翻译理论的生命：压抑或超越？——新历史主义视角下苏珊·巴斯奈特的译论观初探.pdf

河南大学 硕士学位论文 翻译理论的生命：压抑或超越？-新历史主义视角下苏珊巴 斯奈特的译论观初探 姓名：靳琦 申请学位级别：硕士 专业：外国语言学及应用语言学 指导教师：蔡新乐 2011-04 v 摘摘 要要 本论文从新历史主义的视角出发，对苏珊巴斯奈特的译论观进行了批判研究。翻 译理论是翻译研究必不可少的组成部分，在学科建设中发挥着重要作用。在翻译研究领 域，巴斯奈特对翻译理论的观点在众多学者中较有代表性和影响力。然而她的观点中也 存在着一些局限和问题， 对于这些局限和问题进行研究不仅能补充和更新我们对巴斯奈 特翻译思想的认识也将有益于译论及整个翻译研究学科的建设。 本论文基于新历史主义 理论的启示，试图廓清对翻译理论及译论建构的认识，并对巴斯奈特译论观在译论建构 的主体性， 翻译研究的学科目标以及翻译理论的性质这三方面存在的局限进行了历史性 的分析。 全文共分六章。第一章为引言，这部分阐明了本文的研究背景，对巴斯奈特及其翻 译研究作了简要介绍，并对学界对巴斯奈特译论的相关研究进行了文献综述。本章还包 含了对新历史主义的概述，因其一些有价值的观点将在本文的论述与分析中加以应用。 同时，本章还指出本论文的创新之处在于，从新历史主义的视角对巴斯奈特翻译思想展 开研究，并且对有关巴斯奈特翻译思想的研究及认识有所拓展。本章的结尾还勾勒了本 文的结构轮廓。 第二章， “苏珊巴斯奈特对翻译研究的贡献” ，回顾了巴斯奈特有关翻译研究的思 想及她对这一学科的贡献及影响。巴斯奈特对翻译研究提出了很多富有启发性的建议。 她在促进翻译研究学科独立方面的努力及她积极倡导的两个“转向”鼓舞了众多翻译研 究学者并对翻译研究这一学科产生了巨大的促进。 第三章“翻译理论的主观性”提出，巴斯奈特非常重视翻译理论和翻译实践之间的 紧密联系，但是在她的观点中，翻译理论的主观性是被忽视的。本章依照新历史主义的 “历史的文本性”这一概念，揭示出理论是一种叙事或认识的文本化，主观性是理论不 可或缺的要素之一， 并由此推论主体自我意识和主体创造性在翻译理论建构中是必不可 少且非常重要的一环，应该得到我们的认可和关注。因此，翻译理论建构中的主观性不 应被低估或忽视而应得到充分地凸显和重视。 第四章“翻译研究学科应当以生产出一种无所不包的的理论为目标吗” ，首先 vi 对巴斯奈特所赞成的“生产出一种无所不包的理论”这一学科目标的可行性和正确性提 出了质疑。接着，基于新历史主义的“历史的文本性”概念及新历史主义摒弃单线大写 的历史以发现复线小写的历史的观点， 本章指出， 由于一个概括的或 “无所不包的理论” 不能涵盖所有的文本和翻译活动， 而翻译及翻译活动的复杂性应该通过详尽而多元化的 理论来体现，所以翻译研究的发展方向应该是多元化理论方向，翻译研究的学科目标应 该是发展多样化的理论。 第五章“翻译理论是否是诠释学性的” ，试图从两个方面对巴斯奈特所提出的翻译 理论“不是诠释学性的”这一论断进行反驳。第一个方面是翻译自身的性质。翻译本质 上是一种解释，而在西方的理论资源中，只有诠释学能够担当得起对不同类型的文本及 整个翻译过程中的理解和解释问题的研究， 因此诠释学的思想应该在对翻译的研究及翻 译理论中加以应用。第二个方面是翻译理论的历史性。通过引征和吸收新历史主义“文 本的历史性” 的概念及有关诠释学对西方翻译的理论化产生的影响的讨论，本章说明 了诠释学在翻译研究中的渗透及西方翻译理论的发展和诠释学途径密不可分已是不争 的事实。所以，无论从翻译本身还是从翻译理论的历史性来看，翻译理论是诠释学性的 这一事实不可否认,这一点也正是翻译理论历史性的构成要素之一。事实上，西方翻译 理论长期繁荣发展的原因恰恰在于它的发展符合自身的历史性而顺应了诠释学思潮的 发展趋势。诠释学性正是翻译理论持续发展并获得超越的关键。 最后是第六章，即结论部分。这一章对本论文所探讨的问题进行了归纳总结，并进 而指出廓清对理论的认识及重新评价翻译理论生命的必要性。 翻译理论的生命就体现在 其主观性，多样性及历史性诸方面。翻译理论能够而且必须不断面对其生命的复杂性， 自我冲突和自我调整，从而获得一种持续的超越性。 关键词：巴斯奈特，新历史主义，翻译理论，主体性，历史性 i abstract this thesis presents a critical study of the limitations in susan bassnetts thoughts of translation theory from the perspective of new historicism. translation theory is an essential component of translation studies and plays a significant role in the disciplinary construction. in the field of translation studies, susan bassnetts views of translation theory are representative and influential among many scholars. yet limitations and problems also exist in her views and researches on these limitations and problems will not only supplement and update our knowledge of susan bassnetts translation thoughts but also benefit the construction of translation theory and the overall discipline of translation studies. on the basis of absorbing insights from new historicism, this thesis attempts to clarify our understanding of translation theory and theoretical construction, and makes a historical analysis of limitations in bassnetts views of translation theory in the aspects of the subjectivity in the construction of translation theory, the disciplinary goal of translation studies and the attribute of translation theory. the whole thesis consists of six chapters. chapter one, “introduction”, provides a brief background of this study, makes an introduction to susan bassnett and her translation study, and gives a literature review of researches concerning bassnetts translation theories. also included in this chapter is an overview of new historicism that provides valuable ideas for the argumentation and analysis in this thesis. it is pointed out that the thesis is original in approaching bassnetts translation thoughts from the perspective of new historicism and in developing the research and understanding of susan bassnetts translation thoughts. in the end, the chapter briefly outlines the organization of this thesis. chapter two, “susan bassnetts contribution to translation studies”, reviews susan ii bassnetts thoughts of translation studies and her contribution to and influence on this discipline. susan bassnett has proposed rich stimulating suggestions for translation studies. her efforts in promoting the independent status of translation studies and the two turns advocated by her have extensively informed translation studies scholars and brought huge impact on the discipline. chapter three, “subjectivity of translation theory”, argues that bassnett attaches great importance to the close relationship between translation theory and translation practice, but in her views, subjectivity of translation theory is neglected. in the light of the new historicist concept of “the textuality of history”, it is revealed that theory