使用交际教学法，不少知名学者，如哈佛大学的里弗斯教授，也主张外语教学应从认知知识着手再进入产出，以取得技能；然后通过应对(interaction)去运用技能，以进入真实交际活动。
(4)我国的中华文化是一种大一统文化。这使我国有记载的几千年历史中，国家很少分裂。大一统一文化的一个特点是自上而下，由一般到特殊。在封建时代，人们的大小活动都以“圣旨”为依据；在当代则以“红头文件”为依据。虽然两者的内涵及其覆盖的阶级利益绝不相同，但自上而下的逻辑相同。世世代代按此逻辑活动，使我们的学生很自然地易于采用演绎式的学习方法，这也为外语教学以知识为立脚点提供了方便。
3.教学环境的特点
外语教学是在学校环境教学生学会外语，这不同于在目的语环境中的自然学习：环境对学习会有极大的制约作用。而综观我国的外语教学环境，仅在操作层面就有四大特点。
(1)班大人多，当前小学English/">英语班级有多达80余人者；中学则可能每班超出100；最小的班也是50来人。一名教师同时教这么多学生，师生的接触面很窄；在短短的20—40分钟里，学生之间以目的语为媒介的接触量也极为有限。课堂以外，学生又难得有其他外语信息源，有了也不见得能够抓住(如电视)。唯有循知识→技能→综合运用的路子学习，才能保证学生学有所得。
(2)我国推广人多，发展极不平衡。在相当长的一段历史时期，我们的学生仍会缺乏目的语环境，学生在生活中自然学会的机会极少。这也限制我们采用经验主义的教学方法，而较多地采用理性主义的教学方法。后者必须以知识学习为引导。
(3)根据拨乱反正以后外语教学经验的统计分析2，我国学生学会外语在很大程度上得靠自学。自然外语须得有学习手段和正误的监查。拼读能力、语法能力、词汇知识正是学习的手段，也是监查输入与产出语言之正误的工具。为此，外语教学必须以语言知识为立脚点。
(4)我国学生最现实地运用外语的场合是考试。不论测试理论和试题结构如何变化，应考能力的基础仍是语言知识，只是或隐或显而已。
五、结束语
1.本文从四方面论证了语言知识是外语教学的立脚点。
(1)交际法之前人们反复地从经验主义←→理性主义提出不同的外语教学理想，都没忽视语言知识的教学。
(2)交际法以后人们正在探寻能够满足客观发展需要的外语教学理想，但不可能排斥语言知识的教学。
(3)语言习得论研究的习语者语言，习语者的外在因素，习语者的内在因素以及习语者的个体差异，都或显或隐地承认了语言知识教学的重要性。
(4)我国外语教学的客体、主体和环境具有必须以语言知识为立脚点的特点。
2.本文无意论述除了语言知识为立脚点以外的任何问题。至于以语言知识为立脚点的内涵则指两个：
(1)语言知识可以成为外语教学所要培植的运用语言能力之大树的根；
(2)语言知识可以成为外语教学这位三极跳远者的弹跳点。
所以，语言知识不是外语教学的目的。外语教学的目的是培养运用目的语的能力。立脚点作为根是为了长成大树，作为弹跳点是为了跳得更快更远。
3.语言知识作为立脚点的两个内涵意味着：为了实现“语言知识是外语教学立脚点”这个观点，可能产生由不同的理念、策略和方法构成的外语教学法体系或模式。这是一个值得大力研究的课题。
注：
1参见《中小学外语教学》1992年8—9期所刊《外语教学经验的统计与分析》。
2参见西南师大出版社1997年出版的《English/">英语教学的发展研究》和人民教育出版社2001年出版的《English/">英语教学的现状与发展》。
关于改革我国中学英语教育的思考
187 2-14
根据二十一世纪社会发展对English/">英语教育提出的要求，遵照国家教育部于99年11月份公布的《关于我国基础教育阶段English/">英语课程标准的设想》（以下简称《English/">英语课程标准》）［征求意见稿］的有关规定，再结合我国当前中学English/">英语教育的实际状况，目前，我们应该集中精力重点思考以下五个方面的主要问题。换句话说，我们应该实现以下五个方面的转变。
一、教育思想：变“以English/">英语为本”为“以人为本”
二、教育目标：变“以掌握知识为主”为“以培养综合能力为主”
三、教学原则：变“以教师为中心”为“以学生为主体”
四、课堂模式：变“以教定学”为“以学定教”
五、评价体系：变“单一的终结性评价”为“形成性评价与终结性评价相结合”
一、教育思想：变“以English/">英语为本”为“以人为本”
新的《English/">英语课程标准》在我国首次提出了English/">英语教育要“以人为本”的教育思想。以人为本，就是以人的综合素质为本，以人的持续发展为本；培养的是一个具有健全人格又能持续发展的完整的人，而不是单纯着眼于他眼下掌握了多少个单词和句型。先成人，后成才，English/">英语教育也同样责无旁贷地承担着这项历史使命。
多年来，许多教师用大量的事实证明，English/">英语教学本身，不仅应该承担掌握语言的教学任务，还应该而且完全能够承担培养学生以下七个方面的基本素质和发展能力的教育功能。这七个方面是：思想品德、心理素质、思维品质、个性品质、文化素养、学习能力、社会能力。
思想品德
通过英语教学渗透思想品德教育，是教学大纲规定的重要的教学原则之一，也是一项英语教师长期以来研究探讨的重要课题。教学实践证明，通过英语教学能够渗透以下几个方面的思想品德教育：
爱国主义、国际主义；人生观、价值观；热爱集体、热爱劳动；遵纪守法、文明礼貌；行为准则、是非观念；关心他人、学会合作。
心理素质
与智商（IQ，Intelligent Quotient）相对应，美国心理学家戈曼提出了情商（EQ，Emotional Quotient）的概念。所谓情商，是指了解、控制、调整和激励自己的情绪，使自己为实现一定的目标而增强注意力和创造力的能力。
显然，戈曼所说的情商，大体上相当于我们所说的包括诸如兴趣、爱好、动机、态度、内驱力、情感、性格、毅力等在内的非智力因素。也相当于新的《英语课程标准》在课程目标中提出的“情感”目标的内涵与外延（见第29页图表）。
戈曼指出，一个人要想成就事业，不仅要有一定的智商水平，更需要有较高的情商。情商是使智商发挥作用的重要条件，是应付波折，抵御挫折的动力。因此二者必须同时开发，交融并举，它们互补融合才能构成人的完整素质。
然而，长期以来我国教育偏重认知活动，而忽略情感活动；只重视开发智商，而忽视开发情商，致使学生心理障碍严重，耐挫能力低下。顺利时忘乎所以；受挫时悲观丧气，严重地阻碍着智力因素的发挥。
在英语教学过程中，我们应该对学生进行兴趣训练、好奇感训练、情感训练、毅力训练、性格训练、注意力训练等诸方面的心理素质的基础训练。这样做，在语言方面，能够激励他们大胆进行语言实践，不碍口、不害羞、不怕犯错误，勇于矫正错误，从而提高他们的学习效率。同时，在心理素质的铸造方面，也有助于他们逐步形成争强好胜，不怕困难、不怕挫折，敢于冒风险，敢于迎接挑战，勇于在众人面前表现自己，对挫折和失败具有一定承受能力的健康完美的心理素质。
思维品质
语言既是思维的主要载体，也是思维的表现形式。英语语言教学与思维品质的形成有着直接和密切的关系。
在英语课堂呈现阶段，教师应该创设真实或模拟的情景，运用实物、模型、图片、动作、表情、身姿、手势等直观手段把抽象的、概念化的新语言变成具体的、形象化的、立体的直观影像呈现给学生，既达到了语言输入的任务，完成了理解新语言的功能，同时也发展了学生形象思维能力。
在语言操练阶段，教师应该引导学生运用类似联想、对比联想、搭配联想和相邻联想等联想思维的方法来掌握和记忆单词和句子，既能事半功倍地学习语言，又能开发学生联想思想能力。同时，在该阶段，还可以引导学生运用概念、判断和推理以及归纳与演绎、分析与综合、比较与概括、抽象与具体等抽象思维的方法来理解掌握句型和方法，以此来培养学生抽象思维能力。
在语言实践阶段，教师可以设计一些诸如读图对话、憧憬想象、打破定势、发散集中、新旧连接、矛盾辩论等话题，组织学生进行小组讨论或对子表演，以激活学生的想象力和创造力，培养他们的灵感思维能力。
综上所述，通过English/">英语教学应该而且能够训练学生形象思维、抽象思维和灵感思维的方式和方法，培养他们具有广泛性、深刻性、灵活性、批判性和创造性的思维品质。
个性品质
长期以来，我国的应试教育过分强调共性制约，无论是课程设置，教学内容，教学方法，测试手段甚至试题答案都必须整齐划一。学生跟着教师走，教师跟着教材走，师生都跟着考试的指挥棒走，用这同一个模子塑造人才；一个标准、一个规格、强求一致，人人都必须进行求同思维，谁也不许越雷池半步；这些都限制了学生个性的发展，扼杀了学生的想象力和创造力，使他们成了循规蹈矩、人云亦云，被教师和教材牵着鼻子走的“小绵羊”和“书呆子”。
没有个性就没有创造性，而且个性素质包含并表现共性素质。因此，在发展学生共性素质的同时发展他们的个性素质，这是English/">英语教学又一项教育功能。针对当前我国学生个性不强的弱点，更应该着重对他们进行个性素质和特殊才能的培养。
以思维方法为例，应该鼓励学生求异思维、发散思维、反向思维、逆向思维，敢于唱反调，善于用不同语言结构表达同一思想，以使他们在具有普遍素质的前提下具有自己的特殊素质，成为“全面发展加个性”或者“合格加特长”的21世纪所需要的人才。
文化素质
语言是人类文化的载体。任何一种语言的背后都隐含着使用该种语言的民族长期的历史演变过程中沉积下来的文化底蕴。所以，学习一种语言，不仅要掌握这种语言的结构，而且还要了解该种语言所依附的文化背景，从而拓宽学生的文化视野，丰厚他们的文化功底。
此外，我国长期应试教育造成过弱的文化陶冶，致使学生的人文素质和思想底蕴严重缺损，这
又使通过English/">英语教学对学生实施文化素质教育的任务显得更为重要。
继承和发扬我国优秀的文化传统，了解世界各国尤其是English/">英语国家的先进文化以及汉英两种文化之间的差异，应该是文化素质教育的主要内容。这就要求English/">英语教学要把语言和文化有机地结合起来，使二者同步发展，并采取对比的方法，结合语言教学的内容，适时地介绍汉英文化在价值取向、思维方式、国民性格、礼仪习俗、家庭模式等方面的差异，以提高学生的文化素养。
学习能力
由于科学技术的迅猛发展，培养人才的周期远远滞后于社会对人才需求规格变化的速度。现今已经没有“管用一生”的一次性教育，只有“贯穿一生”的终生教育。那种在学校一次性“充电”毕业后终生“放电”的观念已成为历史。因为学习不可能一次性完成，而且一个单一的专业也很难应付未来复杂的社会需求。因此，学校教育只能教会学生学会学习，把开启知识宝库的钥匙交给学生。“授人以鱼，只供一餐之食；授人以渔，则终生受益”。掌握了学法，具有较高的学习能力，要比多记几个单词或句型重要得多，因为这将受益终生。
English/">英语，作为一门实践性很强的技能学科，更要采取科学正确的学习策略、方法和技巧，具备较强的学习能力。因此，学习English/">英语方法的培养和能力的形成，其核心是实践，实践，再实践。
学法决定教法，教法源于学法；反转过来，教法又影响学法，学法依赖于教法。只有教的有方，才能学得有法。教法与学法是互相渗透、互相影响、互相促进的双向关系。我们必须以学促教，以教示学，才有助于培养学生正确的学习方法，提高他们的学习能力。
据此，培养学法，必须从改进教法切入。教师在教授语音、语法、词汇等基础知识和训练听、说、读、写等基本技能时，就必须充分尊重语言学习规律和符合学生的学习过程，不折不扣地贯彻以学生为主体，以实践活动为主线的教学原则，把课堂上大量的时间交给学生，引导他们进行大量的语言实践活动，并以此为主线构建English/">英语课堂教学的框架结构。从而确保学生在学会English/">英语的同时逐步学会会学English/">英语，提高学习能力。
社会能力
现行《English/">英语教学大纲》提出，要培养学生具有“为交际运用English/">英语的能力”；新课程标准也规定，学生要具有“初步的交际能力”。
我国著名的语言学家胡文仲指出，交际能力是由语言能力（Linguistic Competence）和社会能力（Social Competence）构成。
社会能力，哈佛心理学家嘉纳称之为“人际智能”。他指出，人际智能是指认知他人、善解他人、关心他人并能与他人友好合作的能力。他还把人际技巧分成四类：领导能力、交友能力、解决纷争的能力和分析社交生态的能力。他还强调，与情商其它诸因素相比，人际智能是最为重要的一种能力。卡耐基曾说，一个人事业上的成功，只有15％是他的专业技术，另外85％是靠人际关系的处理技巧。洛克菲勒也曾说：“与太阳底下所有能力相比，我将更多关注的是与人交往的能力。”
由此可见，培养社会能力，不仅是铸造一个人素质的需要，也是English/">英语教学培养交际能力的需要。
English/">英语教学，如果能够坚持以学生为主体，以学生活动为主线，以小组活动为主要的活动方式的原则，那么，学生便可在与同伴合作活动中训练自己的结伴交友、关心他人，群体组织、协商调解、团结合作的意识和能力。而这一切正是二十一世纪信息社会所需要的开放型、合作型、竞争型人才的重要组成部分。
二、教育目标：变“以掌握知识为主”为“以培养综合能力为主”
新的《English/">英语课程标准》中关于课程的目的做了如下阐述：
基础教育阶段English/">英语课程的目的是激发和培养学生学习兴趣，帮助学生树立自信心，形成有效的学习策略，养成良好的学习习惯；使学生掌握一定的语言基础知识和基本技能，建立初步的语感，获得基本的语言动用能力，开发智力，培养观察、记忆、思维、想象和创造能力，了解文化差异，培养爱国主义精神，增强世界意识，使学生初步形成健全的人格，为学生的可持续发展打下良好的基础。
以上说明，新课程标准在总体目标设计上体现了素质教育的思想，突出对学生综合能力的培养，将原有的基础知识和基本技能两项扩大为五项。具体内容与目标如下图：
其中，关于English/">英语语言方面的目标要求，从基础教育的整体考虑出发，以目标分级的方式设计，取代现行大纲的分学段、分年级的设计方式。即小学、初中、高中通盘考虑，保证各学段课程的有机衔接。
新的课程标准对语言能力的要求共设计八个级别。第三级为义务教育阶段结束时（即初中毕业）应达到的级别；第六级为普通高中毕业必须达到的级别。不同地区的学校以及不同学生和个人可视具体情况适当提高级别要求。暂不具备条件的地区和学校，可适当降低要求，但要积极创造条件，尽快达到国家规定的标准。
这种保底不封顶的做法，体现了“能飞则飞、能跑则跑、能走则走”的因材施教原则，具有较强的灵活性和可操作性。
关于情感、策略、文化等目标要求，在我国也是第一次纳入教学大纲之中，我们必须花大气力进行探索研究。新课程标准对每项要求均列出具体细目，以便于我们具体操作和评估。
总之，新课程标准关于内容与目标的设计，突出了学生综合语言能力的培养，以及情感、策略和文化素质的综合发展。
三、教学原则：变“以教师为中心”为“以学生为主体”
素质教育的本质是人的主体性。主体性是素质的根本规定。素质教育的主要机制是内化机制。也就是说，人的素质是靠其本人主体的内化形成。学生是任何人都不能替代的思维的主体。English/">英语是一门实践性很强的技能性学科，English/">英语是学生自己练会的，而不是教师讲会的。所以，国家教委［1998］1号文件指出“优化教学过程最根本的是引导学生积极主动参与学习过程，学会学习，使他们成为真正的学习的主体”。新的《English/">英语课程标准》还提出了“体验学习”。也就是说，学习英语是靠学生自己去体验、去感悟、去内化（Internalization）。
由此可见，以学生为主体，以学生的实践活动为主线，是构建英语课堂教学模式应该遵循的最根本的一条原则，是素质教育的生命线，是灵魂。没有学生主体地位的回归，就没有素质教育，也就没有成功的英语教学。
那么，应该如何贯彻落实这条原则呢？我认为，首先应该转变教育思想，更新教育观念，然后在课堂教学中做到以学生的实践活动为主线，以小组活动为主要的活动方式。
（一）转变教育思想，更新教育观念。
目前，主要应该转变两种观念：
师生观要实现四个转变：
①由学生为教师服务，转变成教师为学生服务；
②由学生围着教师转，转变成教师围着学生转；
③由学生被当作充塞知识的容器，转变成课堂活动的主人；
④由教师在台上表演（拉大提琴），转变成导演或指挥；
总之，要由教师为中心（Teacher Centred）变成以学生为中心（Student centred）。
教学观要实现六个转变：
①由只研究“教”变为同时研究“学”；
②由“教决定学”转变为“学决定教”；
③由“只研究教法”变为“同时研究学法”；
④由“教法决定学法”变为“学法决定教法”；
⑤由“只研究教的过程”变为“同时研究学的过程”；
⑥由“教的过程决定学的过程”变为“学的过程决定教的过程”。
总之，要由“以教定学”变为“以学定教”。
（二）以学生实践活动为主线，以小组活动为主要方式。
对子或小组活动（Pair work ／Group work）在西方国家已经有数十年甚至上百年的历史了。从幼儿园到小学，到中学，到大学，都是课堂上最基本的学习方式。
小组活动的必要性
概括起来，分组活动主要有以下七个优势：
①面向全体，人人参与。组内人少，人人有机会，消灭了遗忘的死角。
②讨论争论，强化记忆。在记忆金字塔中，小组活动的记忆率是50％。
③互帮互学，共同提高。好生帮助差生，学到后马上教别人，记忆率是95％；差生没有心理负担，可以大胆实践。
④组内合作，强化集体荣誉感。人人认真准备，出谋划策，增强责任感、荣誉感。
⑤组织比赛，增强竞争意识。你争我赶，互不相让。
⑥组内交流，锻炼能力。沟通交流，培养开放型、交际型人才。
⑦轮流坐庄，提高组织能力。组长有权组织安排组内活动。
小组活动的可行性
分组的方法：
①Friendly Grouping 自愿结组
②Multi-ability Grouping 不同水平混合编组
③Single-ability Grouping 同等水平编组
④Neighborhood Grouping 邻里分组
我们国家班型大，学生多，采用第④种为宜。同桌两个人组成对子（Pair）；前桌两人回头与后桌两人结成四人小组：
组长的确定：
刚开始小组活动时，可先由教师指派学业好、组织能力强的学生担任组长，经过一段磨合师生形成默契之后，可轮流坐庄，让每位学生都有锻炼的机会。
具体操作———贯穿课堂教学始终。
①复习阶段（Revision）
值日生报告、自由谈话应以小组形式进行。
＊老师设计题目，小组先准备2—3分钟，然后集体表演。
＊上节课布置题目，课后准备，课上表演。
＊在组内，一人说，大家补充。比如，每人轮流宣读日记，大家讨论。
②呈现阶段（Presentation）
按五步教学法规定，该阶段是逐一呈现新的语言材料：单词、词组、句型等。但要呈现一个练一个，不要欠债；经过全班和半班操练之后，便可在组内练，先口头，后笔头。可印发题单，主要是模仿型和机械型题目，如模仿、重复、替换、转换、选择、判断、填充、补全、造句等。然后组内互判，大家一致者，放过；有争议者，请老师指导，二、三分钟即可。
③操练阶段（Drills）
这是对整个对话或课文的操练，这更需要在组内进行。老师可以印发题单，个人做完之后，组内同伴互批互判，无争议者，放过；有争议，老师答疑，也可抽样检查。
④实践阶段（Practice）
大家做得较好，老师出题目，小组讨论、抽样表演、反馈检查。
⑤巩固阶段（Consolidation）
也可按操练阶段方式进行，印发题单，小组作为主要的活动方式是完全可以实现的。开展小组活动，必须事先准备学习材料，可以把写在小黑板上或投影胶片上的练习题打印下发，供各个阶段学生活动时使用。
四、课堂模式：变“以教定学”为“以学定教”
遵照上面提到的“以学生为主体，以教师为指导，以活动为主线和以小组活动为主要方式”的教学原则，我省经过上下共同努力、研究探索，初步构建了以下“以学定教”的导学式English/">英语课堂教学模式。
English/">英语课堂教学模式基本框架
（仅为多种模式之一，只供研究探讨）
（一）理论依据
1“面向全体，全面发展，主动参与”的素质教育观；
2“学生为主体，教师为指导”的师生观；
3．“English/">英语是学生练会的，不是教师教会的”的学科教学观；
4“独立性与依赖性相统一”的心理发展观；
5“学会学习”的学习观。
（二）操作程序
1复习阶段———营造语境、以旧引新。通过值日生报告、自由谈话、角色表演或歌曲游戏等创设English/">英语环境，营造English/">英语氛围，激活学生的情趣，提升他们的情商，使其尽快进入角色，全身投入语言实践和思维活动中去；同时通过复习与当课相关的语言现象导出新课内容。
2呈现阶段———目标设疑、直观呈现。针对当课应完成的单词、短语和句型等语言教学的重点和难点，以及素质教育的综合目标，通过实物、模型、图画、动作、表情、手势等直观手段把线形的、抽象的、新的语言现象变成立体的、形象的多维图像呈现给学生，激活学生右脑形象思维器官，完成新语言的感知、理解和输入过程。
3操练阶段———指导操练、解疑点拨。运用全班、半班、男女、分行、分排、小组、对子、个人等多种活动方式，其中以小组活动为主，指挥学生进行模仿、替换、转换等有控制的机械操练，以获得语言技能；同时，对重要的语言规则和规律，精讲解疑，点拨升华，以发展学生联想、归纳、演绎等抽象思维能力。
4实践阶段———创设情境、设计话题。根据当课所接触的语言项目和应完成的语言功能，结合可能实施的素质教育目标，设计相关的开放型话题，组织学生分组讨论或辩论，以激活学生的想象力和创造力，发展他们的灵感思维和交际运用能力。
5巩固阶段———反馈强化、总结归纳。通过对当堂课所接触的新的语言的总结归纳和学生自测、群测的信息反馈，达到巩固强化和查缺补漏的目的。
（三）操作策略
1学生是课堂活动的主角，是思维的主体，他们的活动应占课堂绝大多数时间。
2．在不同教学阶段，教师可以是课堂活动的策划者、发动者、组织者、指导者、咨询者、评判者或参与者。
3小组活动应该是贯穿课堂活动始终的主要活动方式。每接触一项语言点时，经全班齐声模仿操练之后，一般均应组织对子或小组活动，先口头，后笔头。做完练习之后，或组内互判，遇有争议的共性问题提给教师统一质疑；或全班共判，指定某小组个人作答，教师指导点拨。但与小组练习的时间相比，单人或单组在全班范围内的检查评判时间宜短不宜长，获得反馈信息后进行及时补救便达到目的。
4为了便于学生活动，教师在备课时应在为自己设计教案的同时，按照课堂教学五个步骤的教育教学内容为学生设计同步练习的题单或学案，列出教学重点、难点、知识点、能力点、教育点，以及与教学同步的诸如模仿、替换、填空、选择、转换、补全、问答、思考、讨论或辩论等口、笔头练习题或检测题，供学生在不同教学阶段活动时使用，同时也是考查学生平时表现的依据。
五、评价体系：变“单一的终结性评价”为“形成性评价与终结性评价相结合”
任何一种教学改革都必须得到与其相适应的评价体系的支持，否则必将失败。
新课程标准明确提出了形成性评价与终结性评价结合的评价体系：既关注结果，又关注过程，把对学生的评价作为整个English/">英语教学的一个有机部分。这是世界先进国家一直沿用的评价手段，也是我国基础教育必将采用的评价体系。
过程性评价，主要指平时表现（Daily Performance）。它应该包括出勤情况、课堂活动情况（发言的次数和质量）、课堂反馈检测或诊断性测试情况、作业完成情况以及参与课外English/">英语活动的程度和表现等。这一切，可主要采用量化的手段进行评价。
关于学生在学习过程中表现出的情感、态度、策略、文化知识和发展潜能等，则可根据大纲的细目要求，采用宽松的、开放式的描述性评价形式。
过程性评价的手段可以是通过观察、交谈、问卷调查、学生自评或组内互评等来完成。总之，要由教师和学生相互配合，共同协作完成。
终结性评价，主要指包括听力、口试等在内的期中和期末考试等。
综上所述，新的评价体系既重视终结性评价，也重视形成性评价；既重视对运用English/">英语能力的评价，也重视对学生综合素质和发展能力的评价；评价的手段既有分数量化，也有文字叙述；评价的执行者既是教师，也可以是学生本人和其他同学。这是一种先进的、科学的、全新的评价体系。
The Use of Body Language in Middle Schools
238 2-14
Author: Zhnag Lei Supervisor: Dong Chunzhi
Foreign Language Department
Hankou Branch of Huazhong University of Science and Technology
【Thesis】: With the continual reform of language teaching and learning
methods, teachers are in great demand to organize the classes in
English and create English-learning circumstances. However, with
the limitation of students' vocabulary, teachers have to simplify
their teaching language with the help of facial expressions and
body movements. In this article, the possibility and the effect
of using body language in listening, speaking, reading and writing
will be further discussed.
【Key words】: English teaching in middle schools, body language
I. Introduction
As everyone knows, the classroom teaching is one of the most important
ways that the students learn English. As far as the English teaching
in the middle schools is concerned, teachers have to arouse the
students' interest so that they may learn better. There are many
ways to arouse the students' interest and help them to learn better,
body language used in English teaching is one of them.
Body language is an important media through which people communicate
with each other. It refers to the patterns of facial expressions
and gestures that people use to express their feelings in communication.
The specialist on body language research, Fen. Lafle. Angles, once
said: "Once it was lost, a baby couldn't have grown into a
normal person". It's also true to the juveniles. In school
education, body language plays a positive role in cultivating the
students' characters. For, teachers are usually respected, and factually,
what or how the teachers say and do will be possibly imitated by
the students (sometimes subconsciously). In a word, teachers' graceful
body language helps to improve the students' artistic-appreciation
and moral character. If the students develop a wonderful body language,
which will possibly leads them to form an optimistic and active
feelings, they will surely have a more smooth interpersonal relation.
The affection of teachers' body language on the students is reflected
not only by establishing a good example, but also shortening the
teacher-student estrangement by which a more harmonious studying
atmosphere is created. As a matter of fact, teachers' friendly appearance
can greatly encourage the students' studying enthusiasm. Furthermore,
the characteristics of theoretic and abstraction of knowledge also
requires the vivid, dramatic and an accessible gestures to make
it specific and figurative. As a result, the students' interest
is motivated and the effect of teaching is greatly improved.
II. The necessity and importance of using body language in English
teaching
English teaching is a key part of the school education. With the
English teaching methods reform, more and more English teachers
organize the teaching process in English so that they may realize
the Communicated English. The Communicated English means that teachers
instruct the students and explain questions basically in English,
and the students are also required to use English in class. Contemporarily,
however, the students in the middle school can't speak very well;
neither can they understand why they should use different tones
in different time or situation; their vocabulary and expressive
ability are limited too. These limitations made it difficult to
realize the Communicated English in the classes. According to the
students' present level and practical situation, body language is
required. For example, when a teacher gives an instruction: "You
two, please come to the blackboard." The students can easily
understand it if the teacher looks at (or points to) some two students.
Then, the teacher points to the blackboard. The students will carry
out the order without obstacle even if they don't hear the key words
"blackboard" clearly. Furthermore, teachers usually have
to explain some language points, and at this time, they have to
differentiate the classroom expressions and the examples. Take it
for example, we ought to use the form 'have done' such as 'Have
you finished that job jet?'" To make the students understand
clearly, a teacher has lots of ways. To do it by speed, he uses
a common speed when reading "we ought to use the form 'have
done'", and reads slowly when giving examples; he can also
get the effect by repeating the example 'Have you finished that
job jet'; a more frequent way is to use gestures to lay emphasis
on the key points when he said "have done"(emphasizing
it in voice at the same time), he reaches out his index finger,
pauses in the air, and then gives out the example. This action will
usually give the students a deep impression. From the above we can
learn, the use of body language in English teaching is necessary
and practical. In the English teaching in middle schools, body language
is frequently used to improve the teaching effect and the students'
ability.
III. The concrete application of the body language in listening,
speaking, reading and writing
1. Body language helps to improve listening
The Greek philosopher Epictetus ever wittily said: "Nature
has given man one tongue and two ears that he may hear twice as
much as he speaks." From the saying we can learn how important
the listening is in our daily life. To understand others is a basic
purpose in English teaching, and teachers often train the students'
listening accordingly. In this process, if the body language is
used, the effect will be better. When beginning a new lesson, the
teacher narrates the story outline in English. The body language
may help. For example, a teacher can stretch his arms slowly when
he says "She is in a very big room"; he can open his eyes
widely with mouth opened when he says "She is so beautiful
a lady". As a result, the students will have such an impression:
She is very beautiful indeed; a teacher who imitates the crying
or the movement of the animals under the premise of teaching order
will surely achieve a better effect.
2. Body language helps to improve speaking
The spoken language is one of the important ways to communicate,
so we should try to develop the students' ability of speaking. Factually
they are helped to reach the aim in a certain degree by their teacher's
body language.
The contemporary emphasis is gradually laid on spoken English teaching.
The first lesson of every unit in Senior English begins with dialogue.
The teaching programs require the teachers to organize the class
to practice English according to the characteristics of dialogue.
Generally speaking, the body language can arouse and sustain the
students' interest of learning and using English. In the English
class, the teachers should not only use body languages themselves,
but also ask the students to use them according to the different
situation. Take it for example, the first lesson in Unit one, Book
one is about the time when the new students first meet, and they
don't know each other. So a teacher can introduce himself first,
such as: "Hello, everyone, nice to meet you here. Now I'll
introduce myself to you. My name is Arthur. I like playing basketball,
for, it makes me much stronger; I like playing chess, for, it makes
me more clever; and I like reading books, for, 'reading makes one
perfect'". During the introduction, the teacher should use
the new vocabularies and sentence structures together with a vivid
expression and mating gestures as possibly as he can. He smiles
when he says hello to the class; he shakes hands with some students
saying "Nice to meet you"; he writes name down on the
blackboard; he imitates the action of dribbling and shooting at
the basketball, playing chess and turning pages to explain his hobby.
After his introduction, the teacher can create a circumstance for
the students to practice: "Mary and Jack are new classmates.
They are walking together in the street, and they meet one of Jack's
old friends, Yangpei. Then Yangpei and Mary are introduced to each
other by Jack." After the students' practice the dialogue is
introduced naturally from it. Usually, the application of body language
in different situations will result in an attracting and successful
lesson.
3. Body language helps to improve reading
The purpose of Senior English teaching is to train the students'
preliminary ability of using spoken and written English. In the
senior school, we lay emphasis one the reading ability that serves
the students' further study. Here we mainly mention the helpfulness
for reading aloud(朗读). Reading aloud helps the students to get a
correct pronunciation and intonation and to develop the combination
of vocabularies' pronunciation, spelling and meaning. Furthermore
it also helps the students to find out the article's internal feelings
and appreciate the beauty of the language. A linguist ever said:
"A poem is not a poem until it is read." Reading aloud
is basic in the middle school, and the teachers should make full
use of body language to develop the students' ability of reading
aloud.
When reading the sentences, attention should be paid to where to
speak softly, emphasize, and raise or lower our tone. To make it
clear, we can imitate the strong or soft pats that are used in music
teaching, which means to use the arcs to represent different tones.
Generally speaking, we use falling tones in declarative and special
interrogative sentence, first rising tones and then falling tones
in the choosing interrogative sentence. The students in the middle
school are not often accustomed to and always confuse them, however,
with the help of body language, they can solve the problem much
more easily. For example, they use gestures. As they read the choosing
interrogative sentence, they raise their hands in rising tones and
lower in falling tones. After training for some times, as soon as
they read the sentences, they will remind themselves of the gestures.
As a result, there will be no problems in rightly reading the sentences
at all.
In a word, the vivid gesture together with the fluent English can
create a good circumstance of learning, which will surely play an
active part in improving the students' reading ability.
4. Body language helps to improve writing.
Writing is one of the four basic skills of learning language, and
it is so important a skill that we can even say without it, people
can't communicate with others. Not only should the students get
some English knowledge and vocabularies, but also the ability to
communicate in spoken and written English as what is mentioned in
the teaching programs. To some extent, writing is much more important
than speaking, for it can spread without the limitation of space
and time. Since the students learn English as a media for communication,
they should have the ability of writing.
To get rid of the students' feelings of being dull and tiring, an
English teacher has to use every possible method. This is the same
to the writing. Teachers use different method in order to improve
the students' ability of writing, among which, the application of
body language can deepen the object impression, such is magnificent
in developing the students' writing ability.
The linguist Franklin ever said, "Tell me, I'll forget; teach
me, I'll remember; involve me and I'll learn." If we asked
the students to write an unfamiliar composition, they would probably
be unable to and feel discouraged. However, the students can write
excellent articles if they have the experience. In and out of class,
we should ask the students to participate some English-related activities,
and then ask them to write it down. Take "The First Snow in
Winter" for example, having enjoyed themselves in the beautiful
snowing and been given some hints, the students can write much better
a composition. For contrast to their complete imagination, the students
are deeply impressed by the body movement of the teachers and themselves,
which surely leads to a better article.
IV. Conclusion
Learning English needs practice. The 45 minutes in class is very
precious and should be cherished, during which the students should
practice as much as possible. To exert the limited time, teachers
are required to adopt some effective methods. The use of body language
can not only attract the students' attention, but also deepen their
impression and imagination. The use of body language is completely
up to the standard of audio-visual teaching principle, so teachers
should try to teach in English from the beginning to the end, together
with the corresponding body language. In the end, the students'
ability of English will be certainly and greatly improved.
Bibliography:
1. He Guangkeng, The Basis of English Teaching and Learning Methods,
Ji Nan University Press, 1999
2. Shen Minxian, The Use of the Body Language in Elementary School,
Shanghai Education Vol. 12, 1999
3. Gu Xueliang, The Basic Technical Training in English Teaching,
Hangzhou University Press, 1998.
4. Hu Chundiao, The English Teaching and Learning Methods, Higher
Education Press, 1990
5. Liu Yongfa, Liu Xuan'en, The Practical Body Language, Hua Wen
Press, 1997
6. Wu Zongjie, Readings for Applied Linguistics and Language Teaching,
Zhejiang Teachers' University, 1998
What are the most important culture differences and elements of
intercultural communication
347 2-14
As we all know, different countries have different cultures. 'Culture
is the collective programming of the mind which distinguishes the
members of one category of people from another.' (Hofstede, 1991)
It is inevitable that the cultural difference has impact on business.
For example, when a company having meeting, the word "table"
in American English that means to put something on the agenda. But
in British English it means to put something off the agenda. This
example indicated how the culture affects the business.
There are four cultural dimensions that were defined in Hofstede's
research: Power distance, Uncertainty avoidance, Individualism,
Masculinity, and recently Hofstede add one more: long-term-short-term
orientation.
What I think the most significant influence in cultural difference
is the power distance. (Hoecklin,1995:28)"It would condition
the extent to which employees accept that their boss has more power
than they have and the extent to which they accept that their boss's
opinions and decisions are right because he or she is the boss."
I considered it as how much subordinates can consent or dissent
with bosses or managers. It is the distance between a manager and
subordinate. Among most oriental corporate cultures, there is hierarchism,
greater centralization, sometimes called 'power-oriented culture',
due to the historical reasons. That is a high power distance culture
that mangers make the decision and superiors appeal to be entitled
more privileges. Their decision always close supervision positively
evaluated by subordinates. In this situation, it is not be regarded
if a subordinates have a disagreement with their managers, especially
in Malaysia, Japan, China, India.
In the oriental, power distance is also associated with 'the family
culture' (Trompernaars, 1993:139). In this kind of corporate culture
the manager is like the "caring father" who knows better
than his subordinates what should be done and what is suitable for
them. The subordinates always esteem the managers. Because of the
managers age and experience. That is usually how employees get their
promotion. There are both positive and negative parts in the family
cultures. I feel it is an easy managing system. But sometime it
is hard to get young creative employees work well cause of the hierarchy.
As Tropmenaars (1993: 142) told us "family culture at their
least effective drain the energies and loyalties of subordinates
to buoy up the leader." So in family culture, the power distance
can be viewed as the subordinates respect the superiors.
That is the corporate culture in orient. Let us take a look at the
western way. It is not a whole converse phenomenon. There is 'the
Eiffel Tower culture' (Trompernaars, 1997:166) in the international
management. About the Eiffel tower Trompenaars (1993: 148) told
us " Its hierarchy is very different from that of the family.
Each higher level has a clear and demonstrable function of holding
together the level beneath it." German, Austrian have the characteristic
of the Eiffel Tower Culture, which is a low power distance. In the
lower power distance, (Hoecklin, 1995:31) 'higher-educated employees
hold much less authoritarian values than lower-educated ones.' The
obedience showed from the subordinates to the superiors is not as
much as the oriental way. The leadership can be called as hierarchy
and consensus. Employee can have different opinion with his/her
boss. And when he/she got different ideas, he/she can go all the
way up to the boss and discuss the problem. This is a good thing
usually company may explore all the potentials of its employees,
because sometime the subordinates may have the better idea of the
business.
I think because of the different realization of power distance,
people behave completely different in business. So conflict and
misunderstanding must be emerged when two or more intercultures
meet up. Under this situation, the international managers must pay
attention to the clashes and be aware of. How to work the subordinates
together efficiently and more cooperatively is important too.
And then there is also a large discrepancy on the uncertainty avoidance.
(Hoecklin, 1995:31) defined 'Uncertainty avoidance is the lack of
tolerance for ambiguity and the need for formal rules.' That means
people trying to setup rules to face to the uncertainty. There is
high uncertainty avoidance in most oriental countries such as Japan,
China. In these countries, people prefer a stable job. They feel
safe and prideful when they keep working hard at the one place.
