导　　师： 张健

学科专业： 050201

授予学位： 博士

作　　者： ;

机构地区： 上海外国语大学

摘　　要： 本研究尝试在外宣翻译研究中引入西方修辞学的核心思想——劝说理论，在外宣翻译和修辞劝说理论之间开展跨学科应用研究。本研究基于这样的外宣翻译实践现状与对对外宣翻译的认识：一是外宣翻译的实效与国家对外宣翻译投入还不成正比，外宣翻译质量尚有一定的提升空间。二是目前外宣翻译研究偏重于翻译的共性研究，缺乏对外宣翻译的个性（即作为外宣工作的一部分的特点）的关注。三是外宣工作实质是国家的对外交流与劝服工作，是面对西方受众的对外宣传与说服，因而将西方的修辞劝说理论引入外宣翻译实践将能更好地实现翻译的外宣预期目标。 基于上述对外宣翻译现状的总结与认识，本研究旨在探索以下问题： 第一，外宣翻译与修辞（劝说）是否具有契合之处？在外宣翻译中引入修辞劝说理论进行研究是否具有现实必要性和理论可行性？ 第二，在修辞学诸多理论著述中有哪些最具代表性的劝说理论？这些有关劝说的修辞理论对外宣翻译实践有何启示意义？ 第三，在修辞劝说理论观照下，如何重新认识外宣翻译行为？提高外宣翻译的外宣效果有何因应之策？ 为了解决这些问题，论文首先在厘清外宣翻译研究中的一些关键概念和总结目前外宣翻译研究中所存在的局限性，以及深入解析外宣翻译与修辞劝说的契合之处的基础上，论证在外宣翻译研究中引入修辞劝说理论视角的必要性和可行性。随后，论文着重梳理了修辞学，尤其是西方修辞学中有关劝说的理论，并以此作为课题研究的理论框架对外宣翻译实践中所涉及的问题进行探讨，这些问题包括对翻译行为、翻译过程以及译者的再认识，外宣翻译的目的与任务等。基于对外宣翻译的目的与任务的新认识，论文尝试提出了外宣翻译应当遵循的原则，并通过对三种不同类型的外宣文本的翻译分析来进一步阐述、验证修辞劝说理论对外宣翻译实践的启示作用以及基于这一视角下提出的翻译原则在外宣翻译中的应用价值。 基于以上思路，本研究分四个部分、共七章对上述研究问题展开论述。 第一部分对本研究启动的背景和相关文献进行了综述。第一章为绪论，主要交代本课题选题的源起、研究问题的提出、课题研究的意义、研究所采用的方法以及本课题研究的主要内容。第二章为外宣翻译相关概念的厘清以及对外宣翻译研究视角的概述。本章主要对外宣翻译研究中所采用的视角进行综述，包括基于实践经验所进行的理论总结、以及基于跨文化传播学理论、语言学相关理论、功能学派理论、认知学派理论、建构主要学派理论以及生态翻译学理论等进行研究，并总结了这些理论模式对外宣翻译研究所提出的理论观点。第三章则在第二章的综述基础上着重讨论了这些理论视角的不足之处，以及论证了外宣翻译与修辞劝说的契合之处，进而提出有必要从修辞劝说理论视角出发，探究外宣翻译的目的、任务、原则及译策选择等问题的设想。 第二部分为论文的主体之一，论述的内容大致分为理论溯源和策略构想两部分，分别通过两个独立章节来展开论述。 第四章对修辞学，特别是西方修辞学研究一个重要组成部分——劝说理论进行梳理，为外宣翻译研究构建一个新的理论基础。这些理论及修辞思想包括：亚里士多德修辞诉诸三模式——诉诸修辞者的人格（ethos）、诉诸受众的情感（pathos）及诉诸论证的理性（logos）；佩雷尔曼的受众中心论——所有的论辩都必须适应受众，以受众所能接受的信念为基础；佩雷尔曼的选择、在场与交流理论——论辩中应选择论辩出发点来创造“在场”，由此，“选择”便变成了一个重要的因素，而创造“在场”本身就是选择强调、凸显事实或观点的某一方面，从而引导听众注意力集中到这些方面上来，这是修辞论辩中一个重要的运作机制；肯尼斯·伯克“认同”理论——“劝说”等同于“同质性”或“同一性”，修辞能否取得成功主要取决于修辞者能否获得受众的认同，即“劝说”是“同一性”的结果；比彻尔的修辞情境理论——修辞性的情境或环境触发修辞性话语的产生，规定了话语必须对之作出适当的回应，即话语应当适应于目的和场合；谭学纯教授的广义修辞学中的修辞互动论——“完整的修辞活动是交际双方互动的结果”，其中预设是双向交流的认知前提，一种修辞表达可能暗含了某种预设，而一种修辞接受也可能认同了某种预设。上述有关修辞论辩与劝说理论精辟地解析了实现话语交际有效性的策略问题，成为现代交际学、传播学以及心理学等领域的重要理论来源。 第五章以第四章所梳理出来的修辞劝说理论为框架，深入探讨了修辞劝说理论对外宣翻译的启示意义，并在此基础上尝试提出外宣翻译的策略构想。本章分三部分展开论述。一是对外宣翻译的再认识。由于修辞劝说理论所关注和探讨的问题与外宣翻译研究具有高度的相关性，修辞劝说理论视角可以帮助我们对外宣翻译进行新的认识，从新的角度再审视外宣翻译活动的本质、外宣翻译参与者及其之间的关系、翻译过程等问题。论文认为，外宣翻译是国家外宣工作的一部分，本质上也实践国家修辞的活动，有着明确的对外传播与劝服的目的。而译者在这一过程中既是信息的传递者，也是修辞者，肩负着实现外宣目的任务。对外宣翻译的新认识有助于我们厘清翻译过程中译者与其他参与要素的关系，如与委托人，原语文本、译文文本、译文受众等关系。二是论述了修辞劝说理论对外宣翻译的实践指导意义。首先是要提高外宣译者的修辞意识，这要求译者在翻译中加强“受众中心”意识和把握好翻译话语构建的修辞情境因素。而在翻译策略上，要善于借鉴修辞劝说策略进行外宣译文话语构建。这些具体方法包含三个修辞诉诸手段的运用，外宣译材选择上根据“内外有别”原则“选择”和“呈现”外宣信息，以及翻译中建立“认同”，实现外宣翻译的有效劝服目的等。三是尝试提出提高外宣翻译效果的因应策略。论文在对外宣翻译的重新认识基础上提出了外宣翻译的任务和目的：知之、好之、同之。作为对外宣传的信息传递者，译者的首要任务就是将原语文本的信息和外宣委托人的意图准确无误地传递给国外受众。另外，翻译要实现外宣目的就必须努力使外宣文本抓住读者，使受众愿意读、乐意听，确保外宣翻译交际信道的畅通，只有这样才有实现翻译的外宣预期目的的可能。而外宣翻译的最终目的就是通过译文信息讲述中国故事，传播中国文化，阐释中国立场，并得到国外受众的理解、接受和认同。基于上述对外宣翻译过程、目标与任务的再认识，本文进而尝试提出了外宣翻译的原则：忠诚、求效、适切。外宣翻译的“忠诚”原则指译者在翻译中应忠诚于委托人的外宣目的。“求效”原则则要求译者的翻译活动要为实现外宣目的服务。这是外宣翻译质量评估的重要指标。而“适切”原则要求外宣翻译适切外宣目的，适切译文读者的阅读期待。此外，本章还就外宣翻译过程中的修辞运作策略进行了简要的分析，以期论证外宣翻译过程中修辞策略运用的必要性和可行性。 第三部分为案例分析。第六章选取对外新闻，对外推介资料以及典籍外宣三种不同的外宣文本类型的翻译进行译例分析。本章尝试论述修辞劝说相关理论在外宣翻译中的应用可以更契合外宣翻译的“忠诚、求效、适切”原则，因而能更有效实现外宣翻译的外宣预期目的。 第四部分为总结论述。第七章分为研究总结和研究展望两部分。总结部分回顾了全文内容，总结论文的基本结论，主要贡献等。而展望部分则在对论文研究的不足之处与局限性进行总结的基础上提出了未来研究所应当努力的方向。 本研究的基本结论认为，外宣翻译是国家外宣工作的一部分，而对外宣传工作是国家、企事业单位对外传播与劝服行为。从这个意义上看，我们有必要视外宣翻译为一种修辞行为，而译者在翻译中既是外宣信息的传递者又是践行国家对外宣传活动的修辞者。作为对外宣传的信息传递者，译者的首要任务就是将原语文本的信息和外宣委托人的意图准确无误地传递给国外受众。同时，翻译要实现外宣目的就必须使外宣文本抓住读者，使受众愿意读、乐意听，确保外宣翻译交际信道的畅通，只有这样才有实现翻译的外宣预期目的的可能。