is a form of narrative or the textualization of knowledge, so subjectivity is an essential element of theory. for this reason, human self-consciousness and human creativity are indispensible and important in the construction of translation theory and deserve our recognition and attention, and subjectivity in the construction of translation theory should not be underestimated or neglected but be adequately highlighted and stressed. chapter four, “should to produce a comprehensive theory be the goal of translation studies”, first queries the feasibility and validity of the disciplinary goal of translation studies approved by bassnett, namely, “to produce a comprehensive theory”, and then according to the new historicist concept of “the textuality of history” and the approach of new historicism to give up the “history” for discovering the “histories”, it is pointed out that the orientation of the development of translation studies should be multitheoretical and that the disciplinary goal for translation studies should be to develop diverse theories, for a general or “comprehensive theory” is not always able to encompass all texts and translation activities and the true intricacies of translation and translation activities should be exemplified in detailed and diverse theories. chapter five, “translation theory: hermeneutical or not”, attempts to disprove iii bassnetts argument that the theory “would not be hermeneutical” in two respects. the first one is the nature of translation. translation is a form of interpretation, and among all western theoretical resources, only hermeneutics can undertake the work of approaching the issues of understanding and interpreting different types of text as well as the whole process of translation. so hermeneutics should be employed in the study of translation and translation theory. the second one is the historicity of translation theory. by way of drawing on the new historicist concept of “the historicity of texts” and providing a detailed discussion of the influence of hermeneutics on the theorization of western translation, it is demonstrated that hermeneutics has penetrated into translation studies and that the development of western translation theory is blended with the approach of hermeneutics, which is definitely one of the elements in the historicity of translation theory. whether in the respect of translation in its own right or in the respect of the historicity of translation theory, it is undeniable that translation theory is hermeneutical. in fact, the reason for the long-term flourishing of western translation theory is that it has developed in consistency with its historicity and has commingled with the trend of hermeneutics. therefore, being hermeneutical is a key for translation theory to sustain and transcend its own life. and finally, chapter six is “conclusion.” in this chapter, the thesis is summed up and it shows that it is necessary to clarify the understanding of theory and reevaluate the life of translation theory. the life of translation theory is embodied in its subjectivity, its diversity and its historicity. translation theory can and must constantly face the complexity of its life; through self-conflict and self-adjustment, it may achieve sustained transcendence. key words: bassnett, new historicism, translation theory, subjectivity, historicity 关于学位论文独创声明和学术诚信承诺 本人向河南大学提出硕士学位申请。本人郑重声明：所呈交的学位论文是本人在导 师的指导下独立完成的， 对所研究的课题有新的见解。 据我所知， 除文中特别加以说明、 标注和致谢的地方外，论文中不包括其他人已经发表或撰写过的研究成果，也不包括其 他人为获得任何教育、科研机构的学位或证书而使用过的材料。与我一同工作的同事对 本研究所做的任何贡献均已在论文中作了明确的说明并表示了谢意。 在此本人郑重承诺：所呈交的学位论文不存在舞弊作伪行为，文责自负。 学位申请人（学位论文作者）签名： 201 年 月 日 关于学位论文著作权使用授权书 本人经河南大学审核批准授予硕士学位。作为学位论文的作者，本人完全了解并同 意河南大学有关保留、使用学位论文的要求，即河南大学有权向国家图书馆、科研信息 机构、数据收集机构和本校图书馆等提供学位论文（纸质文本和电子文本）以供公众检 索、查阅。本人授权河南大学出于宣扬、展览学校学术发展和进行学术交流等目的，可 以采取影印、 缩印、 扫描和拷贝等复制手段保存、 汇编学位论文 （纸质文本和电子文本） 。 （涉及保密内容的学位论文在解密后适用本授权书） 学位获得者（学位论文作者）签名： 201 年 月 日 学位论文指导教师签名： 201 年 月 日 chapter one introduction 1 chapter one introduction this thesis is intended to reveal the limitations in susan bassnetts views of translation theory from the perspective of new historicism through an analysis of the key statements in her main translation research works. to begin with, this chapter will provide a brief background of this study. then it will make an introduction to susan bassnett and her translation study, following which is a review of researches concerning bassnetts translation theories. also included in this chapter is an overview of new historicism that will be applied as an approach throughout the argumentation and analysis in this thesis. and finally, the chapter will propose the significance and innovation of this thesis and conclude by briefly outlining the thesis structure. 