英语篇章话题系统与表达

王建国 吴碧宇

（华东理工大学，上海，200237）

1.英语篇章的话题系统

话题链（topic chain）的概念由 Dixon（1972）提出，由曹逢甫（Tsao 1977）引入汉语研究。无论组织篇章，还是理解篇章（参见Li 1995），话题链都起着重要的作用。王建国（2009）、吴碧宇和王建国（2012）以话题是个话语或篇章概念为前提，指出话题链是共享话题的系列小句；只要话题的语义得到延续，话题链就不会断裂；篇章中，话题的语义不仅可全部延续，即横向发展，同时还可部分延续，即纵向发展，在话题语义的全部延续和部分延续中形成句子话题链、超句（包括两个或两个以上句子）话题链和篇章话题链，如例1、2和3。

例1.The kidreaches into his pocket andøipulls out a Zippo，øiholds it toward me andøismiles.（Zippo）

例2.［Sheistarted in the bathroom.Sheiput the shaving brush，the disposable razor，the toothbrush and the dental floss in a large black bin bag.］（Fireworks）

吴碧宇和王建国（2012）指出，话题句和非话题结构都可以作为辅助成分通过插入方式纳入到话题链中，因而各种话题链类型就构成一个话题链系统，该系统也就反映了篇章中各个话题以各种方式的发展，可称之为篇章的话题系统（如图1所示）:

图1 英语篇章话题系统

例3.Paul Gricei

［Herbert Paul Gricei，universally known as Paul，was born on March 13，1913in Birmingham，England and died on August 28，1988in Berkeley CA.Griceireceived firsts in classical honours moderation（1933）and literae humaniores（1935）from Corpus Christi College，Oxford.］［［After a year teaching in a public schoolij，［heireturned to Oxford where，with a nearly five year interruption for service in the Royal Navy，he taught in various positions until 1967when he moved to the University of California－Berkeley.Heitaught there past his official 1979retirement until his death in 1988.Heiwas philosophically active until his death— holding discussions at his home，giving lectures and editing a collection of his work that was posthumously published as Studies in the Way of Words.Heiis best known for his innovative work in philosophy of language，but also made important contributions to metaphysics，ethics and to the study of Aristotle and Kant.］］［［His workikhas also been influential outside of philosophy in linguistics and artificial intelligence.［［［Although relativelylittle work was published during his lifeikl，he had a very wide influence via lectures and unpublished manuscripts.［［［［The best known of theseiklmwere the William James Lectures which he gave at Harvard in early 1967and which circulated widely in unauthorized manuscript form until they were published as part of Studies in the Way of Words.］］］］（c）［Heialso played cricket，chess and piano，each at a very high level of accomplishment.］（http:∥plato.stanford.edu／entries／grice／＃Ove）

根据该篇章话题系统，吴碧宇和王建国（2012）对例3分析和图示如下:Paul Grice是篇章话题链的话题，Herbert Paul Grice，Grice，he与其同指。整个篇章话题链中又包括了两个上位的超句话题链，分别由 After a year teaching in a public school和 his work引导。前者插入了一个以he引导的次超句话题链，后者插入了 Although relatively little work was published during his life引导的话题句，该话题句中的lectures and unpublished manuscripts又引出了 The best known of these引导的话题句。

图2 例3篇章话题系统示意图

宏观上，文本类型、写作目的、读者对象等许多因素都影响篇章的构成，本文无法一一详述。吴碧宇和王建国（2013）根据上述研究从话题延续的角度来探讨汉语篇章表达中需要注意的几个问题，下文将探讨英语篇章中需要注意的问题。