Under this circumstance, an excellent manager should keep his employee
away from unpredictable risk. And the employee would like to be
worked within groups rather than independently cause of the less
risk-taking. But in most western countries, there is low uncertainty
avoidance showed, whereas high job mobility occurs in those countries
such as USA, Denmark, Singapore. The western people think that when
they change their jobs, they can get more experience cause they
like challenge. I believe that the divergence of the uncertainty
avoidance is from different basic social ideology. A competent manager
should pay attention on the rules setting between different uncertainty
avoidance. The misreading of that may affect the initiative and
the aspiration of the subordinates.
The third dimension Hofstede indicated is the individualism. It
is a concern for yourself as an individual as opposed to concern
for the group. The priority of self-concern or group-concern varies
from different cultures. For example, most western employees like
to work with their own plan for defending their interest. That is
a high individualism. Because of the different attitude to work,
'the incubator culture' (Trompernaars, 1997:175) arises when cross-cultural
individuals work together as a group. Trompenaars (1993: 158) told
us "the incubator is both personal and egalitarian." People
do not cooperate at all. They just simply work in their own ways,
follow their own rules, and achieve their own objective. They do
not like to be interfered by others. It is good for a company to
gather as much ideas as they can when starting a new program. But
how to manage these individuals to reach the group goal should be
the awareness for managers. I think who is good at this should be
good at grouping, troubleshooting, and coordinating skills.
Finally Hofsted pointed out the masculinity. That is about the sexual
inequality. According to Hofstede's definitions, masculine societies
define gender roles more rigidly than feminine societies. In business,
managers should take a big concern of the treatment to different
sex under different cultural influence. In today's world, because
of the masculine value and point of view, males take most senior
managing positions. But a experienced manager suppose knew that
it is harmonious that men work with women since women sometimes
are more sensitive. Therefore, how to balance the masculinity/femininity
from different culture and background in order to maximize the team
power is worth considering by managers.
The above four dimensions illuminated the most important cultural
differences that affect on business. International managers should
be able to aware not only the cultural difference but also the intercultural
communication.
Gudykunst and Kim (1992:13-14) classify intercultural communication
as 'a transactional, symbolic process involving the attribution
of meaning between people from different cultures'. Different nations
use different languages, so there will be loss or misunderstanding
during interpreting. And in some culture, people use implicit words
more than others, like China. Thus, the non-verbal communication
is important, especially the scenic communication. It includes gestures,
body language, eye contacting. The more scenic part in communication,
the harder for people to transmit and receive information. Another
part is the concept of time. From that, punctuality is the same
but reflects different reality. We all know time is money. But when
there is a conference, the German usually presents 5 minutes before
the start. Spanish will be late for 15 minutes. But in their mind
they are both on time. That is something that managers should understand.
In my mind, there is another aspect of time, called 'the use of
time'. The American and Northern European have a linear time concept.
These societies are referred to as Time-Bound societies. Southern
Europeans and Arabs regard time in a linear way but more things
they can do or handle at the same time. That can be called 'multi-active
time'. And then there is the Asian view of time, cyclical time.
Asian thinks time will come around again when it pass away, also
the opportunities and risks. Besides the above three aspects of
communications, there left the space. It is a big concern of in
intercultural communications. When you have a conversation with
a foreign business partner, the space between you and him are referred
to the personal boundary of every culture. Ignorance of space can
be lead to real bad impression from other side.
The last but not the least, I would like to talk something about
the cross-culture negotiation I researched. Negotiation is a course
that at least two groups of people trying to reach an agreement
with the others for their own benefit. There are two things in negotiation:
the topic and the course. During cross-culture negotiation, the
course is the crucial obstruction. Different negotiation ways are
produced by different cultures. Under this circumstance, there is
a classic standpoint of procedures: exploring with no objective,
task oriented, persuading period, and sign contract. International
managers should be aware of every procedure. And during each procedure,
the strategy, technique, substance, time, sequence and the focal
point are different.
In this essay, I wrote about the cultural differences. There are
four dimensions: power distance, uncertainty avoidance, individualism
and masculinity. After that, I talked about the intercultural communication,
which contains language, non-verbal communication, time and space
concept. The conclusion is different cultures do cause problems
in business. We cannot change or solve the cultural difference.
To avoid misunderstanding, clashes, and bias, the international
managers should realize and understand the different cultures, adapt
themselves to fit into the business environment in order to get
the best achievement in business.
Bibliography
Gudykunst, W. B. & Kim Y. Y. (1992). Communicating with strangers:
An approach to intercultural communication. New York: McGraw Hill,
Inc.
Hoecklin L. (1995). Managing Cultural Differences: Strategies for
Competitive Advantage. Essex: Addison-Wesley
Hofstede G. (2001). Culture's Consequence. London: Sage Publications.
Trompenaars F. (1993). Riding the Waves of Culture: Understanding
Cultural Diversity in Business. London: The Economist Books.
Trompenaars F. and Hampden-Turner C. (1997). Riding the Waves of
Culture: Understanding Cultural Diversity in Business. London: Nicholas
Brealey
How to improve the ability of listening, speaking, reading and writing
363 2-14
I. Introduction
The purpose of middle school English teaching is to improve the
students' four skills of listening, speaking, reading and writing,
with the base of necessary phonetics, large vocabulary and good
grammar, But this is not the final purpose. The final purpose is
to lot let students be able to use the language.
Why do we study English? If a man is only good at listening and
speaking, can we say that he is good at English? No, If a man is
only good at reading and writing, can we say that he is good at
the language? No, If a student is good at English, he should be
able to use the language, both in spoking and writing.
Now most of the students do better in reading and writing English
than in listening and speaking. They can read and write, but they
can hardly communicate. They can hardly express themselves with
their own words. This is partially because of our examination system,
and partially of the teaching method . We are not able to change
the examination system, but we can improve our teaching method.
Most of all the teachers like to provide the students with a lot
of knowledge-words, phrases, grammar, usages and so on, They are
focusing these thing, especially on the grammar. Yes, the students
do need these, but many teachers forget to teach them how to study
English, and how to use it. So when you are giving the knowledge
to the students, don't forget to teach them all the abilities of
the four skills.
II. Ways on developing the four abilities
1.Listening
The teachers often speak of the four skills- listening, speaking,
reading and writing. That means each of them is important. You can't
say that you have mastered the language without any one of them,
Listening, one of the means of language communication, is used most
widely in people's daily lives. About 45%of an adult's time concerns
listening to other people , listening to the radio, listening to
the music. In linguistics ，giving the students a lot of listening
activities is a good way of enlarging their vocabulary. On the other
hand, it also helps the students improve their listening comprehension.
I have done an investigation. About 43.2% of the students think
that the most bothering and most difficult is listening comprehension,
and even some of them have difficulty in understanding their teacher
who gives lessons in English.
Without question, it is difficult of a middle school student to
understand the listening material, if he hasn't enough vocabulary
and the ability of telling the grammar construction. In my investigation,
about 35% of the students with low listening comprehension thing
this is because they don't understand or know the knowledge about
linguistic, they are not able to tell the means of a what they have
heard. In my another investigation, students were asked to listen
to a dialogue of 244 words, in which the words and grammar have
already been learned. But 80% of them thought it was too difficult.
Then, using the same dialogue as a reading comprehension material,
I found only 5% of them thought it was a little difficult, on the
other hand the response ability is also another reason.
It is clear that the reading speed of a material also affects. About
43% of the students thought that the material was read too fast
and they couldn't follow.
A lot of students have their own listening habits. Some students
often tries to understand each word or each sentence. They will
think hard when they meet some difficult words or sentences, and
a great many students could understand the material directly, They
often translate the English into Chinese in their heart, thinking
that only in this way can the sentence be understood. This is also
a reason, trying to understand each word is difficult, and it is
not necessary at all. You should catch the most important points.
Then how to improve the students' listening skill?
We know the largest difference between mother language learning
and foreign language learning is the environment. A child can soon
learn his mother language well. He has heard a lot before he can
say something and walk. Then after he is able to walk and say, he
has a chance of listening to more. Before he goes to school, he
has already been a good listener and speaker.
But for a foreign language, you can meet it only in formal places,
classes, for example, otherwise, you can hardly have a chance to
meet it. So I think you should try to let the students be in a language
environment.
Let the students grasp the phonetic symbol. I think the phonetic
symbol is the base. A good intonation and phonetic depends on the
base. Oral reading after a radio or a teacher is a good way at the
beginning, Students should do much about it.
Pay attention to the oral reading skill, It includes stress, strong
form, weak form, intonation incomplete plosive consonant, affricate
consonant, syllable and so on. Training and practicing the oral
reading is not a day's word. The teacher must give correct information
about it . There is no easy way.
Enlarge the students' knowledge about English. Encourage the students
to read something in their spare time about geography, history,
culture, stories and so on. For example, there are two materials
of the same difficulty. One explains something about China's Spring
Festival, the other is about Thanks giving Day of the western countries.
The former is easy to understand but the latter is more difficult.
Why? It is clearly because the students know little about the latter.
Both listening test and listening practice are necessary, but practice
is more important.
You can understand your students through listening tests. Only through
the practice can the students improve their listening comprehension.
2.Speaking
Speaking can't be taught separately. It is often connected with
listening. So we often speak of listening and speaking.
The traditional way of listening and speaking is aural-oral method.
Now, the new method of two-way communication is very popular.
As you know that any teaching method has its psychological base.
The aural-oral method began in the 1940's. It is based on behaviourism.
One of its psychological theory is that learning a language is forming
a set of new language habit.
This is its usual process: Stimulus-Response-Reinforcement.
The aural-oral method is fit for the teaching of beginning stage.
It focuses on the practice of oral English drills. But too many
drills are being practiced without any context or given conditions.
So what is learned is isolated clauses. And it has few communicative
functions .
The two-way communication makes up for the defect in communicative
ability in the traditional teaching. Two-way means the relationship
of the communication between the teacher and the students.
This relationship is connected with the communicative activities
between two people. This method is different from the traditional
aural-oral method. But it also bases on the process of S-R-R. So
we call it a mew type of aural-oral method has some peculiarities.
It can create a fresh environment for speaking English.
It needs some necessary explanations of Grammar, including some
sentence structures.
Hints are the major way of practice.
Teachers can control the practice wholly or partly.
The practice can also be controled by students freely. The internal
force of study is not due to the insterests in phonetic structure,
but the content of the material.
To make the correct response, the students are asked to pay more
attention.
Example:
Teacher: Ask me if I am a student.
Student: Are you a student?
T: Tell me-No, You're a teacher.
S: No, I'm a teacher.
In this example, "Ask me" means that the student must
say a question sentence while "Tell me" shows that the
student must say a decarative sentence. But before doing this, the
teacher must explain something about the exchange of interrogative
sentence and declarative sentence.
The two-way communication can lengthen the dialogue limitlessly.
This is its advantage. At the same time, if the student wants to
give the correct response, he has to think it hard, The sentence
is not easily forgotten which is ereated by themselves through thinking,
sometimes with the teacher's hint. You can talk freely. You can
express yourself as well as you can. For example:
T: Ask me how mang people there are in my family.
S: how many people are there in your family?
T: Tell me-there are five
S: There are five
T: Ask me what my prreuts do.
S: What do your parents do?
T: tell me-your father is a teacher and your mother works in a company.
S: My father is a teacher and my mother words in a company.
T: Ask me if my father likes his job.
S: Does your father like his job.
T: Tell me - Sure, he likes teaching very much.
S: Sure, he likes teaching very much.
All these responses form a complete dialogue.
A: How many people are there in your family ?
B: There are five.
A: What do your parents do ?
B: My father is a teacher and my mother works in a company.
A: Does your father like his job ?
B: Sure, he likes teaching very much.
If you want to ask more about "father" or other family
members, the dialogue can go on as far a possible.
So, in a word, the aural-oral method is not a out-of-date one, but
a useful one. Especially it is fit for the beginning stage. It attaches
the importance to the oral drills, and has a bad communicative function.
It is only used to aphonetic base. After all, the aim of the language
learning is to communicate. So the two-way comunication is more
effective and direct, but it is also fit for the beginning stage.
3.Reading
Reading is an important way of gaining information in foreign language
learning, It is a basic skill for a foreign language learner. There
is a lot of reading exercises in an examination today. But all these
readings must be done in limited time. So students are asked to
read them correctly and with a certain speed. To do this, you should
change your bad reading habit and raise your reading efficiency.
New words prevent you from reading fast. One way to overcome this
problem is to guess. There are many ways to guess the meaning of
a new word. First you should find some hints. Context, some phrases,
such as "means", "refer to", "in other
words", "That is to sag"; are all the hints.
Model 1.
A middle-aged professor said that his wife was too extravant, because
no matter how much he give her for the household expenses, she always
ran short.
In this sentence, the meaning of the word "extravagant"
can be easily guessed.
Model 2.
Prometheus stayed chaied to the lock for many years, Then at last
the mighty.
Hercules came forth and broke the bonds -but that is another of
the wonderful stories of the Greeks.
In This pargraph, the words "stayed chained" is the hint
, So you can guess what "bonds" means.
Model 3.
The tiny droplets that form on dust particles very small pieces
of dust, to produce a cloud are far apart from each other.
In this sentence, the words after the dash shows the meaning of
the word "partides" (微粒)
Besides the ways mentioned above, you can guess according to the
word-formation, for example
Child-childless, Marx-Marxism
Large-enlarge, tell-foretell
Australian + satellite→ Aussate
State + run → state-run.
Sometimes you can't guess what the word means. If the word doesn't
affect your reading, let it be. For example,
A German told me that all over China they use Gourmet powder in
their food. It will give you higher blood pressure.
You may know that gourmet it a kind of thing that can be eat. But
it doesn't matter whether you know what it is.
Another problem that affect your reading speed is you reading habit
and you reading skill.
Some one reads word by word. Some one reads with his finger pointing
to the words or with his head shaking. Those are all bad habits.
You should read phrase by phrase. Don't blink your eyes so often
and don't shake you head. Just move your eyeball. That's enough.
If you want to get more word information, there must be a proper
distance between your eyes and the reading material.
I think browsing is an important step while you are doing you reading
comprehension.
Some students begin to read at once when he get a reading material,
even without knowing, its title. But after reading for many times,
he won't understand what the article says.
Looking through the material first means forereading. In an examination,
you want to grain the information which the questions ask, you can't
read the material in a usual way, you can't read the whole material
word by word. You gad have to omit some sentence, sometimes even
a whole paragraph, which have nothing to do with the questions.
I think you might read the given questions fast as well, then the
material. There is an advantage to do this. When you read the material
with the questions, you can save your time.
Model:
A Festival Atmosphere.
At midnight on New Year's Eve, people in Rome, Italy, throw out
all the things they no longer want. The streets are filled with
old chairs, beds, clothes and dishes.
In Madrid, Spain, the new Year comes in more quietly. People come
to the main souare. Each holds a bag of grapes (葡萄). As the clock
strikes twelve, the people eat the grapes----one for each stroke.
In Tokyo, capital of Japan, people eat noodles in New Year's Eve.
This food is said to bring long life. Early the next morning, some
Japanese families climb Mount Fuji, There they watch the first sunrise
of the new Year.
1. This story is about New Year's Eve in ______.
A. Europe
B. Europe and Latin Aucerica.
C. Four capital cities.
D. Three countries.
2. The writer thinks New Year's Eve in Rome is _____.
A. interesting
B. dull
C. noisy
D. happy
3. The number of grapes that must be take. From each bag is _____.
A. one
B. twelve
C. thirteen
D. fourteen
4. People in both Spain and Japan spend the New Year's Eve ____.
A. throwing things away
B. eating a special food
C. climbing a mountain
D. watching the first sunrise
5. People climb Mount Fuji on the New Year's morning to ____.
A. look for happiness
B. meet their friends
C. enjoy the beauty of nature
D. do something strange
6. People who hope to gain long life from their New Year's food
are the ____.
A. Japanese
B. Spanish
C. Italians
D. both A and B
Look through the questions first. No. 1,3,4,6 are the questions
which are about the content of the article. This information is
connected with the names, numbers or activities in the article,
question No. 2 and No. 5 are comprehensive ones.
Then browse the article. From the questions and the title you may
know that the article is about the festival custom of different
countries. The article includes three paragraphs. Each talks of
a different place ____ Rome, Madrid and Tokyo.
So when you have the first glance over the article, you've got the
key to question No.1. After your glance, these things have been
put into your brain:
Rome-throw out-are filled with-
Madrid-quietly-main square-grapes-one for each stroke
Tokyo-noodles-bring long life-climb Mount
Fuji-first sunrise
Now, you may have some idea of the out line of the article, Then
you may read the whole material
4.Writing
Writing is one way of providing variety in classroom procedures.
It provides a student with physical evidence of his achievements
and becomes a course whereby he can measure his improvement. It
helps to consolidate the students' grasp of vocabulary and structure,
and complements the other language skills.
Sentence is the base of an article. So we should begin our writing
with sentences. First, students should be asked to express with
sentences-sentences making, then to write short articles.
1. Translation. Translate Chinese into English.
First, they should learn the five basic sentence drills. Then choose
some typical sentences in the text as models, do sentence making
after these models.
2. Sentence pattern exchanging. By rewriting the sentences, practise
expressing the same meaning with different patterns.
3. Text shortening and rewriting. It helps to understand the text,
and helps to write compositions. It can foster students' ability
to summarize and to use the language freely.
III. conclusion
While you are training these four skills, you'd better make full
use of your teaching instrument use varieties of ways to stimulate
the students' interests.
Generally speaking these four skills can't be separated. People
often say "First listening and speaking, then reading and writing".
That's right. But I think this way of saying is fit for the beginning
stage. For a senior middle school student, reading and writing is
more important.
Before you are going to have a new lesson, do reading and writing
first. Ask students to read the text in advance, and do some exercises
connected with the text.
Listening and speaking are the major ways while teaching the new
lesson. Be sure to let the lesson go on in a foreign language situation.
You can ask the students questions about the text, do some discussion,
check the students' homework. This helps students raise their ability
of listening and speaking. It also helps to understand or comprehend
the text and the sentences.
Reference books:
1. 扶忠汉<<双向式English/">英语>>,北京三环出版社.1990
2. 周流溪<<中国中学English/">英语教育百科全书>>.东北大学出版社.1995
3. 李庭芗<<English/">英语教学法>>.高等教育出版社.1983.3
4. Huang Yuefa《English Teaching Methodology》 1991.7
英语写作中汉语干扰因素分析
摘要：本文列举了学生English/">英语作文中常出现的典型错误，分析了由于汉语干扰因素的影响而使学生不能正确表达词义的原因，并针对这些错误，提出了避免错误的对策，以便提高学生的English/">英语写作水平及写作教学效果。
关键词：汉语干扰 错误 分析
Abstract: The paper presents some typical errors in students’
compositions and analyses the causes of their incorrect expressions.
It aims to give strategies of avoiding making mistakes, to improve
the students’ writing level and to achieve good results in the English
writing course.
随着社会的发展，越来越多的人意识到English/">英语写作无论在学校的English/">英语学习中还是在实际的社会工作中都十分重要。English/">英语写作能力的高低能体现出学生English/">英语综合素质。English/">英语写作日趋重要。然而他却是English/">英语教学中的薄弱环节。由于中英文化背景的差异所造成的思维方式的不同以及写作角度、方法、用词等的不同，使中国学生在写English/">英语作文时出现了许多错误。
实践证明，学生英语学习的言语错误与汉语干扰有关，即负迁移，负向迁移有关，也就是汉语与英语之间的差异对外语学习造成的干扰以及与所学外语的某些特点、某些规则造成的干扰有关。首先，不同民族对同一事物，同一现象认识方面有差异。其次，对同一现象，同一意义语言表达方面有差异。例如，汉语认为“一阵大雨”，英语写成“a
heavy rain”，不能写成“a big rain ”。汉语说“我不知道这是对还是错”如果写成“I don‘t know it’s
true or not..”则是错句。因为在英语中，如果“know”之后跟疑问句，则用“whether”或“if”引导从句。汉语“五十步笑百步”，比喻自己跟别人有同样的缺点和错误，只是程度上轻些，可是却讥笑别人，英语则用“The
pot calls the kettle black.”表达此意。如果把汉语直译成英语，英国人则会感到莫名其妙，不知所云。
汉语干扰还表现在学生对所学语言规则的错误类推，过分概括上。例如，由“I went to the store yesterday
morning .”推出“I went to the concert yesterday night.”，这是一个错句。“昨天晚上”英语只能说“last
night”。但是，“昨天上午（下午，傍晚）”则用“yesterday morning( afternoon, evening)”。由于汉语干扰，学生照汉语思维直译，导致了表达错误和不地道、不准确的英语表达。比如，学生把“你的来信收到了”写成“Your
letter has received.”，这是从汉语直译出来的，因为英语中物作主语时，应该用被动语态，应写成“Your letter
has been received.”。
从以上例子可以看出，汉语干扰乃是导致表达错误的一个主要原因。分析英语写作中汉语干扰对学生学习外语的影响，无论是从理论上看还是从教学实践上看，都将是大有益处的。汉语干扰致错原因有以下几个主要方面:
一．因认识角度和使用形象不同造成错误
在学习英语写作的过程中，学生由于对汉英语言、文化间的差异，不同文化背景所产生的不同思维方式不甚了解，经常用汉语思维，导致用词错误。例如：“红茶”被写成“red
tea”，英语应为“black tea”。“黑眼珠”被写成“black eye ”, 应为“dark brown eye ”。
因为英语中“black eye ”意为“被打得发青的眼圈”。在用英语写作过程中，不少学生由于英语语言功底较差，还不能用英语思考，经常先在脑海里用汉语构思，然后将构思好的汉语腹稿译成英语。这种机械的对应思考方法，往往造成严重的用词错误。例如，在“Excessive
smoking will injure your body.”中，“body”在英语中作“躯体”讲，而汉语“身体”有两重意思，一是指“躯体”，二是指“身体健康状况”。该句表达的意思显然是指“身体状况”，但由于受汉语影响，而误用了“body”，所以应将“body”
改为“health”。
另外，由于英汉语言使用的形象不同，两个民族的思维习惯不同也造成了许多语言错误。例如，“熟睡”被写成“sleep like a
dead pig/dog”English/">英语为“sleep like a top/log”。“大海捞针”被写成“Look
for a needle in the sea.”，应为“Look for a needle in a haystack.”。
二．因表达方式不同造成的错误
英、汉两个民族有时对某些事物和现象的认识角度、思路都是相同的，但是由于表达方式不同也造成了一些错误。
1．词形错误
汉语的名词词形一般不分单、复数，也无可数、不可数之别。因此出现主谓不一致、遗漏第三人称单数现在时形态的错误。汉语中，主谓间不存在数的关系，谓语没有第三人称单数问题。因此，谓语部分不需要因为主语而做数的调整。由于汉语习惯的影响，学生会写出这样的句子：
（1）The streets are full of garbages.
（2）He speak fast.
在例句（1）中，garbage被当作可数名词，其实它是不可数名词。在例句（2）中,speak应为第三人称单数speaks。
另外，汉语动词无时态之分，只是采用一些副词或助词来表示时态，而English/">英语的时态却相对复杂得多。因此出现时态使用混乱现象。有的学生在该用过去时态动词时，却用了现在时态，特别是在复合句中常出现时态不一致的现象。例如，If
he works hard, he could pass the exam.(could 改为can )。
2．词性错误
有时学生只注意所选词的词义，而忽视了该词的词性，常造成句子不合乎语法规范的用词错误。例如：
（1）My father adviced me not to go out alone at night.
（2）My roommate doesn’t afraid of dogs.
例句（1）把名词误用为动词，例句（2）把形容词误用为动词。这是由于有些学生基础不牢，对某些常用词不认真考证，随手写来，又检查不出错，导致误用词性却浑然不觉。
3． 虚词错误
English/">英语虚词包括冠词、介词和连词。有时，由于受汉语的影响，学生在使用虚词时常用错。例如，
（1）Although I like my college, but I miss my home.
(2) He arrived Tokyo yesterday.
(3) I bought the dictionary in 1980s.
在例句（1）中，由于受汉语“虽然。。。但是”结构影响而出错。English/">英语中although…but
只能用一个。例句（2）中是不及物动词，其后一定要用前置词in 或at,所以在arrive 后加in。例句（3）的错误是，English/">英语中“。。。年代”前应用定冠词，所以原句应改为
“in the 1980s”。
4． 误解词义导致错误
English/">英语写作要求作者有较深的语言功底，即词汇基础和语法基础等。选用自己没有完全掌握词义或用法的单词组词造句，是造成用词错误的原因之一。另外，英、汉两种语言中，均有一词多义和一义多词的现象。对同义词、近义词的细微差别分辨不清是导致这类错误发生的原因。例如：
（1）The young man always puts on a white jacket.
（2）Both salt and sugar are easy to melt in hot water.
在例句（1）中put on 虽有“穿”的意思，但该动词词组仅表示穿的动作，不表示穿的状态，该句子表达的意思是“穿着”，而不是“穿上”，应改为wears
a white jacket。在例句（2）中，melt常指物体经过加热后熔化或者指易溶物质受热溶化，不指溶质在溶剂中溶解，melt应改为dissolve。
5．不注意语境导致的错误
语境在很大程度上制约着用词。语境不同，用词也不同，因此写作时要选用适合上下文的词语来遣词造句。如不注意语境对选词的影响，就可能因用词不当而写出前后矛盾、不合逻辑的句子。选词与语言环境不适宜，就会用词不当。例如：
（1）The ice cream melted away in the plate.
（2）Would you mind opening the gate? The air in the room is too
close.
例句（1）中，melt away的含义是“融化并消失”，而盘中的冰淇淋只是融化了，并没有消失，应把melt away改为melt。例句（2）中gate指“院落的大门”，一般不用于指房门。从上下文看，说话者指得是房门，所以应改为door。
6．指代不明
英文写作中代词同它所指代的先行词之间关系要明确无误，否则句子的连贯性就会受到破坏，句子的含义就会模糊不清，甚至引起误解。在“She
told my sister she was wrong ”句中，第二个she可以指主语，也可以指 my sister ，指代不明确。可改为“
You are wrong ,”she said to my sister.或“ I’m wrong, ”she said to
my sister.
三．结束语
以上列举了学生常出现的错误，分析了学生受汉语干扰致错的原因，其目的是为了更好地纠正错误。任何人都会不可避免地出现错误，只要我们不断发现和纠正错误，就能减少和排除干扰，克服教学中的盲目性。English/">英语基础不扎实是写作出错的关键，所以提高写作水平必须丛基础抓起，必须加强基础语法与句型的训练，使学生打好坚实的语言基础。加强词汇教学，注意English/">英语词每个意义的使用条件与用法、它的搭配关系、名词单复数、同义词与近义词的区别等。充分利用好字典。教师要及时讲评作文，准确预见学生易犯的错误，通过对比分析和错误分析把母语和目的语进行比较，找出两种语言的差异。把学生的错误进行归类、分析、解释，反复练习，提高学生English/">英语表达的准确性。长期坚持以上做法，学生的错误就会逐渐减少，就能提高学生写作水平和写作教学效果。
语境与词语的异常搭配
222 2-14
摘要：词语的异常搭配是为了语言的某种语用修辞效果而刻意创造的，正确地把握这种偏离常规所创造的修辞效果，就必须根据语言的内部语境和外部语境。语言之所以表情达意，是和语境不相分离的。本文就语境方面讨论如何理解在人脑中产生新鲜刺激的异常搭配。
关键词：语境 异常搭配
语言作为一个全民的交际工具，具有一套明确一致的规范，使语言使用者在这种共同遵守习惯化的语言规范下，顺利清楚地表达接受，才能交流思想感情达到相互了解，但是说话者或言语的创造者往往故意违反这种语言规范，创造性地损坏习以为常的标准的东西，从而达到某种“陌生化”效应。人往往具有“猎奇”的心理特征，对语言也是如此。常见的，出现频率高的语言形式常会失去“注意价值”和“记忆价值”，很难再引起人们的兴致，而言语的发出者为了吸引接受者的注意力，有意识地采用一些“不合情理”“不合语法规则”而又耐人寻味的新鲜语句，使接受者体验最初表面的模糊不解到思路回转，迁引联系后的“豁然开朗”的过程，使语言取得好的修辞效果，“把我们从语言对我们的感觉所产生的麻醉效力中解脱出来。”（特伦斯.霍克斯：《结构主义和符号学》）这种可称为“突出”（foregrounding）语言现象可发生在语言的各个层面，如语音层，字音层，句法层，词汇层，语义层，甚至是在方言，语域中出现。（胡壮麟，《语言学教程》）本篇集中讨论是词汇层面上的词汇的异常搭配现象。这是从词与词之前的横向组合来看。我们知道，词与词之间的搭配是受到语法限制和语义限制的。合乎语法规则和语义规则的是常规搭配，反之，则是异常搭配。在一首经典流行歌曲中有这么一句歌词：“……爱过你的爱，痛过你的痛，所以快乐着你的快乐，幸福着你的幸福……”乍一看，这样的动宾搭配似乎都不符合常规，违反了选择限制条件，无论从语法上看还是从语义上看。但这样的异常搭配反而给人以陌生感新鲜感，耐人回味，引起人们兴趣，进一步思考“爱过……爱，痛过……痛，快乐着……快乐，幸福着……幸福”的深义，也是这首歌传唱至今的“秘方”之一。
我们会认为异常搭配是用词不当，会影响到语言交际，但实际上把这种有意冲破搭配规则放在特定的语境中理解，则产生了“别有洞天”的修辞效果。我们知道，语言环境对理解语言至关重要。早在20世纪30年代，波兰人类学家Melinowski首度提出术语“context
of situation”，他认为，语言是“行为的方式”即“言有所为”，不是“思想的信号”即“言有所述”。“话语和环境相互紧密地结合在一起，语言环境对于语言来说是必不可少的。”后来英国语言学Firth继承和发展了他的观点，把“context”的含义加以引申，认为不仅一句话的上句或下句，一段话的上段或下段是“context”而且语言与社会环境之间的关系也叫“context”。结合语境来诠释语言，这对如何理解词语的异常搭配似乎更为重要。接受者借助语言环境，包括所提供的上下文联系和非语言环境，包括社会场合情景，文化语境等，发挥想象和联想，将这些看似令人费解的组合重新加以诠释。所谓异常组合的“异常修辞效果”也只有建立在语境的基础上才能得到认可。反之，它们也只能保持语法或语义的“不合常理”“不合逻辑”而无深义。下面就分别从语言语境和非语言语境来阐释词语的异常搭配是如何做到“无理之妙”的。
1．语言语境和词语的异常搭配
语言语境，也可说是对语境的狭义理解，它指言语内部环境，既是口头上的前言后语的关系，书面上的前后文的关系。孤立的词语只有词典意义，不能表示信息的丰富内涵。某些词语，看似文不对题，或某些词语组合搭配看似矛盾，但联系了一定的上下文理解，其深层含义往往比“常规搭配”更具有注意价值和记忆价值。
（1） I had no outlook, but an uplook rathe. My place in society was
at the bottom.
我没有人生观，倒是有“向上爬观”。我在社会上处于底层地位。
（Jake London: What Life Means to Me）
uplook是从前面的outlook仿造而来的，没有outlook，uplook无从理解，这个nonce word 是语言显得非常生动，表现出诙谐幽默的意味，取得了新奇别致的效果。
（2）I temped all His servitors, but to find my own betrayal in their
constancy,
In faith to Him their fickleness to me.
Their traitorons trueness, and their loyal deceit.
(Francis Thompson, The Hound of Heaven)
我考验了他所有的侍从，结果发现
他们对我不讲信义而对他一如既往，
他们对他忠心耿耿而对我反复无常，
他们奸诈的忠实，忠实的狡诈。
如果我们单看traitorons trueness 和loyal deceit 是两组语义矛盾的搭配，是异常搭配。但结合上文，便不难看出，侍从对外人不讲信义反复无常，对主人忠心耿耿，一如既往，不正是一种“奸诈的忠实，忠实的狡诈”吗？这样的组合搭配不仅在形式上以超常新颖的面目吸引我们，而且对语言所表达的内容也起了积极作用，使我们在诠释其异常性的同时，更好的理解了作者“如此用心”的深意。
（3）《中国青年报》（1990年某日）上一篇报导登出“最长寿的青年李亚飞……”“最长寿”和“青年”在没有任何语境的提示下是一组完全不相容的两个词语：既然是“最长寿”的又何来“青年”呢，这就引起读者的好奇心，于是在下文中揭开这个迷：“这个李亚飞……从水中救起了30个人的生命，俗云，救人一命，延年益寿，30个生命的延续，你说李亚飞的寿命有多长呢……”读到这里，我们才恍然大悟。作者用这样不合逻辑的矛盾搭配，使读者对李的英雄事迹记忆更深刻，也更突出文章所要宏扬的舍己为人之崇高品质。
2．非语言语境与词语的异常搭配
非语言语境也可称为外部语境，它包括社会历史背景，包括现实社会环境，包括时代、民族、地区，包括文化传统，生活习俗，包括地点、场合、对象，还包括使用语言的人物、身份、处境，心情等。在理解词语的异常搭配的过程中，更不能脱离非语言语境。因为异常搭配的创造是一个有意识有目的的活动，发话者或作者不凭空随意将两个毫无关联的词语拼凑在一起，为了“创新”而创新，即使这样的异常搭配也是毫无意义的。它们必将根据具体语言环境，根据某种文化根源的理据，根据他自己当时的心情等“有感而发”，只有将词语的异常搭配结合语境考虑，它才具有讨论的价值。所以特殊语境是词语异常搭配的基础，也是检验其修辞效果的条件。下面我们分别来看几个例子。
（4） “蜜蜂是在酿蜜，也是在酿造生活；不是为自己，而是为了人类酿造最甜的生活。”
（《荔枝蜜》）
“酿造”是“利用发酵作用制造”，按常规搭配，它只能和“蜂蜜，酒，醋，酱油”等搭配，不能和“生活”搭配，而这里为什么能用这样的超常搭配，而不选择“建设生活”这个读者可以直接接受的组合搭配呢？这就要和外部语境联系起来理解。首先，作者和读者都具有这样的常识：他们都知道，蜂蜜和美好生活，酿蜜和建设美好生活有两个共同点：第一，蜜甜，美好生活也甜，都令人舒心。第二，蜂蜜与美好生活的都是长期辛劳创造积累的成果。这是两个相互能联系的客观基础。仅此并不够，还需通过想象和联想将两者联系起来，这是心理基础，所以客观基础和心理基础构成的外部语境，为实现这个异常搭配的特殊修辞效果提供了条件和可能性。
（5） The talk about raising taxes was a red flag to many voters.
此例中，the talk was a red flag是异常搭配，在语义上是不合逻辑的，red flag是来自西班牙斗牛的民俗，公牛看见红布就处于激动、愤怒的感情状态。该搭配通过文化背景知识让人产生联想，形象地表现出“关于增税的谈论”对选民的刺激，就像red
flag 对公牛产生刺激一样。The talk was a red flag 的联想的展开离不开red flag 所出的文化世界，就这个异常搭配的创造来说，它不仅仅服从于具体语境，而且还服从于文化指令，将语义寓于某种形象之中。而就其效果来说，正是文化为我们提供外部语境，使我们把握这个异常搭配的实际意旨。
所以在非语言语境中文化语境的影响力是不容忽视的，当今社会中出现的许多新颖的词语异常搭配也是社会文化语境的一种体现。也只有透过社会文化风潮这面透视镜，我们才能揭示出这些新鲜词组隐藏在不合理的字面意义下的合理性。再如：在经历“红色年代”的汉语词汇，如今又步入了一个充满生机的绿色时代：绿色办公，绿色电脑，绿色希望，绿色电视机，绿色冰箱等。这些新鲜的组合搭配在“绿色文化”进入社会主流之前是不能接受或是不合常理的。究其原因，主要是环境文化的影响。高度发达的饿工业文明，让人类的环境付出了高昂的代价，资源面临枯竭，污染日益严重，生态严重破坏，人和自然的矛盾空前尖锐。有了这样的文化背景，我们就能正确理解这些异常搭配的真实含义了，同时，它们也在进一步推动所体现文化的充实和发展。
结语
孤立地看一个词，一个句子，是看不出好坏，优劣，得失的。语言运用得好不好是对语境而言的。创造者为了达到某种修辞效果，创造某种突出价值，偏离突出语言的常规组合方法和规范，对语言进行创造性的再组合，其过程离不开语言本身的语境和外部语境的参与。同样，在接受者对这些改造后的搭配组合进行意义的重新建构过程中，也必须结合各种语境所提供的信息，将这些看似费解的词语后的语用意义挖掘出来。从中也可看出，异常搭配绝不是胡乱搭配，绝不是脱离语境一时兴起而玩的文字游戏。它的产生和运用只能在特定的语境中，否则那就成了真正的“异常”了。
参考文献：
寸镇东， 《语境与修辞》贵州人民出版社，１９９６
钱冠连， 《汉语文化语用学》清华大学出版社，１９９７
郑荣馨， 《语言得体艺术》书海出版社，２００１
彭增安， 《语用 修辞 文化》学林出版社，１９９８
徐鹏， 《English/">英语辞格》商务印书馆，１９９６
曹京渊， 异常搭配的语义语用分析，《福建外语》２０００，３
白健， 文学语言的“陌生化”与词语的超常搭配 １９９９，９
AN ANALYSIS OF LANGUAGE FEATURES IN ENGLISH ADVERTISEMENTS
208 2-14
摘要 本文旨在通过对书面English/">英语广告的语言分析总结出广告English/">英语在词汇﹑句法﹑篇章上的语言特点。为了使研究从数据出发得出科学结论，本文作者建立了一个拥有60篇各类广告的小型语料库。通过对此语料库中日用品广告﹑科技设备广告﹑服务业广告的深入细致的定量和定性分析，总结出广告English/">英语在此三类广告中的相同点与不同点，并且根据语言的意义，风格及功能解释广告English/">英语的共性以及广告English/">英语在不同类型广告中的特殊性。
本文共分五个部分，第一部分和第五部分分别为介绍与总结，中间三个部分为本文核心，分别展开广告English/">英语在词汇﹑句法﹑篇章三个层面的分析。本文的结论均来自于对语料库的分析。整个研究从数据出发，由数据驱动，由此进行语言学上的分析与概括。
本文作者衷心希望此论文的分析结果能给English/">英语广告的写作者以及广告English/">英语的学习者提供帮助。
关键词: 广告English/">英语，词汇，句法，篇章，相同点，不同点
AN ANALYSIS OF LANGUAGE FEATURES IN ENGLISH ADVERTISEMENTS
Abstract
This paper presents an analytical study of the language features
of English advertisements at lexical, syntactic and discourse levels.