而外宣翻译的最终目的就是通过译文信息讲述中国故事，传播中国文化，阐释中国立场，并得到国外受众的理解、接受和认同。基于上述外宣翻译过程、目标与任务的新认识，本文认为外宣翻译应该遵循“忠诚”、“求效”和“适切”三原则。简言之，外宣译者在翻译中应忠诚于委托人的外宣目的。同时，能否实现外宣目的是衡量外宣翻译质量和效果的最重要标准。具体在翻译实践上则要求外宣翻译在适切外宣目的，贴近译文读者的阅读期待基础上进行适切的译策略选择。 本文引入修辞劝说理论视角对外宣翻译理论与实践进行研究，为外宣翻译研究提供更为广阔的空间和视域，有助于形成多途径、跨学科的外宣翻译研究格局。需要指出的是，本文的观点不是要否定、取代前辈外宣翻译学者所总结和探索的理论成果，而是旨在补充和促进我国外宣翻译的理论和实践研究的发展，为探索有助于提高我国外宣翻译的外宣效果提供一个的新视角。 The present study attempts to conduct an interdisciplinary application researchon international publicity translation/(IPT for short/) under the framework of rhetoricalpersuasion theories, the core concern of the rhetorical studies. The research ismotivated by the following situations and perceptions of IPT studies: Firstly, theeffect of IPT is still far left behind the investment the country made to it and thusthere is ample room for improvement. Secondly, the current IPT studies focus mainlyon the common features of translation studies without giving due attention to theIPT s unique aspect the fact that IPT is part of the country s internationalpublicity practice. Thirdly, international publicity is an act of inter-culturalcommunication and persuasion with western audiences as its target receptors; henceto achieve such goal, international publicity translators need to turn to rhetoricaltheories for practice guidelines. Based on the above background and premises, the present dissertation attemptsto probe into the following research questions: Firstly, are there any converging points shared by both IPT and rhetoricpersuasion? What implications can rhetorical theories on persuasion shed on IPT? Thirdly, what new understandings on IPT can be generated if redefined from therhetorical persuasion perspective? And what translation strategies can be proposedunder such theoretical framework in order to better achieve the goal of IPT? To find answers to these questions, the dissertation makes an attempt to justifythe necessity to introduce rhetorical theories on persuasion into IPT studies and theirapplicability in IPT based on clarifying some confusing conceptions on IPT andanalyzing the converging points between rhetorical persuasion and IPT. Then thedissertation tries to sort out and summarize rhetorical theories on persuasion and takesthem as the theoretical framework which the author believe can provide a novel angleto look at IPT problems, which cover a variety of aspects, such as the translation act,translation process, translator, as well as the functions, and the like. Under the newconceptions on IPT, the dissertation makes tentative proposals on IPT principles and strategies, and endeavors to make analyses on three main text types of IPT aiming atjustifying the applicability and advantages of rhetorical theories on persuasion in IPTpractices. Based on the above conception, the dissertation attempts to probe into theproposed research questions with four main parts in seven chapters. The first part is introduction and literature review. Chapter One introduces theresearch background, research questions, significance of the current research, researchmethods as well as the structure of the dissertation. Chapter Two attempts to clarifysome confusing conceptions on IPT, to review and comment on previous studies onIPT under different perspectives. The perspectives