2.整体规划

话题可以在横向上和纵向上得到延伸，话题的发展形式不但能体现作者的写作风格和语言使用能力，还能体现作者组织内容和深入话题的能力。但在两个方向都存在延伸限制，即话题不可能在两个方向无限延伸，这是因为人的认知能力受到了约束。故而，话题的延续会形成线性与层次性关系俱备的句子话题链、超句话题链和篇章话题链，方便受众逐次分层级地进行理解。同时，由于一些话题链中存在辅助成分，人的认知能力必然约束辅助成分的容量，从而不至于偏离主题。由此，我们认为，话题在延续中必须合理安排语句的线性排列，也必须合理安排语句的层级排列，构建好话题系统。这两个方向的排列是无法分开的。你中有我，我中有你，只是各有侧重。我们认为，篇章写作的整体规划分为两个主要步骤:

（1）选定篇章话题

选定篇章话题应该是篇章写作的第一步。篇章话题的选取决定了篇章的主题思想、篇章构建的目的和功能，还决定了篇章构建的可能格局，如篇章话题如何延续，需要什么样的次话题、次次话题来支撑等。可参见例3分析。

（2）合理分布次话题，甚至层次更低的话题

所谓的次话题指管辖范围相对较小的话题。次话题往往有两种类型。当话题的部分语义得到延续时，这些话题会引起与其构成上义与下义、集体与个体、部分与整体、领属与所属等关系的次话题。这些次话题又引出其他话题结构。各种不同层次话题所引导的话题结构构成纵向意义上的不同层次的话题句或话题链。这些次要话题或者层次更低的话题所引导的语句很明显可以为主话题的各个侧面进行阐述，例如:

例4.Purposes and principlesi.The charter lists four purposes and seven principles of the United Nations.The first purposeijis to...The second purposeikis to...The thirdilis to...The fourth purposeimis to...；The first principle of the United Nationsiis that.Second，all members are expected to...Third，they agree to...Fourth，they agree not to...Fifth，members agree to...Sixth，the UN agrees to...And seventh，the UN accepts the principle of...（转引自彭宣维2005）（前者与后者关系为集体与个体关系）

例5.Iiscream my pain out from my gut as the last shrouds of sunlight fall from the earth and darkness wraps me in her embrace.My voiceijechoes off the canyon walls，coming back to me.Iiraise my arms，spread wide，...（Hope and Comfort）（前者与后者关系为整体与部分关系）

例6.Linguisticsistudies the full range of aspects of human language.It investigates the phonetics，grammar and semantics of individual languages， ...Corpus linguisticsijlooks at language from a social perspective；Corpus linguistics deals with exchanging and sharing content.（前者与后者关系为上位与下位关系）

例7.Iilived at West Egg，the－well，the less fashionable of the two，though this is a most superficial tag to express the bizarre and not a little sinister contrast between them.My houseijwas at the very tip of the egg，only fifty yards from the Sound，and squeezed between two huge places that rented for twelve or fifteen thousand a season.（The Great Gatsby）（前者与后者关系为领属与所属关系）

另一种次话题类型是与主话题之间没有任何语义关系的话题。但其与话题链的主话题具有横向层次上的主次关系，如例8、9。

例8.Adamiswallowed.‘Yes.’...‘Mama’s necklace？’［Lollyjprompted，reaching for it.］‘Just a minute.’Adamiapproached Ivy.（转引自彭宣维2005）

例9.Charleyiwalks along apolished corridor and finds the exit.Outside in the bright car park he locates his car and sits inside.He glances around at the visitors coming and going.［Nursesjwalk past，reminding him of butterflies.］Charley reaches for his mobile phone and taps in a number.（Hope and Comfort）

两种类型的次话题或者层次更低的话题引导的语句主要是为主话题引导的语句做铺垫，为主话题的延续和深入发展发挥作用。因而篇章表达时要充分发挥各种次话题的作用。但层级低的话题显然不能过于延续，否则辅助成分过多，以致喧宾夺主。例如:

例10a.With the open－door policy，more and more foreigners come to Chinese.They come to China for the purpose of business.For example，they establish joint ventures.Other come to Chinese for traveling.Obviously learning English become more and more important，because we need to use English to communicate with them.（转引自蔡基刚2003:580）

b.With the adoption of the open－door policy，English has become increasingly important in our life.Although many people are eager to master it，it is not easy for the Chinese. However I find some effective ways to overcome the difficulties I have in learning the foreign language.（同上）