In order to conduct a data-driven study, the author builds a corpus
of 60 English advertisements. It is hoped that through the detailed
survey of three types of advertisements: namely, daily consumer
goods ads, technical equipment ads, service ads, similarities and
differences in advertising language features can be summarized and
possible reasons will be given in the light of the meaning, and
function of language.
This paper will be presented in five parts. The first part is the
introduction and the last conclusion. The focus of the paper is
laid on the three middle parts which respectively analyze language
features at lexical, syntactic and discourse levels. The conclusion
of this paper is drawn from the data analysis. In the analysis,
examples from the corpus will be given; figures, tables and graphs
will also be offered to make the paper understandable and persuasive.
It is hoped that the study can shed light on the language features
of advertisements and also provide help to copy writers and advertising
English learners.
KEYWORDS: English Advertisements, Lexical, Syntactic, Discourse,
Similarities, Differences
Contents
1. Introduction ……………………………………………………………… 1
1.1 Rationale of the study ……………………………………………………... 1
1.2 Definition of advertising …………………………………………………... 1
1.3 Focus of the present study ………………………………………………… 1
1.4 Sources of data ……………………………………………………………. 2
2. Lexical features …………………………………………………………… 2
2.1 Classification of advertising and its audience ……………………………..
2
2.2 Similarities at the lexical level ……………………………………………. 3
2.2.1 Few verbs are used ………………………………………………………... 3
2.2.2 Use of emotive words …………………………………………………….. 4
2.2.3 Make pun and alliteration …………………………………………………. 4
2.2.4 Use of weasel words ………………………………………………………. 5
2.3 Differences at the lexical level ……………………………………………. 6
2.3.1 Gender identity in advertisements…………………………………………. 6
2.3.2 Selection of Adjectives …………………………………………………… 7
2.3.3 Compound words …………………………………………………………. 8
2.3.4 Use of pronouns …………………………………………………………… 8
3. Syntactical features ……………………………………………………… 9
3.1 Similarities ………………………………………………………………… 9
3.2 Differences ………………………………………………………………… 10
3.2.1 Headlines ………………………………………………………………….. 10
3.2.2 Comparison of headlines of different types of ads ………………………...
11
4. Discourse features...……………………………………………………….. 12
4.1 Body copy of advertisements ……………………………………………... 12
4.2 Differences in body copy ……………………………………………. 12
5. Conclusion ………………………………………………………………… 14
Acknowledgement
Sincere thanks go to Dr. Wei Naixing for his insightful guidance
and earnest help all through the searching, analysis and paper-writing
stages.
The author also wants to extend her thanks to Ms. Linda Frost who
has given much help in data collecting.
References
[1] Bolinger, Dwight & Sears, Donald A. Aspects of Language
third edition
New York: Harcourt Brace Jovanovich 1981
[2] Bovee, Courtland L. & Arens, William F. Contemporary Advertising
forth edition
Homewood, IL: Irwin 1992
[3] Gove, Philip Babcock Webster’s Third New International Dictionary
Springfield, Mass.: G. & C. Merriam Co. 1976
[4] Gregory, Michael Language Varieties and Their Social Contexts
London: Routledge & Kegan Paul Ltd. 1981
[5] Jefkins, Frank William Advertising Philadelphia, PA: Macdonald
and Evans 1985
[6] O’Donnell, W. R. & Todd, Loreto Variety in Contemporary
English
London: George Allen & Unwin (Publishers) Ltd. 1985
[7] Roberts, William H. & Turgeon, Gregoire About Language
second editon
Boston: Houghton Mifflin Co. 1989
[8] Vestergaard, Torben & Schr der, Kim The language of Advertising
Oxford[Oxfordshire]; New York, NY, USA: B. Blackwell 1985
[9] 方薇 《现代English/">英语广告教程》 南京大学出版社 1997
[10]崔刚，韩宝成，李营，《广告English/">英语》北京理工大学出版社1993
1. Introduction
1.1 Rationale of the study
We live in a world of advertising. As potential consumers, we are
endlessly bombarded with all kinds of product or service information
from various media including newspapers, magazines, television,
radio, posters and Internet, etc. Advertising provides a valuable
service to society and its members, because it defines for consumers
the meaning and the role of products, services, and institutions.
It indicates the difference that exists between brands of products
and alternative services, as well as the distinguishing characteristics
of companies and institutions. Advertising also tells the consumer
what a specific product, brand or service should do when it is used
and thus helps him or her to understand and evaluate experience
with the products and services that he or she uses. On the other
hand, by making people aware of products, service and ideas, advertising
promotes sales and profits. Finally, advertising is one of the major
forces that are helping improve the standard of living around the
world. Combined with all these communicational, marketing and social
functions. Advertising becomes indispensable in the modern world.
Naturally, advertisements in English have become an important means
of communicating ideas, demonstrating a variety of linguistic features
of its own. The present study attempts to examine these features
at the lexical, syntactic and discourse levels, in the hope of bringing
them to light and, thereby, offering help to advertisement writers
and language learners.
1.2 Definition of advertising
According to the Definition Committee of American Marketing Association(方薇,
1997:2) , advertising is defined as follows:
Advertising is the nonpersonal communication of information usually
paid for and usually persuasive in nature about products, services
or ideas by identified sponsors through the various media.
1.3 Focus of the present study
Usually, advertising communicates information in three types:
audio, visual, and language. It is a more common case that an advertisement
is a mixture of the three. In radio advertisements, music is always
accompanied by language; on TV and motion pictures, music and language
illustration are mixed with each other. In magazines and newspapers,
advertisements are a combination of pictures and language of written
information. Although music and pictures can provide some hints,
or create a kind of atmosphere, the information about the product
is limited. Even worse, it may lead to misunderstanding. Thus, we
may say that language in a way provides more exact, detailed and
dependable information whereas music and pictures only act as a
supplementary means in advertising. Advertising language, playing
a role of communication and persuasion, has developed its own features.
This paper will focus on the language features of English advertisements
at lexical, syntactic and discourse levels. It is hoped, by a contrastive
study of advertisements on three types of products (daily consumer
goods, technical equipment and service), similarities and differences
of the three types of advertisements will be summarized and possible
reasons will be given in the light of the meaning, and function
of language.
1.4 Sources of data
All the advertisements studied in this paper are taken from English
magazines. They are chosen from Time, People and Newsweek (issues
from 1999-2000), because these three magazines have a huge circulation,
covering all kinds of audience. Almost all kinds of advertisements
can be found in these magazines. In order to get valuable information
for the study, a corpus of 60 advertisements was built, which consists
of 20 daily consumer goods ads, 20 technical equipment ads, and
20 service ads. Conclusions will be drawn through quantitative and
qualitative studies of the data.
2 Lexical Features
2.1 Classification of advertising and its audience
Generally speaking, advertisements can be divided into two types:
public relation ads and commercial ads. The former tries to advocate
reputation for a social group, whose purpose is to leave a favorable
impression upon the potential audience. The latter leads to the
act of purchasing the products or using the recommended service.
Commercial ads are much more presented through mass media for the
reason that manufacturers and companies are willing to spend a large
sum of money to make a certain product known or to boost the image
of a certain brand. In some cases, competitors, like Coca-cola and
Perpsi, even spare no expense to launch advertising campaigns to
win over the market share. Commercial advertising can also be divided
according to the target audience into two groups: consumer advertising
and business advertising. Most of the ads in the mass media are
consumer advertisements. They are typically directed at consumers.
By contrast, business advertising tends to be concentrated in specialized
business publications, professional journals, trade shows targeting
at a certain group of people involved in some business. Since consumer
advertising is most accessible to common people, the present study
on will focus on consumer advertising. The classification of advertising
is clearly shown in the following graph:
Graph 1 Classification of advertisements
Public ads Daily consumer goods ads
Advertising Consumer ads Technical equipment ads
Commercial ads
Business ads Service ads
The bold parts show the scope of advertisements we study. Daily
consumer goods are necessities of daily life, such as food, detergent,
hygiene, etc. Technical equipment is technical toys and electric
equipment such as camera, vehicle, hi-fi, etc. Service covers bank,
insurance, fund, etc.
Actually, advertising works effectively some of the time and doesn’t
work other times. The single crucial reason that advertising does
not work is that in specific instances the information it conveys
never reaches the consumer at all, or is judged by the consumer
to be either redundant, meaningless, or irrelevant. For example,
a motorbike advertisement will probably be invisible to housewives
on the lookout for new cutlery. Social status and individual interest
decide that consumer goods ads are mainly targeting at women while
technical equipment ads are largely aiming at men. The amount of
shared knowledge between the advertiser and the audience together
with the thinking habit of the audience directly influences the
advertising language. Since products and audience change in every
advertisement in order to achieve high advertising effectiveness,
language used differs in different types of advertisements. Thus,
in this paper we discuss not only the similarities of language shared
by all types of advertisements but also differences of language
used in different kinds of advertisements.
2.2 Similarities at the lexical level
In order to make the information accessible to audience effectively,
the choice of words in advertising is very cautious and skillful.
The aim of the advertiser is quite specific. He wishes to capture
the attention of the members of a mass audience and by means of
impressive words to persuade them to buy a product or behave in
a particular way, such as going to Hawaii for all their holiday
needs. Both linguistic and psychological aspects are taken into
consideration in the choice of words. Sharing the same purpose of
advertising－to familiarize or remind consumers of the benefits of
particular products in the hope of increasing sales, the techniques
used at the lexical level by advertisers do not vary markedly. The
following points are some prominent similarities.
2.2.1 Few verbs are used
G. N. Leech, English linguist, lists 20 most used verbs in his
English In Advertising: Linguistic study of Advertising In Great
Britain (方薇, 1997:20). They are: make, get, give, have, see, buy,
come, go, know, keep, look, need, love, use, feel, like, choose,
take, start, taste.
All these verbs listed above are also popular in the corpus we
built.
You will often read such sentences in an advertisement:
Buy x. Use it. We make… X will give you what you need. You’ll
love x. Get x. Fox example:
We’ll make this quick. (Hertz Car Return)
Get great coverage that’s so weightless and water-fresh. (ALMAY)
All you need is a taste for adventure. (Millstone Coffee)
You’ll love it even more with the 2.1 megapixel C-2000 ZOOM. (Olympus
Camera)
Don’t have much of a personality? Buy one. (Honda Motor)
…
All these frequently used verbs are monosyllabic and most of them
have Anglo-Saxon origin that is the common core of English vocabulary.
Linguistic study shows English native speakers tend to use words
of Anglo-Saxon origin, because native words have comparably stable
meaning. In advertising, these simple words can win the consumers
by their exact, effective expression and a kind of closeness. Etymological
studies show that the 20 verbs listed before, except use and taste
which are from ancient French, all are Anglo-Saxon origin. Even
the two words, use and taste have long become indispensable lexical
items in the stock of common core vocabulary of the English people,
developing their stable meaning and usage.
2.2.2 Use of emotive words
A close scrutiny of recent advertisements suggests that the soft-sell
technique is now popular. By soft-sell technique we mean the one
that favors a more emotive and less directive approach to promote
a product, mainly focusing on the building of brand image. As a
result, emotive words, most of which are pleasant adjectives, are
greatly encouraged to use.
Data from the corpus shows that the most frequently used adjectives
are as follows:
new, good/better/best, fresh, free, delicious, sure, full, clean,
wonderful, special, crisp, real, fine, great, safe, and rich.
These adjectives help to build a pleasant picture in readers’ minds
and manage to create a belief in the potential consumer: If I buy
this product or if I choose this service, I will lead a better life.
In addition, comparatives and superlatives occur to highlight the
advantage of a certain product or service. For example:
Nothing comes closer to home. (Vegetable and Chicken Pasta Bake)
Think Lysol is the best disinfecting spray. (Disinfecting Spray)
The world’s coolest CDs aren’t made in New York, London or L.A.
They are made in my apartment. (Philips CD Recorder)
The Compaq Armada family is lighter, with new rounded edges for
easier packing. (Compaq)
…
2.2.3 Make pun and alliteration
Pun is an amusing use of a word or phrase that has two meanings
which is called Polysemy or of words with the same sound but different
meanings which is called Homonymy. Pun, the game of words, will
leave a deep impression on readers by its readability, wit, and
humor. However, to make a successful and impressive pun is not easy.
Except for its own meaning, the word used as a pun is usually closely
related to the characteristics of a certain product or the brand
name of the product. Such coincidence doesn’t occur often. Here
we present several classic pun- used advertisements. For example:
Give your hair a touch of spring.
Ask for more. (More is a famous brand of cigarette)
Give your business the sharp edge. (Sharp Corporation)
…
By using pun, advertisements will be easily remembered by the
readers. In addition, filled with wit and humor, puns help the advertised
product win favor from readers.
Alliteration is the use of words that begin with the same sound
in order to make a special communicative effect. Usually they are
pleasing to ears because of the clever choice of the word by the
advertiser. In addition, the repetition of the beginning sound emphasizes
the meaning the advertisement wants to express. The following are
examples picked from the corpus.
…, everything you need for that big bargain basement special.
…, and vitamin E to leave skin soft and smooth.
Treat your weary ghosts and goblins to a warm bowl of chill and
…
…
2.2.4 Use of weasel words
A weasel word is defined as “a word used in order to evade or retreat
from a direct or forthright statement or position” according to
Webster Dictionary (Philip Babcock Gove, 1976). The use of weasel
words has become a device in advertising. Weasel words make people
hear things that aren’t being said, accept as truth that have only
been implied, and believe things that have only been implied and
suggested. Let’s take a look under a strong light at several frequently
used words.
Help
Ocean Spray Cranberry Juice Cocktail helps maintain urinary tract
health.
It helps control the bacteria in this system.
A breakthrough way to help stop wear-out
Help finance the video equipment.
…
All the examples shown are from our corpus. 23% advertisements
of all samples use the word help. These helps can be omitted because
they have lost their original meaning: aid, assist. Yet, help in
advertising English is never redundant. It has magic power in advertisers’
eyes. Help is the great qualifier; once the advertiser says it,
he can say anything after it. Help qualifies everything. The audience
has never heard anyone say, “This product will keep you young,”
or “This toothpaste will positively prevent cavities for all time.”
Obviously, advertisers can’t say anything like that, because there
are not any products like that made. But by adding that one little
word help, in front, they can use the strongest language possible
afterwards. And the most fascinating part of it is that the readers
are immune to the word. The readers literally don’t hear the word
help. They only knew what comes after it. That is strong language,
and likely to be much more important to the readers than the little
word at the front.
Like
It’s like getting on bar free.
Cleans like a white tornado.
It’s like taking a trip to Portugal.
…
Like is also a qualifier, and is used in much the same way as
help. But like is also a comparative element, with a very specific
purpose; advertisers use like to get the audience to stop thinking
about something that is bigger than or better or different from
the product which are being sold. In other words, they can make
the audience believe that the product is more than it is by likening
it to something else. Like help, like doesn’t catch much attention.
However by using it, almost anything can be said and promised afterwards.
2.3 Differences at the lexical level
2.3.1 Gender identity in advertisements
While we found quite a lot of similarities in the choice of words,
we have also found some delicate differences in the choice of words
in the three types of advertisements as classified before: daily
consumer goods ads, technical equipment ads, and service ads.
Language, as a communicative tool, is not only to impart information,
to communicate ideas about a product, etc., but also to convey information
about the relationship between the addresser (advertisement) and
the addressee (the audience). An intimate relationship between the
advertisement and the audience is always hoped to achieve. So according
to different audience, language applied is different.
What constitutes a female and a male identity, according to advertising?
Table 1, based on the language of advertising (Torben Vestergaard
& Kim Schr der, 1981:74), gives the commodity profile of two
gender-identified magazines: Women and Playboy and also provides
the distribution of the different types of advertisements.
Table 1 Distribution of three types of advertisements
Percentage of ads
Women (%) Playboy (%)
Daily
Consumer
Goods
Hygiene 10 3
Beauty 18 1
Clothes 12 14
Food, Detergents 31 -
Tobacco 8 15
Beer, Spirits - 25
Leisure - 3
Technical
Equipment
Vehicle - 27
Radio, hi-fi - 4
Computer - 7
Service Insurance, banking 2 -
Others 19 1
It can be seen from table 1 that the hygiene, beauty, food and
detergents ads are dominant in the women’s magazines while technical
equipment ads prevail in men’s magazines. The reason is that women
are potential purchasers of daily consumer goods while men are potential
purchasers of technical equipment. So advertising language tries
to win its audiences by noticing audiences’ gender identity.
In addition, since the subjects involved in advertisements vary
from simple to complex, shared knowledge by the addresser (ads)
and addressee (the audience) varies. For example, knowledge of technical
equipment, sometimes demands high educational background or special
interests in a certain field. To convey different knowledge clearly,
advertisements don’t always speak in the same way. In the following
section, we will make a comparative study of three points in order
to find differences in the choice of words in three types of advertisements:
the selection of adjectives, the use of compound words and the use
of pronouns.
2.3.2 Selection of adjectives
Adjectives, as emotive and exciting words, are used to enhance
the facts of a certain product or service. In the study of the selection
of adjectives, we have first divided adjectives into two groups:
descriptive adjectives and evaluative adjectives. The former is
used in objective description and the latter give the advertiser’s
subjective comments. Then we have listed those frequently used descriptive
adjectives and evaluative adjectives in daily consumer goods ads
and technical equipment ads, and we surprisingly have discovered
descriptive adjectives differ from each other in two kinds of advertisements.
Table 2 Comparison of frequently-used adjectives
in daily consumer goods ads and technical equipment ads
Descriptive adjectives Evaluative adjectives
Daily
Consumer
Goods
Ads
radiant, shiny, dazzling, gold
soft, smooth
fresh
creamy, crispy
clean
easy, convenient
rich, effective, crucial
healthy, fast
valuable, flew
essential
good/better/best
magic
Technical
Equipment
Ads
audible, visible
high-volume, full-colour,
high-speed
magnetic, sharp
invisible, multiple
flexible, versatile
Table 2 shows that descriptive adjectives in daily consumer goods
ads such as fresh, crispy, and soft, tend to convey the sense of
sight, touch, and taste. The temptation aroused by this vivid description
of a product is hard to resist especially for women who tend to
be moved by pleasant senses; compared with men, women are inclined
to think in terms of images and perceive through senses. However,
men, the target audience of technical equipment, are good at rational
thinking. Men are not controlled by senses. On the contrary, the
product’s interior quality and function is what they pay attention
to. So the descriptive adjectives used in technical equipment ads
are the ones conveying information of the product, such as audible,
visible, high-volume, high-speed, etc.
2.3.3 Compound words
A compound word is often a noun or an adjective made up of two
or more words. Compound adjectives are often seen in advertisements.
In the present study, we found compound words turn up with varying
proportions in three types of advertisements.
Compound-
used Ads
Total
Ads
Percentage
Daily Consumer Goods 5 20 25%
Technical Equipment 13 20 65%
Service 7 20 35%
Obviously, compound words turn up in 65% technical equipment ads,
40 percentage points higher than that of daily consumer goods ads;
30 percentage points higher than service ads.
Compound words in technical equipment ads, are usually combined
to give an exact description of a certain feature or a certain function
such as high-volume, full-color, multi-functional, non-stop, water-cooled.
Often numbers are employed in front of the hyphen, which is seldom
seen in other advertisements, such as 64-bit, 24-valve, 4-wheel,
255-horsepower.
This difference can be accounted for in terms of the different
complexities of the goods. In comparison with daily consumer goods
and services, technical equipment is much more complicated in function
and structure. It is just the advantageous function or newly designed
structure that the advertiser wants to highlight in technical equipment
ads. Thus, the advertiser employs, even coins, so many compound
words that they can make the introduction of complicated technical
equipment brief and precise. Grammatically, compound words help
to avoid using clause, which enhance the readability of advertisements.
2.3.4 Use of pronouns
Pronouns of the first and second person: we, I and you outnumber
the other pronouns in advertisements. It is because that you, we
and I help create a friend-like intimate atmosphere to move and
persuade the audience. Advertisements with lots of pronouns of the
first and second person are called gossip advertisements. Here,
gossip has not the least derogative meaning. It originates from
old English god sib, meaning friendly chats between women. Advertisements
that go like talking with friends closely link the advertisement
and the audience. The audience will easily accept a product, a service
or an idea as if a good friend recommended them.
Though pronouns of the first and second person are popular in advertisements,
there are some differences in the use of these pronouns in the three
kinds of advertisements. The first person we almost never occurs
in daily consumer goods ads and technical equipment ads, whereas
we is used in almost 80% the service ads in the corpus. The following
are some examples.
What can we do for you?
So come on and join us as we celebrate MillenniaMania Singapore.
…, we help our neighbors find the best ways to give to their favorite
charities-
We’re stronger than ever.
…
There are two factors to explain the phenomenon. First, in daily
consumer goods ads and technical equipment ads, a product is the
focus of information. When the product needs to be mentioned, “it”
is used, and in most cases, the brand name is used, even repeated
to impress the readers. However, in service ads, service is actually
the product. Since service is intangible, we can be regarded as
the replacement of the service. Second, it is more necessary for
service ads to create a friend-like atmosphere, because winning
trust is the first thing service ads want to do.
3. Syntactical features
3.1 Similarities
The purpose of all advertising is to familiarize consumers with
or remind them of the benefits of particular products in the hope
of increasing sales, and the techniques used by advertisers do not
vary markedly. An advertisement is often merely glimpsed in passing
and so, to be effective, its message must be colorful, legible,
understandable and memorable. The rules governing the language of
advertising are similar. We have summarized the lexical features
of English advertisements. If words are leaves of a tree, and sentences
branches; the branches must also possess their similarities.
First, length of a sentence in advertising is usually short. A
sentence in daily consumer goods ads has 10.3 words on average;
in technical equipment ads, 11.8 words; in service ads, 12.3 words.
Second, as to sentence structure, simple sentences and elliptical
sentences are often used in advertisements. Compared with complex
sentences, simple sentences are more understandable and forceful.
Elliptical sentences are actually incomplete in structure but complete
in meaning. The adoption of elliptical sentences can spare more
print space, and take less time for readers to finish reading. In
addition, a group of sentence fragments may gain special advertising
effectiveness. Let us compare the following two advertisements.
a. Baked. Drenched. Tested to the extreme. A Motorola cellular
phone …
b. The Motorola cellular phone are baked and drenched to extreme.
Obviously, by using elliptical structure, sentence a is far more
brief, eye-catching and forceful than sentence b. What’s more, it
conveys attitudes that sentence b lacks. Sentence a implies a kind
of appreciation for the phone, by splitting the sentence into several
fragments and rearranging its word order. Therefore skillful arrangement
of elliptical sentences may add color to a sentence.
Third, as to sentence patterns, interrogative sentences and imperative
sentences are heavily used in English advertisements. Imperative
sentences are short, encouraging and forceful. They are used to
arouse audiences’ wants or encourage them to buy something. For
instance:
Enter something magical. (Oldsmobile)
Feel the clean all day. (ALMAY)
Bye one. (Honda motor)
…
In the explanation of the high frequency of the use of interrogative
sentences, Linguist G.N. Leech (方薇,1997:77) discusses two main functions
of interrogative sentences. Viewing from the angle of psychology,
interrogative sentences divided the process of information receiving
into two phases by first raising a question and then answering it.
Thus it turns the passive receiving into active understanding. From
the linguistic angle, interrogative sentences decrease the grammatical
difficulty, because they are usually short in advertisements. Take
the following interrogative sentence as an example: if it is asked
to condense to one sentence, the condensed one will be complex and
dull.
What’s in Woman’s Realm this week? A wonderful beauty offers for
you.
→There’s a wonderful beauty offer for you in Women’s Realm this
week.
Fourth, the passive voice is usually avoided because the passive
voice gives the audience an indirect and unnatural feeling. In daily
communication, passive voice is seldom used; so is in advertisements.
Present tense prevails in most advertisements because present tense
implies a universal timelessness. On the rare occasions where the
past tense and the present perfect tense is used, it stresses the
long traditions associated with a product, such as “We’ve taken
our whisky in many ways, but always seriously”; or emphasizes its
reliability, such as “We’ve solved a long-standing problem,”; or
makes an appeal to authority, such as “Eight out of ten owners said
their cats preferred it.”
3.2 Differences
3.2.1 Headline
The term Headline refers to the sentences in the leading position
of the advertisement—the words that will be read first or that are
positioned to draw the most attention. Therefore, headlines are
usually set in larger type than other portions of the advertisement.
Research (Coutland L. Bovee & William F. Arens, 1992:294) has
shown that, on average, three to five times as many people read
the headline as read the body copy. Therefore, if the advertiser
hasn’t done some selling in the headline, he has wasted the greatest
percent of his money. So it might be suggested that advertisers
should not be afraid of long headlines.
A headline has numerous functions. First of all, the headline
must attract attention to the advertisement fast. It should take
only a few seconds to capture the reader’s attention. Otherwise,
the entire message may be lost. A headline also selects the reader,
that is, it tells whether the advertisement’s subject matter interests
the reader. The idea is to engage and involve the reader, suggesting
a reason to read the rest of the advertisement. Therefore, the headline
is the most important in an advertisement.
Generally, we can classify effective advertising headlines into
five basic categories: benefit headline, provocative headline, news/information
headline, question headline, and command headline.
Benefit headlines make a direct promise to the reader. News/information
headlines include many of the how-to headlines and headlines that
seek to gain identification for their sponsors by announcing some
news or providing some promise of information. Provocative headlines
are used to provoke the reader’s curiosity. To learn more, the reader
must read the body copy. A question headline will pique the reader’s
curiosity and imagination by asking a question that the reader is
interested in. A command headline orders the reader to do something.
It motivates the reader through fear or emotion or because the reader
understands the inherent correctness of the command.
3.2.2 Comparison of headlines of different types of advertisements
Table 4 tells which type of headline is most used in a certain
type of advertisements.
Table 4 Comparison of headline s in three types of advertisements
Benefit
Headline
News/Infor
headline
Provocative
Headline
Question
Headline
Command
Headline
Daily
Consumer
Goods
15%
25%
15%
40%
5%
Technical
Equipment
10%
30%
30%
25%
5%
Service
35%
10%
40%
10%
5%
Why question headlines are more frequently used in daily consumer
goods ads? American sociolinguist Daniel N. Maltz (方薇, 1997:144)
concluded through study that women tend to ask questions. They have
ubiquitous curiosity. So the women-targeting ads, daily consumer
goods ads, cleverly employ question headlines to cater to women’s
curiosity. The question can be what women care, such as “ Which
of these continental quilt patterns will suit your bedroom best?”;
or what women seldom think of, such as “Hear the one about the comedian
who never drank milk?”. No matter what kind of question, it will
arouse women’s interest effectively.
According to the comparison, information headlines are most popular
in technical equipment advertisements. For example:
Here’s the filmless version.
It’s about exchanging information easily with people you trust.
The muscular V6 gives the Grand Vitara undeniable appeal.
…
Technical equipment is the result of science and high technology.
Unknown information in an advertisement accounts for a large proportion.
Unlike daily consumer goods ads, no introduction of a product is
necessary in headline, because we are so familiar with these daily
used products that almost all information becomes given information.
Therefore, headlines of technical equipment ads mean to attract
readers by displaying the unknown information of a product.
However, service ads tend to give promise in headline to attract
readers. For example:
Wherever you are, whenever you need us, the Allianz Group is always
there for you.
The right bank can make all the difference.
Cancer patients fly free on the wings of angles.
…
Banks, insurance companies, public utilities and airlines prefer
using benefit headlines to emphasize what they can do to customers.
Consumer goods and technical equipment can present themselves in
beautiful pictures. However, service ads are not able to present
their “product” in print except language. So, they have to highlight
their “product” in the headline.
4. Discourse features
4.1 Body Copy of an Advertisement
In general, a written advertisement consists of five parts: headline,
body copy, slogan, illustration and trade mark among which headline,
body copy and slogan are the main parts. Headline plays a role in
catching attention from readers; slogan can be used as a device
to create a corporate image and a common practice to conclude advertisement.
In this section we will discuss the body copy as a discourse component.
The advertiser tells the complete sales story in the body copy.
Set in smaller type than headlines or subheads, the body copy is
a logical continuation of the headline and subheads. It is also
where the sale is closed. The body copy should relate to the campaign
appeal and to the reader’s self-interest, and it must explain how
the product or service being advertised satisfies the customer’s
need. The body copy may concentrate on one or several benefits as
they relate specifically to the target audience. In some cases,
especially in daily goods ads, body copy is omitted just because
readers know what they are.
4.2 Differences in Body Copy s
Copy s fall into many categories. Some common types of copy s
include straight-sell copy, institutional copy, narrative copy,
dialogue/monologue copy.
In a straight-sell copy, the text immediately explains or develops
the headline in a straightforward attempt to sell the product. Since
the product’s sales points are ticked off in order of their importance,
straight-sell copy is particularly advantageous for technical products
that may be difficult to use in direct-mail advertising and industrial
situations. Many camera ads, for example, use this straight, factual
copy to get the message across. The straight-sell approach emphasizes
the reason why the consumer should buy something. For example:
Pick up right where you left off with the new C-2000 ZOOM filmless
digital camera.
You loved taking pictures then. You’ll love it even more now with
the 2.1 megapixel C-2000 ZOOM. It’ll remind you of your favorite
film camera of yesterday, but with all the advantages Olympus filmless
photography offers today. Only the C-2000 ZOOM, for example, incorporates
an all-glass, aspherical 3x zoom lens system featuring a large aperture
f2.0 lens that’s exceptionally fast and bright. Along with automatic
or manual features like aperture and shutter priority, spot metering,
exposure compensation, white balance and ISO settings. And just
like your film camera, the C-2000 ZOOM grows with you when you add
external flash, lighting equipment, lenses or filter. So bring back
old memories while creating new ones with the C-2000 ZOOM from Olympus--THE
WORLD LEADER IN FILM AND FILMLESS PHOTOGRAPHY.
Sometimes the advertiser uses the institutional copy to sell an
idea or the merits of the organization or service rather than sales
features of a particular product. Often institutional copy is also
narrative in because it lends warmth to the organization. Service
ads, such as ads of banks, insurance companies, public utilities,
and large manufacturing concerns are the most common users of the
institutional copy.
Advertisers use the narrative copy to tell a story. It often sets
up a problem and then creates a solution using the particular sales
features of the product or service. It may then suggest that the
audiences use the same solution if they have that problem. Service
advertisements are often written in this . For instance:
LIFE INSURANCE ISN’T FOR THE PEOPLE WHO DIE.
IT’S FOR THE PEOPLE WHO LIVE.
“It broke my heart to hear my daughter Dorsey say she wished her
daddy was still here. But thanks to his foresight, we’ll still have
the things he worked for”
Dorsey Hoskins’ father Bryan felt a tingling in his arm. The diagnosis—an
inoperable brain tumor. He died six months later, at 33, leaving
his wife Dean alone to raise Dorsey and her sister Hattie. Fortunately,
Bryan bought life insurance when he got married, and again when
his daughters were born. Dean invested the proceeds in her own clothing
store, which gives her the flexibility to spend more time with her
children.
Are you prepared? Without insurance, your financial plan may be
just a savings and investment program that dies when you do. An
insurance agent or other financial professional can help you create
a plan that will continue to provide for the ones you love.
By using a dialogue/monologue copy, the advertiser can add the believability
that the narrative copy sometimes lacks. The characters portrayed
in a print advertisement do the selling in their own words, through
a testimonial or quasi-testimonial technique, or through a comic-strip
panel. All kinds of ads can use this body copy , if necessary. For
example:
When I want a CD done right, I do it myself. Yeah, this machine
rocks. It burns full-size CDs that sound totally like the original.
It plays CDs. Records CD to CD at double speed. And records off
of just about any source. LPs. Cassettes. The radio. It’s even got
a text display. Anyway, now I’ve got my own greatest hits collection.
The stuff I want to listen to. I’ve got to admit it’s getting better.
5. Conclusion
Up to now, we have analyzed language features of ads at three levels.
Linguistic similarities analyzed in this paper and shared by all
kinds of ads are shown as follows:
Ⅰ. Lexical features
a. One-syllable and simple verbs such as get and make are used.
b. Emotive adjectives are adopted to arouse reader’s interest.
c. Words are carefully chosen to make pun and alliteration.
d. Weasel words, such as help and like, make the use of strongest
language possible in advertisements.
Ⅱ. Syntactical features
a. Sentences in advertisements are short. On average, a sentence
consists of 11.8 words.
b. Elliptical sentences are used to spare advertising cost and
at the same time improve advertising effectiveness.
c. Interrogative sentences and imperative sentences are common
in advertisements
d. Present tense prevails in ads to suggest timelessness. And active
voice is used to cater to audience’s habit in daily talk.
Ⅲ. Discourse features
A complete advertisement consists of five parts: Headline, Body
Copy, Slogan, Illustration
and Trade Mark. Body copy is the key part, conveying product or
service information.
While summarizing similarities of language features of three kinds
of advertisements, we have discussed the differences between these
ads on the following dimensions:
First, in order to achieve the highest advertising effectiveness,
the advertiser precisely targets the audience by their social status,
roles, income, educational background and gender. Therefore advertising
language adjusts itself to get close to target audience.
Second, daily consumer goods, technical equipment and service are
totally different advertising subjects. For example, some words
in technical equipment ads are comprehensible only to those acquainted
with that field. Take iMAC PC as an example. All the features of
iMAC, plus: 400MHZ, G3 processor, slot-loading DVD drive, 10GB disk
storage, dual 400Mbps FireWire ports, and iMovie video editing software.
Laymen of computers must feel confused by these dazzling figures
and units. However, in order to make the information of a technical
product clear, some jargons are necessary. Therefore different kind
of ads speak different language.
The study has shown that three kinds of advertisements in the corpus
respectively demonstrate their own unique language features.
In daily consumer goods ads, descriptive adjectives tend to convey
senses of sight, taste, and touch in the hope of satisfying women's
appeal for beauty and comfort. No jargon is used. Headlines of daily
consumer goods ads tend to ask question to arouse the interest of
audience, especially women's. The body copy seems not so important
and essential as that of the advertisement for products requiring
high technological information, thus in some cases body copy is
omitted in daily consumer goods ads.
In technical equipment ads, descriptive adjectives largely play
the role of conveying information. Compound words, particularly
compound jargons, are frequently used to exactly introduce a complicated
product. Headlines of technical equipment mean to attract readers
by transferring the unknown information of a product, so they are
often information/news headlines.
In service ads, the use of pronouns, we and you, is statistically
significant. You and we almost appear in every advertisement. “we”,
as replacement of a certain service, is used in almost 80% the service
advertisements. Institutional copy is often used to sell an idea
or the merits of the organization or service rather than sales features
of a particular product. Often institutional copy is also narrative
in because it lends warmth to the organization. Banks, insurance
companies, public utilities, and large manufacturing concerns are
the most common users of the institutional copy.
In summary, no matter what kind of structure, or content, or words
are used in an advertisement, all of them serve the purpose of attracting
ads readers, conveying information to them, and urging them to purchase
the products or to use the service. That is what an ad for, and
that is also the function advertising language performs.