under which previous IPT studiesconducted include experience summaries, cross-cultural communication theories,pragmatic linguistics approaches, functionalist translation approaches, cognitivelinguistic approaches, constructionist approaches, and eco-translatology perspective.On the basis of Chapter Two, Chapter Three focuses on the discussions on limitationsof the previous IPT studies, and the converging points between IPT and rhetoricalpersuasion through which the necessity of introducing rhetorical theories onpersuasion is justified, as well as redefining functions of IPT and exploringprinciples and strategies of IPT practices under such framework. Part two serves as the main body of the thesis, which contains roughly twosections, the theoretical foundation construction and IPT strategy exploration, in twoindependent chapters. Chapter Four sorts out rhetorical theories on persuasion and thus lays down thetheoretical foundation for the present dissertation. These theories include: Aristotle sthree modes of persuasion in Rhetoric ethos, pathos and logos; Perelman, C./&L.Olbrechts-Tyteca s claims of the centrality of audience, which accents that anyargumentation shall be adapted to the audience in order to persuade; Perelman, C./&L.Olbrechts-Tyteca s concepts of presence, choice and communion. As discussedin the New Rhetoric: a Treatise of Argumentation, an important aspect of argumentstarting points is the creation of presence. From the body of ideas that are agreedupon by a given audience, the orator may choose to emphasize or lend presence to certain elements while deemphasizing others. All points of agreement, moreover, maybe distinguished as primary or secondary according to the purpose of the argumentand the composition of the particular audience; Kenny Burke s identification theoryunder which persuasion is achieved through seeking consubstantial or identification with others; Lloyd Bitzer s rhetorical situation theory which arguesthat rhetorical discourse is called into existence by situation, that is, rhetoricaldiscourse comes into play when exigence exists which calls for fitting response;Chinese rhetoric theorist, professor Tan Xuechun s rhetorical interaction theory whichclaims that a rhetorical act comes from communicative interactions under whichpresupposition is the cognitive precondition for both sides of the communicators asone kind of rhetoric expression presents certain presupposition, and one type ofrhetoric acceptance embodies certain presupposition. The rhetorical theories onpersuasion sorted out above makes in-depth probes into the nature of the rhetoricaldiscourses and strategies to achieve effective communication, which have served asrich sources of theoretical foundations for studies of modern communication science,psychology and the like. And IPT study shall be no exception. Under the theoretical framework sketched out in Chapter Four, Chapter Fiveattempts to discuss on what implications rhetorical theories on persuasion can bedrawn on IPT practices, upon which the author endeavors to put forward relevanttranslation principles and strategies to enhance IPT s publicity effects. Chapter Fiveconsists of three sections. Section one redefines IPT under the new theoreticalframework. As