1.1 background of this study translation studies as an independent discipline only took shape in the 1970s. up to now, various constituent elements for this discipline are yet to be perfected and theoretical construction needs to be strengthened. among scholars who have devoted themselves to translation studies, susan bassnett is recognized as one that has made a great contribution to western translation theory and the disciplinary construction of translation studies. her effort to “putting translation studies on the academic map” (gentzler, 2001: ix) is always highly valued by scholars of translation study, and her related works are also regarded as compulsory literature for those who attempt to study translation theories. she is so representative and influential in the field of translation studies that it is necessary for us to do research and provide evaluation on her thoughts, for it can be expected that these efforts will be helpful for repression or transcendence of the life of translation theory 2 clarifying our understanding of the construction of translation theory and will benefit the overall discipline of translation studies. admittedly, in recent years, introductions and applications of bassnetts translation theories have proliferated. however, by now, few researches examine the following two issues: is bassnetts attitude towards translation theory perfect enough and does she have any misunderstanding on the construction of translation theory? this thesis, therefore, is initiated to explore susan bassnetts translation study, and the emphasis, as indicated at the very beginning of this chapter, lies in pointing out the limitations in her thoughts of translation theory, rather than those of translation or translating. in order to do so, we should make an introduction of bassnett and her landmark works in the following section, for both providing an overview of bassnetts translation study and laying groundwork for the analysis in subsequent chapters. 1.2 susan bassnetts academic background and her translation research works 1.2.1 bassnetts academic background and her translation study susan bassnett (1945-), from the united kingdom, acquired education in several european countries which gave her experience of diverse languages and cultures and also made her fascinated with linguistic and cultural differences. bassnetts academic career began in italy. she has lectured in universities around the world, moving via the united states to the university of warwick in the uk, where she set up a post-graduate center in inter-cultural studies. bassett served as pro-vice-chancellor at the university of warwick for ten years and now she is professor of comparative literature there in the department of english and comparative literary studies. during the course of her career, bassnett has shown great interest and has been a very chapter one introduction 3 active scholar in british cultures, feminism, theatre studies and poetry, comparative literature, translation studies, postcolonial studies, cultural studies and most recently issues of globalization. among all these studies, bassnett has achieved more groundbreaking work on translation studies. bassnett began to appear on the scene of translation studies in the leuven seminar of 1976, which brought together for the first time scholars from israel on polysystem theory with scholars in the low countries and a handful of people from elsewhere in europe, and marked a new stage for translation studies. bassnett has obtained nutrition from various theoretical resources to form her translation theories. these resources, including the discipline of comparative literature, polysystem theory, deconstruction theory and cultural studies, have endowed bassnetts translation study with a characteristic of relating translation with many subjects of cultural studies. additionally, she attaches great importance to translation practice and approaches theoretical questions from a practical starting point. she also emphasizes the role of translation and translator in constructing cultures and cross-cultural communications. bassnett has proposed rich stimulating suggestions for translation studies. she advocates that “translation studies” is not only a traditional conception of a branch of comparative literature or a special field of linguistics but a research activity to be established as an independent discipline. she further proposes the “cultural turn” in translation studies and puts forward the theory of cultural translation that has enlightened and encouraged scholars of translation studies by providing them with a new approach. 