《哈姆雷特》与《苍蝇》之比较研究
201 2-14
摘要：《哈姆雷特》与《苍蝇》的问世，在时间上相隔三百多年，但两部作品的主人公却表现出多方面的惊人相似：第一，二者的生存境遇，自我选择，复仇模式相似；第二，二者都兼有思想家、救世主、孤独者的思想特征；第三，二者的使命一致，结局相同。
关键词：人生选择；思想特征；超人
1601年，莎士比亚的悲剧《哈姆雷特》（以下简称《哈》）发表，1943年，萨特的悲剧《苍蝇》（以下简称《蝇》）发表。虽然两部悲剧的题旨情境各不相同，但两个主人公所作的人生选择以及复仇模式却有着惊人的相似：两个主人公个性、信仰不同，思想特征却相同；两个作家所属的文化语境不同，但他们对人的生存状况的认识以及对社会罪恶提出的疗救方案相同。
（一）
反对封建割据，拥护中央集权，这是人文主义者的政治理想。在莎翁看来，明君代表秩序即“治”，暴君代表无常即“乱”，克劳狄斯弑君篡位意味着正常秩序的颠倒与混乱。要剪除奸雄，由“乱”而“治”，这是莎翁坚定的政治理想，同时也是《哈》剧的题旨之一。题旨之二，是作者的道德理想。克劳狄斯不仅是政治的奸雄，也是人伦的败类，他的杀兄娶嫂同样是伦理的纲常的颠倒混乱，所以哈姆雷特（以下筒称哈）对克劳狄斯的斗争就有了双重的意义：代表人文主义的进步力量与反动封建政权较量；要代表善良的道德力量与邪恶势力斗争。哈的悲剧，是政治与道德理想幻灭的悲剧。
《蝇》的问世比《哈》晚了近三个半世纪，当时法国正处于德国法西斯的铁蹄蹂躏之下，大难当前，是坐以待毙，还是奋起反抗，法国人民面临严峻的选择。为了唤起民众，萨特选择了写作《蝇》这种当时唯一可行的抗敌形式干预生活．他以古代王子的故事借古喻今，号召人民为保家卫国而战。
《哈》与《蝇》的创作背景和题旨是完全不同的，但二位主人公的生存境遇与自我选择却有着惊人的相似。首先，哈与俄瑞斯忒斯（以下简称俄）都是国王的独子，都有一个伟大的父亲，美貌的母亲和无忧无虑的快乐童年；其次，都有王位被篡夺，父亲被谋杀，母亲改嫁凶手的遭遇，因而也都面临着大义灭亲，为父复仇的重任。第三，两个王子复仇的模式相同。哈接受鬼魂嘱托后，迟疑跌宕，总因无力主动出击而一再遭敌人暗算，直到临终前才被迫刺死克劳狄斯。哈的杀父之仇、丧权之辱就发生在昨天，因而有切肤之痛，俄却离这罪恶很远。十五年前的他太年幼，既没有目睹事件发生发展的过程，也没有感受丧权丧父之悲哀，加之养父家庭条件优裕，所以开始时他对杀父丧权之事表现得较为冷漠。是厄勒克特拉的刻骨仇恨点燃了他心头复仇之火，使他肩负起复仇重任，一举杀死仇人。因个性与生活环境的差异俄与哈的复仇情节有细微的差异，但从总体上看，他们的生存境遇大致相同，他们的向强权与邪恶复仇的人生选择相同。
（二）
哈与俄是生活于两个完全不同的国度、不同的时代、不同的文化背景之中的人物，因而二者在宗教信仰与个性上存在着很大的差异。文艺复兴时代，科学还不能否定鬼神的存在，因此，生长在封建帝王之家的哈笃信天堂地狱的存在，而披着古装的俄则诞生在本世纪四十年代，缔造他的萨特是一个彻底的无神论者，所以即使面对众神之神，俄也敢公然宣称：“朱庇特，你是岩石、群星之王，你是大海波涛之王，但你不是人间之王[1]”宗教信仰的差异，是导致两位王子个性差异的原因之一。因宗教观念的羁绊，哈总是优柔寡断，患得患失，而俄百无禁忌，所以他果敢决断，一下决心，便雷厉风行，干得干净彻底，一口气就收拾了两个仇人。
然而，这两位个性与信仰方面如此不同的王子在思想特征方面却有很大的同一性：
第一，思想家的特征。哈与俄都受过很好的教育，都有很强的思想能力。哈博学多才，长于思考，俄“深思熟虑”，“才智超群”，并且都把思考的焦点对准“人”。哈追求的是人文主义理想，看重的是人的尊严、价值、力量。他认为人是一件“了不得的杰作”，人因有高贵的理性、无穷的智慧而成为“宇宙的精华、万物的灵长”；俄信奉的是存在主义哲学，强调的是人本质上的自由，他认为：“我是自由的人”，“我就是我的自由”。“我命中注定除了我自己的意愿以外，不受任何法律的约束”[2]。从这些道白中，我们感到哈像一位热情洋溢的诗人，而俄却像一匹横空的天马，但二者思考的特点是一致的，思考的结果也是一致的，这便是对人文精神的认同。人文主义与存在主义都是一种以人与人道为核心的人本哲学。虽然它们在对世俗生活与宗教神权的关系方面，在对人的生存状况与政治、法律、道德等社会规范的关系理解方面存在许多差异，但它们对人的肯定，对人生存状况的关注却是相同的。人文主义强调的是人性的回归以及人从宗教桎梏之下的解放，因而在刚摆脱中世纪恶梦的文艺复兴时代，哈高唱的是人的赞歌，呼唤的是人的理智、尊严，而存在主义则在人文主义的基础上，更深一层地思考人本体的存在状况，探讨的主要问题是人怎样才能获得本体自由以及面向未来时人所应该选择的最佳生存方式和价值取向，所以俄作为存在主义的代言人，他为人的自由和建树摇旗呐减。同是以人为对象，俄的思考比哈进了一步。应该说，这是人类思想史的进步。
欧洲戏剧中，形形色色的人物不计其数，但思想家的形象较少，而像哈与俄这样努力探索人生真谛的人文思想家形象更是寥若晨星。他们的可贵在于，在既有的价值体系面前，他们能够自甘寂寞，清醒而深刻地思考着全新的价值标准，并以自己的实践惊醒世人，展示他们独特的价值选择。
第二，救世主特征。哈与俄同为国王的独子，是王位的当然继承者，因而总以真命天子自居，俄动辄称“我的臣民”、“我的土地”，俨然是阿尔戈斯的主宰。哈虽慑于克劳狄斯的淫威，不敢公然称孤道寡，但也决不甘心于丧失王位，他曾明确表示，他郁闷不乐的原因是没有嗣位掌权[3]，在奥菲丽姬的葬礼上他竞自称“丹麦王哈姆莱特”。可见，两位王子虽然没有登基即位，但国王的感觉是到了位的。这种感觉使他们人虽不在王位，却时刻心系子民百姓，也使他们在乾坤颠倒时自觉行使救民于水火的救世主权力，在他们的时代，君权神授，子孙世袭，不可妄为，谁悖逆了神旨，谁便触犯了天条，克劳狄斯与埃奎斯托斯弑君篡位，不但为人伦不耻也为天理不容，面对大逆不道，谁来替天行道，铲除罪恶?当然是博学多才又富于责任感的王子，更何况，他们还有与凶手的深仇大根呢？于是哈与俄的复仇就是两全其美、公私兼顾的选择了，当然。他们也曾犹豫，但最终他们的救世主情结使之意识到自己的重大使命，子报父仇与除暴安良，于私于公都是天经地义的，但要实现这个目标所需代价又使两位王子深感焦虑。哈曾叹息：“这是一个颠倒与混乱的年代，唉！倒楣的我却要负起重整乾坤的重任。”俄也曾呻吟：“我肩负的命运对于青春年少的我过于沉重，把我的青春都压毁了”。力不从心但知难而进，两个王子都表现了异乎寻常的坚毅。但如果他们置复仇于不顾，是否会要减轻焦虑呢?回答是否定的，因为那对于他们也是一种痛苦。哈说：“如果我不去剪除一个害天性的蝥贼，让他继续为非作恶，岂不是该受天谴吗?”俄也认为，从前自己是“苟活于世”，因此“必须用一个重大的罪行作为我的压舱之物”。这样，复仇就是一种别无选择的选择了。复仇是手段，拯救自己与国民是目的。为拯救而复仇，以复仇来拯救，手段与目的、个人恩怨与国民利益达到了完美的统一。正因为如此，悲剧才摆脱了通常意义上子报父仇的老调重弹，放射出崇高悲壮的理性光芒。
救世主是欧洲文学史上一系列以拯救为题旨的文学形象，从《奥德赛》到《俄狄普斯》，到《伊尼特》、《贝欧沃夫》，再到《哈》与《蝇》，其主人公要么是国君，要么是王子，他们有的带领臣民战胜自然灾害，有的孤军奋战为国人消灭人妖鬼魅，但除哈与俄以外，其他人都不具备思想家的特征。思想家的智慧加救世主的责任感，使这两位王子的形象在他们的同类中卓尔不群，分外醒目。
第三，孤独者的特征。考察一个人是否孤独，首先要看他的生存环境是否使他孤独，哈与俄都曾是快乐的王子，但随着父王的暴死，权力的转移，生存环境也发生了变化。母亲的改嫁使他们不再拥有家庭的温暖，奸王的狠毒使他们生命受到威胁，朝臣的势利、朋友的反目使他们无依无靠，据此，我们可以认定王子所处的生存环境是孤独的。但王子本人的主观意愿也是造就这种环境的不可忽视原因。哈完全可以争取奥菲丽娅作同盟军，改变他的孤独处境及孤军奋战的局面，但他不但不争取，反而以一种孤傲把自己包裹起来，跟外界隔绝，成了纯粹的孤家寡人。当然霍拉旭是他的好朋友，但哈从来都只请他守密，而不请他参与谋划与战斗，直至斗争的最后阶段，还拒绝他的劝阻[2]。所以在某种程度上说是哈自己选择了孤独。与哈相比，俄似乎要幸运些，有姐姐一同报仇，当然不是孤军奋战。但俄的不幸在于，他姐姐唤醒了他，又抛弃了他。厄勒克特拉在报仇后因悔恨而背叛，投向了朱庇特与“苍蝇”的怀抱并怨恨他，诅咒他，称他为盗走她平静与梦幻的“贼”。痛定思痛，俄是否比哈更痛苦更孤独?
我们界定孤独的第二要素是当事人有无孤独感。如果仅仅是当事人生存环境恶劣、无子无朋而缺乏孤独感的话，我们不能断定他为孤独者。那么哈与俄是否有孤独感呢？在戏中戏前哈明确地说：“现在我只剩下一个人了”，孤独感很明显，正因如此，他一再把唯一可信赖的朋友霍拉旭推开[3]，于是这就形成了一个恶性循环——因孤独而拒绝友情，又因拒绝友情而更感孤独。俄的孤独感似乎更明确更充分：“我是孤单一人”，“直到死我都是孤零零的”，“除了我自己，不能再依靠别人。”
人的存在中，孤独感常伴随着思想、文化等较高层次的素养而来，并且，文化底蕴越丰厚，思想越深遂的人往往越孤独。智慧越高，越不合群。在这个意义上，王子的孤独便具备了一种“超人”的意义。
（三）
“超人”本是尼采的英雄。尼采指出，这些“超人”有高贵的血统，受过良好的教育，品格高尚，性格孤傲，有超群的智慧与精力；大难当头，他们首先考虑的不是自己的安危而是大多数人的幸福。尼采所谓“超人”，就是哈与俄这种兼有思想家、救世主、孤独者特征于一身的出类拔萃之辈。
“超人”是尼采们献给乱世的一剂良药。莎翁经历了伊丽莎白统治末年的乱世，尼采经历了“上帝死了”的信仰废墟，萨特经历了连绵的战火，他们都期盼在乱世中杀出一个力挽狂澜的英雄，而这个英雄不是别人，就是尼采的“超人”，莎翁的哈，萨特的俄。当然，他们所经历的乱世，无论是矛盾的性质、动乱的起因，还是动荡的程度都不能同日而语，但莎翁和萨特都不约而同地选择王宫为背景，以篡位娶后为情节开端，这当然不是巧合，这说明处于两种不同文化语境中的作家关于罪恶的起源的思考结论是一致的：从古至今，权势与美女是种种争斗、角逐、冲突的焦点，有二者存在，便会有罪恶产生。在此基础上，“超人”的使命也是一致的：铲除罪恶，拯救苍生。
于是，“超人”就成为负重的人，焦虑的人，他因他的使命而痛苦。常人只要拯救自己，“超人”却既要拯救自己又要拯救他人，于是这以双重拯救为目的的自我选择就给他们带来超常的焦虑。在实施选择前，他们会顾虑重重（哈就为责任的重大，对手的强大而忧心仲仲）。实施选择后，他们又会因承担选择的后果而焦虑（俄就为同盟的分化、道义的责难而格外沉重）。应特别指出的是，哈与俄事后都承受了一份不该承受的道义责难。他们为父复仇，为民除害，却使自己陷入了道义的泥淖，因为在民众眼里，他们不过是重复了一次犯罪。他们为自己选定的目标无疑是一把双刃剑，消灭了罪恶同时也伤害了自己。哈与俄是深明此理的。这也就注定了他们的焦虑和成为悲剧人物的必然性。
“超人”可能会有种种不尽人意之处，或许有太多的清高孤傲疑虑踌躇；太缺乏斗争经验与谋略等等，但他们有崇高的理想，也有为理想而献身的精神，就不失为高尚的人了，就足以令人肃然起敬了。《哈》与《蝇》的发表，是其作者以悲剧的形式向自己的理想英雄致敬。
摘要：《失乐园》是一部气势恢弘的史诗式作品，全诗由12部诗篇组成，讲述了基督教《圣经》中撒旦（Satan）化身为蛇，引诱亚当和夏娃（Adam
and Eve人类的始祖）违背上帝意旨，最后失去上帝的恩宠，被逐出失乐园的故事。作者通过对圣经故事的改编反映了其在王政复辟后内心的痛苦以及对资产阶级始终不渝的态度，文体雄伟庄严。
关键词：失乐园 革命 宗教 人物形象
Abstract:
“Paradise Lost” is Minton’s masterpiece .It is a long epic in 12
books,
written in blank verse. The story were taken from the Old Testament:
the creation
of the earth and Adam and Eve, the fallen angels in hell plotting
against God, Satan’s temptation of Eve, and the departure of Adam
and Eve from Eden .Satan and his followers are banished from heaven
and driven into hell, but even here in hell, mist flames and poisonous
fumes, Satan and his adherents are not discouraged. The poem ,as
we are told at the outset, was “to justify the ways of God to man”,ie
to advocate submission to the Almighty.
The epic shows the writer’s misery after the Restoration, and his
determination for revolution. The style of the epic is grand, which
is the result of his life-long classical and biblical study.
Keywords: Paradise Lost, revolution, religion, the personalities
of the characters
一、作者简介
约翰`弥尔顿（John Milton 1608—1674）,17世纪英国杰出的诗人和思想家，是继莎士比亚后最伟大的诗人，称雄与动荡的充满激情和暴力的17世纪，他的一生和创作大约可分为三个时期：他16岁时入剑桥大学，并开始用拉丁问和英文写诗；1638—1639年间，他前往欧洲旅行，并同当时被囚禁的伽俐略见过面，这一时期主要作品是一些短诗，比较优秀的有《利西达斯》（Lycidas,1637）等。1639年，英国革命即将爆发，他返回英国。随后的20多年中，他积极投身英国革命，发表了大量的散文和政论文，为英国革命和共和政府奔走呼吁，其中比较著名的有《为英国人民申辩》（Areopagitica,1650）等。1652年，他双目逐渐失明。1660年王政复辟，弥尔顿被捕入狱，但很快被释放。从此开始了他第三时期的创作，先后完成了最著名的以圣经故事为题材的三部长篇诗作《失乐园》（Paradise
Lost,1667）,《复乐园》（Paradise Regained ,1671）和《力士参孙》（Samson Agonistes,1671）。弥尔顿的作品同时体现了欧洲两种最重要的文学传统：以荷马、维吉尔史诗为代表的古希腊罗马文学和文艺复兴文学。他的最后一部作品《力士参孙》描写了主人公在失明后思想、精神上的升华，在一定程度上映照了弥尔顿自己的一生。
二、《失乐园》简介
王朝复辟后（1660年），这时弥尔顿双目失明，变得衰老、落魄。这时，他开始了一部伟大著作的创作，希望它能表现出他心中一直渴望实现的雄心壮志。为此，他写下了这部伟大的史诗——《失乐园》。这套12卷本的素体无韵诗大概写于1658—1663，1657年出版。弥尔顿当时收到了预付金5英镑，正如诗人自己所说的那样，《失乐园》是想评判上帝是如何对待人类的。第1部：全诗总纲，讲述了整个事件的起因和结果；第2部：撒旦与众叛逆天使讨论如何同上帝作战，夺取天堂；第3部：讲述上帝决定如何赐予人类恩惠；第4部：描述撒旦在天堂见到亚当和夏娃，撒旦在夏娃的梦中施展引诱：第5部：天使警告亚当要当心恶魔的引诱；第6部：描绘天使与撒旦一伙的战斗；第7部：亚当向天使询问有关创世的许多问题，并一一得到回答；第8部：他接着又询问有关天体运行的问题，但对所得到的回答并不满意；第9部：撒旦化身为蛇，躺在伊甸园里，并指引亚当和夏娃偷食禁果：第10部：上帝因此震怒，亚当也后悔不已；第11部：圣子代表上帝宣布将亚当和夏娃逐出天堂，并向他们指点未来；第12部：天使向他们叙述拯救之路，亚当和夏娃终于离开天堂，失去了乐园。这部长篇巨著的想象力是以惊人的博学为基础的，其中恢弘独特的诗句及对语言音韵的非凡捕捉力令人赞叹不已。作为一件宗教作品，《失乐园》可以和米开朗基罗的西延斯教堂的穹顶画齐名。
三、《失乐园》评析
弥尔顿赋予自己的构思以圣经传奇的特点，由于这个缘故，反动的资产阶级文学研究中就把这首长诗看作一首“圣教史诗”。撒旦对上帝的反抗，展示了资产阶级反对封建专制统治的革命精神和英雄气概，而撒旦失去天国的乐园和亚当、夏娃失去人间的乐园则寓意着资产阶级的失败和封建势力的复辟，这些可以通过当时的历史背景来理解。1639年，英国革命形势紧张，他回国参加反对国王和国教斗争。在1641—1645年间发表过许多政论小册子，1649年共和国成立，新政府任命他为拉丁文秘书。他写了不少文章捍卫共和国，因积劳过度，双目失明，但仍坚持斗争。王朝复辟后，他受到迫害，著作被焚毁，生活贫困。他用史诗的形式，通过他个人的体会，把他所处的英国革命时代反映进人类的悲剧：围绕对人的意志的考验说明人的自由、幸福。诗人写这首诗的目的在于说明人类不幸的根源。他认为人类由于理性不强，意志薄弱，经不起外界的影响和引诱，因而感情冲动，走错道路，丧失了乐园。夏娃的堕落是由于盲目求知，妄想成神。亚当的堕落是由于溺爱妻子，感情用事。撒旦的堕落是由于野心勃勃，骄傲自满。诗人通过他们的遭遇，暗示英国资产阶级革命也是由于道德堕落、骄奢淫逸而惨遭失败。弥而顿是清教徒，生长在宗教社会，他一生都英勇顽强地卷入宗教与政治斗争的旋涡里去，他是革命的巨人。他通过长诗宣泄了王朝复辟后的内心苦楚与无奈以及对资产阶级革命始终不渝的态度。
弥尔顿的技巧特别明显地表现在长诗中的人物描绘上。弥而顿逐渐揭示那些主人公的多面形象。比如，弥尔顿先把亚当和夏娃在一起表述一番，然后用特殊的缩小画面的手法把他们个别地加以描绘；起先是写整个伊甸园后来写一起的小草地，然后写到人，最后分别写到亚当和夏娃。亚当总是英勇、智慧和刚毅的化身。这些品质和生气勃勃的人的魄力结合在一起，这种魄力使他的谈吐举止充满了崇高精神。作者把威严、刚毅而有魄力的押当表现为人的和谐的形象。和亚当并列在一起的，还有夏娃优美卓绝的形象。弥尔顿对夏娃的抽象品质（贞洁、美丽、善良、温柔）备加赞扬之后，同时也勾勒出她的活泼富有特性的外貌。诗人歌颂亚当和夏娃对这对夫妇的家庭幸福作了诗意的描写：他俩互相关怀，体贴温存；真挚而又纯洁；感情融洽，亲密无间；分担劳动、同甘共苦。弥尔顿固执地把他俩的关系称为“由上天主持的”婚姻，从这种意义上讲长诗有着一定的清教倾向。撒且屈从于权势欲和妒忌心，“犯了法规”，亚当为了自己对另一个人的爱情而“犯了罪”，如果对清教徒说来这两种情欲是同样“不道德的”，那末弥尔顿却是以不同态度来对待的。诗人在谴责撒旦时颂扬了亚当。他所描写的人亚当是他在跟自己的女伴一起反抗天堂和地狱的一切力量，而这些力量也正立刻起来反对他时，这确是显得非常美好。宗教的因素促使弥尔顿长诗中的人的形象那样地变了相，使他不可能成为真正具有“自由意志”的人物，而这一宗教因素在上帝、他的儿子和天使们的形象中表现得倒更有力。弥而顿的那种理论认为：天使都是没有情欲的，在他们身上，同样的理智发射出同样的光芒。所以诗人笔下的众天使便缺乏个性，千篇一律。不错，不错，天使们也表现喜怒哀乐，但这只是“美丽的”假面具上的假定性的丑相而已，这些丑相并不是由于情欲的触动而产生，因而是没有生气的。弥尔顿的天使在表面上象人，但实际上是没有人性的，因为他们彼此相似，是同一个观念的表达。在外表生动的众天使的无意识性和冷漠态度中，强烈地表现出清教派的反人道主义本质。这一本质促使弥尔顿颂扬那残酷地惩罚人的勇敢行为的上帝暴君。撒旦的好战的、无止境地力求肯定自己的那种个人主义性格，成为长诗主人公精神沦亡的原因。
随着自己的暴虐而放荡的性子的阵阵发作，撒旦在四周散布死亡，违抗“自然法则”，导人于灭亡，就这样一次又一次屈从于那种折磨着他的为非作歹的欲望。他邦处在自私自利的情欲影响之下的心灵，就不可避免地丧失了自由。
在撒旦这形象中，应当看到一个个人主义者的面貌，他认为自己个人是“衡量万物的标准”，是整个宇宙的中心，从而得出结论，认为对于他“一切都可容许”。代替着封建制度的暴政，建立起全能的、孤单的自私者的暴政，这一暴政把世外桃源变为小商贩的国家，而把乌托邦变为奴隶主的殖民地。弥尔顿反对当时己经产生的资产阶级个性崇拜，这是深具人民性的。然而，在他的对十七世纪资产阶级个人主义的攻击中，也表现了清教徒神学者的观点，这就减弱和限制了批判的力量。的确，如果说弥尔顿为共和国政体而斗争，揭露了撒旦，那末在他对撒旦的蛮勇和无信仰的谴责中，不止一次地正好表现了以资本生义制度为基础的英国资产阶级革命的活动家所特有的那种虚假和伪善的态度。
《失乐园》是这样的一首英雄史诗，作者没有亲身参加过当代的斗争，但是他善于在长篇史诗的范围内尽量写出了战争的威力，它的可怕的
作者不仅仅是描述英雄们的宏伟的战斗场面而已，他同时还歌颂了他的同时代人的英勇无畏的精神。
参考文献：
1.《文学的历史》 [英] 尼尔`格旦特 著
2.《外国文学名篇选读》 崔宝衡 主编
3. www.poemlife.com 诗`生活网站
浅谈老水手的心理历程——《苦舟子咏》读后感
226 2-14
[摘要]：《苦舟子咏》是英国19世纪湖畔派诗人柯勒律治的一首长诗。全诗是一个充满了奇幻之美的的航海故事。全诗探索人生的罪与罚问题，诗人把热爱宇宙的万物泛神论思想和基督教思想结合起来，宣传仁爱和基督教的赎罪思想。诗中的水手的心理活动刻画得细致入微，水手杀掉信天翁表示他拒绝社会给他的礼物，他除掉了深爱自己并代表超自然的事物，也就除掉了对这个世界的感情，最后水手内心发生转变，以新的态度对待自然，为此他才得以解脱出来。
[关键词]：老水手；道德；内疚；痛苦；赎罪
Abstract:
“The Rime of the Ancient Mariner” is one of Samuel Taylor Coleridge’s
masterpieces. It is a long poem, telling a story in the form of
ballads .The poem can be approached as a dream voyage to another
realm, as a story of sin and expatiation, or as the quiet essential
representation of the alienated isolated modern individual.
一、作者简介
塞缪尔·泰勒·柯尔律治（Samuel Taylor Coleridge）1772年10月21日生于英格兰西南部德文郡一个乡镇牧师的家庭。9岁丧父，被送往伦敦基督慈幼学校上学，熟读希腊、罗马文学。19岁入剑桥大学，与骚塞相识。当时两人都同情法国革命，但又都害怕革命暴力，于是设想去美洲建立乌托邦社会。计划失败后柯尔律治移居英格兰部西部湖区，致力于写诗，并与华兹华斯结成密友。他憎恶资本主义城市文明和冷酷的金钱关系，于是远离城市，隐居于昆布兰湖区，寄情山水或缅怀中世纪的宗法社会。他们创作出歌颂大自然的或美化宗法制农村生活方式的诗篇，以抵制丑恶的资本主义现实。因此被称为“湖畔派诗人”。1798年，两人合作出版著名的《抒情歌谣集》。同年他与华兹华斯兄妹到德国留学，被康德的哲学和耶拿派的诗歌理论和创作所吸引。回国后继续居住于湖区，与华兹华斯保持往来。柯尔律治年青时代即患有风湿痛等多种疾病。为求镇痛他长期服食鸦片竟至上瘾，故健康大受损害。晚年他贫病交加，1834年7月25日逝世于海格特。柯尔律治的作品以真的细节描绘超自然的神秘事物，令人甘愿暂时不去考虑普通情理而信以为真，并在领略到一种怪异的美的同时获得教益或良知的觉醒。柯尔律治的创作实践和理论建设，不仅影响过他的同时代人，也影响了包括和他政治态度相左的拜伦、雪莱和济慈，而且，对于时至今日的诗歌艺术探索者，仍具有重要的借鉴价值。他在英国文学史上有重要地位，是浪漫主义思潮的重要代表。
二、《苦舟子咏》简介
《苦舟子咏》是柯尔律治唯一一部完整的长诗。这部长625行的叙事谣曲是一个神秘恐怖的浪漫故事：一名老水手对一个赴结婚宴的客人讲述了他自己的可怕的故事。客人想走开，赶快去赴宴，却为老水手眼中的特殊表情所吸引住，不得不站在那里把这个故事听完了。老水手和同伴们坐了一艘船出海去。一路上很平安。然后遇到了一阵暴风，暴风过后，这位水手却无端地射杀一只了航海者认为好运象征的信天翁。因此，厄运又降临了。船驶进静海中，那里没有风也没有浪；太阳如火如荼地照耀着。海水绿绿地满载着腐物。船停在那里不动，老水手被视为这次厄运的造因者。水手们都渴得要死去，仿佛有一只船要驶进救他们却又消失不见了。那是一只幻船，水手们一个个都死在甲板上，每个死者的眼光都注定在这位杀死信天翁的水手身上。全船的人，只有他没有死。后来，他对于自所做的恶罪觉得悔恨。于是天使们可怜他的悲苦，使死尸们站了起来，仍去做水手们的职务。他们开上了帆。虽然没有风，船却渐渐地移动。于是，这船一直驶到了老水手的故乡。一个领航者离了海岸，出来迎接。但在他到这船之前，它却突然地沉下了，留下了这位老水手在海波中与死神挣扎着。他被领航者所救。后来，他一想起那时受的言之不尽的痛苦，便不能忍。他的心在体内烧着，一直到了把这可怕的故事说了出来，方才觉得舒服。
三、分析老水手的心理历程
“自由、平等、博爱”是资产阶级道德重要规范。“自由、平等、博爱”的口号是资产阶级革命时期提出来的。它既是资产阶级的政治主张，又是资产阶级道德的重要内容。这一口号的提出不仅在政治上曾经起过推动历史进步的作用，而且在人类道德发展史上也是一个巨大的进步，因为它否定了人身依附关系，肯定了人身自由；否定了等级特权，肯定了人的平等；否定了把人不当人的非人道主义的博爱思想。一句话，肯定了人的尊严、价值以及个人对幸福的追求。所以，它对个性的张扬和自我意识的发展，对人们挣脱禁欲主义、蒙昧主义、等级主义的枷锁都起到了巨大的革命作用。
西方基督教的万物泛神论主张神无处不在，万物都是神的表象。这种主张认为：上帝就等于万事万物；任何个别事物就是上帝；世上的事物实际上都是虚无的。
在这两种思想的支配下，作者把信天翁认为是基督教的使徒。老水手无端地射死了信天翁，表示他拒绝社会给他的礼物，他除掉了深爱自己并代表超自然的事物，也就除掉了对这个世界的感情。老水手违反上天的指意，违反自然规律，射死了无辜的信天翁，必然要受到惩罚。于是，灾难来了：风停了，船无法前进，阳光酷热，水手们口干舌燥。这时候，有人指责老水手——“你怎敢放肆，将神鸟射死！是它引来了南风。”此时，老水手开始意识到自己行为的错误。于是，他开始不断地感到内疚。心理学认为，在道德情感系统中，羞耻感是其中的一个元素。毕达哥拉斯要求人们对自己言行进行反省以后，就应该在内心里对卑劣的行为感到羞耻、悲哀和恐惧；对善良行为感到欣喜。沙莆慈伯利认为，道德上的善恶主要取决于感情系统中的羞耻感。他说：“凡出自不公正的情感所作的，就是不义恶行和过失；如果情感公正、健全、良好，并且情感的内容有益于社会，而且还是以有益于社会方式施行，或有所感动，这就必定在任何行动中构成我们所说的公平和正直。”不义、恶行和过失将引起人们的羞耻感。羞耻感是个人的自我道德意识的一种表现，表示一个人对自己的行为、动机和道德品质的谴责时的内心体验。良心是羞耻感的的主要作用机制，常表现出焦虑、羞愧和内疚等情绪。道德焦虑是一种复合情绪。其中，痛苦和畏惧是主要构成“因子”。但它仅以避免外在处罚为目的，是低级形式的羞耻感，可又是羞耻感发生的基础。那么，羞耻感的真正作用是什么？是内疚，只有内疚才是高度的主体意识的产物，它激活潜在的思维和力量，专注与对过失的懊悔和追悔的行为，促进个体的心理成熟。如果个体内疚匮乏，那他将对道德不屑一顾，达不到“有羞知格”的认识。同时，羞耻感要以自尊为前提，一个没有自尊的人是不会知耻的，更不会自责。自尊体现了对自我社会话的切近，没有自尊的防卫，就不可能有自责的意识和行为的发生。老水手对自己的不道德行为知耻，惭愧和悔恨。老水手真是由于良心发现才深感自己行为的错误，于是惶惶终日，不断自责自己。
事态进一步发展，在他忏悔和祈祷下挂在脖子下的鸟掉下来了，但是同行的水手都因为缺水而一个个地死去，只有老水手一个人活着。这似乎是上帝对他的又一个惩罚。他一方面觉得自己的罪行深重，导致了其他水手的死亡——痛苦；另一方面在茫茫大海中，一条船上就他孤零零的一个人——恐惧。于是他的内心又经历了一场痛苦与恐惧的考验。良心是每个人自身内部的道德评析，是自己对自己行为道德价值的认识、认知、判断、态度、感情、体验、意向、意志、动机等一切心理反应活动。老水手不断对自己惊醒良心谴责。良心的基本因素是感情，感情是对需要的体验，是心理的动力因素。它一方面产生良心的认知因素，推动自己去判断自己行为的道德价值；另一方面则产生良心意志因素，推动自己做出改过迁善的选择。在行为过后，良心对行为的后果有影响和评价作用。对于履行了道德义务并产生了好后果的影响和行为，它便于进行自我谴责，使人感到内疚、惭愧和悔恨。这种自我谴责，往往能形成一种力量，促使人们改正自己的行为。
后来，老水手虔诚地祈求海蛇破开魔法，他才获救得以回家。人非圣贤，孰能无过？人生在生活中不免发生道德过失。道德反省就是通过对道德过失的追悔，从而激励人们采用新的道德行为去补救已经酿成的道德不幸，并且通过对道德过失的觉醒为将要开始的道德行为提供罗盘。道德反省的实质在于主体对自己已作的道德选择进行批判性的分析，是在主体已经体验到自己的道德行为存在着过失的情况下，从而进行的对自己内心的深刻反思。通过反思，要为今后的行为提供新的路线和方案，明白来者可追，逝者可补。在今后的行动过程中，要用千倍的补偿替代原有的损失；通过反思，主体对自我发展和自我需要与社会道德的系统会领悟得更加深刻。
故事的最后，老水手回到了家。于是出现了开篇的那一幕：他极力拉住去赴婚宴的人，让他们听他讲这个离奇的故事——他想寻找听众，承认自己的错误，说出自己的故事，解除内心的痛苦——赎罪。尽管老水手已经虔诚忏悔，但还是有种负罪感难以释怀，于是他渴望被人理解，宣泄出来以排除内心的痛苦。生活也是这样，当我们遇到困难、痛苦的时候，不要封闭自己，找一个忠实的听众，把自己的苦恼说给他听。这是一种释放压力的好方法。
总之，柯尔律治的这首诗歌以神秘、怪诞著称，其中的心理描写可谓是典范！诗歌探讨了罪与罚、善与恶，生与死等哲学问题，宣传了一切生物皆上帝听造的教义。但诗歌的真正价值并不在故事本身或它所包含的哲理上，而在以造型艺术的精确性和音乐的流动感为读者创造了一幅幅神奇的海洋画面：时而风平浪静，沉寂安宁；时而风暴骤起，一片喧嚣。在写作此诗时，柯尔律治并不熟悉大海，但他能凭借想象，使真实的情形与幻想的景象互相交织，把平凡的细节与诗意的象征融为一体，充分显示了瑰丽奇特的想象能力。在诗艺上，长诗将英国民歌的自由与古典文人诗的谨严冶于一炉，炼就出适合表达浪漫主义情绪的活泼自然的诗体，而长诗的音韵与节奏之美，也表现了诗人能让文字进行歌唱的本领。
[参考文献]： 《英美文学选读》 天津大学出版社出版
《英国文学简史》 河南人民出版社出版
《道德心理学》 中南大学出版社出版
Outline:
I. Problems aroused by different cultural backgrounds
A. Some difficulties in communication caused by different cultural
backgrounds
B. Brief illustration of relationship between language and culture
C. Problems in English teaching and teaching material caused by
neglect of cultural background knowledge
II. Importance of cultural background knowledge in language teaching
A. Necessity of cultural background knowledge in aural comprehension
B. Necessity of cultural background knowledge in oral English
C. Necessity of cultural background knowledge in reading
1. From the respect of allusions as illustration
a) Old allusions from history, religion and literature
b) New allusions
2. From the respect of idioms as illustration
D. Necessity of cultural background knowledge in writing and translation
1. In translation
2. In writing
a) Differences in Chinese and English writing styles
b) Necessity of knowing these differences
III. How to carry out the teaching of cultural background knowledge
A. Selecting proper teaching material
B. Encouraging wide reading
C. Paying attention to proper wording in the classroom
D. Using native English video tapes and films
E. Encouraging communication with native speakers of English
F. Holding lectures about culture
IV. Conclusion: It is necessary for teachers to pass on cultural
background knowledge to students.
Once an American was visiting the home of a Chinese. As the visitor
saw the host’s wife, he said,“ Your wife is very beautiful.” The
host smiled and said:“ Where? Where?”—which caused the American’s
surprise, but still he answered: “ Eyes, hair, nose…”—an answer
that the host found a bit puzzling. The surprising was caused by
different cultures. “Where? Where?” meaning “哪里！ 哪里！”in Chinese
is a kind of humble saying. But the American understood it as “Which
parts of the body are beautiful?” So, the reason for both sides’
misunderstandings was differences in customs and habits. Each was
expressing and understanding what the other said according to his
or her culture.
Events like these are fairly common when people of different languages
and cultures communicate. Because of cultural differences, misunderstandings
may arise, although the language used in communication may be faultless.
The same words or expressions may not mean the same thing to different
peoples. Because of cultural differences, a serious question may
cause amusement or laughter；a harmless statement may cause displeasure
or anger. Because of cultural differences, jokes by a foreign speaker
maybe received with blank faces and stony silence. Yet the same
stories in the speaker’s own country would leave audiences holding
their sides with laughter.
Language is a part of culture and plays a very important role in
it. On the one hand, without language, culture would not be possible.
On the other hand, language is influenced and shaped by culture;
it reflects culture. In the broadest sense, language is the symbolic
representation of a people, and it comprises their historical and
cultural backgrounds as well as their approach to life and their
ways of living and thinking. Language and culture interact and understanding
of one requires understanding of the other.
Cultures differ from one another. Each culture is unique. Learning
a foreign language well means more than merely mastering the pronunciation,
grammar, words and idioms. It means learning also to see the world
as native speakers of that language see it, learning the ways in
which their language reflects the ideas, customs, and behavior of
their society, learning to understand their “language of the mind”.
Learning a language, in fact, is inseparable from learning its culture.
However, it has been given not enough care to in our teaching for
a long time. Although many students have acquired four skills—listening,
speaking, reading and writing according to the demand of our traditional
syllabus, they often make mistakes in application of language to
real life, because our teaching and teaching materials attach importance
to language forms but ignore the social meanings of language forms
and language application in reality. We can see the following dialogues
in many textbooks:
1. A: What’s your name?
B: My name is Li Hong.
A: How old are you?
B: I’m twenty.
A: Where do you come from?
B: I come from Nanjing.
2. A: Where are you going?
B: I’m going to the library.
3. A: Are you writing a letter to your parents?
B: Yes, I am.
A: How often do you write to your parents?
B: About once a week.
All the above dialogues are roughly the combination of Chinese thinking
and English form. Although such forms are correct, they are not
appropriate. Except for hospitals, immigration offices and such
places, it’s unimaginable for someone to ask a string of questions
like: “ What’s your name?” “ How old are you?” “ Where do you come
from?” The natural reaction of English-speaking people to the greetings
like: “ Where are you going?” would mostly likely be “Why do you
ask?” or “It’s none of your business.” Questions like “ Are you
writing to your parents?” would be though to intrude on one’s privacy.
Our teaching material seldom pays attention to differences between
cultures, so our students are usually ignorant of the factor of
culture and they can only mechanically copy what they have learned.
So in language teaching, we should not only pass on knowledge of
language and train learners’ competence of utilizing language, but
also enhance teaching of relative cultural background knowledge.
In teaching of aural comprehension, we find many students complain
that much time has been used in listening, but little achievement
has been acquired. In order to improve competence of listening comprehension,
some students specially buy tape recorders for listening and spend
quite a few hours every day on it, but once they meet new materials,
still, they fail to understand. What is the reason? On the one hand,
maybe some students’ English is very poor and they haven’t grasped
enough vocabularies, clear grammar or correct pronunciation, or
maybe the material is rather difficult, etc. On the other hand,
an important reason is that they are unfamiliar with cultural background
of the USA and England. Aural comprehension, which is closely related
to the knowledge of American and British culture, politics and economy,
in fact, is an examination of one’s comprehensive competence which
includes one’s English level, range of knowledge, competence of
analysis and imaginative power.
Maybe we have this experience: when we are listening to something
familiar to us, no matter what is concerned, usually we are easy
to understand. Even if there are some new words in the material,
we are able to guess their meanings according to its context. However,
when we encounter some unfamiliar material or something closely
related to cultural background, we may feel rather difficult. Even
if the material is easy, we only know the literal meaning, but can’t
understand the connotation, because we lack knowledge of cultural
background.
Here is a sentence from a report: “The path to November is uphill
all the way.” “November” literally means “the eleventh month of
year”. But here refers to “ the Presidential election to be held
in November”. Another example is “red–letter days”—which is a simple
phrase and is easy to hear, meaning holidays such as Christmas and
other special days. But students are often unable to understand
them without teacher’s explanation.
Below are two jokes often talked about by Americans:
1. A: Where are you from?
B: I’ll ask her. (Alaska)
A: Why do you ask her?
2. A: Where are you from?
B: How are you. (Hawaii)
A may think B has given an irrelevant answer. But if A knew something
about geographical knowledge of the USA, and the names of two states
of the USA—Alaska and Hawaii, he would not regard “Alaska” as “I’ll
ask her”, or “Hawaii” as “How are you”.
In view of this, the introduction of cultural background is necessary
in the teaching of English listening.
Likewise, speaking is not merely concerned with pronunciation and
intonation. Students can only improve their oral English and reach
the aim of communication by means of enormous reading, mastering
rich language material and acquaintance of western culture. Therefore,
in oral training, teachers should lay stress on factuality of language
and adopt some material approaching to daily life, such as daily
dialogues with tape, magazines, newspapers and report etc., because
the material is from real life, and it helps students to be well
acquainted with standard pronunciation and intonation, to speak
English appropriate to the occasion, to understand western way of
life and customs etc. Otherwise, misunderstanding and displeasure
are inevitably aroused. Let’s look at some examples.
