从互文性视角研究文学翻译—以《老人与海》汉译本为例

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硕士学位论文

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ABSTRACT

Intertextuality refers to the relationship between different texts. Ever since it was

first elaborated by Kristeva, intertextuality has been a much used term. In Kristeva’s

word, “every text is constructed as a mosaic of quotations; every text is the absorption

and transformation of other texts”. It aims at exposing that the meaning of a text is not

self-existent, but from its inter-texts and the whole socio-cultural knowledge system.

Integrating translation with intertextuality theory is a new research area in translation

studies. This area is also full of challenges for English-Chinese translation in that there

are differences between the two languages and cultures.

The Old Man and the Sea，a 27,000-word novel, tells vividly a superficially simple

fishing story. Published in 1952, this novel earned Ernest Hemingway the Nobel Prize

for literature in 1954. As is known to all, the novel is a song of praise of heroism. “A

man can be destroyed but not defeated” has been the classic saying and the old man also

has been the most typical and the most representative of the Hemingway’s “tough guy”.

It is also well known for its simple language, affectionate dialogues, symbolism and the

application of the iceberg theory. It is rather worthy of study from the perspective of

intertextuality.

This thesis aims at incorporating the intertextual theory into literary translation on

both theoretical and practical aspects, thus testifying that intertextual theory can

function as both epistemology and methodology to literary translation. It also hopes to

provide a new perspective to the study of The Old Man and the Sea.

As for the methodology, at least three methods are to be applied in this thesis.

Firstly, the combination of the quantitative analysis and qualitative analysis would be

taken throughout this whole thesis. Secondly, the author even attempts to employ the

computer software to conduct statistics on the word frequency in order to get a better

idea on how intertextuality is embodied in the chosen work. Thirdly, the comparative

method would be applied in the main body of this thesis too. In order to assist the

research on the incorporation of the intertextuality theory into The Old Man and the Sea,

the author makes a comparison of its four translating versions which were translated

respectively by Hai Guan, Yu Guangzhong, Wu Lao and Li Xiyin.

The author thus divides this thesis into five parts.

Introduction gives a brief survey on research background and methodology as well

硕士学位论文

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as a brief introduction to the significance and the structure of the study.

Chapter One makes a general review of the origin and development of

intertextuality. Some important figures and their ideas are also introduced respectively

in this chapter. Based on these reviews, the author would sort some important terms out

and present the categorization of intertextuality.

Chapter Two integrates the theory of intertextuality with translation in a broad

view, extracting the enlightenments of intertextual theory on translation. The theory of

intertextuality establishes a new intertextual relationship between the source text and the

target text; highlights translators’ subjectivity; uncovers the translating process from a

new perspective thus unveiling the intertextual nature of translation activities; and offers

a new theoretical support for the construction of translation studies.

Chapter Three is the main body about recognizing and transferring of intertextual

signs in the specific literary work The Old Man and the Sea. The author attempts to

conduct the research according to the two forms of intertextuality: the passive

intertextuality and the active one. On the translation of passive form of intertextuality,

the author manages to transplant the idea of cohesion into the analysis of intertextual

translation. While on the translation of active form of intertextuality, the author tries to

respectively study the intertextual signs reflecting ideology, social culture and ecology.

Then the author puts forward tentative translation strategies and requirements for the

translator for dealing with intertextuality signs in E-C translation.

The last part of the present thesis is the conclusion. The author holds that the

research from perspective of intertextuality opens a new avenue into literary translation.

The incorporation of intertextuality into literary translation can be viewed not only as

epistemology but also as methodology. It is thus hoped that this study may serve as a

starting point for future researches to extend the theory of intertextuality to translation

from much broader and deeper view.

Key words: Intertextuality; Intertextual Sign; Literary Translation; The Old Man and

the Sea

硕士学位论文

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摘要

互文性指文本之间的关系。自从克里斯蒂娃在20世纪60年代末创立“互文性”