IPT and rhetoric highly converge in many aspects on a variety oftopics and methods, introducing rhetoric theories into IPT studies helps us redefineIPT, covering the nature of IPT, translation process, and translators as well as theirrelations with other relevant factors from a new angle. The new perspective leads usto form a new conception on IPT under China context: IPT is part of the country sinternational publicity work which aims to strengthen the nation s rhetoric ability. Insuch course, the translator should not only serve as a transmitter of the information ofthe source text, but as a rhetor who bears the mission of achieving the enhancement ofthe national soft power through international publicity practice. Reshaping our conception on international publicity translator s role can help us get a clearer look atthe relations between translator and other involving factors in IPT practice, such asthe patrons /(government international publicity institutions, or enterprises/), sourcetext, target text, as well as target text recipients. The second section discusses on whatpossible implications such rhetorical theories can bring to IPT practice. The firstimplication is that international publicity translator should enhance their rhetoricalawareness, including the audience centrality awareness and rhetorical situationawareness. The second implication advises that the translator employ rhetoricalstrategies, such as Aristotle s three modes of persuasion, Perelman s starting points by choice and presence, Burke s persuasion by identification and the like, in IPTpractice. The third section makes an attempt to discuss strategies to improve thequality and efficiency of the country s international publicity under the rhetoricaltheoretical framework. Under the new conception on IPT, the dissertation attempts toreshape the conception of IPT s functions: to get audience informed, to make thetranslated text delightful, and to achieve identification with the audience. As thetransmitter of the information of the source text, the translator shall deliver the sourceinformation to the target audience accurately. Moreover, the translator also need tomake the translated text readable and enjoyable so as to ensure a smooth channel ofcommunication of translation for the purpose of achieving the intended purpose ofreporting China, disseminating Chinese culture, and interpreting China s stand andachieving identification with the target international audience. Based on the newconception of IPT function, the dissertation endeavors to propose new principles forIPT practice: loyalty, effect and appropriateness. For loyalty, we mean that IPTshall serve the end of the country s international publicity and be loyal to his client sinterest. For effect, we mean that IPT practice shall aim at achieving the intendedpurpose of the country s international publicity, and take it as the most importantparameter to evaluate the quality of IPT. And for appropriateness, we intend tostress that the international publicity discourse constructed by IPT shall be suitable inthe target language context which not only fits target audience s reading taste but canalso well serve the end of the country s international publicity. In addition, this Chapter