Many fixed English ways of expression cannot be changed randomly.
For example, the answer to “How do you do?” is “How do you do?”
When asking price, people usually say, “How much, please?” instead
of: “How much do you charge me? Or “How much do I owe you”; When
paying bill, “Waiter, bill please.” Instead of “Excuse me, sir.
We’re finished eating. How much is it, please?” When asking the
other one’s name on the telephone, “Who’s speaking, please?” or
“Who is it, please?” instead of “Who are you?” “Where are you?”
“What’s your surname?” or “What is your unit?”
In English, there are so many euphemisms that sometimes it’s hard
to know the other one’s actual mood. So we should pay attention
to our answer. For example, when one ask: “How do you like the film?”
and the other answer: “I think it’s very interesting”, it shows
he doesn’t like it very much instead of the literal meaning “very
interesting”. When one asks: “What do you think of my new coat?”
and the other answers: “I think the pocket is very nice”, it also
shows his dislike. In America and England, usually people don’t
say unpleasant words to one’s face, they always say pleasant words
to the full or evade direct answering, saying “I don’t know.” For
example, when one asks, “Do you like our teacher”, you may answer:
“Well, I don’t know him very well.” Sometimes out of his politeness,
when meeting unfamiliar people, he may conceal his true feelings.
For example, A asked B: “How are you?” Although B had got a bad
cold, his answer was “Fine, thank you”, but not “Not very well,
I’m afraid ”, or other similar answers.
During oral communication, speakers need standard pronunciation
and intonation, as well as the suitable use of language for the
occasion. There are numerous examples that we could cite of expressions
that are correct according to grammatical rules, but unsuitable
for the occasion.
Once, after a student gave a lecture, he asked a foreign visitor
for his advice. He said like this, “I am desirous of exploring your
feeling on the lecture”—which caused the foreign visitor’s surprise.
He said: “You English is too beautiful to be true.” But the student
refused to accept the comment. He said the sentence was extracted
from the book. The visitor explained that phrases like “desirous
of exploring your feelings” were not fit for spoken language, which
should be replaced by “I’d like to hear your views on the lecture”
or “May I have your views on the lecture?”
A person comforted a bereaved young wife, “I’m terribly sorry to
hear that your husband has just died, but don’t let it upset you
too much. You’re an attractive young woman. I’m sure you’ll find
someone else soon.” Although the words accord with grammatical rules,
they cannot be applied in communication, and at the same time, they
betray the social customs.
As peoples are diverse, customs are diverse. It is only natural
then that with differences in customs, differences often arise in
using of language. For example, when someone praise your English
is very good, American and Chinese replies to compliments are different.
According to Chinese customs, they generally murmur some reply about
not being worthy of the praise, while according to American customs,
they tend to accept the compliment with the pleasure. The reply
like “No, I don’t speak good English”—Americans think which seems
to criticize the other side, is impolite.
Reading English articles requires a certain language basis, but
the competence of reading comprehension is not entirely related
to one’s language level. Knowledge of cultural background is also
important. Reading is a process affected by integration of one’s
language knowledge, cultural background knowledge and other professional
knowledge, and a process of continuous guesses and corrections according
to available language material, cultural background and logical
reasoning. Generally speaking, Chinese people study Chinese without
the difficulties aroused by cultural background. Chinese proverbs
like “只许州官放火，不许百姓点灯”, “平时不烧香,临时抱佛脚”, “差之毫厘,失之千里” will not influence
our understanding of article. The connotation of such new words
as “改革开放” “大腕” “追星族” are easily understood, too. However, when we
read English articles, differences between Chinese and western cultures
often bring us many difficulties.
Following, effect of cultural background on reading will be discussed,
with some common terms or expressions in reading material, which
is often not understood by Chinese learners unfamiliar with western
culture, as illustration.
Many allusions drawn from history, religion, literature etc., often
appear in English works and have become common household terms.
But without the knowledge of western culture and history, such allusions
are not always easy to understand, and without understanding there
can be little appreciation .For example:
a Herculean task—task requiring great power of body or mind. Hercules
was a powerfully built hero of ancient Greek mythology. As punishment
for a serious misdeed, he was ordered to do twelve virtually impossible
tasks. Hercules succeeded in doing all and was rewarded with immortality.
Example: It was a Herculean task, but he managed to do it.
David and Goliath (from Bible)—David was a shepherd boy; he killed
the Philistine giant Goliath with a shot from his sling and later
became king of the Hebrews; in metaphorical use, David and Goliath
stand for a contest between two persons, enterprises, countries,
etc., in which one is much smaller and/or weaker, but in which the
smaller/weaker one wins out.
a Horatio Alger story—any “success story”, often considered a myth,
of a poor boy who works hard and finally rises to the top, becoming
rich, successful, famous; Horatio Alger was a writer whose stories
generally had the same such plot. His best-known books are the Ragged
Dick series and the Tattered Tom series.
Some of these allusions may be looked up in the dictionary, but
with the continuous development of society and language, new allusions
have appeared. Unless one is well acquainted with developments of
a certain country, one would be at a loss about the meaning and
connotations of terms or expressions such as those below:
a Rambo—Rambo is the character made famous by American movies around
the mid-1980s. He is a tough soldier of the Vietnam War, resourceful,
taciturn, lonely, somewhat “odd”. Rambo gets involved in numerous
risky adventures or in one violent situation after another. He makes
miraculous escapes from impossible situations by shooting, knifing,
bombing or burning his way out. Unbelievable as his feats may seem,
and repugnant as some of his violent actions may appear, he is the
current hero of many American boys and young men.
a Pepsodent smile—A smile showing beautiful white teeth; from advertisements
for Pepsodent tooth paste, one of the better-known brands in the
USA.
Idiom is an important part of the language and culture of a society.
They are often hard to understand and hard to use correctly. They
are almost impossible to understand from the meanings of the individual
words. And with English idioms, even the same words may have different
meanings as in the examples blow:
So, first of all, a student should learn not to look down on such
idioms just because they’re made up of such simple and easy words.
He should look out for identical phrases with different meanings
and look them up in a dictionary if he’s not sure. He’s bound to
run into a lot of trouble when he first uses them, but he shouldn’t
give in, much less give up. If he keeps trying and keeps at it long
enough he’ll make out and things will turn out well in the end.
Though the passage is short, it includes ten idioms: look down,
made up of, look out for, look up, run into, give in, give up, keep
at it, make out and turn out (well).
It is thus clear that difficulties in reading cannot be completely
solved by one’s language knowledge, because works of a people cannot
be separated from the people’s cultural tradition. So, in teaching
reading, a teacher should explain grammatical difficulties as well
as expound cultural background.
Similarly, writing and translating cannot be separated from cultural
background knowledge.
In translation, even the very simple expressions cannot be dealt
with without any consideration of specific context and customs.
We shall take the word “dog” as an example.
To English-speaking people, the dog does not carry the same associations
as it does to Chinese. The dog is considered to be derogatory, for
example, “癩皮狗” “丧家之犬” “走狗” “狗急跳墙” “狗头军师” etc. are often used to
describe disgusting people. But dog in English, especially in proverbs,
is a commendatory term. If we translate dog into Chinese “狗” without
exception, we may make jokes. For example:
1. Every dog has his day.
2. You are, indeed, a lucky dog.,
3. Last night my father came home dog-tired.
Because some learners are not well aware of the cultural differences,
they take it for granted that the three sentences should be translated
into the following:
1.每条狗都有自己的节日。
2.你真是一条幸运的狗。
3.昨晚我爸爸回到家中像狗一样得累。
In fact, the right translations are as follows:
1.人人皆有得意时。
2.你真是个幸运儿。
3.昨晚我父亲回到家中非常累。
In writing, cultural background knowledge is also important. Why
is it that the English writing of Chinese students read so much
like translations of Chinese? Why is it that one can fairly easily
tell whether an article was written by a Chinese or by a native
speaker of English? On the one hand, it is probably because most
Chinese students have not yet mastered the language; On the other
hand, it is probably because of differences in Chinese and English
writing styles that reflect cultural differences.
Narration and description in Chinese seem to be a bit more ornate,
or “flowery”, than in English. The following passage from a student’s
composition is typical of this kind of faulty writing in English:
“I walked joyfully along the path that was lit up by the golden
rays of the morning sun. Beautiful flowers of many colors were blooming.
How fragrant they smelled! Little birds were singing in the trees,
as if greeting me ‘Good morning! Good morning!’… my heart was bursting
with happiness…”
One of the common faults in this matter is the tendency of Chinese
students to use too many adjectives. Adjectives, of course, are
necessary in good writing. But if not used with care, they can have
the opposite effect—quickly kill interest and produce boredom.
Chinese and English-speaking people seem to look differently on
the use of set phrases and expressions. Good English writing discourages
what are called “clichés” or “trite expressions”. Chinese writing,
on the other hand, gives its approval to well-chosen “four-character
expressions.” To a native English-speaker, the following sentence
would be frowned on as an example of poor writing: He slept like
a log and woke up at the crack of dawn, fresh as a daisy.
Trite expressions and clichés originally caught people’s attention
precisely because they were and are so colorful and express an idea
so well. But overuse caused them to lose their charm and freshness.
In persuasive writing such as social or political essays and editorials,
English-speaking writers tend to be less militant in tone and language
than most Chinese. The idea is to let the facts speak for themselves.
In other words, the facts themselves should be able to convince
the reader. Thus in such types of writing, one finds rather sparing
use of such phrases as we must, we should not, it is wrong to, it
is absurd, cannot be denied, resolutely demand. The tone is usually
restrained; the language id generally moderate. In present-day Chinese
social and political writings, facts are of primary importance,
of course, but considerable stress is also laid on militancy, on
making one’s stand clear. This difference in attitudes is an important
one. Experience has shown that a hard-hitting essay or editorial
in Chinese does not always have the effect intended when translated
into English. Instead of convincing people, the blunt tone and language
often antagonize people or arouse suspicion that the writer does
not have a strong case and must resort to fiery language, rather
than rely on facts and reasoning.
Besides the three points of differences mentioned above, there are
others. If we couldn’t be acquainted with these differences, we
would not write a standard English composition.
From what had been said, it is clear that cultural background knowledge
is necessary in language teaching. Teachers should help students
to solve the difficulties in language as well as in culture. Thus,
further improve our quality of teaching.
It is not easy to teach cultural background knowledge. Firstly,
teachers must be acquainted with the differences between the two
linguistic cultures. Teachers can provide cultural information,
as well as make students express themselves correctly in different
occasions, and the latter is more important.
Firstly teaching material is important. A proportion of foreign
material and authentic material should be used, especially dialogues,
because it’s more authentic and reflects cultural behavior followed
by speakers. Authentic material refers to material selected from
authentic activities concerning social factors. Next, teachers should
explain cultural factors involved in the material with purpose.
Below is a dialogue between two English persons:
Helen: Hello, Susan.
Susan: Hello. I’m going to get a magazine and some chocolate. Would
you like to go with me?
Helen: OK. Let’s go to that newsagent in the corner. I want some
cigarettes.
Susan: I want to go to the one down the road. I’ve got to send off
this parcel and there is a post-office in that one.
This dialogue tells us in England some newsagent’s shops not only
sell sweets and cigarettes, but also install post office where people
can send off letters and parcels. But in China, there are not such
shops. If teachers don’t give the explanations, students may feel
puzzled.
Secondly, encourage students to read extensively, including novels,
magazines, and newspapers etc. To most Chinese learners, acquisition
of knowledge of western culture, mainly depend on reading material,
while literal works is the most rich material through which we can
know something about a people’s psychology, cultural characters,
customs and habits, social relations etc. Teachers should guide
students to accumulate relative cultural background knowledge when
reading material. Through enormous reading, students’ understanding
of culture will become ripe and complete.
Thirdly, in the classroom, teacher should pay attention to proper
language forms as well as suitable use of language. One way of classroom
teaching is to ask students to make similar dialogues to the text.
A student inevitably needs to play a role and carry on a conversation
according to a certain role. Teacher should attract the student’s
attention to his role and point out his expressions which are improper
for his character or the occasion. Furthermore, remind students
to pay attention to details such as pronunciation, intonation, countenance
wording, gesture etc.
Fourthly, use good native English videotapes and films in teaching,
and then organize discussions. When watching videotapes or seeing
a film, students and teachers should pay much attention to the scene
of daily life, such as conversations between shopkeepers and clients,
dialogues on the telephone, chat in the street, etc. After that,
teachers and students may exchange views and replenish each other.
Fifthly, encourage students to communicate with native English speakers.
But so far, we haven’t carried out such activities enough. In contact
with native speakers, students can be deeply impressed by the differences
between two cultures at first hand. Moreover, in such relaxed conversations,
students can learn much knowledge, which cannot be learned in the
classroom.
Sixthly, hold some lectures about cultures and customs, comparing
Chinese culture with western culture.
In teaching, teachers should attach importance to cultural differences
and study these differences. As English teachers, we should not
only help students to learn a foreign language, but also to learn
social and cultural background knowledge. Only so, students can
widen their knowledge and thus further learn English well. ( 4,168)
Bibliography
I. Books in English:
Deng Yanchang, and Liu Runqing, Language and Culture, Foreign Language
Teaching & Research Press, Beijing, 1989
Liu Daoyi, and N. J. H. Grant, Junior English for China, People’s
Education Press, Beijing, 1994
II. Books in Chinese:
胡文仲 《文化与交际》，外语教学与研究出版社，北京,1994
贾冠杰 《外语教育心理学》，广西教育出版社，广西， 1996
王才仁 《English/">英语教学交际论》，广西教育出版社，广西，1996
王福祥、吴汗樱 《文化与语言》，外语教学与研究出版社,北京，1994
III. Dictionaries:
Oxford Advanced Learner’s Dictionary of Current English with Chinese
Translation, 3rd edition, Oxford University Press, London, 1984
The Oxford Dictionary of English Proverbs, Oxford University Press,
London, 1970
形式标记的元功能分析
173 2-14
摘要： Halliday，Thompson，Eggins，Downing and Locke等学者对气象过程（Meteorological
process）中的it，存在过程中的there，被动语态的被动标记by以及感叹句中的what与how等没有概念意义的成分所进行的功能语法分析缺乏前后一致性，没有标准可以遵循。本文通过深入分析试图阐明：（1）这些形式标记的句法作用不可低估，但它们没有实际概念意义，在功能语法分析中不宜笼统地把它们划归其它功能成分；（2）形式标记的功能语法分析是有规律可循的。
关键词： 形式标记；元功能；分析
Abstract: There is a lack of consistency and standard in the functional
analyses by such scholars as Halliday, Thompson, Eggins, Downing
and Locke
of "it" in the Meteorological process, "there"
in the Existential process,
passive formal marker "by" in the passive voice, and what/how
in the exclamatory
clause, which have no ideational meaning. This paper presents an
analysis
and attempts to elucidate two points: (1) Such formal markers may
not be
included in other functional components in functional analysis because
they have no actual ideational meaning although their syntactical
significance
can not be neglected; (2) Certain rules can be found for the functional
analysis of such formal markers.
Key words: formal marker; metafunction; analysis
1． 引言
元功能思想是系统功能语法一大核心思想，对语言及语言运用的诸多解释可以通过元功能分析来进行。而对于只有形式意义的语言成分的分析，系统功能语法学者目前所提供的解释有待进一步探讨。Halliday，Thompson，Eggins，Downing
and Locke 等学者在分析形式标记时时而把它们与有实际概念意义的语言成分合并起来作为一个功能成分，时而把形式标记与其它成分分隔开进行功能分析，这种分析缺乏连贯性和一致性。我们试图通过对气象过程中的it，存在过程中的there，被动语态的被动标记by以及感叹句中的形式标记what与how的分析，说明形式标记的功能语法分析是有章可寻的。为说明问题，我们分别考察了上述学者对这些形式标记所作的功能分析，然后从元功能的三个主要层面出发提出我们的分析，找出其中的可能规律。限于篇幅，概念功能层面我们仅讨论及物性系统，语篇功能层面只讨论主位结构，人际功能层面只讨论语气系统。需要特别指出的是，我们这里所说?quot;标记"不是"Markedness"，而是"formal
marker"。
2． 形式标记的元功能分析
2.1 概念功能层面
概念功能层面的典型分析是及物性分析。对于it，Halliday（1994: 143）认为类似"It’s raining"这样的分句属气象过程（Meteorological
process），是间于存在过程和物质过程之间的一种过程类型。他指出，it可当作主语，但没有参与者角色，也没有及物性方面的功能；类似It’s
blowing / It’s raining可以解释为没有参与者的物质事件，而类似It’s foggy/cloudy/misty/hot等可解释为关系过程，其中的it
是"载体"（Carrier）。Halliday没有提供具体的图例分析，我们仍然弄不清他是否将气象过程中的it与其它语言成分分隔开来分析。Thompson（1996:
77-8）也认为表天气或时间的分句没有参与者，主语it没有概念意义。这样，从及物性角度来看，表天气或时间的分句只有"过程"。Thompson（1996:
233）是如下分析这种分句的：
It was snowing heavily outside
过程：物质 环境成分：方式 环境成分：方位
Downing and Locke（1995: 37）也指出，表示时间、气象条件及距离的it无概念意义。但他们没有提供具体分析。
由于表气象、时间、距离的分句中it无概念意义，没有参与者角色，因而将it一并划归过程是没有说服力的。Thompson将it与"过程"划归一体显得不够严密，他的分析似乎说明动词成分之外的成分也可以充当过程。依上所述，建议对该类分句作及物性分析时统一把it与其它成分分隔开，不作具体分析。比如：
It was snowing Heavily outside
过程：气象 环境成分：方式 环境成分：方位
对类似It’s foggy/cloudy的分句是否可以当作关系过程仍然有争议。但这些分句中的it仍然没有指代任何概念实体，无概念意义，它仅仅是个形式标记，它的省略形式Foggy/Cloudy在意义上与原分句没有差异。把无所指的it当作关系过程中的"载体"是不够严密的。因此，及物性分析时也可以把it单独分开。
对于存在句中there的概念功能分析，Halliday（1994: 142-3）、Eggins（1994: 254-5）、Thompson（1996:
101）和黄国文（1999: 140-142）持有相同的观点。他们都认为，类似There was a lamp leading
down与Maybe
there’s some other darker pattern这样的分句只有一个参与者，即"存在物"（Existent）。There同样是个形式标记，没有概念意义，它的功能仅仅是排除再用一个主语的需要或可能。Eggins（1994:
254-5）特别举例（There was snow on the ground）说明在概念功能层面无需对there进行分析。Thompson（1996:
101）比较了这类过程和相应的物质过程：
Maybe there is some darker pattern
过程：存在 存在物
Maybe some other darker pattern exists
动作者 过程：物质
我们知道，存在过程是过程类型中较为特殊的一种，因为该过程中除了参与者（"存在物"）之外就是"环境成分"，而且"环境成分"不是强制性的，可以省略。这样，there既不是参与者，也不是环境成分，只具有形式上（结构）的意义。因此，在概念功能这个层面上对存在过程中的there作上述分析是可行的。即把there单独隔开，作为一个没有概念意义的形式标记，不加以处理。
对于被动语气中的被动标记by，Halliday无论是在作格分析（如对The glass was broken by the cat）（1994:
170）还是在及物性分析（1994：110，113，125，172，283）中都把它与参与者角色连成一体，当作一个功能成分，共同充当参与者角色。但在讨论主语、动作者与主位的重合问题时，他又把by单独隔开并加以分析（Halliday
1994: 34 ）：
（a）
I caught the third ball
主位/主语/动作者
（b）
I was caught by the second
主位/主语
（c）
the third I stopped
主位 主语/动作者
（d）
by the fourth I was knocked out
主位/动作者 主语
而在后来对具有语法隐喻的分句作双重分析时，Halliday（1994: 345）又把by与"过程"（动词部分）划在一起，共同充当"过程"，如下所示：
the guests’ supper of ice cream was followed by a gentle swim
功 能 参与者：被识别者/价值 过程：关系 参与者：识别者/标记
类 别 名词性词组 动词性词组 名词性词组
Thompson在对被动标记by进行及物性分析时倾向于将by与参与者连为一体统一充当某一个功能成分（1996：85，111）。例如对The
speech
was followed by polite applause.这样的关系过程分析时，他把by化入"识别者/标记"（1996：96）。但对分句"Who
has her calculator been taken by?"Thompson（1996: 30）是如下分析的：
Who has her calculator been taken by?
动作者 目标 过程
而对since 1815 the country had not been disturbed by any war这一分句进行及物性分析时，他又把by与any
war一并划归"动作者"。
Halliday与Thompson分析被动标记by时采用了不同标准，前后不一致。这说明对被动标记by的分析仍然没有明确。在比较主位、主语与动作者的重合问题时，Halliday并未把by考虑进去。这恰好说明，形式标记by在概念功能层面上并没有实际概念意义，不宜与功能成分划归一体。Fawcett（in
press）对介词的分类有助于我们对这个问题作深入理解。他认为介词可划为两种，其中一种有语义含义，如in，at，in front
of等表"地点"关系；on，before，at，in等表"时间"关系。第二种介词没有实际含义，仅仅表明补语是参与者角色，如The
papers were checked by the customs officer中的by只表明customs officer是参与者，the
shooting of the policeman中的of只用来表明the policeman是参与者。我们认为被动标记by正是属于第二种情况，因此，不宜把它划归参与者或过程，应把它与其它成分隔开并当作无需进一步分析的形式标记，如：
Or being recognized and thanked by former patients
过程：心理 过程：言语 感觉者/说话者
作为直陈语气中肯定句的一种类型，感叹句可以分为两种，一种为minor clause（姑且译为非语气句），一种为major clause（且译为语气句）。非语气句由于缺少"过程"，难以对它进行概念功能分析；而对语气句（如Thompson所举的How
absolutely lovely she looks tonight!与What a nice plant you’ve got!）可以进行及物性分析。问题在于应该把what/how划归什么呢？参与者、过程或是环境成分？对于这一点，系统功能语法学者们没有提供具体分析。
我们认为，感叹句中的what/how仍然没有概念意义，它们只是一种形式标记。无论是语气句还是非语气句，无论有没有what/how，感叹句是通过语音来体现的，它的感叹句属性不随what/how改变。没有what/how，感叹句的意义也不会改变，只是语气上有些差异而已，如："What
a lovely day!"与"A lovely day!"。因此，在概念功能层面对感叹句作分析时，仍然可以把how/what作为纯形式标记，不划归任何参与者或过程或环境成分。
2.2 语篇功能层面
English/">英语中it使用得较多的情况是传统语法所说的分裂句。关于分裂句中it的语篇功能分析可参见黄国文（1999）。本文只讨论表时间、气象的分句中it的语篇功能。
气象过程（如It was pouring）及表时间的分句（如It is half past seven）的主位结构不象"分裂句"中的主位结构那样有争议。学者们依据"主位"的定义"话语的出发点"（the
point of departure of the message）（Halliday 1994: 37）把it当作主位，其余的为述位（Downing
& Locke 1992; Eggins 1994; Thompson 1996）。
但由于it 是个形式标记，没有意义，划为主位就与Halliday的基本观点"主位"是"分句所涉及的东西"（that
with which the
clause is concerned）（Halliday 1994: 37）不相符，因为it没有任何指代或概念意义，并非属"that
which
the clause is concerned"。"主位必须要表达及物性的一个方面，参与者、过程或环境成分"（Theme
must always
include a constituent that plays a role in transitivity: a participant,
process or circumstance）（Thompson 1996: 136）。如&2.1所述，it没有参与者角色，不是过程，也不是环境成分，因此不是主位，更不是经验主位（Experiential
Theme）。对此，Enkvist（1993）提出的凡是主语就可当作主位的"主语假说"（the subject
hypothesis），Stainton（1993）的"助动词假说"以及Berry（1989/1995）的"动词前假说"都未得到广泛认同，我们不予细察。
如上所述，Halliday把It’s foggy/cloudy/misty/hot等分句当作关系过程，并认为it是"载体"（Carrier），这说明他主张把该类分句中的it当作主位，因为"载体"是参与者角色。由于这类分句中的it没有表达及物性的的任何一个方面，当作主位就与"主位必须要表达及物性的一个方面"相矛盾。对这类分句作语篇功能分析时，建议把其中的it看作形式标记，把分句看作只有述位、缺少主位的分句。
当然，在表气象过程的一些分句（如The wind’s blowing. The sun’s shinning等）中，情况又有所不同。The
wind/sun在语篇功能层面上是主位，在概念功能和人际功能层面上可分别充当参与者和主语。
关于存在过程中的there，Halliday把there当作主位，其余部分为述位。Thompson则把there与there后的动词共同看作主位，其余部分为述位。此外，Halliday（1985/1994），Martin（1992）与Eggins（1994）都明确指出存在句中there是主题主位（即Thompson所说的经验主位）。Eggins（1994:
289）还特别指出，存在过程中的there属特殊情况，它不是参与者角色，也不是环境成分，但它是主题主位（Topical Theme）。对此，黄国文（1999:
139-140）认为"把无所指、不具备参与者角色或环境成分的there当作主位在理论上很难令人信服"。他还指出，存在句中there对及物性并无任何影响，发音与the一样，它实际上是一种主位手段，表明过程中实际主位即将出现，可称之为"主位引发语"（thematic
buildup），例如：
There was a cat on the mat
主位引发语 主位 述位
把there was当成主位引发语是对该问题的一大突破。但从另一个角度来看，上面这个分句的主位结便成了"a cat on
the mat"，这是一个没有谓体的分句。而动词be在该类分句中至关重要，有些语境中甚至可以用stand，hang等实义动词替换be。一旦用实义动词替换后，这种分句中的过程就由动词体现。因此，把there
was当成主位引发语仍然不能完全解决对存在句各种情形的语篇功能解释。
实际上，存在句中的there仍然是个形式标记，没有任何概念意义，Halliday曾指出，存在句中的there"没有表述功能"（has
no representational
function）（1994：142）。依据这一点，我们认为分析存在句的主位结构时，可以不对there作语篇功能分析，将它独立划开。但问题在于该如何分析there后的成分呢？一种办法是参照Thompson（1996:
124）对祈使句的语篇功能的分析（Leave the lamp there）把存在句中的be当作主位（如下图所示）。换句话说，祈使句与存在句有相同的主位结构，区别在于后者以一个强制性的形式标记there开头。另外一种办法是参照赵彦春的观点把there后的部分全部划归述位。赵彦春认为，Thompson把祈使句中的动词（如leave）当作主位是无法令人信服的，祈使句实际上有一个隐含主位，而留下的部分都是述位。这样，我们同样可以说祈使句与存在句有相同的主位结构，区别在于后者以一个强制性的形式标记there开头。如下图所示：
Leave The lamp there
主位 述位
There was a cat on the mat
主位 述位
There was a cat on the mat
述位
被动句的被动标记by在普通被动句式中的语篇功能不难辨别，因为在普通被动句式中，by与名词词组共同充当述位。我们要讨论的是被动句中被动标记by与动作者位于句首的情况，如：by
her nephew she was sent flowers. Halliday对这类分句作语篇功能分析时并没有把by作为主位的一部分，但他没有提供一个可以参照的基本标准（参见&2.1）。Fawcett（in
press）认为，被动句中的by只是用来引出谁是参与者角色而已，它本身没有概念意义。
细心考察就不难发现，被动句中"by词组"提前并置于句首时，by一方面是用来标示参与者角色之间的关系，另一方面是用来突出主位，实现特定的语篇衔接功能。在分析它的语篇功能时，同样可以不对by作任何分析，而把它与动作者隔开，不划归主位部分，如：
By the fourth I was knocked out
主位 述位
如前所述，感叹句中有些属"无语气句"，如How interesting! Congratulations!
Hello! Sue!等。而只有"语气句"才有完整的主位结构，"无语气句"没有明确的主位结构，也无法对它进行主位结构分析。Thompson（1996:
124-5）是如下分析"语气句"类型的感叹句的主位结构的：
What a nice plantHow absolutely lovely you’ve got!she books tonight!
主位 述位
同样，感叹句中的what/how只是形式标记，不使用what/how并不影响感叹句的属性。what/how在感叹句中并没有任何概念意义，因为感叹句的感叹特征是由语音来体现的。它们不仅只是形式标记，而且不属于强制性的形式标记。因此，对该类分句进行主位结构分析时不宜考虑形式标记what/how，它们仍然不是参与者，没有充当过程，也不属于环境成分，如：
What a nice plant you’re got!
主位 述位 2.3 人际功能层面
人际功能层面的主要体现是语气（Mood）与剩余部分（Residue），而语气又由主语与限定成分组成。其中主语可以是纯粹的形式标记，也可以是有概念意义的参与者角色。而it，there作为形式标记出现在句首时通常充当主语，是语气的一部分。因此，我们赞同功能语法学者们对形式标记it，there所作的人际功能分析，把it/there当作主语，动词部分为限定成分，其余为剩余部分。
而by作为形式标记并位于句首时，人际功能是比较特殊的。比如，By her nephew she was sent flowers中by
her
nephew虽位于句首，但仍然是剩余部分，主语是she。当然，当by不是形式标记且有其概念意义时，by与名词词组构成的短语可以充当主位，如：By
train suits me most中的by已不再是被动句的被动标记。
关于感叹句中的what/how，Thompson（1996: 47-8）指出，感叹句与wh-疑问句中的what/how始终出现在句首，区别在于感叹句中主语在限定词之前：Subject
^ Finite。Halliday持有相同的看法（Halliday 1994: 86）。不过，Butler（1987: 213-4）指出，Halliday在词汇语法层讨论语气时未充分考虑感叹句的情况。Martin（1992:
44）特别指出，类似What an idiot这样的感叹句是没有语气的，属于"无语气句"。他还特别举例说明"无语气句"感叹结构（Martin
1992: 74）。
Ex He’s such an idiot!
ch kind of.
rch A complete imbecile!
ch Not quite.
rch Unmitigated!
Rex Oh， all right!
注：Eh = exchange ch = check rch = response to check Rex = response
to exchange
可见，在实际交流中，用what/how的感叹句并不多，多数情况使用的是"无语气句"，没有主语，也没有限定词，即没有语气部分。因此，在对感叹句作人际功能分析时，往往只有剩余部分，其中的what/how属于可有可无的成分。而由what/how引导的语气句类型的感叹句又往往是what/how及其后面紧跟的成分共同充当剩余部分，如：
What a nice plant You have got!
剩余部分 主 语 限定词
语 气
3. 结语
综上所述，表时间、气象的分句中的it，存在句中的there，被动句中表被动关系的的by以及感叹句中的what/how都是没有参与者角色的，它们也不是过程或环境成分。它们在分句中只是作为一种形式标记出现，没有具体的概念意义或语篇意义。也就是说，它们只是表达某种特定意义的形式手段。虽然它们在分句中的句法作用不可忽视，但在元功能分析中我们可以把它们与其它有概念意义的语言成分分隔开，从而突出它们的标记作用，避免一些不必要的混乱。这或许可以作为对形式标记作元功能分析的一个基本依据。对于语篇功能，如果非分析不可，可以参照Berry（1996:
1-64）对主位的分析，把主位分为ThemeM与ThemeF，即作为意义的主位与作为形式的主位。以上所讨论的形式标记可以看作ThemeF，即作为形式的主位。
参考文献 :
[1] Berry, M. What is Theme?-A(nother) Personal View (A). In Berry,
M.
Butler, C. Fawcett, R. P. and Huang, G. W. (eds.) 1996: 1-14
[2 ]--. Thematic options and success in writing (A). In M. Ghadessy.
(ed.).
Thematic Development in English Texts. London: Pinter. 1995, 55-84
[3] Berry, M. Butler, C. Fawcett, R. and Huang, G. W. Meaning and
Form:
Systemic Functional Interpretations--studies for M. A. K. Halliday
(C).
Norwood: Ablex. 1996.
[4] Bloor, T. & Bloor, M. The Functional Analysis of English:
A Hallidayan
Approach (M). London: Arnold. 1997.
[5] Butler, C. S. Communicative function and semantics (A). In Halliday，M.
A. K. &Fawcett, R. P. (eds.) New Developments in Systemic Lingnistis.Vo1.1.
London: Pinter. 1987.
[6] Downing, A. & Locke, P. A University Course in English Grammar
(M).
London: Prentice Hall. 1992.
[7] Eggins, S. An Introduction to Systemic Functional Linguistics
(M).
London: Pinter. 1994.
[8] Enkvist, N. E. Three dynamics and style: an equipment (J), Studia
Anglica
Posnaniensia. 1973(5): 127-35
[9] Fawcett, R. P.. Semantics: a Handbook for the Systemic Functional
Analysis
of English (M). London: Casell Academic. (in press)
[10] --: The semantics of clause and verb for relational processes
in English
(A). In M. A. K. Halliday and R. P. Fawcett (eds.) New Developments
in
Systemic Linguistics. London: Frances Pinter. 1987, 130-183
[11] --. Handbook for the Analysis of Sentences in English Text
(M). Cardiff:
Computational Linguistic Unit, University of Wales. 1995.
[12] Halliday, M. A. K. An Introduction to Functional Grammar (M).
London:
Arnold. 1985/1994.
[13] Martin, T. R. English Text: System and Structure (M). Amsterdam:
John
Benjamins Publishing Company. 1992.
[14] Stainton, C. Metadiscourse and the Analytical Text: A Genre-Based
Approach to Children’s Written Discourse (D). PHD Thesis. University
of
Manchester. 1993.
[15] Thompson, G. Introducing Functional Grammar (M). London: Arnold.
1996.
[16] 黄国文.《语语言问题研究》(M). 中山大学出版社, 1999.
[17] 张道真.《实用English/">英语语法》(M). 外语教学与研究出版社, 1995.
[18] 章振邦.《新编English/">英语语法》(M). 上海外语教育出版社, 1997.
系统功能语言学中的元功能思想
231 2-14
摘要：系统功能语法对二十世纪后半期的语言学产生了巨大影响。作为该语法体系的一大核心内容，元功能思想经历了不断发展完善的过程。本文将回顾Halliday之前的现代语言学者对元功能思想所作的奠基性贡献，然后着重介绍Halliday元功能思想的发展过程及最新修订情况，最后概述系统功能语言学界内部对元功能思想的发展与贡献。
关键词：元功能，Halliday，发展历史，现状
Metafunctions in Systemic Functional Linguistics
Yang Bingjun Qin Chaoxian
(School of Foreign Languages, Zhongshan University, 510275)
Abstract: As one kernel idea of Systemic Functional Grammar which
has greatly
influenced linguistics in the late twentieth century, metafunction
has
undergone a process of development and improvement. This paper firstly
reviews modern linguists’ contribution which laid a foundation for
the
development of metafunction before Halliday, and then introduces
the developmental
progress and the latest revisions of Halliday’s metafunction, and
finally
gives a brief summary of some systemic linguists’ contribution to
metafunction.