1.2.2 bassnetts major works on translation bassnetts translation thoughts are largely demonstrated in her related monographs and compiled works. repression or transcendence of the life of translation theory 4 the first is translation studies1, which was her most influential work. first published in 1980, this book has remained consistently in print and has become the most important textbook around the world in the expanding field of translation studies. this book is set out to describe a new field, and has provided translation studies with much of its impetus and pedagogical direction over the last three decades. bassnett, in this book, makes an attempt to outline the scope of translation studies, tackles the crucial problems of translation and offers a history of translation theory, beginning with ancient roman culture and encompassing key twentieth-century structuralist works. many central issues of translation studies, including types of translation, decoding and recoding, problems of equivalence, loss and gain, and untranslatability are also discussed. she also suggests directions in which further research is needed. on the whole, translation studies provides a carefully contextualised introduction to the key debates of translation theory. in translation, history and culture2 (1990) co-edited with andr lefevere (1945-1996), bassnett further explores her theory of translation and draws peoples attention to the relation between culture and translation. she and lefevere jointly authored the introduction entitled “introduction: prousts grandmother and the thousand and one nights; the cultural turn in translation studies.” this introduction is recognized by the circle of translation studies as the official landmark of “cultural turn” of translation studies. the anthology including this introduction has brought great influence on international translation studies. her comparative literature: a critical introduction3 (1993) has also become an internationally renowned work and has been translated into several languages. through an examination of a series of case studies and new theoretical developments, bassnett reviews the current state of comparative literature world-wide in the 1990s. the last chapter “from 1 bassnett, susan. translation studies. 3rd ed. shanghai: shanghai foreign language education press, 2004. 2 bassnett, susan and andr lefevere. eds. translation, history and culture. london and new york: pinter publishers ltd, 1990. 3 bassnett, susan. comparative literature: a critical introduction. oxford, u k the cultural turn in translation studies.” in this book, bassnetts cultural translation thoughts are summarized in the following four points: first, translation should take culture as the translation unit, not always lingering on the discourse level; second, translation is not a simple processes of decoding and recoding, but an activity of communication; third, translation should not be restricted as the description of source text, but viewed as the functional equivalence in the target language culture; fourth, translation will have different principles and norms in different times in order to meet different needs. translation, in a word, is to satisfy the needs of different cultures and the needs of different groups in a certain culture. although discussion on bassnett in this book is fairly detailed, it lacks in-depth comment and is not a complete and systematic introduction. it should be pointed out, however, that this book confines only to translation studies and “introduction: prousts grandmother and the thousand and one nights; the cultural turn in translation studies” and does not analyze thoughts and ideas in bassnetts other works. tan zaixi in a short history of translation in the west8 (2004) gives a brief introduction to bassnetts achievements and thoughts on translation. he summarizes bassnetts translation thoughts into three aspects: first, translation studies has become an independent discipline; second, there are four categories in translation studies; third, cultural vision