also introduces how some common rhetoric tacts can be employed in IPTpractice, through which we justify the necessity and applicability of using them in IPTpractice. Part three is the case studies. Chapter Six makes analysis on the translation ofthree text types: news reporting on China, enterprises international publicitymaterials and Chinese Classics. This Chapter tries to identify relevant theories thatcan guide IPT practice and justify the applicability of the proposed translationprinciples in IPT practice. Part four concludes the whole thesis. Chapter Seven comprises of a summary ofthe theses and the future research possibilities. The first section summarizes thecontents of the thesis, research findings and its significance. The second sectionproposes future research directions after summarizing the limitations of the presentstudy. The research has the following findings. As an important part of the country sinternational publicity practice, IPT is an act of inter-cultural communication andpersuasion with western audiences as its target receptors. Looked at it from thisperspective, it is necessary to take IPT practice as a rhetorical behavior in which thetranslator plays a dual role of both a transmitter of the source text information and arhetor who attempts to inform, and to persuade. As an information transmitter, thetranslator shall take it a priority to accurately deliver the information of the source textto the target audience. While as a rhetor, the translator shall take efforts to adapt totarget readers language norm and make the translated text readable and enjoyable soas to ensure a smooth channel of communication of translation for the purpose ofachieving the intended purpose of reporting China, disseminating Chinese culture, andinterpreting China s stand and achieving identification with the target internationalaudience. Based on the above new conception on translation process, purpose andfunctions of the IPT, the dissertation puts forward tentative translation principles forIPT practice: loyalty, effect, and appropriateness. To explain it briefly, internationalpublicity translator shall be loyal to his client and thus serve the end of IPT. In themeantime, IPT shall achieve the goal of the client s publicity work and take it an essential criterion to evaluate translation quality. While in practice, internationalpublicity translator shall take appropriate translation strategies by taking targetlanguage norms into consideration so as to better serve the end of IPT. The current study on IPT under the framework of rhetorical persuasive theoriesexplores larger space for IPT studies involving in its theoretical foundation andpractice with the purpose of promoting a multi-approaches, interdisciplinary researchpattern of IPT. While what should be pointed out is that the aim of the current study isneither to negate the current IPT theories nor to seek a replacement for them. Quite onthe contrary, the present dissertation is a supplemented endeavor to the exploration ofIPT studies, providing a new perspective for IPT studies with the purpose of seekingfor translation strategies to enhance the country s international publicity effects.

关 键 词： 外宣翻译 修辞劝说 新闻外宣 外宣资料 典籍外宣

分 类 号： [H315.9]

领　　域： [语言文字]