Key words: metafunction, Halliday, history of development, present
state
1. 引言
Dirvin and Fried（1987:x）称，二十世纪的语言学是以结构、系统和功能这三个基本概念的全面发展为特点的。而以系统和功能为基点的系统功能语法在二十世纪后半期对语言学界产生了巨大冲击，从目前的势头看，这种冲击还会延续下去。为能更好地理解系统功能语法，我们将对该理论的一大核心内容--元功能思想作一综述，以便对它作更深入的理解。首先我们将回顾Halliday之前的现代语言学者对元功能思想所作出的奠基性的贡献，然后着重介绍Halliday元功能思想的发展过程及最新修订情况，最后概述系统功能语言学界内部对元功能思想的发展与贡献。
2. Halliday之前的功能思想
从语言学史的角度看，功能的思想可以追溯到Protagoras和Plato为代表的语言学观，Protagoras和Plato为代表的以人类学为本的语言传统已经关心语义与修辞功能的关系；而从现代语言学的角度看，功能的思想最初是Malinowski以及布拉格学派的Mathesius等人明确提出的。
功能的思想在Malinowski与布拉格学派之前也散见于一些学者的论著中，比如Passy（1912），Jespersen（1922）（钱军
1998）。1923年，Malinowski从人类学的角度明确区分了语言的三大功能：活动功能（Active）、叙述功能（Narrative）和巫术功能（Magical），他还提出了"意义即为语境中的功能"（meaning
as function in context）的思想。同年，Mathesius提出了二功能说，即语言的基本功能是交际功能（Communicative
function），表现为两种情况：单纯的交际，如传达信息；表示呼吁，如要求、命令。Mathesius（1975）后来仍然坚持这一观点。
从1934年起，心理学家Büler从心理学的角度区分了语言的四种功能：表达功能（Representational）、表情功能（Expressive）、意欲功能（Conative）和所指功能（Referential）。布拉格学派的Mukarovsky在Büler功能说的基础上补充了语言的另外一个功能：美学功能（Aesthetic），亦称诗歌功能（Poetic）。
受Büler思想的影响，布拉格学派在《论纲》（Thèses）中阐述了语言的两个基本功能：体现智能言语活动的社会功能及体现感情言语活动的表现功能。社会功能又分为两方面，一是交际功能，即说什么；一是诗歌功能，即怎么说。布拉格学派对功能的理解与哥本哈根学派不同。前者从目的论的角度来理解功能，功能就等于目的；后者从数学函数的角度来理解功能，功能就是严格的依赖关系（戚雨村
1997: 70-4）。
1935年，Malinowski修订了他原来的提法，把语言的功能概括为两个，即实用功能（Pragmatic）与巫术功能（Magical），后来他又增补了另一功能--寒暄功能（Phatic）。
也是在1935年，语言学家Firth发展了Malinowski的思想，他指出意义的主要组成部分是语音功能（phonetic function），词汇、词法及句法功能（lexical,
morphological, and syntactical function），一定语境下语言表达方式的功能（locution），以及语义范围（the
province of semantics）（Firth 1935/1957：33）。Firth（1957:21）还特别说明，他要做的是找出能够应用于描述特定语言的普遍语言理论，而不是去找应用于描述普遍语言的普遍理论。
1960年，布拉格学派的Jakobson在Büler的功能观的基础上将语言的功能扩展为六个：指称功能（Referential）、诗歌功能（Poetic）、表情功能（Emotive）、呼吁功能（Conative）、寒暄功能（Phatic）及元语功能（Metalingual）。他实际上是综合了Büler和Malinowski的功能观，但他提出的元语功能是创造性的。
Martinet（1962）认为，我们要区别语言的两种功能，一是语言在社会生活中所完成的功能，二是语言单位在完成交际过程中所承担的功能。第一种功能又包括交际功能、表达功能、思维推理功能、称谓功能及美学功能；第二种功能包括语言单位的作用及一定语境中语言单位之间的关系（冯志伟
1987：131-2）。
受Mathesius与Büler的影响，学者们开始关注语言的内在问题，布拉格学派的Dane?（1964）、Firbas（1964）以及Vachek（1966）提出了"功能句子观"（Functional
sentence perspective）、"话语的组织"（Organization of utterance）和"句子的语义结构"（Semantic
structure of sentence）等（Gregory 1987:95）。此外，Garvin and Mathiot（1975:148-156）概括了标准语的四个功能：联合功能（Unifying）、区分功能（Separatist）、威信功能（Prestige）及参照功能（Frame-of-reference）。
笔者认为，Malinowski，Mathesius，Büler等学者都讨论语言的功能，但他们所说的功能是指人作为语言的外部观察者所能观察到的语言功能，实质上是对语言在社会生活中的用途的抽象概括。Firth接受了Malinowski的"意义即为语境中的功能"的思想，但他没有停留在语言的社会功用这个层面，他试图寻找能描述特定语言的普遍语言理论。Jakobson的"六功能说"不仅概括了语言的外部功能，他还提出了"元语功能"的概念。这些思想无疑为Halliday的元功能思想奠定了坚实的基础。
3. Halliday元功能思想的发展历史与现状
Halliday在其早期的论文中，把及物性（Transitivity）、情态（Mood）与主位（Theme）看作"English/">英语分句中的三种主要句法选择"（1967:199），并与认知、言语角色和信息呈现相关。Halliday（1968:207）认为，把English/">英语系统网络分为较独立的三个组成成分为语言功能提供了句法基础。其间，他把功能组成成分称作"宏功能"（Macrofunction）。
Halliday（1969）认为，及物性包括了Vachek所归纳的"对事实的了解，语言外部现实的目标与内容"以及Dane?所说的"句子的语义结?quot;；情态、参与者间的关系（Participant
relation）以及言语角色（Speech role）包括了Büler提出的"说话者态度"及"说话者影响听话者的意图"；主位则相当于Mathesius"功能句子分析"（functional
sentence analysis）中的分句部分，也相当于Dane?的"话语的组织"（Halliday 1969:81）。
在1969年的文章中，Halliday把功能当作"语法的组成成分"（components of the grammar），并认为语法共有四种组成成分，逻辑成分属于其中之一，逻辑选择就是说话者通过它表达"纯"（抽象）形式关系的选择，这些选择从经验角度看是过程，从语篇角度看是连接词（Halliday
1969: 80-82）。大约该文发表后一年，"组成成分"被改称为"语言功能"（functions
of language），包括概念功能（Ideational）、人际功能（Interpersonal）及语篇功能（Textual）（Halliday
1970a）。该文中，Halliday认为逻辑成分的具体体现与其它成分不同，未化归"语言功能"（Halliday
1970a）。也就是在1970年，Halliday讨论了功能与结构之间的关系（Halliday
1970b）。
Halliday（1973: 9-13; 1975a: 19-21）进一步讨论了语言个体发生，通过对幼儿语言的研究，指出语言有七个微功能（Microfunction）：工具功能（Instrumental）、控制功能（Regulatory）、交互功能（Interactional）、个体功能（Personal）、启发功能（Heuristic）、想象功能（Imaginative）及描述功能（Representational）(参见胡壮麟等
1989)。随着幼儿的成长，工具功能和控制功能组成实用功能（Pragmatic），个体功能和启发功能组成理性功能（Mathetic）。随着幼儿的进一步成长，实用功能逐渐转化为成人语言的人际功能（Interpersonal），理性功能发展成为成人语言的概念功能（Ideational），所有功能共同组成语篇功能（Textual）。
1970年至1977年间，Halliday的研究还涉及到了"潜势"（Potential）。他认为，个人能"做什么"是意义学（semiotics）*所关心的问题，能"意味着什么"是语义学（semantics）所关心的问题，能"说什么"是词汇语法所关心的问题，而个人的音"听起来是什么"则是音位学所关心的问题。Gregory指出，就象布拉格学派的学者那样，Halliday越来越肯定了"说话者为中心"，说话者既是生活经历的观察者、他人行为的介入者，也是语境中语篇的制造者（Gregory
1987: 96）。这些思想分别与概念功能、人际功能和语篇功能联系了起来。在此期间，Halliday（1975b: 26）还指出，语场（field）、语旨（mode）和语式（tenor）分别与概念功能、人际功能和语篇功能相关联。
Halliday（1978，1979）把语言当作一个意义系统（semiotic system），是一个有两个或更多体现层的代码系统。他（1978:112-3）把功能组成成分改称"元功能"（Metafunction）。他还指出，语言有三层体现关系：由词汇语法体现的意义层、由语音体现的词汇语法层以及词汇语法层本身。在此，功能被当作"意义模式"（modes
of meaning）并属于意义层。Halliday修订了原来（1969）的观点，认为三个功能中概念功能包括了经验功能和逻辑功能。从语义而不是语言的角度看，概念功能和人际功能都属于"外在功能"（extrinsic），与语篇功能相对，语篇功能是使其它功能得以实现的功能；而从词汇语法层上看，逻辑功能与其它功能不同，因为它是单变量的（univariate），"可以单独、而且总是单独通过循环结构加以体现"（Halliday
1978:170）。
这样，Halliday通过一系列著述（1978，1979，1985，1994）给我们完整地展现了他的元功能思想。在此期间，元功能包括三个方面：概念功能、人际功能与语篇功能，概念功能又包括经验功能和逻辑功能，而且经验功能和逻辑功能在等级上低于人际功能和语篇功能。
近年来Halliday进一步发展了他的元功能思想。Halliday（1996:1）说，自然科学是关于自然的语言，社会科学是关于社会的语言，语言学则是关于语言的语言。关于语言的语言就是元语言。那么怎么能够区分元语言和语言呢？换句话说，怎么能把现象与关于现象的理论研究区分开呢？他认为这是个不小的问题。他还指出（1996:
7-8），元功能的相互依赖对语言演化、语言与其周围环境的相互作用都是至关重要的。在概念动能中，语法把人类存在的物质条件转化为意义。去"认识"事物就是去把它转化为意义，我们所说的"理解"就是这种转化过程。交际目的是在人际交流中通过交际得以实现；同样，人际关系是在构建概念（经验）的过程中通过概念构建得以制定。这样，每一个"意义行为"都同时涉及对世界的讨论以及对世界中的人产生作用。
Halliday近年来在科技语言与语法隐喻方面做的研究也体现了他的元功能思想的进一步完善。Halliday（1998:185-235）指出，每一种语言的语法是人类经验的理论，这是反映功能（Reflective）；每一种自然语言的语法也是人际关系的制定，这是活动功能（Active）。这两个功能相互依赖，反过来由第三个功能，即推论功能（Discursive）实现。他进一步把语法的元功能框架用图概述如下：
(reflective) (active) (discursive)seen from ’above’ ideational
logical
experiential interpersonal textual seen from ’below’ iterative configurational
(factive structures) (segmental, prosodic, periodic structures)
图1 语法的元功能框架
图1表示，反映功能与逻辑功能和经验功能（合为概念功能）相对应，活动功能与人际功能相对应，推论功能与语篇功能相对应；而逻辑功能体现的是词汇语法层的迭代反复（iterative），具体表现为语句结构；经验功能、语篇功能和人际功能体现的是语句的配置（configurational）。该图表明，虽然Halliday还坚持用概念功能概括逻辑功能和经验功能，但他已经把逻辑功能、经验功能看作与人际功能和语篇功能同级的元功能。
Halliday and Matthiessen最近著的一书（1999）的主题则是人类如何构建对世界的经验。经验的构建通常被当作是通过概念化的分类、图表、文字等艺术形式表现的知识来实现的。在此，Halliday
and Matthiessen把经验当作意义而非知识（not as knowing but as meaning），经验是构建于语言中的某种东西。换句话说，他们关心的是人类经验如何构建为一个语义系统。由于语言不仅在储存和交换经验中起重要作用，还在构建经验中起着至关重要的作用，语言就成为阐释经验的基础（the
interpretive base）。他们认为，语言不仅构建人类经验（此时语法的功能是解释，将经验转化为意义），还构建社会秩序（此时语法的功能是制定，通过意义形成秩序）。语言的功能语境分为两大类，一方面，语言构成人的经验，在这点上，语言的功能是构建；另一方面，语言构成人类之间的关系，在这点上，语言的功能不是构建，而是实施，实现社会交往。而语法使这两种意义模式融为一体。这与Halliday早期的思想本质上是一致的。在早期的研究中，他认为语义的抉择，尤其是属于人们相互关系的诸如称呼、礼仪等（即人际功能）所标记的不仅是个人，而且是社会集团。他最近这些思想是他早期思想的进一步抽象与升华。元功能不仅可以用来解释语言本身，还可以用来描述人类对世界的经验，解释人类经验的构建。
4. 系统功能语言学界对元功能思想的发展
回顾二十世纪，语言学确实是以结构、系统和功能这三个基本概念的全面发展为特点的。西方系统功能语法学者Fawcett，Matthiessen，Martin，Gregory，Butler，Lemke等和东方（如中国和日本）的系统功能语言学者对元功能思想的发展都作出了重要贡献。限于篇幅，以下我们只对西方几位影响较大的学者的研究作一概述。
继Halliday后，系统功能语法学家中较早探讨元功能问题的是Fawcett。Fawcett（1973a，1973b）在元功能上与Halliday有两点不同：Fawcett所指的系统网络只限于语义学，他认为语言有六个元功能。这六个功能是：经验功能（Experiential）、逻辑功能（Logical）、人际功能（Interpersonal）、表情功能（Expressive，又称态度功能Attitudinal）、主位功能（Thematic）及信息功能（Informational）。Fawcett（1980）进一步发展了他的观点，他把语言学当作"原则上是认知心理学的一个分支"（1980:4）。他划分功能的标准似乎是不同的意义类型，而不是"横组合"或"纵聚合"关系。这样，他提出了八种功能组成成分与三种附加组成成分。八种功能成分分别是经验功能（Experiential）、逻辑关系（Logical
relations）、否定性（Negativity）、交互功能（Interactional）、情感功能（Affective，指行为者的情绪）、意态（Modality）、主位功能（Thematic）、信息功能（Informational）。Gregory认为，这八种功能中前三种其实与Halliday的概念功能是一致的，最后两种与Halliday的人际功能一致，而其它三种与Halliday的语篇功能一致（Gregory
1987:99-100）。Fawcett所指的三种附加成分是：推论（Inferential）、元语言（Metalingual）及话语组织（Discourse
organizational）功能。Gregory认为，Fawcett的这种做法缺乏概括性，因而他不可能象Halliday一样宣称所有的句子都可以用所有元功能加以解释；Gregory还认为，Fawcett的观点既有系统语法的一面，又有乔氏语法的一面，理论定位较为模糊（theoretical
ambiguity）（Gregory 1987:99）
我们认为，Matthiessen and Nesbitt（1996）对元功能思想的探讨对Halliday（1998）元功能观的修订有一定影响。Matthiessen
and Nesbitt（1996:39-84）把四个功能放在一个平面来考察，并没有将经验功能与逻辑功能当作等级上低于人际功能和语篇功能的功能。他们认为，对于所给定的体现范畴，如名词格，它既可以在一个元功能内起作用，也可以与其它功能结合而发生作用。梳理清不同的元功能视角，我们就可以探讨它们之间相互协调的程度有多大。这样元功能在语言系统中可以梳理为下图所示的情况：
instantion stratification rank potential semantics AXIS metafunction
system
clause interpers. textual grammar lexis delicacy exper. word structure
logical ？ instantial ’case ranking system’
图2 元功能及语言系统
图2表示，语言系统可以分为六个轴，在级阶（rank）轴上有小句与词等单位，在精密度（delicacy）轴上有语法和词汇等单位，在系统轴上有系统和结构等单位，而在元功能轴上则有人际功能、语篇功能、经验功能和逻辑功能。这几个轴有机地形成了语言这个"轮子"及其运转。
Gregory也是较早研究语言功能的。Gregory（1967），Gregory and Carroll（1978）利用situation和context这两个概念来描述元功能思想。他所指的situation是"对语篇外特征的研究"，context指"语篇特征的相关性"（Gregory
1967:178），由此便有"意义范畴"（situational category）与"语义范畴"（contextual
category）这两个概念。Gregory认为区分意义范畴与语义范畴是有必要的，因为这能够解释"功能语旨"（functional
tenor）和"个人语旨"（personal tenor）都是"语旨"。无论是功能语旨还是个人语旨，它们都是意义关系（semiotic
relationship）的语义反映（semantic
reflection）（Gregory 1967:182-3）。后来，Gregory进一步指出，依照个人语旨与功能语旨的不同，元功能分为四种：经验功能、语篇功能、人际功能以及多功能功能（Multifunctional）。人际功能与个人语旨相对应，多功能功能与功能语旨相对应。在词汇语法层上，经验功能的典型体现是"及物性"（Transitivity），语篇功能的典型体现是"主位/信息"（Theme/Information），人际功能的典型体现是"情态/意态"（Mood/Modality），而多功能功能的典型体现则是多种多样的（Gregory
1987:101-2）。后来，Gregory（1988:315）认为语言可能有以下元功能：概念功能、人际功能、语篇功能以及礼貌功能（Polite
function）。
Martin（1980/81:1）指出，把系统置入某一种元功能组成成分没有充分必要的横组合或纵聚合关系方面的理由。他把元功能解释为"对English/">英语分句系统中纵聚合组合的经验判断"，并且认为它是共时的，限于特定的级（分句），并在词汇语法层中封闭的系统内进行。他认为，元功能的概念是通过类推扩展到意义类型、语法级和词汇语法层，且一旦扩展后就不能用理想化语法加以检验。Martin（1987:26）后来指出，层次语法学家（stratificationalist）没有严格区分等级（Rank）与元功能等概念，因此在构建解释模式时分三个以上的层次，他们并没有在描述中区分纵聚合关系和横组合关系。最近，Martin指出，语言学家通常更关注在某一真理体系中强化某一视角的"正确性"，而把与该视角相对的不同观点当作"错误的"观点；语言间的多样性被广为认同，而元语言间的多样性则未得到应有的关注（Martin
1996:323）。
受Leech（1983）的影响，Butler（1996）对元功能作了一番新的解释，其核心是基于纵聚合选择的系统语义学。与Leech的模式相比，Butler更强调环境因素的作用。Butler（1996:172）指出，Leech的语用学模式无法解释以下问题：某些情况下，表达礼貌的形式对上下文而言显得过于礼貌而被当作讥讽。他认为，系统功能语言学可以对此作出解释，但只有将来的研究提供对语场、语旨、语式和语境范畴的足够界定之后才能实现。说话者有一定的交际目的要通过语言来实现，这些交际目的的实现一部分是来自语境和先前话语的结构。为了实现这些目的，说话者必须从语言的语义源中给话语选择合适的命题内容，并选择合适?quot;语义力"（semantic
force）。因此，他认为人际功能在等级上应高于概念功能和表现功能（Representational）（Butler 1996:172-3）。
Lemke对元功能思想也有一些不同的见解。Lemke认为，分句或句子不仅仅是通过它在语篇中的选择来体现意义，还通过它在更大的语篇组织中的位置以及它与其它语篇间的篇际关系（intertextual
relation）来体现意义（Lemke 1995a）。后来Lemke进一步指出，它们不仅仅是通过选择来体现意义，还通过选择的展开及对先前语篇中的选择的进一步发展来体现意义。这些意义是"概念-主位意义"（Ideational-thematic）、"组织-语篇意义"（Organizational-textual）和"人际-态度意义"（Interpersonal-attitudinal）（Lemke
1995b）。通过对多媒体语篇的研究，Lemke（1998:91-4）指出，我们表达意义时总是同时建构对事物的表征（presentation），并指向这种表征或其它事物，以此创建一个有关要素的有组织的结构。多媒体语篇中，每一个意义形式中每一种功能所形成的意义都能调节其它意义形式中的各种意义，因而使意义成倍增加。这使得我们能表达原来没有表达过的意义，能表达被认为没有意义的意义。每一个表达意义的行动构成意义"呈现功能"（Presentational），它解释意义参与者与过程之间的关系，这在语言中叫表述功能（Representational）或命题功能（Propositional），在视图语言中叫表述功能或图表功能（Figural）。每一个意义行动也构成了一个"导向功能"（Orientational），它不仅表达了语言使用者对接受者的导向，也表达了两者之间的社会关系，这在语言中叫语用/交互功能（Pragmatic/Interactional）。每一个意义行动还表达了一个组织功能（Organizational），它在语篇空间及交流空间给整体或整体中的部分作出限定。可见，在Lemke看来，语言的三个元功能是：呈现功能、导向功能及组织功能。
5. 结语
由于有Firth等众多学者的研究作为基础，Halliday的研究起点没有停留在语言在社会生活中所体现的外部功能，而是着重关注语言的内在问题，并充分考虑社会因素，由此提出了元功能思想。从1967年到1994年，Halliday一直在完善这个思想，其他系统功能语法学者都为此作出了重要贡献，比如：Fawcett的"八功能说"，Matthiessen
& Nesbitt的功能级定位，Gregory从社会学角度出发提出的多功能功能及礼貌功能，Martin的元语言间多样性思想，
Butler的人际功能高于其他功能的观点等。尤其是Lemke的一些思想对元功能思想的发展有极大促进，他指出，分句或句子不仅通过选择来体现意义，还通过选择的展开及对先前语篇中的选择的进一步发展来体现意义。通过对多媒体语篇的研究，他认为每一种功能所形成的意义间的相互调节使意义成倍增加，使得我们能表达原来没有表达过的意义，能表达被认为没有意义的意义。受这些思想的影响，以1996年的一篇论文为代表，Halliday的元功能观发生了一些变化，可以说是对他的研究的一个升华。具体表现在以下几方面：（i）逻辑功能和经验功能与人际功能和语篇功能同级，概念功能在等级上高于其他所有功能。（ii）元功能间的相互依赖对语言演化、语言与周围环境的相互作用至关重要。（iii）从语法高度概括语言的三个功能，它们分别是反映功能、活动功能和推论功能。（iv）语言构建人类经验，也构建社会秩序，而这个过程可以通过元功能加以描述。可见，在广大系统功能语言学者的努力下，系统功能语法充分地研究了语言的内部特征和外在因素。而Halliday新近的这些思想则从更高的高度论述了语言及语言的功能，更加深入地结合了语言的内部特征和外在因素。总的思想是，元功能不仅可以描述语言，还可以描述人类经验的构建，描述社会秩序的构建。
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意图决定语篇制作的策略
163 2-14
Abstract: Intentionality is one of the seven textual standards suggested
by Beaugrande & Dressler (1981). The writer’s intention decides
his/her
textual strategy . In the practical world, translation is usually
done
for a given purpose and the intention of the translator affects
his/her
translation strategies. This paper looks into the English and Chinese
versions
of Ulysses and the different intentions between the original writer
James
Joyce and the translators as well as different textual strategies
they
used.
Key words: text; intentionality; textual strategy; translation strategy
摘要：意图性是语篇语言学家博格兰和德雷斯勒（1981）提出的七项语篇标准之一。作者的意图决定其写作策略。在现实社会中，任何形式的翻译活动都有其目的意图，而且会直接地影响着译本的制作策略。本文对英国现代主义小说《尤利西斯》原著和中译本进行了研究，从中分析原作者和译者的不同意图及其所引发的不同的语篇制作策略。
关键词： 语篇；意图性；语篇策略；翻译策略
1． 引言
语篇语言学家博格兰和德雷斯勒(Beaugrande & Dressler,1981)认为,语篇作为一种"交际活动"(Communicative
occurrence),应具有七项标准：衔接性、连贯性、意图性、可接受性、语境性、信息性和互文性。衔接性和连贯性是以语篇为中心的最重要的语篇标准，也是最明显的语篇特征。这两个特征显示出语篇的各个成分是如何组合在一起并产生意义。但是，一个读起来通顺、衔接、连贯的语篇，还必须具有意图性和可接受性才能起交际作用。另外，在实际生活中，人们有时为了各种动机而使用不太衔接或不太连贯的语篇。按纯语篇学标准界定的非语篇(non-text)也可能产生某种程度上的意义，例如语篇的表现形式、书写形式和其版面安排等因素，都会影响到语篇交际的效果（见黄国文
1988：55）。因此，反映作者态度的"意图性"(intentionality)是非常重要的语篇标准。
如果我们可以从语篇作者或读者的角度来分析语篇的功能。作者要透过语篇体现什么意图？他的读者对象是什么人？为了实现意图，作者采取了什么策略？在翻译中，语篇的意图性和可接受性问题要复杂得多，因为原作者和译者的意图很可能不一样，原文读者和译文读者因属于两种不同文化的群体而无可避免地有差异。在原文和译文的意图性不一样的情况下，译者应采取什么策略以实现其意图？本文将从英国现代主义作家James
Joyce 的著作《尤利西斯》(Ulysses) 和翻译家萧乾、文洁若的中译本分析原作者和译者意欲透过语篇去体现什么意图，以及他们为了实现其意图采取了什么策略和手段。用作研究的原文是1960年企鹅版，中译本是1994年译林版。
2．《尤利西斯》的意图性
"在语篇的标准中，如果说衔接性和连贯性的注重点是语篇本身的话，那么意图性及
可接受性关注的是现实世界中的人--语言的使用者"（Bell 1991:167）。
《尤利西斯》是英国现代主义作家James Joyce 的作品，是西方意识流小说的开山之作。
书中所写虽是十八个小时内发生的事情，内容却庞杂无比。书中人物的思想漫无天际，跳跃不定。其文字犹如一只万花筒，变化无常。作者犹如天马行空，浮云流水，想到哪里写到哪里，还不时地引进其过去作品中的人物，引用大量典故和俚语。不少人戏称《尤利西斯》原著为"天书"，因为它晦涩难懂。然而，翻译该"天书"的翻译家萧乾、文洁若认为，"这部主要以布卢姆为主人公写都柏林几个市民从早晨八点到午夜共十八小时的活动的小说，一方面纷纷扬扬，而在结构上又是最周密严谨不过"（见译本第12页）。
Joyce为什么要把此书写得如此扑朔迷离，艰深难懂？他的意图是什么？Joyce本人在苏黎世一家咖啡馆里对人说，"我在这本《尤利西斯》里设置了那么多谜津，它将迫使几个世纪的教授学者们来争论我的原意……
这就是确保不朽的唯一途径" 。原来他的读者对象是教授学者，目的是使他们争论不休、永无答案和使自己的著作成为不朽之书。虽然他最后一句可能有调侃的成分，但是也可能真是他的目的之一。
然而，萧、文两位翻译家的意图跟Joyce的意图显然不同，他们的目的是"化开"Joyce 的"谜津"，解开"天书"之谜。他们根据目的语社会的实际情况和读者习惯制订了译本的目标：读者对象是一般读书界和研究者；目的是"尽最大努力"把艰涩难懂的原作"化开"，"使译文尽可能流畅，口语化"，易懂可读。因此所采取的措施是能"解谜"的，而不是"设置谜津"的（见中译本第15-16页）。
3． 《尤利西斯》中译本翻译策略分析
为了实现自己的目的意图，Joyce采用了"设置谜津"的策略。谜津包括：生僻古奥的文字、艰深晦涩的内容、扑朔迷离的人物与情节。而最大的谜津则是最后一章，全章共八大段，除在第四大段和第八大段末尾各加了一个句号外，没有其他任何标点符号，句与句之间也无空白。这可说是意识流创作方法中最"出位"的手法。整本小说之中处处有"伏笔"，章章有"谜津"。这些伏笔和迷津可说是典型的互文性的体现。
译者采用的是"解谜"策略，其具体方法是多方面的，其中最引人注目的有五种：（1）
解译，即用常规的表达法把原著中非常规的文字游戏解读出来；（2）大量的注释，全书十八章共加了5991条注释；（3）大量的"呼应注"，这在一般书中是不多见的；（4）原书用波折号来标明对话，中译本改为中国读者更习惯的引号；（5）原书最后一章只有两个标点，句与句之间无空白，中译本在该加标点的地方一律留了空格。限于篇幅，以下仅举其中几例来分析《尤利西斯》中译本所用的翻译策略。
例1． Davy Byrne smiledyawnednodded all in one:
-- Iiiiiichaaaaaaach! (177)
戴维·伯恩边微笑边打哈欠边点头。
"啊--哧！"(（第八章：313）
原文中的长字是smiled（微笑）yawned（打哈欠）nodded（点头）三个字的连写。Joyce 可能是要表现三个动作的同时性，也可能是为了增加阅读的难度。萧、文二位翻译家把Joyce
的文字游戏解读出来，方便了普通读者，也方便了研究者，但同时也令原作的语言特点消失，使读者无法从中译本中领略原作者苦心。
例2． Our great day, she said. Feast of Our Lady of Mount Carmel.
Sweet name
too:
caramel. (p.154)
她说：这是我们的大日子。迦密山[45]的圣母节。名字也挺甜：像糖蜜[46]。(第
八章：283)
注释： [45] 迦密山是以色列西北部一道山岭。在《圣经》中，为先知以利亚与崇拜
巴力神的众先知对证真伪之处。这里也是迦尔默罗会的发源地（约1156
年）。(324)
[46] 这是文字游戏。迦密的原文作Carmel；而糖蜜的原文是 caramel，这两个
词发音相近。(324)
此句来自书中主人公布卢姆想入非非的一个片断。布卢姆是替报纸拉广告的，是个充满七情六欲的大俗人。《尤利西斯》就是通过布卢姆和另外几个市井日常见到的凡夫俗子脑中倏忽闪现的思绪勾勒出来的。布卢姆喜欢吃有骚味的羊腰子，见到博物馆的裸体女神像也要想入非非。在此段中，他想到了一个漂亮的修女，幻想着修女跟他说话，又从话语中的Carmel
联想到词形和发音相近的caramel。虽然生活中的每个人都有可能产生这种跳跃性的联想，但对于习惯于阅读常规语言语篇的读者来说，这种文字游戏确实是一个不大不小的"谜津"。为了方便读者和研究者，译者在注释中作了较详尽的解释。他们不仅介绍了Mount
Carmel的地理位置，还让读者了解到它是西方宗教文化的发源地之一；同时还解释了此处Carmel和caramel 的文字游戏。
例3． God made food, the devil the cooks. Devilled crab. (171)
天主创造了食物，魔鬼制造了厨子[216]。辣子螃蟹[217]。（第八章：305）
注释： [216] 套用英国作家约翰·泰勒（1580-1653）的话。原为："天主送来了食物，
魔鬼送来了厨子。"（《约翰·泰勒全集》）(333)
[217] 这是文字游戏。原文里，魔鬼是devil，而辣子螃蟹则是devilled crab；
devil与devilled 读音相近。(333) 《尤利西斯》全书夹杂着多种语言，也蕴藏着不同的文化，表现了作者的艺术匠心。书中许多典故出自《圣经》及其它一些典籍（见例3）。如果没有注释，恐怕一般读者是很难读懂里面的含义的。从例3可以看到，注释比原文要长得多。译者在序言中说，他"一向不赞成文学作品（不论是创作还是翻译）加注，觉得是对阅读的一种干扰"（见中译本：17）。但是，翻译《尤利西斯》时，由于译者的意图是化解原著中"谜津"，让一般读书界和研究者容易读懂和有用，于是注就多了起来，例如第九章的注与本文的篇幅几乎相同。
例4． --Is the brother with you, Malachi?
--Down in Westmeath. With the Bannons.
--Still there? I got a care from Bannon. Says he found a sweet young
thing
down
there. Photo girl he calls her. (27-28)
"弟弟跟你在一起吗，玛拉基？"
"他在韦斯特米恩。跟班农 [123] 一家人在一起。"
"还在那儿吗？班农给我寄来一张明信片。说他在那儿遇见了一个可爱的小妞
儿。他管她叫照相姑娘 [124]"(第一章：51)
注释： [123] 韦斯特米恩位于都柏林市以西四十英里处，是爱尔兰伦斯特省一郡。亚
历克·班农是个学生，参看第四章中米莉来信和第十四章注 [146] 及有关
正文。
[124] 指本书另一主人公利奥波德·布卢姆的女儿米莉。她在韦斯特米恩郡穆
林加尔市的照相馆工作。该市距都柏林五十英里。
Dearest Papli,
Thanks ever so much for the lovely birthday present. ……I am getting
on
swimming in the photo business now……There is a young student comes
here
some evenings named Bannon his cousins or something are big swells……
Your
fond daughter, Milly ( 68)
最亲爱的爹爹：
非常非常谢谢您这漂亮的生日礼物。…… 照相这一行，现在我越干越顺
当。…… 有个姓班农的年轻学生，有时傍晚到这儿来。他的堂兄弟还是个什么大
名人…… 米莉 (第四章：131)
Our worthy acquaintance, Mr Malachi Mulligan, now appeared in the
doorway
as the students were finishing their apologue accompanied with a
friend
whom he had just renconutered, a young gentleman, his name Alec
Bannon,
who had late come to town, it being his intention to buy a colour
or a
cornetcy in the fencibles and list for the wars. (399)
学生们之寓言行将结束，吾等畏友玛拉基·穆利根先生偕初邂逅之友出现于门
口，系一青年绅士，名亚历克·班农[146]也。彼饶舌家着实仪表堂堂，并素以见
度翩翩自豪。现将话题转至本人服装上，对天气之乍变，愤然予以谴责。众人则大
赞此公所提方案。其友，一年轻绅士，对新近之艳遇 [159] 喜不自胜，不禁告知
邻座。（第十四章：701-2）
注释： [146] 班农，见第四章中米莉致布卢姆信。
[159] 指班农与布卢姆的女儿米莉交往事，见第一章注[124]。
呼应注是《尤利西斯》的一大特色，这是因为原著的写作方法决定的。例4的三段引语，在原著中被Joyce 设置在第一章27-28页、第四章68页和第十四章399页。彼此之间相隔甚远，人物之间的关系若隐若现。在第一章接近末尾处，由穆利根首次提到"班农"和他遇到的可爱的小妞儿"照相姑娘"；第四章通过米莉给她爸爸的信，我们知道她就是"照相姑娘"，班农有时傍晚去找她。到了第十四章，班农再次出现，章?quot;新近之艳遇"几个字才揭开了班农和照相姑娘的秘密。这是Joyce
"设置谜津"的其中一例。对一般读者而言，恐怕极少有人有足够的耐性和记忆力去把相隔遥远的信息拼凑起来去解读人物之间的关系。萧、文两位翻译家确实是尽了最大努力去解读、拼凑、连接Joyce
故意弄得零乱芜杂，东一鳞西一爪的东西。通过他们所做的呼应注，读者不仅比较容易地理解了《尤利西斯》书中的内容情节，而且也了解到，此书虽然表面上庞杂无比，作者犹如天马行空，想到哪里写到哪里，而实际上，此书在结构上和逻辑上又上周密得令人赞叹。
4． 启示：意图决定策略
语篇是传意情景中传意信号的组合，我们可以从制作者或接受者的角度来分析语篇功能。从制作者角度而言，重要的是要看作者意欲透过语篇体现什么意图。意图主宰语篇制作的策略（如阐释主题、选择修辞手段或非语言成分等），因此对语篇功能有莫大影响。就翻译而言，"目的或意图决定于任务，必要时由译者进行调整。任务越具体，意图就越容易清楚。如果能清楚地定出任务并有明确的意图，译者就可以得心应手地翻译，即是说，译者就会清楚地知道，在翻译过程中需要对原文做出哪些改变"
(Vermere 1989:184-5)。
《尤利西斯》是一本探索人类内心世界为主旨的意识流小说。作者不加评论地描绘人物的思想活动，捕捉人物头脑中那毫不连贯，变幻无常，东一鳞西一爪的思绪。这种意识流显得零乱芜杂，漫无边际。Joyce毫不掩饰地表示过要故意把它写得令人难懂，让他心目中读者对象--教授学者们争论不休、永无答案和使自己的著作成为不朽之书。看来Joyce
的意图是实现了。十多年前笔者在香港大学进修英国当代文学时，首次接触到这本"天书"，在抱怨其晦涩难懂的同时，也惊讶地发现，研究这本"天书"的专著摆满了几个书架，而且至今一直是文学研究者的热门课题，几乎年年都有乔学研究的专著问世。这真应验了甚至超出乔氏所预言的不朽了。
再看看萧、文的中译本，无可否定的是，译本基本上保持了意识流小说的特点，译者忠实地描绘了书中人物内心的探险历程。但是，中译本与原著的差异也是明显的：（1）是大量的注释使全书几乎增加了一半的篇幅；（2）其次是原来的文字游戏很多被化解成普通文字或加了注，很多晦涩难懂的语言也被译成了通俗易懂的文字；（3）是把波折号所标明对话的形式改为中国读者更习惯的引号；（4）把原书几乎没有标点的最后一章解读出来，在该加标点的地方留了空格，大大降低了阅读难度。总的说来，原来的"谜津"几乎没有了。原著读者要自己进入谜宫内寻找出路，中译本的读者则好比在已经标明出路的谜宫里去看过去的热闹。
萧乾自己虽然"一向不赞成文学作品加注，觉得是对阅读的一种干扰"（见中译本：17）。但是面对情况独特的《尤利西斯》，译者在翻译时，还是选择了"该注则注"的原则，因为他们的翻译意图是很明确的，那就是让中国的一般读书界读懂这本书，以及使之对中国的研究者有用。中国的读者和研究者与English/">英语国家的读者和研究者的知识结构不一样，其阅读经验也不相同；其次，English/">英语语言和汉语语言无论在音、形、还是义方面都有极大差异。因此译者必须想尽办法化解客观的语言障碍和原作者故意制造的障碍。
如果用传统的翻译标准来评价《尤利西斯》的萧、文译本的话，很可能有人认为它不够忠实于原作的风格，因为传统翻译论者认为，在翻译中，译者"对原作的风格不能任意破坏和改变，不能以译者风格代替原作的风格。原作如果是通俗的口语体，不能译成文绉绉的书面体；……总之，原作怎样，译文也应怎样，尽可能还其本来面目"（张培基等1980：7）。
然而，在现实社会中，任何形式的翻译活动都有其目的或目标，并会引起一定的效果或开拓一种新的局面，甚至可能会产生出一种"新产品"；译者必须根据预定的译本功能来选择最合适的翻译策略，不管那些策略是否被视?quot;标准"，"只要目的正当，可以不择手段"(the
end justifies the means) (见Reiss 1989；Vermeer 1989; Shuttleworth
& Cowie
1997)。换句话说，如果中国的读者和研究者接受萧、文译本并能从书中了解到西方的部分文学艺术和文化特点，那么，他们的策略就是成功的。
5． 结语
意图性是非常重要的语篇标准之一，作者/译者的意图决定其写作/翻译策略。本文分析了英国现代主义小说《尤利西斯》原著和中译本的不同意图及其所引发的写作/翻译策略。原作者Joyce的意图是把书写得令人难懂，让教授学者们争论不休、永无答案和使自己的著作成为不朽之书，因此他把书写得扑朔迷离，艰深难懂；而萧、文两位翻译家的意图跟Joyce的意图显然不同，他们是要让中国的一般读书界和研究者读懂这本书，了解所涉及的文学、文化等各方面的因素，因此他们尽最大努力解读了艰涩难懂的原作，使译文尽可能流畅，口语化，可读易懂。
在现实社会中，任何形式的翻译活动都有其目的意图。在原作者和译者的意图不一致的情况下，译者要在忠实于原文的内容、形式和风格还是忠实于读者的问题上做出选择。他的选择很可能会产生出一种与原著不一样的新产品，但只要译者的目的意图正当，他的译作被读者接受，其翻译策略就可认为是正确的、可接受的。
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话语分析二十年
168 2-14
提要： 本文简要回顾了话语分析产生的历史背景，追踪了话语分析的发展历程，介绍了各个时期的不同
特点。同时对一些理论问题的不同看法，诸如话语分析与其他学科的划界、话语分析的研究对象、研究领域等
，也作了介绍和归纳。本文还着重介绍了话语分析这门新学科近些年研究的新动向。
关键词： 话语分析、篇章
１． 历史背景
１９５２年，Zellig Harris写了一篇题为“Discourse Analysis”（话语分析）的论文，刊登在Languag
e杂志上。此后，Discourse Analysis这个术语逐渐为人们所熟悉，一批研究者相继步入这个领域，进行探索
性的研究。在欧洲，Hartman,Schmidt等人开始从事话语分析，捷克斯洛伐克的学者对topic,comment等概念很
有兴趣，这引起了他们对话语结构的重视。由Halliday（１９６１）发展而来的“系统功能语法”，不只对句
子的主题结构进行分析，而且还对句子和话语的关系进行分析。在美国，Hymes（１９６４）编的Languagein
Culture and Society（文化和社会中的语言）问世，书中已经注意到“言语交际”的形式，并进行了“讲话
形式”等课题的研究。Pike对语言和人类行为语位的研究，也促进了话语分析的发展，他和他的追随者对土著
语中叙述体的研究一直与话语分析紧紧联系在一起。
这段时间的研究是话语分析的萌芽时期，其特点是各自进行一些零星的研究，还未形成系统，其影响也不
大。
２． 形成和发展
２．１． 形成阶段
７０年代（包括６０年代底），从事话语研究的学者越来越多，研究成果大批出现，一门新学科的雏形开
始形成，在语言学界引起了重视。
２．１．１． 大量论文、论文集和专著的出现
这段时期，研究话语的论文大量出现，专著和论文集也出了几十部。研究的课题主要集中在：reference
（指称），deixis（指示），anaphora（回指），context（语境），topic and comment（话题和述题），co
hesion and coherence（外在接应和内在接应），substitution（替换）等等。
有影响的论文集有：Studies in Text Grammar（篇章语法研究，Petofi& Rieser (eds.),1974）;Text
v
s. Sentence: Basic Questions of Textlinguistics（篇章和句子：篇章语言学的基本问题，Petofi
(ed.),
1978）;Cohesion and Semantics（外在接应和语义学，stman (ed.),1978）, Paperson
Discourse（话语
论文集，Grimes (ed.), 1978）;Frame Conception andText Understanding（框架概念和篇章理解，Metzing
(ed.),1979）;Syntax and Semantics Vol. 12. Discourse and Syntax（句法和语义学，１２卷：话语和句
法，Givn (ed.),1979）等等。
这时期有影响的专著有：Suprasegmentals（超语段，Lehister，1970）；Some Aspects of Text
Gramma
r（篇章语法的若干问题，van Dijk,1972）；The Thread of Discourse（话语的条理，Grimes,1975）；Dile
mmas of Discourse（话语的二难推论，Wooton,1975）；Cohesion in English（English/">英语的外在接应，Halliday,
1976）；Cohesion in Literary Text（文学篇章的外在接应，Gutwinski,1976）；Text and
Context（篇章
和语境，van Dijk, 1977）；On Understanding Grammar（理解语法，Givn, 1979）等等。
２．１．２． “话语分析”形成的动力和原因
７０年代的研究相对６０年代来说，既有持续又有变化。传统的语法分析已受到挑战。话语分析者在传统
语法分析中，加进语言的运用、语言的变异、言语行为、会话、独白、篇章结构、交际活动、认知和语境等等
新的概念。这段时间的研究为８０年代话语分析的发展打下了良好的基础。
话语分析之所以在这段时间中形成，主要受以下一些因素的影响：１）受语言研究中其他学科发展的影响
。如计算机自然语言处理的研究。这个领域的研究者发现，许多问题在句内无法解决，只有借助话语分析才能
解决。又如社会语言学的研究，Labov（１９７２）对黑人斗嘴的话语、讲述的故事的研究，也促进了话语分
析的发展。２）理论语言学自身发展的结果，使人们把眼光投入到比句子更大的话语形式（详见陈平，１９８
７）。此处还有３）Austin,Grice和Searle等语言哲学家关于言语行为的研究。
２．２． 发展阶段
８０年代是话语分析的发展阶段，这段时期，无论从研究队伍、研究成果、在语言学界的影响等方面来看
，都胜于７０年代。下面是８０年代话语分析中的几件大事：
２．２．１． TEXT（篇章）杂志创刊［１］
１９８１年，Text杂志在荷兰创刊（后移至德国），现任主编是荷兰阿姆斯特丹大学van Dijk教授，其编
委都是世界各地一流的话语分析专家，我国陈平研究员也被聘为编委。从此，“话语分析”有了一块属于自己
的领地，这也是话语分析成为一门独立学科的标志之一。
２．２．２． 两本专著
这个时期有关话语分析的专著不断出现，其中有两本影响较大。一本是英国的G. Brown和美国的G. Yule
合写的Discourse Analysis［２］，本书于１９８３年由剑桥大学出版社出版，仅１９８４年就重印两次。本
书写得深入浅出，内容丰富，对前人的研究作了很好的概括。还有一本是R. Longacre写的The Grammar of Di
scourse（话语语法）；由Plenum出版社１９８３年出版。这是本超句语法书，讨论独白话语和对话，谓语的
组合，格，概念结构的层次，话语分析框架等等。这两本书的内容，从某种程度上来说，体现前一段时期的研
究水平。
２．２．３ van Dijk主编的《话语分析手册》
荷兰语言学家van Dijk约请世界各地研究话语的有关专家撰稿，于１９８５年编辑出版了Handbook of Di
scourse Analysis（话语分析手册）。本书共分四卷，第一卷：Disciplines of Discourse（话语的各个学科
领域）；第二卷：Dimensions of Discourse（话语的各个方面）；第三卷：Discourse andDialogue（话语和
对话）；第四卷：Discourse Analysis in Society（社会中的话语分析）。这本手册的出版，是话语分析史
上的一件大事，van Dijk称，该手册“可以看作是这门新的跨学科独立和自我体系形成的标志”。
２．２．４． 话语分析在第１４届国际语言学家大会上的展示
１９８７年８月１０－１５日，在前东德首都柏林召开了“第１４届国际语言学家大会”。大会共分１９
个分组会议，这１９个分会中，以讨论篇章和话语的论文最多，共１０８篇，占整个大会总篇数的１２％，列
第一。“从会议听众出席的情况来看，篇章与话语分组会也是最吸引人的几个场合之一。与会者对篇章与话语
问题表现出如此浓烈的兴趣，这成了本届大会有别于往届的一个显著特征”（陈平，１９８７）。陈平认为，
造成这种现象有两个原因：“一、近年来理论语言学的发展，以及各界从实际应用的角度向语言研究工作提出
的要求，使得越来越多的人将注意力投向篇章和话语领域。二、同西方国家相比，苏联和东欧国家在这个领域
里有着更为悠久的研究传统，对篇章与话语问题的探索多年来没有中断过。本届大会在东柏林召开，为他们提
供了一个将大批研究成果公之于世的便利机会”（陈平，１９８７）。
在这次大会中，话语分析在语言学界第一次面对面地展示了自己的阵容。
以上谈到的几件大事，标志着话语分析在语言学界已有了一席之地，可以看作是话语分析已初步形成了自
己的研究框架，一门新的学科已经诞生。
３． 一些理论上的看法
３．１． 分歧的看法
３．１．１． 对“Discourse Analysis”这个术语的理解
对Discourse Analysis这个术语有不同的理解，有人把discourse看作是口语，而把text看作是书面语。
也有人把discourse看成既是口语又是书面语，迄今没有统一。跟Discourse Analysis相近的术语有text gram
mar,textlinguistics等等。国内大多数人把Discourse Analysis译成“话语分析”，也有人译成“篇章分析
”、“语篇分析”。对这门学科，也有人称“话语语言学”或“篇章语言学”。
３．１．２． 话语分析和句法的关系
关于话语和句法的关系，通常有４种观点：“１、篇章话语与句法绝然无涉，句法研究根本不应考虑到篇
章话语因素。２、部分句法现象受篇章话语因素的制约，但那只体现在句法现象的一些非本质方面。从方法论
的角度考虑，阐释句法特征时可以不理会篇章话语因素，虽然此举并不意味着否认后者的存在。３、句法现象
从成形到现状都受到篇章话语因素的制约，句法研究过程中若不考虑这些因素，势必无法得到理论上富于洞察
力的阐释。４、根本不存在相对独立于篇章话语的所谓句法成分和句法规则”（陈平，１９８７）。一般的情
况是，大多数人赞成第二种和第三种折中的观点。极端的人不多，但也有一些，如Tannen，早期的Garc'ia和G
ivn等。
在探索句法形成的篇章／语用原因方面，较有名的学者有：Sankoff和Brown（１９７６），Hopper和Thom
pson（１９８０，１９８４），Du Bois（１９８７）等等。
３．１．３． 话语分析和语用学的关系
语用学和其他学科的关系，廖秋忠（１９９１）作了很好的归纳，他列出６种有代表性的观点。其中主要
是两种：１）话语分析包含了语用研究，如Givn和Thompson等人，因为他们认为篇章话语是研究实际运用中
的语言，研究篇章话语就是研究语用及源于语用因素的结构规律。语用研究包含在篇章研究之内。因此他们的
著作中，语用篇章经常不分。２）认为话语分析包括在语用学之内。
话语分析和语用学的界限还没有划清，实际上也是很难或无法划清的，因为话语分析是一门新的交叉学科
，和语用学有许多交叉重叠的地方。
３．２． 基本一致的看法
以下几种观点，人们的看法基本一致。
３．２．１． 超句研究
话语分析主要研究超句现象，这里的“句”，在书面语中，可以是clause（小句），也可以是sentence（
句子，以句号作为标记）。“话语分析最典型的研究对象是超出单句长度的语段，由前后相连的句子构成的段
落，如果在语言交际中表现为一个相对独立的功能单位，我们便称之为篇章（text）”（陈平，１９８７）。
３．２．２． 研究自然语言，考虑语境
话语分析者研究的是自然的语言，使用的例句也很少是由作者自己想出来的。研究时往往考虑语境，当然
人们对语境的看法也有各种不同，一般来说，分析话语时各种语境的因素都要考虑，但其侧重点有所不同。传
统语法分析往往是脱离语境来研究词句，这一点与话语分析很不相同。
３．２．３． 表现出对趋向性和选择性的考察
话语分析十分注重量化分析，关注实例（token）的多寡，很少判别哪个句子能说或不能说。话语分析经
过对自然语言的量化分析，其结果往往表现出一种趋向性和选择性。“这种分析结果正是折射了这样一个客观
事实：无论在语言系统里还是在语言运用中，对立的成分、格式、过程或者环境等等，很少表现为非黑即白，
截然分明的两个范畴，在绝大多数情况下，它们呈现为一个由此向彼逐渐过渡的连续体（continuum），对立
的两极之间存在着数量不一的中间阶段”（陈平，１９８７）。
４． 近些年来研究状况
４．１． “话语分析”的研究队伍
话语分析这门新的交叉学科，经过几十年的发展，现在已经有了一批比较稳固的研究队伍。近些年，在这
个领域里比较活跃的有：van Dijk, T.Givn, S.Thompson, D.Tannen, J. Petfi, W.