这一概念以来，它业己成为文学研究领域和翻译研究领域中的一个热门话题。克

里斯蒂娃将互文性定义为：“任何文本的构成都仿佛是一些引文的拼接，任何文

本都是对另一个文本的吸收和转换”。它旨在强调文本的含义不是独立存在的，

而是来自于其互文本以及整个社会文化知识体系。互文性与翻译理论的结合是翻

译研究的新领域。对于英汉翻译而言，该领域的研究更具挑战性，原因是英汉语

两大互文网之间存在很大差异，克服差异是翻译面临的难题。

《老人与海》是根据一位古巴渔夫的真实经历而创作的一部中篇小说。这部

作品为海明威赢得了1954年的诺贝尔文学奖。众所周知，这部小说主题深刻，是

一部英雄主义的赞歌。“人可以被毁灭，但不会被击败”已经成为至理名言，老人

也成为海明威式“硬汉子”的最典型、最完美的代表。除此以外，小说风格简练，

意象生动，语言含蓄，已成为美国现代文学史中不可逾越的经典。本文拟以互文

性视角研究其翻译，具有积极的借鉴意义。

笔者尝试从理论和实践两方面探讨如何将互文性与文学翻译相结合，以期证

明互文性理论既可以作为认识论，也可以作为方法论进行翻译研究。同时也希望

能发掘《老人与海》翻译研究的新视角。

本文主要采取了三种研究方法。首先是定性分析与定量分析相结合的方法，

该方法贯穿本论文全文。其次是词频分析的方法，笔者使用电脑软件，进行词频

分析, 更直观地反映了互文性在原文与译文中的表现情况，使研究更有说服力。

再次是对比分析的方法，笔者选取由中国大陆、台湾翻译家完成的、四个影响较

大的中译本，进行对比分析。本文主体部分大量的译例，均选自这四个中译本，

分别出自翻译家海观、余光中、吴劳和李锡胤的译作。

本文共分为五部分：

引言为互文性理论和翻译研究的综述，以及本文的研究价值和研究方法。

第一章对互文性理论的由来和发展进行了回顾，包括了互文性理论代表人物

的主要观点，并进行了互文性分类。这一章是本文的理论基础。

第二章在理论上将互文性与翻译相结合，阐述互文性对于翻译的启示。互文

性理论与翻译的结合更加强调译者的主体性，揭示了翻译活动本身的互文性本质，

并在原作与译作之间建立起新的互文纽带，为翻译研究的宏观建构提供了新的理

论支持。

第三章为主体部分，以《老人与海》为例，研究互文性之于具体的文本翻译

研究，从而提出对译者的要求和可行的翻译策略。笔者尝试从积极互文与消极互

硕士学位论文

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文两个层面搭建互文性理论与实践结合的框架，进行系统、全面的研究。通过对

个案《老人与海》中互文性的翻译研究，笔者认为归化和异化的结合是互文性视

角下翻译研究的理想选择。互文性理论对译者也提出了更高的要求，除扎实的中

英文学功底、娴熟的双语语言驾驭能力以及较强的跨文化交际能力之外，对互文

性符号，译者还需具备良好的识别、理解和表达能力。

最后是文章的结论部分。作者指出本文虽然仅以《老人与海》中互文符号的

翻译研究为例，但是对文学翻译研究也有不少启示。文学翻译者应该首先正确识

别、阐释蕴涵于源语中的互文性手段，然后将其恰到好处地转换为目的语。译者

对文学中互文符号的识别、阐释和转换的好坏，将直接影响翻译质量的高低。因

此将互文性理论引入文学翻译，不仅具有认识论意义，而且具有方法论意义。互

文性理论拓宽了传统文学翻译理论与实践研究的思路，值得进一步深入研究。

关键词：互文性；互文符号；文学翻译；《老人与海》

硕士学位论文

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Contents

Introduction……………………………………………………………………..….…..1

Chapter 1 Theoretical Framework………………………………………...….………5

1.1 The Theory of Intertextuality……………………………………….………….5

1.2 Some Essential Terms Related to Intertextuality…………………………......11

1.3 Typology of Intertextuality……………………………………………...……12

Chapter 2 Intertextuality and Translation Studies…………………………………15

2.1 Research on Intertextuality and Translation……………….……………..…...15

2.2 The Enlightenment of Intertextuality in Translation…………………...……..17

Chaper 3 Analysis of the Translation of The Old Man and the Sea from the

Perspective of Intertextuality………………………………………...……23

3.1 The Old Man and the Sea and its Chinese Versions……………………...…...23

3.2 Translation on Passive Form of Intertextulity in The Old Man and the Sea….24

3.3 Translation on Active Form of Intertextulity in The Old Man and the Sea......30

3.4 Findings on Translating Intertextual Signs…………………………………....37

Conclusion……………………………………………………………………….…...41

Bibliography…………………………………………………………………….……43

硕士学位论文

-- 1

Introduction

1. Research Background

Ever since it was first coined by Kristeva, intertextuality has become a frequently

used term. In Kristeva’s point of view, “every text is constructed as a mosaic of

quotations, every text is the absorption and transformation of other texts” (Hatim &

Mason, 2001:125). After her elaboration of this concept, critics from different

perspectives try to overthrow notions of settled meaning and objective interpretation of

literary texts. Translation, including texts decoding and encoding, can therefore get

enlightens from this term. This also makes it possible for the translator to identify and

acquire meanings from the linguistic traits of the text by reference to other previous

texts.

As we know, literary language is full of connotations and overtones which increase

and intensify the complicacy of literary translation. From the perspective of

intertextuality, literary works absorb and convert lots of the preceding texts.

Consequently, the translator can obtain a complete and precise understanding of the

original text to the fullest extent, relying on probing the interrelationship between

different texts and tracing the implications of specific intertextual elements in the

previous texts. In short, any literary work possesses the innateness of intertextuality,

thus it is inspiring to research literary translation from the perspective of intertextuality.

In recent years, both western and Chinese researchers start to incorporate the

theory of intertextuality into the analysis of literary translation. In the West, representive

figures are Hatim and Mason. They discuss the relationship between intertextuality and

translation; at the same time bring forward comparatively originated views in their

essays. A hot issue also arises in China, a lot of scholars conduct their researches from

various perspectives and many achievements have been made.

While these studies certainly shed some light on translation field, their researches

are still just far from enough, which result in a slow development and confusing status

in this scope.

2. The Significance of the Thesis

The case chosen by this thesis is The Old Man and the Sea, a 27,000-word novel,

telling vividly a superficially simple fishing story. Published in 1952, this novel earned

Ernest Hemingway the Nobel Prize for literature in 1954. To the knowledge of the

author, few people have ever conducted a systematic research on translation of The Old

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硕士学位论文--IABSTRACTIntertextualityreferstotherelationshipbetweendifferenttexts.EversinceitwasfirstelaboratedbyKristeva,intertextualityhasbeenamuchusedterm.InKristeva’sword,“everytextisconstructedasamosaicofquotations;everytextistheabsorptionandtransformationofothertexts”.Itaimsatexposingthatthemeaning...

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