Mann,R. Longacre,
W. Chafe, E. Prince, M. Halliday, G. Brown, G. Yule, C. Snow, T.
Rcinhart, B. Sandig, M. McCart
hy, R. Wodak, F. Dane, D. Viehweger, B. Fox, M. Coulthard, P. Hopper等等。
从研究力量看，美国最强，西欧次之，然后是澳大利亚、前苏联及东欧等国，第三世界国家较弱。
４．２． 各国研究“话语分析”的特点
各国的话语分析各有其特点。以美国和英国为例，美国的话语分析受传统人种研究法的影响较大，强调仔
细观察在自然环境中人与人的交际，研究语言事件的各种类型。在对话分析（conversational analysis）中
并不强调建立结构模式，而是强调仔细研究谈话中参与者的行为，不少人研究叙述文、研究谈话的准则、话轮
的转变等等。英国的话语分析受Halliday的功能研究影响很大，Halliday的研究框架强调语言的社会功能以及
口语和书面语的主题结构和信息结构，主要遵循结构语言学的标准。英国伯明翰大学的话语分析者，用话语单
位的不同层次对老师－学生、医生－病人、店员－顾客的谈话做了很多研究。
从个人研究的特点来看，许多从事话语分析的学者同时还研究其他领域，如：句法、语用、认知、机器翻
译、人类学和社会学。也有许多学者进行学科的交叉研究，如：话语和语法、话语和认知、话语和交际、话语
和语义等等。
４．３． 用话语分析的理论方法研究本国语言
由于话语分析能弥补传统语言研究的许多不足，许多语言学者用话语分析的理论、方法来研究各种语言。
如研究Swahili (Relative tense in discourse: The inference of time orientation
in Swahili, by E.C
.Morava,1983);研究古Greek(The discourse function of the participle
in ancient Greek,by B. Fox);
研究Malay (Ergative,passive and active in Malay narrative, by P. Hopper,1983);研究Arabic
(Theme-
rheme organization and paragraph structure in standard Arabic, by
Y. Aziz,1988)；研究Swedish和Yi
ddish (Swedish VP-topicalization and Yiddish verb-topicalization,byG.
Kallgren & E.Prince,1989);
研究French (Presentational cleft construction in spoken French,by
K. Lambrecht,1988),还有研究Jap
anese,Sissala, Romance等。我国的廖秋忠、陈平等，在研究汉语方面做出了引人注目的成绩。
当然，从数量上看，以English/">英语作为研究对象的为绝大多数，一是由于English/">英语具有特殊的国际地位；二是由于主
要的研究力量集中在讲English/">英语的国家。还有一个值得注意的现象是，有些用话语分析的理论方法研究本国语言的
论文、专著是用本国语写的，在本国语杂志上发表或在本国出版，不容易受到国际上的注意。
４．４． 研究范畴的扩大
４．４．１． 向大结构发展
在对指示、连接、信息结构等热门课题进行研究后，有一部分学者把眼光投入较大的结构，如对段落（pa
ragraph）的研究（如T.Hofmann, R. Longacre等）；对直接引语和间接引语的研究（如H. Clard, R.
Gerrig
, A. Lehrer等等）；对篇章类型的研究，这里有两种情况，一种是研究某种话语或篇章的结构，如论证结构
（argumentational structure）（如van Eemeren, Naess, G
【内容提要】tendorst等等），另一种是不同的话语篇章之间类型的比较（如Sanding, Coupland等等）。
４．４．２． 向语音时态发展
一些学者把注意力集中到语音上（参看胡壮麟，１９９３）在口语中，人们靠语音发出信息与接受信息，
语音的分布也受到话语的制约。也有些学者研究时态和篇章的关系（如S. Fleischman, D. Schiffrin等），
通常人们把时态看作句内现象，他们则发现，篇章话语的结构对时态有时也起制约作用，在有的文学篇章中（
如小说），尽管是叙述过去的事，却突然出现大批的用现在时态的句子。
４．４．３． 向实用性较强的话语发展
以van Dijk为首的一批学者，研究新闻报导的结构、制作和理解，以及分析各种话语类型中（教科书、新
闻报导、对话）所表现出的认知现象、种族歧视现象等等。
４．５． 集中研究某种话语现象
有了较固定的研究队伍、有了学科的带头人，就有可能组织较大的研究阵容，研究某种话语现象，以论文
集的形式显示其研究成果。这里举一个例子。１９９２年，W. Mann和S. Thompson主编了一本论文集，题目是
Discourse Description: Diverse Linguistic Analysis of a Fund-raising
Text（话语描写：资金筹措篇
章的多样化语言分析），论文集前附了一封信，这是美国“人口零增长组织”（ZPG）常务主任Susan Weber写
的一封集资信，信的内容大致是这样，这个组织对美国１８４个城市地区进行了调查，调查内容是拥挤程度、
出生率、空气质量、毒害物质等等跟人口发展有关的因素，这些因素直接影响了城市发展、公众的健康和福利
。这个组织希望大家捐钱，以便组织一批活动分子在各地建立一个网络，把调查结果传播给各级领导人，使大
家认识到人口发展对城市的影响。对这样一封捐款信，Mann和Thompson组织了一批世界知名学者进行研究，从
各个角度进行，这些学者是：K. Callow & J.Callow,B. Meyer, R. Longacre, E.
Winter, M. Jordan, E.Pi
ke, W. Chafe, E. Prince, M. Halliday, J. Martin, J. Benson &
W. Greaves.
还有一些有影响的专项研究论文集，如W. Chafe主编的The Pear Stories: Cognitive, Cultural
and Li
nguistic Aspects of Narrative Production (1980)（梨的故事：叙述文的认知、文化和语言研究）；T.
Gi
vn主编的Topic Continuity in Discoukse: A Quantitative Cross-linguistic
Study (1983)（话语中的
话题连续性：一种量化的跨语言学研究）；G. Aston主编的Negotiating Service: Studies in the
Discours
e of Bookshop Encounters(1988)（交易技巧：书店柜台前的话语研究）；N. Coupland主编的Styles
of Dis
course (1988)（话语类型）；R. Coulthard主编的Advances in SpokenDiscourse Analysis(1992)（口语话
语分析中的进展）。
４．６． 注重口语研究
在话语分析中，书面语的研究相对来说比较好掌握，口语研究由于受到环境、设备、技术等条件的限制，
不易掌握。近些年来，人们对口语的研究有所加强。比较引人注目的是Text杂志１９９３年第２期出的一本专
集，题为“New Directions in Conversation Analysis”（会话分析中的新方向），由Anita
Pomerantz主编
。专集共收论文６篇，都是用新的视野来研究口语，下面介绍其中的第一篇和第二篇：
第一篇是S. Clayman写的“Reformulating the question: A device foranswering/not
answering ques
tions in news interviews and press conferences”（重新组合问题：新闻采访和新闻发布会中回答或拒答
问题的方法），这篇论文主要研究记者采访新闻人物时，这些人物是如何回答问题的。一般说来，碰到难回答
的问题，人们通常采用两种方式：１）“曲线”方式，不正面回答。这种回答往往会被人看作是无知或无能的
表现。２）改变话题。采用这种方式往往又会被人们看作是有“政治上的动机”。作者研究的是应该如何回答
，才不被人们看作是“回避”。这种研究有三个特点：（１）研究人们以前忽视的东西和现象；（２）跟政治
生活直接相关；（３）结合社会学、修辞、大众传播等进行。
第二篇论文是E. Holt写的“The structure of death announcements: L
【内容提要】king on the bright side of death”（死亡通告的结构：积极地看待死亡），此文研究熟人之
间如何传递某人（熟人）死亡的消息，研究的是“死亡通告”的结构。一般讲，说话人先要准备传递这个消息
，然后再进行“传递”这个过程。接受者的反应通常是悲哀，然后说话者介绍某人死亡过程，死者在临死前情
况，接下去双方都开始讲一些具有积极意义的话，然后引出新的话题。这篇论文有３个特点：（１）死亡传播
过程和传播行为两种类型的分析互为补充。（２）本研究说明了“关系”对谈话的设计和组织起了很重要的作
用，这种“关系”不但包括参与者、而且包括谈话设计的各个方面（包括跟去世者之间的关系）。（３）这种
研究是跨学科的，是叙述文、类型分析、人际交流、人际互动等等的综合研究。
４．７． 开始进入教学领域
近些年来，一些学者和教师把话语分析纳入语言教学的领域，出了一些话语分析教科书，如：M. McCarth
y的Discourse Analysis for Language Teachers（话语分析教学参考书，１９９１）；E. Hatch的Discourse
and LanguageEducation（话语和语言教学，１９９２）；M. McCarthy和R. Carter的Language
as Discours
e: Perspectives for Language Teaching（作为话语的语言：语言教学的观点，１９９４）等等。还有一些
教学用书跟话语分析很接近，如有关自然语言的交际（C. Brumfit; W. Rivers）；语境的教学（J. Richards
）；口语的教学（G. Brown;G. Yule）等等。
５． 结语
尽管现在人们对话语分析这门学科还有许多不同的看法，但从目前来看，话语分析这门新的交叉学科正处
于充满活力，向前发展的时期，研究领域不断拓展，研究队伍不断扩大，研究成果也迭出不穷，相信话语分析
在语言学内扮演的角色会越来越重要，正如McCarthy和Carter（１９９４）所说的：“人们一旦开始从话语的
角度来观察语言，那么他的整个思想观念都将发生永久性的变化。”
注释
［＊］ 谨以此文悼念许国璋教授。
如以１９５２年Z. Harris的“话语分析”论文算起，至今已有４０余年。但话语分析作为一门学科的形
成和发展，只是近２０余年的事。１．专门研究话语的杂志，除Text外，还有两本，一是Discourse Processe
s（
话语过程），再是Discourse and Society（话语和社会）。
２．参看廖秋忠的介绍，文章载《国外语言学》１９８７年第４期。
参考文献
陈平，１９８７，话语分析说略。《外语教学与研究》第３期。
陈平，１９９１，《现代语言学研究－－理论、方法与事实》。重庆：重庆
出版社。
胡壮麟，１９９３，语音系统在English/">英语语篇中的衔接功能。《外语教学与研究》
第３期。
廖秋忠，１９９２，《廖秋忠文集》。北京：北京语言学院出版社。
徐赳赳，１９９０，话语分析－－一门新的交叉学科。《国外语言学》第２期。
徐赳赳，１９９１，９０年代话语分析展望－TEXT杂志９０年１－２期（合订本）介绍。《外语教学与研
究》第４期。
Brown, G. & Yule, G.1983, Discourse Analysis. Cambridge: Cambridge
University Press.
Chafe, W. (ed.) 1980. The Pear Stories: Cognitive, Cultural and
Linguistic Aspects of Narrat
ive Production. Norwood: Ablex Publishing Cooperation.
Clark, H. & Gerrig, R. 1990. Quotations as demonstrations. LanguageVol.
66, No. 4.
Fleischman, S. 1985.Discourse functions of tenseaspect oppositions
in narrative: towards a t
heory of grounding. Linguistics 23.
Givn, T. (ed.) 1979. Syntax and Semantics. Vol. 12: Discourse andSyntax.
New York: Academi
c Press.
Givn, T. (ed.) 1983. Topic Continuity in Discourse: A Quantitative
Cross-linguistic Study. Amsterdam: John Benjamins Publishing Company.
Hatch, E. 1992. Discourse and Language Education. Cambridge: Cambridge
University Press.
Hofmann, T. 1989. Paragraphs and anaphora. Journal of Pragmatics
13.
Longacre, R. 1983. The Grammar of Discourse. New York: Plenum Press.
Lehrer, A. 1989. Remembering and representing prose: Quoted speech
as a data source. Discour
se Processes 12.
Mann, W.& Thompson, S.(eds.)1992. Discourse Description: Diverse
Linguistic Analysis of a Fu
nd-raising Text. Amsterdam/Philadelphia:John Benjamins Publishing
Company.
McCarthy, M. 1991. Discourse Analysis for Language Teachers. Cambridge:
Cambridge University
Press.
McCarthy, M. & Carter, R.1994. Language as Discourse: Perspectives
for Language Teaching. Ne
w York:Longman Publishing Company.
Pomerantz, A. (ed.) 1993. New directions in conversation analysis.
Text Vol.2.
Schiffrin, D. 1981. Tense variation in narrative. Language 57.van
Dijk, T.(ed.) 1985. Handbo
ok of Discourse Analysis. London: Academic Press.
附言：本文曾在９４年１０月下旬于洛阳召开的“全国第３届话语分析研讨会”上宣读，任绍曾、朱永生
、周忠杰、严辰松等先生提供了许多新的信息和建议，特此致谢！
－－作者
收稿日期： １９９４年９月２７日；
本刊修订稿，１９９４年１１月５日
通讯地址： １００７３２ 北京中国社会科学院语言研究所
东西方数字九的文化对比分析与翻译
1000 2-14
一、前言
"数是人类思维发展到一定阶段，为适应社会生产活动的需要，在符号的帮 助下产生的。"（苏金智，19 91）"数字是语言学中的一个特殊的领域。在科
学的数字世界里，它的功能是计算，秩序严谨，职司分明，是 实数；而在人类 心灵的数字世界中，它的功能是表义，许多数字经过“神化”后成为“玄数”、
“虚数”、“ 天数"。它们有着极其丰富的外延和内涵。"（王秉钦，1998） 由于受东西方文化传统、宗教信仰、语言崇拜、地理环境等方面的影响，数
字的神化存在着东西方的差异 ，但也存在着共性，有着共同的规律。在"数的 灵物崇拜"上各民族都有普通性。东方人有自己心目中的"天
数"，而西方人 也有自己心目中的"神数"。神秘数字的演化规律一般经过"神化—泛化—虚 化"的过程。（
王秉钦，1998）
东西方已有不少有关数字科学的专著和论文， 如毕达哥拉斯（phythagoras） 学派的T·丹齐克的《数 科学语言》（商务印书馆，1998），英国人伦拉德·法
拉的《七的探源》；国内也有不少学者就数字写过著作 和论文，并开展过学术探 讨。如，王秉钦教授在其《语言与翻译新论》的中篇第六章就以"数的语义范围
比较 与翻译"为专题；苏金智曾写过《数的灵物崇拜》（载〈语言、社会、文化》 440页， 语文出版社，1991，1） 等。在1998
年南昌大学主办的"中国英汉语 比较研究会第二届年会暨第三次学术研讨会"上，英汉文化对比专 业委员会会 员曾就中南工业大学外语学院吴玲英老师的《中西文学中"以三为法”的文化模
式》展开了激烈的 讨论。本人认为东方人，尤其是中国人，自己心目中的天数 是"九"而不是"三"，也并非完全是因为"九"
是"三"的倍数。
二、东西方数字"九"的文化对比分析
在我国，人们之所以把"九"看成是自己心目中的"天数"和最富有神奇色 彩的数字， 是因为"九"
这个数字的象征意义（symbolicmeaning），在我国可 以说历时最久，涉及面也最广。 "九"作为数不同于一
般数字，在中国古代被 认为是一种神秘的数字，它起初是龙形（或蛇形）图腾化之文字，继而演化出"神 圣" 之意，于是中国古代历代帝王为了表示自己神圣的权力为天赐神赋，便竭
力把自己同“九”联系在一起。如天 分九层，极言其高，天证／诞日为正月初 九，天子祭天一年九次。更有趣的是连皇宫建筑都与"九"有关。例
如，北京 城有九门，天安门城楼面阔九问，门上饰有九路钉（即每扇门的门钉纵横各九排）。 汉语词汇中也常 用"九"来形容帝王将相的称谓，如"九五之尊"（imperial
throne）；称官位仅次于皇帝的王爷为"九千岁 "等。
根据阴阳五行与数的关系，万物之根均为数，宇宙也是数。数始于1而终于 10，五行也是数，按传统的五行 理论来划分，则1、2为木：1为阳木，2为阴
木。以3、4为火：3为阳火，4为阴火。以5、6为土：5为阳土，6为 阴土。 以7、8为金：7为阳金，8为阴金。以9、10为水：9
为阳水，10为阴水。这 就是将"象"、"数"与五行 结合起来推演变化，用以显示事物发展变化的内
在联系。由此看来，"九"是最大的阳数，象征着天。传说古 代中国人把天分 为九层，九层天是天的最高处，汉语中有关词汇有"九重霄"（指极高的天空，
"九霄云外" ，"九天揽月"，"九天九地"等。另外，天坛，这个明清两代
祭天的场所，其建筑无处不体现着“九”的象 征意义。 民间传说中还有"九头 鸟"（nine-headed bird:
a fabulous bird whose appearance was f ormerlyregarded as a bad
omcn）的故事。
中国人以"九"为大数，刘师培在《古书疑义举例补》一书中写道："凡数 指其极者，皆得称之为'九'
；"《素问》中说："天地之数，始于一，终于 九。"因此，汉语中有"九九归一"或"九九归原"之说。因
从"九"为数之 极而引出人生之限，故"明九"或"暗九"均为人生之"坎"，避讳有“九”之
岁。例如：“ 老太太因明年八十一岁，是个暗九。"（《红楼梦》）。日本人一般 认为"九"是"苦命和痛苦"的象征，因
为"九"与"苦"同音，因此忌讳 "九"。然而，《外语与外语教学》曾报道过国内一位学者曾为考证这一点
，采 用"全选法"将日本某地电话号码其中的几千个姓和名分别进行统计，结果发现 将"九"作为姓的只占极
少数（约占0.35％），而将"九"作为名的却不少（约 占35％）。看来，日本人忌讳"九"也并非绝对。
此外，《词源》中说："九：虚指多数。""九"作虚数解时，是数的一种 语义模糊现象。《现代汉语词
典》中，"九"的意思有三个：（1）数目，八加一 后所得；（2）从冬至起每九天是一个"九"，从一"九"
数起，二"九"、三 "九"，一直数到九"九"为止。冬练三九，夏练三伏；（3）表示多数或多次：
九泉，三 弯九转等。因此， 汉语中有不少和"九"有关的成语。如："九牛一 毛"、"九死一生"、"九牛二虎之力"
、"九流宾客"等等。
在我国，数字"九"涉及面在所有数字中最广。含有数字"九"的词汇也十 分丰富。如，"九州"是指传
说中的我国上古行政区划，后用作"中国"的代 称。因此，有的全国性的电视节目就取名为“九州方圆”；“ 九族"（the
nine degrees of kindred: either thenine generations from one's great-great-gr
andfather down toone's great-great-grandson;or four generations
of one'spatemal relations, three generations of one's matemalrelations,
and two generations of noe's wife's relatio ns），古代有一种残酷的刑法叫"诛灭九族"；古代传说
"龙生九子，各有所好"。因此，《红楼梦》第九回 中用"一龙生九种，种种各 别"来比喻贾氏家族族大人多，龙蛇混杂，好坏不一，各种各样的人都有。还有
" 九龙杯"等。此外，在文娱、体育等词汇中，数字"九"也比比皆是。如， 许多歌名都以"九"开头："九妹
"、"九九艳阳天"、"九百九十九朵玫瑰" 等；乐器中也有"九音锣"；在体育活动中，"九柱戏"（nine
pins），兵器中 有"九节鞭"［但这与西方文化中的"九尾鞭”（cat-o '-nine- tails:
an instrurnent of punishment so calledfrom the nine pieces of leather
or cord which compose it）意义不大一样］。 地名中也有一些以"九"开头的，如"九
寨沟"、"九华山"、"九江"和"九龙"等。此外，中国人常把"
九"看成 为吉祥数字之一。在申请电话号码时，人们宁愿多出
钱去买一个尾数为"8"或 "9"的吉祥号码。比 如，湖南有线电视台的"欢乐热线"号码为"16899919"。
在西方，数字"九"也是人们心目中的"神数"之一。对西方人来说， "九"的象征意义是"神性"、
"神圣之至"。 English/">英语权威字典Webster's Ninth New Collegiate
Dictionary and Webster's ThirdIntema tional Dictionary 中 对"九"所解释的意义比《现代汉语词典》所解释的意义还多，分别有：
1)one more than eight, three threes, the square of three;2) nine
units of objects (a tota l of nine) ; 3) a: thenumerable quantity
symbolized by the arabic numeral 9; b: thefigure 9 ; 4) nine o'clock——compared
Bell table, timeillustration; 5) the ninth size in a set series:
as a; aplaying team of nine members,esp.a baseball team; b:the firstor
last 9 hol es of an 18-hole golf course…。
其中收入与"九"有关词语和成语多达近二十条。常用的有：
a nine-day's wonder (an object or event that creates ashort-lived
sensation)
____Those political expositions…that make a nine day'snine wonder
till something fresh c omes alone——Mary Deasy. nine times out of
ten(very often)
be dressed up to the nines(elaborately dressed, as for aformal
occasion)
____She dressed herself up to the nines and went to theparty.
in the nineholes:in the difficult situation nine-men's morris:
morris played with nine counters A cat has nine lives: A cat can
move so fast and jump sowell that he seems to escape being killed
many times.
从以上的解释还可以发现一个规律：数字"九"及其倍数在西方也被广泛运 用于文娱和体育活动中。如， 保龄球（bowling
）中的瓶状木柱数（ninepins） 为"九"；高尔夫球球场有一十八个洞：跳子棋的棋板上各 方均为九个孔；
古 时英国还有一种九个男人一起跳的舞蹈（morrisdance）等。由此看来，数字"九" 也倍 受西方人的青睐。
总之，在东西方文化中，数字"九"含有以下主要共性：
1）东西方大多数人把数字"九"看成神秘的数字， 其象征意义均有"神 圣"之意。
2）在东西方文化中，数字"九"均可虚指多数。
3）数字"九"被广泛运用于文体项目中。
数字“九”在东西方文化中的个性恐怕主要在于：对中国人来说，其神奇色 彩要比西方人更浓；其象征意 义的历史在东方文化中比西方文化中更悠久；其
涉及面在东方文化中比西方文化中更广泛。
三、数字"九"的翻译问题
罗马西塞罗说过："翻译不是字当句对，而是保留语言的总风格和力 量。""按分量而不是按数量译词"
。此处所说的数字是指经过神化、泛化、 虚化了的"虚数"，"实数"的翻译不在此例。根据这一理论，结合
东西方文 化的共性与个性，可采用如下的翻译方法，并遵循以下的翻译原则。
可采取的翻译方法主要有：
（一）保留原数字
e.g. We thought our cat would be killed when he fell fromthe roof
of the house. He was not, he used up one of his ninelives.
我们以为我们的猫从屋顶掉下来会死了，它并没死，只失掉九条命中的一条。 这样翻译过来，人们很容易接受，因为人们已熟悉"猫有九命"这个成语，
并能够促进东西方文化的融合 。
（二）转换成各民族喜爱的数字
e.g.nine out of ten——十之八九 nine days' wonder———可翻译为"昙花一现"，
这样翻译可以加深对奈 达的"对等"和纽马克的"转 换"翻译理论的理解。
（三）增舍数字
比如，"九死一生"可翻译成"a narrow escape from death;survival
after many hazards"；又如 ，"九九归一，还是他说的话对。"可翻译成"All
things considered,what he says is right."其译文均 舍弃了数字，转译其 形象意义。
应遵循的原则主要有：
（一）民族性原则
比如，汉语中的"费了九牛二虎之力"，《汉英词典》（外研社，1996）的译 文有三个："strain
onese lf to the limit; use everyounce of one's strength; make herculean
efforts"。笔者认为第二种译文 "use every ounce of one's strength
"更符合"民族性原则”，成功地将东方文化中该成语的比喻意义转 化成了西方文化语言中的形象意义。
（二）习语性原则
比如："匡超人此时恍若亲见瑶宫仙子，月下嫦娥，那魂灵都飘到九霄云外 去了。"（《儒林外史》）， 其译文为"Kuang
felt that he was gazing at a goddess and his spirit had flown to
heaven."这种译 文因遵循了"习语性原则"， 充分地体现了人类交际行为的一个最根本原则——语言——符号的经济原则。
（三）形象性原则
数字用于模糊意义时，一般都失去了其数量意义而具有形象意义。翻译时， 必须越出其理性意义而捕捉其 与其它的词结合后所产生的形象意义。
比如："飞流直下三千尽，疑是银河落九天（李白）。"此句诗中的"九天" 的形象意义为"极高的天空
"，因此，可翻译成"Down itcascades a sheer three thousand feet—As
if the Silver River ［i.e. the Milky. Way］were falling from heaven！"
认识第一语言和第二语言习得过程中的差异
探索和研究有效听说教学的策略
八十年代以来"听说领先"、"提高学生听说能力"，已经成为我国中学外语教学中的一个重要目标。我国的广大外语教师和专家亦在这方面作了大量的探索和实践。然而我们的教学离开这一目标尚有很大的距离。在这方面我们需要进行更深入、系统的探究。本项研究旨在运用心理学理论，尤其是各种有关语言习得的心理学理论，对比第一语言和第二语言（外语）习得过程中的差异，探讨提高中学英语听说能力的条件，并进而在心理学理论指导下，在总结多年英语教学的基础上提出若干教学策略，以提高英语教学水平。
一、第一语言和第二语言习得过程中的三大差异
（一）学习动机上的差异
语言是人类最易习得的知识技能系统之一，所有发育正常者都能学会母语。如果不是这样，人类就不会选择语言作为人类的交际工具。然而外语又是许多国家学生耗时最多，最难学好的学科之一；在外语教学中，听说能力的提高又是难中之难。原因之一是，对于大多数学习者来说，第一语言习得的动机是第二语言习得动机难以比拟的。
在时间上：第一语言的学习动机始于婴儿的"呀呀学语"，而且第一语言的习得是从听说开始。第二语言习得，多从小学，初中开始，不一定从听说开始，动机的形成也较晚。
在需要上：第一语言的学习动机是"内在的"、"本能的"、"自发的"与人类最原始的生存，最基本的需要联系在一起。而第二语言的学习动机至少在开始是"外来的"，以后与"赢得兴趣认同"和"赞扬"、"成功"联系在一起的。这对英语教师是一个大的挑战，强化和保持学生的学习动机是教学效果高低的第一个关键，研究和形成多种引起和保持动机的策略，是教师必须努力探索事半功倍的领域。
（二）刺激量的差异
一百多年前德国著名的心理学家艾宾浩斯曾经做过一系列关于记忆的实验，并撰写了《重新记忆》一书，他在实验和著作中，描述了学习次数与记忆准确率的关系，构成了著名?quot;艾宾浩斯记忆曲线。"如果我们将学习次数作为"刺激"，那么"刺激"的频率，包括次数和间隔的时间长短，就成为语言习得的一个重要指标。"刺激"量大，频密是儿童学习第一语言的重要条件。所有父母都有类似但往往被忽视的经验，那就是当孩子能含混不清地喊出"爸爸，妈妈"的时候，当父母在为此兴奋不已的时候，我们已经为教宝宝喊"爸爸、妈妈"给了无数次的"刺激。"这些"刺激"不仅刺激儿童的听觉，而且还与其它的感官刺激相联系在一起。
中学生学习第二语言，外语的刺激量显然在总量和密度上都是难以与儿童学习第一语言时的刺激量相比较，即使是增加课时也是非常有限的。因此要提高中学生的听说能力，教师必须设计多种教学策略，增加学生听说和学习语言材料的刺激量。
（三）认知和发展水平上的差异
著名认知心理学家皮亚杰认为，儿童的智力发展大约经过感觉阶段（出生至二岁）,具体运算阶段（二岁至十一岁）和形式运算阶段(十一岁以后)具体运算阶段，尤其是具体运算阶段的前半阶段-一"前运算阶段"是儿童学习语言的最佳时期。因为此时儿童的智力发育一方面己经达到成年人的70％的水平，但另一方面，他们的认知机能又有具体不可逆性和刻板性的特征。这给直观教学，准确记忆和反复操练带来了便利。可以说在这个时期儿童的语言学习与他们的认知发展水平是一致的。但儿童进入初中之后，认知发展水平进入了一个新的时期--"形式运算"，这个时期少年的认知机能开始日益逻辑化，不仅思考现实与表象，而且开始走向逻辑地整理和理解现实与可能的关系。简单机械地记忆不可逆的词汇和句型，对智力发展的进程而言，己不再具有发展的挑战性。当中学生热衷于保尔·柯察金，热衷于琼瑶的时候，当中学生已开始学习代数方程的时候?quot;This
is a desk．That is a chair。"这些幼儿园小朋友，小学生学起来饶有兴趣的材料对中学生来说就变得索然无味了，这些材料难以刺激起中学生的学习兴趣，也不能构成对学习者的认知能力，尤其是思维能力的挑战了。为了提高中学生英语听说能力，我们必须寻找有效的策略，以缩小简单重复与认知发展水平间的差距。
二、策略
（一）听说领先，培养学生的兴趣，激发内在动力。
兴趣是最好的教师。教师要根据学生的认知发展水平为语言习得规律，从听说入手，创设贴近学生实际生活的情景。我首先为班里的学生起了英文名字，营造了一种和谐的英语氛围，为培养学生的学习兴趣奠定了基础。在向学生传授新知识时，坚持以听说领先。通过放录音磁带、幻灯、录相、投影或图片等，引导学生边看，边听录音。生动的画面，优美的朗读，抑扬的语流，直观的交际情景，画面和声音有机结合，能感染学生，诱发学习的欲望，激发学生的兴趣。教师因势利导，根据情节，有针对性地给学生设置一些问题，启发学生在以后的瞬间作出答复，具有挑战性、刺激性和动力作用，学生都能思考和回答问题。结合所学内容，我经常选放一些英文歌曲，如字母歌、星期、月份、季节、圣诞等歌曲。一次班上一个学生做值日报告时，说到那天是他的生日，正好歌曲磁带中有生日歌，我连放两遍，第一遍大家听，第二遍大家齐唱，气氛非常热烈。这位学生很感动地说："I'm
very happy．Thank you very much．
德国教育家第斯多惠曾经说过这样一句话："教学的艺术不在于传授本领，而在于激励，唤醒，鼓舞。"教师寓教于乐，学生们潜移默化地领略到英语之美，从而爱学这门学科，更重要的是学生在顺畅的心境中，课堂气氛活跃，学生注意力集中，对提高课堂听说起到很大的帮助。
（二）听说领先，增加学生听说和学习语言材料的激量。
中学生学习第二语言，达到一定的刺激量是语言学习的一个重要条件。
听在英语的"听、说、读、写"四要素中处于最基础的地位。"听"是输入，是人们学习，吸收语言的重要途径，没有输入就没有输出。听不懂就模仿不了。说话时也就会张口结舌，所学的英语也只能是"聋哑英语"。说的能力很大程度上有赖于听的能力。不仅如此，现代研究阅读的专家认为，耳朵受到很好训练实际是一个听的刺激量的训练过程，刺激越多，输入量越大。这也有助于阅读。随之有助于写作。而听说的技能需要进行系统的训练。我的做法如下：
（1）课堂用语
教师尽量用英语组织课堂教学，师生问候，发出指令，指出问题等等。随着学生知识面扩大，学习内容加深，课堂用语相应增加。我在备课时，有意识地注意使用课堂用语，课上尽量多说英语，并用学生能够接受的英语解释新的语言现象，学生不觉增加负担，就可以增加接触英语的机会。这有利于加强对学生听的刺激训练，刺激越多，听的能力也就提高了。
（2）视、听、说配合
初一新教材每节课的第一部分都安排的是"Listen and repeat"，教师要很好地利用幻灯片,教学图片配合录音材料，进行视，听，说的练习。在听录音时，教师要随着录音讲述的内容，用教棒在幻灯片上或图片上指出相应的部分，帮助学生理解，学会用英语思维。然后在让学生模仿着说，这有利于学生养成音、形、义直接联系的习惯。
（3）听说配合
在听短文录音前，提出与短文内容有关的问题，听完之后让学生作口头回答。简略或完整都可以，因为学生层次不同。在口头回答问题的基础上，鼓励学生用几句话说出大意。这种听说配合的方法，有助于培养学生集中注意力，将句子，将短文听完整，整体理解。
通过以上不同方式训练，加强了学生视听说刺激量。
（三）听说领先，训练学生用英语思维，促进学生英语语言能力。
初中学生对学习的认识已不再是简单的重复，他们已经能够进行逻辑形式思维，需要具有挑战性的训练，学生的表现欲望强。
课堂教学是提高学生英语水平的主战场，创设最佳的语言环境，教师只有充分利用课堂时间，给学生提供大量的听说实践的机会，使学生逐步提高运用语言的能力。为此课堂上要以学生为主体，坚持学生能说的一定让学生说，教师不可包办代替。每节课开始由值日生报告，除了说星期几，日期，天气，出勤情况及课程安排，学生们还能结合自己的情况，结合课程内容，班级里发生的事情等发表演说。学生们很珍惜这个报告的机会，都进行认真的准备。学习新课经过导人之后，将学生分成小组进行对话练习，分组表演等等。在操练活动中，语言的重点难点得到融化。上学期学生们在学习运动这一单元里的篮球赛和足球赛时，我安排了篮球和足球赛各两场，各队分别有解说员。球赛开始了，解说员?quot;It's
a fine day today．The students of Class are having a basket-ball
match．Look，X X is shooting at the basket．X X is running after X
X，but he misses the basket．"不时地球场上传来队员们的喊声：" Throw the
ball to me．Shoot at the basket．Oh，good!"此时又响起解说员的声音："X
X shoots a basket．Great! X X shoots anothe4 basket．"这节课学生们在实践中学习了语言，在实践中运用了语言，在实践中掌握了语言，感受到成功的喜悦，增强了学习语言的信心。坚持以听说为主，让学生进行会话，表演可以体现英语交际功能，可以以好带差起到帮助带动作用，可以满足学生自我实现，企求成功的心理需要，激发进一步的学习欲望，可以拓宽练习的面，增强了听说的活动量，学生们积极性高，乐于参与。与此同时，学生们的思维能力，认知发展的水平得到提高。语言是思维的工具，思维又促进语言的发展。培养学生用英语思维的能力，英语思维又促进了学生运用英语的能力。
从初中英语听说领先的教学实践中证明，开展形式多样的听说训练的做法是可行有效的。我们只要在教学中不断地去学习，去探索，不断地总结和研究有效的听说策略，我们的英文教学效果一定会提高。主要参考书目：
l、J．M．索里、C．W特尔福德著《教育心理学》北京人民教育出版社，1992年
2、麦克多诺著《外语教学中的心理学问题》北京教育出版社。1987
3、王小平《带领孩子走向世界》 南宁，广西教育出版社
4、《学科教育》杂志，上海师范大学出版95－98
5、《英语教学》2000．l
英语的形成
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国南面隔英吉利海峡（the English Channel）、多佛尔海峡（the Straits of Dover）与法国相望，东面和东南面隔北海(the
North Sea)与荷兰、比利时、丹麦、挪威遥对。距 欧洲大陆最窄处的多佛尔海峡仅三十公里宽。英国的领土主要包括大不列颠岛和爱尔兰岛东北部。大不列颠岛包括三个地区：英格兰占南部和中部，威尔士占西部山地半岛，苏格兰占北部；其中以英格兰最为重要。大不列颠岛是欧洲第一大岛，海岸非常曲折，长达一万一千四百五十公里。英语就是在这样的地理环境中形成的。为了说明英语的起源，我们有必要回顾一下英语形之前的英国史前史。文物考查已经证明，古代印欧游牧部落西移之前今天的不列颠诸岛上已居住着旧石器人(Paleolithic
Man)。那时，不列颠诸岛和欧洲大陆是连成一片的，英国和法国之间还没有今天的英吉利海峡和多佛尔海峡，莱茵河(the Rhine)与泰晤士河(the
Thames)之间尚由其支流相接、今天的英国仍属欧洲大陆的一部分。大约在距今九千年的时候；由于地壳的变迁，大不列颠诸岛从欧洲大陆分离出来。所以史前的旧石器人能够在不列颠定居下来并不足为怪。曾任过英国首相的温斯顿·邱召尔Sir
Winston Churchill）(1874?/FONT>1965)在其《说英语的民族史》（History of the
English Speaking Peoples）一书中，曾这样描写居住在不列颠的旧石器人：很明显，那些赤身裸体或只披着兽皮的男人和女人或觅食于原始密林之中，或涉猎于沼泽、草滩至于他们所说的语言，尚无史料可查。大约在公元前3000年，伊比利亚人（Iberians）从地中海地区来到不列颠岛定居。他们给不列颠带来了新石器（Neolithic）文化，同时征服了先前在那儿居住的旧石器人。大约从公元前500年开始，凯尔特人；（Celts）从欧洲大陆进犯并占领了不列颠诸岛。凯尔特人最初居住在今天德国南部地区，他们是欧洲最早学会制造和使用铁器和金制装饰品的民族；在征服不列颠之前，他们曾征服了今天的法国、西班牙：葡萄牙、意大利等地区；来到不列颠后，一部分凯尔特人在今天的爱尔兰和苏格兰定居下来，其余的一部分占领了今天的英格兰的南部和东部。每到一处，他们都对伊比利亚人进行残酷的杀戳。凯尔特人讲凯尔特语。今天居住在苏格兰北部和西部山地的盖尔人（Gaels）仍使用这种语言。在英语形成之前凯尔特语是在不列颠岛上所能发现的唯一具有史料依据的最早的格言。
公元前55年的夏天，罗马帝国的恺撒大帝（Julius Caesar）在征服高卢（Gaul）之后来到不列颠。那时，他的目的未必是想征服不列颠，而是想警告凯尔特人不要支持那些居住在高占的、正受罗马人奴役的凯尔特同族人。恺撒大帝的这次‘不列颠之行’并没有给罗马帝国带来什么好处，相反却在一定程度上降低了他的威信。第二年，即公元前54年的夏天，恺撒大帝第二次亲临不列颠。这次，他在不列颠岛东南部站稳了脚跟，并与当地的凯尔特人发生了一些冲突。恺撒大帝虽然取胜，但并没有能使凯尔特人屈服。不久，他又回到了高卢；在以后的大约一百年间，罗马帝国并没有对不列颠构成很大的威胁。
英国历史上的真正的“罗马人的征服”(Roman Conquest)是在公元后43年开始的。当时罗马皇帝克罗迪斯(Claudius)率领四万人马，用了三年时间终于征服了不列颠岛的中部和中南部随后，整个的英格兰被罗马牢牢控制了。，随着军事占领，罗马文化与风格习惯渗入不列颠。罗马人的服装、装饰品、陶器和玻璃器皿很快在不列颠得到推广；社会生活开始：“罗马化”这必然导致拉丁语在不列颠的传播。在以胜利者自居的罗马人看来，凯尔特人无疑是“低贱的”，凯尔特语自然不能登“大雅之堂”那时，在不列颠，官方用语、法律用语、商业用语等均是拉丁语；拉丁语成了上层凯尔特人的第二语言。这就是凯尔特语词汇为什么很少能幸存下来的历史原因。在今日英语中，只是在一些地名和河流名称方面还保留着凯尔特的词汇成分。例如the
Thames ,the Cam,the Dee ,the Avon , the Esk , the Exe , the Stour
, the Aire , the Derwent , the Ouse , the Severn , the Tees , the
Trent , the Wye等，均是凯尔特人命名的河流。在Duncombe, Winchcombe, Holcome, Cumberland,
Coombe 等地名中，也可看到凯尔特语cumb (=deep valley::深谷）一词的成分，在Torcross , Torquay,Torrington等地名中，尚保留着凯尔特语torr
(=high rock or peak;高岩或山顶）一词的成分。英国著名城市多尔佛（Dover）、约克(York)的名称也源于凯尔特语。罗马人占领不列颠长达四百年，直到公元407年，罗马人才因罗马帝国内外交困不得不开始撤离不列颠。
大约在公元449年，居住在西北欧的三个日耳曼部族侵犯不列颠。他们是盎格鲁（Angles）、撒克逊人（Saxons）和朱特人（Jutes）他们乘船横渡北海，借罗马帝国衰落、自顾不暇之机‘一举侵入大不列颠诸岛。他们遭到凯尔特人的顽强抵抗，征服过程拖延了一个半世纪之久：到了公元六世纪末，大不列颠请岛上原先的居民凯尔特人几乎灭绝，幸存者或逃入山林．或沦为奴隶。这就是英国历史上发生的“日耳曼人征服”，亦称“条顿人征服”Teutonic
Conquest）。这次外来入侵．对英语的形成起了十分关键的作用(见附图一)。
盎格鲁人、撒克逊人和朱特人属古代日耳曼人。分市在北欧日德兰半岛、丹麦诸岛、德国西北沿海一带。在罗马帝国时期，他们往往统称为“蛮族部落”。他们从事畜牧和狩猎，过着半游牧的生活，且很早就知道农耕。他们的土地是氏族的公有财产，农业经营带有原始的流动性质。随着社会的发展，氏族公社逐渐解体，出现了氏族贵族和军事首领。他们的财富和权势在频繁的掠夺中剧增。军事首领名义上是由民众大会推选产生的，实际上都出于同一家族。恩格斯曾把这种氏族部落的管理制度称作军事****制；他这样写道：“其所以称为军事****制，是因为战争以及进行战争的组织现在已成为民族生活的正常职能。邻人的财富刺激了各民族的贪欲。这些民族把获得财富看成是最重要的生活目的之一。他们是野蛮人。进行掠夺在他们看来是比进行创造性劳动更容易，甚至更荣誉的事情。以前进行战争，只是为了对侵犯进行报复，或者是为了扩大已经感到不够的领上；观在进行战争，则纯粹是为了掠夺，战争成为经常的职业了。“
这些所谓的‘蛮族”，在摧毁当时罗马帝国的奴隶制，以及推动西欧封建制度的诞生过程中，起过十分重要的作用。
征服不列颠后，盎格鲁人主要占领了洪伯河（the Humber）以北地区；撒克逊人主要占领了泰晤士河以南地区；朱特人主要盘踞在英格兰东南端的肯特（Kent）
和南汉普郡（Southern Hampshire）；以及位于英格兰之南、靠近今天的朴次茅斯(Portsmouth)的怀特岛（the
Isle of Wight），形成许多小国。公元七世纪初，这些小园合并为七个王国：南部有撒克逊人的威塞克斯（Wessex）、萨塞克斯(Sussex)和埃塞克斯(Essex)；东北部和中部有盎格鲁人的梅尔西亚(Mercia)、诺森伯里亚（Northumbria），和东盎格里亚(East
Anglia)；东南部有朱特人的肯特(Kent)王国。各国竞相争雄，达两百年之久；在英国历史上称为“七国时代”(the Anglo-Saxon
Heptarchy)。这三个日耳曼部族虽然有各自的方言，但这些方言均属低地西日耳曼语(Low West Germanic)。有许多共同之处．因此三个部落在语言方面基本上是相通的。他们都使用一种叫做茹尼克（Runic）的文字。这种文字是古代日耳曼各民族通用的文字．它的字母主要由直线组成，以便于刻在木头或石块上，是一种由古希腊语和拉丁语发展起来的北欧碑文字。随着人类社会的发展，盎格鲁人、撒克逊人和朱特人逐渐形成统一的英吉利民族．他们各自使用的方言也逐渐溶合，出现了一种新的语言棗盎格鲁撒克逊语(Anglo-Saxon)。这就是古英语。它是在特定的地理和历史环境中，经过一系列民族迁移与征服的过程所形成的。
那么English和England的名称是如何来的呢？原来，凯尔特人将征服他们的盎格鲁人、撒克逊人和朱特人习惯地统称为Saxons(撒克逊人)。早期拉丁语学者仿照凯尔特人的习惯．也将这三个日耳曼部族称作Saxones．并将他们征服的不列颠称作Saxonia。随后,Angli和Anglia在拉丁语著作中分别代替了Saxones和Saxonia。到了公元700年所有的人都把当时通行在不列颠岛上的语言称作Englisc（盎格鲁人一直就是这样称呼其使用的语言的)，三个入侵的日耳曼部族则统称为Angelcynn(=kin
of the Angles即“盎格鲁人的家族”)到了公元1000年整个国家则被称作Englaland (=land of the
Angles盎格鲁人的土地)。由于语言内部在发音和拼写方面发生了演变Englisc和Englaland才变成了今天的English和England。
在追溯英语的历史发展时，我们通常将它分为三个时期：（一）古英语(Old English)，从公元450年至1150年；(二)中古英语(Middle
English)，从公元1150年至1500年；，（三）现代英语(Modern English)，从1500年至今。为便于研究，我们常把1500?/FONT>1700年的英语称作“早期现代英语”(Early
Modern English)，1700年至今的英语称作“后期现代英语”(Later Modern English)。这样的分期当然不是绝对的，但它有助于我们对英语历史发展全过程的了解和研究。
Language and Thought
by Dan Slobin of the University of California, Berkeley
No one would disagree with the claim that language and thought interact
in many significant ways. There is great disagreement, however,
about the proposition that each specific language has its own influence
on the thought and action of its speakers. On the one hand, anyone
who has learned more than one language is struck by the many ways
in which languages differ from one another. But on the other hand,
we expect human beings everywhere to have similar ways of experiencing
the world.
Comparisons of different languages can lead one to pay attention
to 'universals'--the ways in which all languages are similar, and
to 'particulars' --the ways in which each individual language, or
type of language, is special, even unique. Linguists and other social
scientists interested in universals have formulated theories to
describe and explain human language and human language behavior
in general terms as species-specific capacities of human beings.
However, the idea that different languages may influence thinking
in different ways has been present in many cultures and has given
rise to many philosophical treatises. Because it is so difficult
to pin down effects of a particular language on a particular thought
pattern, this issue remains unresolved. It comes in and out of fashion
and often evokes considerable energy in efforts to support or refute
it.
Relativity and Determinism
There are two problems to confront in this arena: linguistic relativity
and linguistic determinism. Relativity is easy to demonstrate. In
order to speak any language, you have to pay attention to the meanings
that are grammatically marked in that language. For example, in
English it is necessary to mark the verb to indicate the time of
occurrence of an event you are speaking about: It's raining; It
rained; and so forth. In Turkish, however, it is impossible to simply
say, 'It rained last night'. This language, like many American Indian
languages, has more than one past tense, depending on one's source
of knowledge of the event. In Turkish, there are two past tenses--one
to report direct experience and the other to report events that
you know about only by inference or hearsay. Thus, if you were out
in the rain last night, you will say, 'It rained last night' using
the past-tense form that indicates that you were a witness to the
rain; but if you wake up in the morning and see the wet street and
garden, you are obliged to use the other past-tense form--the one
that indicates that you were not a witness to the rain itself.
Differences of this sort have fascinated linguists and anthropologists
for centuries. They have reported hundreds of facts about 'exotic'
languages, such as verbs that are marked or chosen according to
the shape of an object that is being handled (Navajo) or for the
relative ages of speaker and hearer (Korean). Such facts are grist
for the mill of linguistic relativity. And, indeed, they can be
found quite readily in 'nonexotic' languages as well. To cite a
fact about English that is well known to linguists: It is not appropriate
to say Richard Nixon has worked in Washington, but it is perfectly
OK to say Gerald Ford has worked in Washington. Why? English restricts
the present perfect tense ('has worked') to assertions about people
who are alive. Exotic!
Proponents of linguistic determinism argue that such differences
between languages influence the ways people think--perhaps the ways
in which whole cultures are organized. Among the strongest statements
of this position are those by Benjamin Lee Whorf and his teacher,
Edward Sapir, in the first half of this century--hence the label,
'The Sapir-Whorf Hypothesis', for the theory of linguistic relativity
and determinism. Whorf proposed: 'We cut nature up, organize it
into concepts, and ascribe significances as we do, largely because
we are parties to an agreement to organize it in this way--an agreement
that holds throughout our speech community and is codified in the
patterns of our language' (Whorf, 1940; in Carroll, 1956, pp. 213-4).
And, in the words of Sapir: 'Human beings...are very much at the
mercy of the particular language which has become the medium of
expression for their society. ...The fact of the matter is that
the "real world" is to a large extent unconsciously built
up on the language habits of the group' (Sapir, 1929; in Manlbaum,
1958, p. 162).
Investigating Language and Thought
How can such bold claims be substantiated beyond examination of
individual languages themselves? If one takes the hypothesis seriously,
it should be possible to show that Turks are more sensitive to evidence
than are Americans, but that Americans are more aware of death than
Turks. Clearly, the hypothesis cannot be supported on so grand a
level. Rather, experimental psychologists and cognitive anthropologists
have sought to find small differences, on controlled tasks, between
speakers of various languages. Maybe Navajos are somewhat more sensitive
to shapes of objects, for example.
The results have been mixed. In most cases, human thought and action
are overdetermined by an array of causes, so the structure of language
may not play a central causal role. Linguistic determinism can best
be demonstrated in situations in which language is the principal
means of drawing people's attention to a particular aspect of experience.
For example, if you regularly speak a language in which you must
pick a form of second-person address (you) that marks your social
relationship to your interlocutor--such as Spanish tu ('you' for
friends and family and for those socially subordinate) vs. usted
('you' for those socially above in status or for those with whom
you have no close connection) or French tu versus vous--you must
categorize every person you talk to in terms of the relevant social
dimensions. (As a thought experiment of linguistic determinism,
think of the categorizations of social relationships that would
have to be made if Spanish became the common language of the United
States.)
Going beyond thought experiments, some of the most convincing research
demonstrating some degree of linguistic determinism is being conducted
under the direction of Stephen C. Levinson at the Max Planck Institute
for Psycholinguistics in Nijmegen, The Netherlands. Levinson and
his collaborators distinguish between languages that describe spatial
relations in terms of the body (like English 'right/left', 'front/back')
and those that orient to fixed points in the environment (like 'north/south/east/west'
in some aboriginal Australian languages). In a language of the second
type one would refer, for example, to 'your north shoulder' or 'the
bottle at the west end of the table'; in narrating a past event,
one would have to remember how the actions related to the compass
points. Thus, in order to speak this type of language, you always
have to know where you are with respect to the compass points, whether
you are speaking or not. And Levinson's group have shown, in extensive
cross-linguistic and cross-cultur studies, that this is, in fact,
the case.
Much more research needs to be done, but it is not likely that
the Sapir-Whorf hypothesis will be supported in the strong form
quoted above. For one, language is only one factor that influences
cognition and behavior. For another, if the Sapir-Whorf hypothesis
were really true, second language learning and translation would
be far harder than they are. However, because language is so pervasive--and
because we must always make cognitive decisions while speaking--weaker
versions of the hypothesis will continue to attract scientific attention.
(For a lively debate on many of these issues, with much new evidence
from several fields, read Gumperz and Levinson 1996.)
Suggested Readings
Gumperz, J. J., and Levinson, S. C. 1996. Rethinking linguistic
relativity. Cambridge, UK: Cambridge University Press.
Lucy, John A. 1992. Language diversity and thought: A reformulation
of the linguistic relativity hypothesis. Cambridge, UK: Cambridge
University Press.
Sapir, E. 1929. "The status of linguistics as a science".
Language 5. 207-14. Reprinted in The selected writings of Edward
Sapir in language, culture, and personality, ed. by D. G. Mandelbaum,
160-6. Berkeley: University of California Press.
Whorf, B. L. 1940. "Science and linguistics". Technology
Review 42: 227-31, 247-8. Reprinted in Language, thought, and reality:
Selected writings of Benjamin Lee Whorf, ed. by J. B. Carroll, 207-19.
Cambridge, MA: The Technology Press of MIT/New York: Wiley. 1956.
跨文化交际与中学英语教学
52en.com 392 2-15
1. 英语歧义现象
任何语言都有歧义现象，英语也不例外。Kess 和Hoppe在其专著《Ambiguity in Psycholinguistics》一书中甚至提出“语言无处不歧义”的理论。他说，“Upon
careful consideration, one cannot but be amazed at the ubiquity
of ambiguity in language.”（仔细思考一下，我们不能不惊奇的发现普遍存在的语言歧义现象。）
我们虽然不必极端的理解歧义的普遍性，但其在语言中的客观存在是不容忽视的。Kempson指出：“词和句子都可能含有一个以上的意义。”而英国Leech则将歧义定义为“…一个语言项目具有一个以上的认知意义。”因此大部分语言工作者都普遍相信，当结构上遵循语法规则、语义上符合逻辑常理的语句，其深层可包含两种或两种以上的释义，则会出现歧义（ambiguity）。不过，以上对于歧义的理解多把它局限于以词语、句子为单位的语言素材中，其实，在语言运用中，我们也会发现在大于句子的语段和语篇中存在歧义现象。因此，笔者认为，我们不妨把歧义理解为“一个语言项目（包括词、句等）或一个语篇（一首诗，一段叙事，一则广告）具有两个或多于两个含义的语言现象”。
很多语言工作者已经注意到了这一独特的语言现象，并对其加以研究分析。但大多研究仅局限于对歧义类型的总结、歧义现象的描述，而未将其置于实际的交际使用和实际教学中加以探讨。另外，很多语言学家在研究这一语言现象时，往往是从固有歧义出发，尽可能脱离上下文对歧义的语义制约，来进行研究。这固然是因为歧义现象本身是具有不同释义特征的孤立语句，但是从交际语言观的角度来看，将语句的表层结构和深层结构割裂、孤立的对待，是不符合语言使用的本质特性的。
鉴于以往研究的局限性，本文将主要从交际效应的角度出发，把交际过程中出现的歧义现象分为蓄意歧义（intentional ambiguity）和无意歧义（unintentional
ambiguity），并分别结合教学实践加以分析举例。其中前者是说话人对于语言结构矛盾的积极利用，或一语双关，或声东击西，以达到特定的交际目的。而后者是语言结构矛盾的自然显露，语言交际中出现的语病和误解有时就是无意歧义的具体体现。这样的分类，能显示语言创造性的积极的一面和因节约性而引发的消极的一面，在教学中区别对待，无疑会得到事半功倍的效果。
2．无意歧义与交际教学
按照语言交际教学的观点，语言是用来交流思想的，而无意歧义则是由于语言使用者本身或语言结构自身的缺陷，而导致交流受损的语言现象。
那么如何避免无意歧义有可能造成的对语言交流的损害呢？从教师的角度来看，如果教师首先帮助学生系统的建立“歧义”这一概念，让学生了解到语音结构中，有限的音素交叉组合，同音词或词组的存在有可能导致歧义误读；在词汇中，有限的字母组合拼写，会导致一词多义、一义多词的现象；句法结构中，有限的句型进行组合时也有可能导致歧义出现。从而帮学生树立语言歧义现象有其存在的普遍性和客观性的观点。在帮助学生树立了这一观念后，教师可以系统的从纷繁芜杂的歧义现象中总结出一些避免歧义、消解歧义、排除歧义的方法，帮助学生扫除语言交际中的障碍。在此，笔者就自己在学习和教学中所遇到的案例，试作一探讨。
2.1 语音结构引起的无意歧义
口头交际中，连续语篇的听觉单位是呼吸组而非单词，因此有不同单词组成的两个语音相同的呼吸组可出现同音异形的现象。如：
Where’re those stools?
Where’re those tools?
What’re these sticks?
What’re these ticks?
不同的单词组成的两个相同的呼吸组形成同音异形异义，导致了无意歧义的发生。这是如果在词与词之间少做停顿，互不粘连，便可以避免歧义产生。或者，有意识的指导学生在中心词周围加上一定的限定修饰成分，也可起到避免无意歧义的作用。如：
Where’re those stools for me to stand on?
Where’re those left-handed tools?
2.2 句法结构引起的无意歧义
美国语言学家Roberts 曾指出：“这种因句法规则使用不当而引起的句法歧义是由于人们忽视使用表明句子结构的句法代号而引起的。”（引自陈汉生《基础英语中的几种歧义现象》）下面是几种常见的句法结构引起的歧义现象，以及笔者建议的消解对策。
a. 名b. 词（动词）+动词（名c. 词）
这是由于某词在句子中的词类解读不同而造成的无意歧义。例如：
Our club demands change.
很明显，“demands”和“change”都可以被解读成不同的词类，即既可以是名词，又可以是动词。那么在实际交际中，就有可能被理解成
1）our club demands to have some change.
2) the demands of our club are not the same as before.
为了避免这种类似的误读现象发生，我们可以指导学生使用某些句法代号来表明这些易混词的词类。如在demand前使用情态动词will，demand
词尾加一般过去时的后缀；change前加a或some。也可demand前加限定词the，或在change前使用情态动词，这样使之分别呈现出名词或动词的特征。
d. 修饰语+名e. 词
English teacher是在交际教学中时常引起歧义的一种现象。它即可能是1）一位教英语的老师，也可能是2）一位来自英国的老师。要限定English
teacher是表达1或2的意思，关键在于明确它是复合名词还是有修饰语家名词组成的名词短语。在交际教学中，教师可以指导学生依靠重音模式来区分上述不同结构。如果重音模式为主重音-第三重音（primary-tertiary
stress），则表示1的意思，即English teacher是复合名词；如果重音模式是次重音-主重音（secondary-primary
stress），English teacher就成为了名词短语，表示2的意思（Roberts）。因此，教师可以通过帮助学生理解怎样在交际中使用不同的重音来强调、区别自己想要表达的重点。另外，也可以通过常识和交际语境来进行推理。
f. 动词词组+名g. 词宾语
下面也是引起语言歧义现象比较典型的句子：
The doctor looked over my head. 句中的over是副词还是介词？如果是副词，则和动词组成复合动词，意为examine
quickly;如果是介词，则和后面的名词组成介宾短语，意为look above。因此这种句子在交际中会有两种解读方式：1医生检查了我的头。2
医生从我头顶看去。
避免和消解这种歧义现象，可以通过提示学生over一词在句中如果用次重音并且在over前不用持续连音，那么，听者就会over理解为副词，而词组为复合动词词组；反之，over一词在句中使用第三重音，并且over之前使用持续连音，听者就会把它理解为介词，与其后的名词组成介词短语。
另外，小品词用作副词，在句中的位置可变换，可置于名词宾语的前面或后面，但只能放在代词宾语的后面。小品词如用作介词，起在句中的位置是固定的，只能置于介词宾语之前。这也可以作为判断句意的一种方法。
h. 名i. 词+修饰语+修饰语
如果名词后面紧跟两个修饰语，其中第二个修饰语既有可能修饰名词，也有可能修饰第一个修饰语。如：I visited the woman
with the kid who was sick. 其中who was sick是修饰the woman 还是the kid?
另一种容易造成歧义的结构是修饰语+名词+名词，这时往往使人造成迷惑的是修饰语到底修饰的是哪一个名词。如：young women
and men,就有两种理解方式：年轻女人和所有男人；所有年轻的男女。在交际活动中，为避免这种歧义，可以指导学生使用正确的停顿和连续连音，以及调整词序等方式，控制歧义现象的出现。
2.3 词汇引起的无意歧义
词汇引起的无意歧义有两种形式：具有多个义项的一个词和拼写相同的多个词。虽然孤立状态的多义词会有多个词义，但在交际教学中，学生接触的语料都有语境相随，起到制约的作用，因而大多数情况下，只有一个词义适合上下文，但如果语境对多义词制约不够严格，就会出现无意歧义。如：
She can’t bear children so she never talks about them.
可释义为1）她不能生小孩，所以也从不谈论孩子。2）她不能忍受孩子，所以也从不谈论这个话题。
词汇歧义形形色色，这里只略举数例：
Look out! There comes the train!(当心！火车来了！/看外面！火车来了！)
They passed the notice in the dark.(他们在暗中传递着通知。/他们在黑暗中传递着通知。)
He turned out a wounded soldier.(他赶走了一个受伤的士兵。/他原来是个伤兵。)
这几个例子都是同形同音异义词（组）。
有时，词（组）有本意和转义之别而造成歧解：
We saw the light.(我们看见了灯。/我们明白了。)
He is well-known for his long face.(他因脸长而著名。/他因常闷闷不乐而著称。)
We were standing by the moment he lay low.(他伏下身那会儿我们就站在旁边。/他下葬那会儿我们就在旁边。)
甚至有些词（组）的肯定与否定形式反而各有一解，如：
a dress that is much worn.(一种很流行的服装式样/一件穿旧了的衣服) 但是：
I want a cloth that will wear.
I want a cloth that won’t wear.
两句的意思是一样的，意思是：我要一种耐穿的衣料。之所以wear的意思变化无端，是因为它既有“磨损、穿破”的意思，又有“耐磨、耐穿”的意思。同样身兼相反两义的还有overlook（监视，查看；忽视，不看）等词。
而有时一词会兼褒贬两义于一身，如pride, proud; envy, envious; ambition, ambitious等。仅以ambition为例：
1）Her ambition was to be a famous singer.
她的理想是成为著名的歌唱家。
2）Hitler’ ambition was to conquer the whole Europe.
希特勒的野心是要控制全欧洲。
在日常交际中，字面词义和意向义往往相差很大。因此在交际教学中，教师应将语言结构和词汇学习和语境相结合，使学生根据不同的语境产生不同的联想；不同的语气声调也会承载不同的信息，教师可以有侧重点的对学生进行专题练习，如将此类词汇作一列表，辅之以不同情景，让学生体会使用这些词汇进行信息传递时，产生的不同理解和反映。
3.蓄意歧义和交际教学
虽然无意歧义会给语言交际活动带来障碍甚至损害，是语言结构矛盾的显现。当语言教学中出现由无意歧义导致的语病和误解时，教师应提醒学生注意避免和排除。但“Every
coin has two sides（万事有利有弊）”，如果对语言结构矛盾加以积极利用，又会产生一语双关、声东击西的效果，可帮助达到特殊的交际目的。这就是我们要讨论的蓄意歧义。
在交际活动中，最令学习者感到难以琢磨的应该算是语言幽默了，而它的根本特征就是利用语言上的歧义。它常常是说话者的故意安排，通过多种语言手段在语音、词汇、句法等层次上反映出来，利用语言细微的差别达到耐人寻味、或出其不意的戏剧效果。下面就从语音、词汇、句法三个方面讨论蓄意歧义造成的这种效果，以及对交际教学的启示。
3.1 语音引起的蓄意歧义
在利用语音制造蓄意歧义交际效果时，同音（形）异义词（组）（homonym）经常被用来进行有意识的巧妙安排。如flour(面粉)和flower(花朵)，need（需要）和knead(揉面)等，他们发音相同，但意义各异，常常会使人产生误解。如一家健身房的广告是：
We have courses to make grown men young and young men groan.
这里就采用了蓄意歧义来制造幽默效果，因为grown(成年的)和groan(呻吟)是一对同音异义词，被巧妙的用在了同一个句子中，幽默油然而生。又如：
“When does the baker follow his trade?”
“Whenever he kneads the dough./needs the dough.”
这里利用的是need和knead这一对同音异义词，并配上dough一词的多义（面团；钱），造成了两种解读方式：1）当他揉面时；2）当他需要钱时。这里蓄意歧义形成了双关来达到幽默效果。
另外的一个例子：A hopeless widower said, “Nothing can mend a broken heart.”
A widow answered, “Except repairing.”“修理”（/rip′ε/）和 “重新配对”（/′rip′ε/）发音基本相似，只是重音有些微的差别，但正是这一点差别让听者有了联想的余地，而语言幽默效果也表现出来了。
3.2 词汇引起的蓄意歧义
词汇引起的蓄意歧义不仅产生于发音相同而意义相异的两个词，也产生于同一个词的两种不同意义，即一词多义。因此一个词的确切意义必须由其语境来判断。语境不同，或语境不明，或故意弄的模模糊糊，多会产生双关或暗指这样的特殊交际效果。比如：
“Fourth floor, please.” said the passenger to the elevator.
“Here you are, son.”
“How dare you call me son?”
“I brought you up, didn’t I?”(我带你上来的，不是吗？/我把你养大的，不是吗？)
因为英语中许多习语不能按其字面组成词的意思来解释，而是具有作为习语的特定含义，因此这也成了蓄意歧义的一种来源。又如：
The American Dream does not come to those who fall asleep.
这里的American Dream(美国幻梦)已成了一个特定词组，专指“人人都能追求富裕、自由，机会均等”，已经具有特定的文化内涵。而这句话又将dream和fall
asleep对应起来，使其不仅具有幽默感，还带有警句色彩，耐人寻味。
3.3 句法结构引起的蓄意歧义
句法关系的不同也可以制造出蓄意歧义的效果，即在同一句子的内部因存在着不同的内在句法关系而可以做出不同的解释。而形成蓄意歧义。比如：
For more than a year, a man had eaten in a small restaurant where
the sign read:“ Mary’s Home Cooking”. However, he had never had
never seem Mary. When he finally curiously asked the waiter why
Mary was never around, the answer was “Mary was just where the sign
says she is, home cooking.”
招牌上的这句话，其中的’s结构，从句法结构上看可以是所有格形式，这是意思为“玛丽的家常拿手菜”；也可以是to be的缩写，这就成了“玛丽在家里做饭了”。
总之，在英语交际教学中，教师可以首先引导学生学会欣赏蓄意歧义达到的交际效果，意识到幽默是智慧的体现。蓄意歧义体现了智力的优越，而能够理解和欣赏这种独特的语言现象也需要智慧。在学生的基本综合能力达到一定水平时，让他们尝试在交际中自己使用一些结构，体验其效果，可以从另一个角度提高他们对语言学习的积极性。
4. 结语
对交际教学而言，由于歧义现象是结构形式和意义之间的矛盾而生，跟踪歧义的触发、显露、消除和利用的全过程，会帮助学生理解语言是一个多层面、多因素相互协调有相互制约的对立统一体，语言的语音和文字形式之间有着微妙而复杂的联系，这种理解有利于学生树立全面、辨证的语言观，建立从整体上去把握语言的理念。
其次，对歧义现象的关注为教学提供了大量具有明显歧义或暗含歧义的语言材料，可以帮助学生从不同于主流教学的另外一个角度认识语言结构及其运用规律，了解语言各层面之间的微妙关系，掌握科学的学习方法。
另外，在英语实践方面，由于歧义是由语言结构和语言意义之间的矛盾而生，因而在组织学生按照交际情景学习语言时，不应忽略语言结构形式的掌握；而同样在教授语言结构形式时，也不应放弃其交际功能的学习。在讲解词汇和结构形式时，不应单纯着眼于其语音、语义和语法特征，更要揭示其在不同交际环境中的内部变化和外部联系。
总之，歧义是一种独特的语言现象，对其加以研究，有广泛而切实的意义。无意歧义会造成交际活动的障碍，应被避免和消解、排除；而蓄意歧义的巧妙使用，又可以达到特殊的交际效果。而交际教学强调在语言使用中进行语言学习，交际活动中产生的大量语料又为歧义研究提供了活的研究素材。因此将英语歧义研究与交际教学相联系，无疑具有教学和语言学两方面的意义。
歧义研究是个大课题，其对于语言教学的意义非寥寥数言所能尽述，作为语言工作者和学习引导者的教师，更不应该忽视这一独特而不乏重要性的语言现象，在教学和科研中积极的对其加以研究和利用。
参考书目
1、文炼、允贻. 歧义问题[M]. 黑龙江人民出版社，1985.
2、邱述德. 英语歧义[M]. 商务印书馆，1998.
3、陈汉生. 基础英语中的几种歧义现象[J]. 外国语，1995（1）.
4、沈家煊. 英语中的歧义类型[J].现代外语，1985（1）.
5、贾德霖. 与歧义探源[J]. 现代外语，1991（4）.
6、王萃田译. 英语结构上的歧义现象[J].现代外语，1984（3）.
7、秦洪林. 歧义与模糊辨析[J]. 徐州师范学报，1993（2）.
8、王洪跃. 英语句法歧义比较[J]. 河南师大学报，1993（5）.
9、张逵. 英语歧义与幽默[J]. 山西师大学报，1993（3）.
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