例10a是学生以 How I Overcome MyDifficulties in Learning English为题写下的英语作文。蔡基刚（2003:58－59）指出，例10a是“说了半天，不要说中心思想没有见到，连主题也未触到”，并改之为10b。这话确实一语中的，10a显然存在过多的辅助成分，通过改正之后，篇章话题 How I Overcome...的最重要次话题“I”才终于出现。

当然，次话题和更低层次话题的分布取决于多种因素，例如，篇章话题的复杂性、文本类型的规范性、个人心理等。我们这里无法给出一个足以令人仿效的话题层次分布模型。要形成有秩序的立体世界，还有赖于篇章内部的局部规划。

3.局部规划

局部规划主要指使用正确的句子话题链和超句话题链。一个话题在其全部语义得到延续的过程即横向发展中，可能出现不同的变体，如图3所示。

图3 话题横向发展中可能出现的形式示意图

例11.The UN is divided into six major groups.Each groupihas an important job to do within the UN system.Theyiare the General Assembly，Security Council，Secretariat，Economic and Social Council，International Court of Justice，and Trusteeship Council.（转引自彭宣维2005）（Each group是they的个体指称变体。）

例12.Mexicoifinanced the remaining balance on the loan by issuing bonds with high interest rates.The governmentistated that the shift from the United States loan to state bonds would save the Mexican government S｜100million in repayment fees per year.（同 上）（The government是Mexico的借代指称变体）

例13.An elephant，waving her painted forehead at the morn...The elephantihad knelt，grey and isolated，like another hill...Then the beastirose in two shattering movements，and poised them ten feet above the plain.（同上）（the beast是the elephant的下义指称变体）

例14.Maryifound herself a seat on a rock that had been rolled against the trunk of an old apple tree...The doctor’s daughterihad been to the decayed old orchard many times before.（同上）（The doctor’s daughter是Mary的角色指称变体）

在话题延续的过程中使用何种变体是一个非常复杂的语用问题。任何篇章话语都是为了达到一定的语用功能，因而无论是篇章的整体构建，还是局部规划都必须服从于达到预定语用功能的目的。如:

例15a.Ronald Reaganflew to Japan.The president is scheduled to meet with Japanese feminists.（Blakemore 1992:71）

b.Ronald Reagan flew to Japan.？？Ronald Reagan is scheduled to meet with Japanese feminists.（同上）

15a可以接受，是因为使用了角色指称变体，而15b没有使用角色指称变体，导致其接受性差。Blakemore（1992:71）认为，这其中的原因是，名称与有定描述语即使同指，二者所提供的语境信息也是有差异的。这样，15a中的话题形式就不是简单的原形重复了，而15b却不是这样。

例16a是引自《新概念英语》第二册的一篇短文，16b是文后要求学生改被动态为主动态的练习。前者通过使用clavichord来做超句话题链的话题，把we have...当成是辅助成分，使得短文信息显得重点突出。同时，该话题在延续过程中采用不同的形式，如采用了上义变体，为读者理解提供了更多的语境信息。而后者变换话题更为频繁，让we做超句话题链的话题没有突出信息说明的对象，同指话题形式也单一。

例16a.We have an old musical instrument.Itiis called a clavichord.Itiwas made in Germany in 1681.Our clavichordiis kept in the living－room.Itihas belonged to our family for a long time.The instrumentiwas bought by my grandfather many years ago.Recently itiwas damaged by a visitor...（Not For Jazz）

b.Weihave an old musical instrument.Weicall it a clavichord.Someone made it Germany in 1681.Weikeep our clavichord in the living room.My grandfatherjbought the instrument many years ago.Recently a visitorkdamaged it...（同上）

再如，Kuno（1987，转引自Saeed 1997／2000:158）从说话人移情（speaker empathy）的角度解释了17a接受性差，18b无法接受的原因。他指出，这两例的说话人是Mary的朋友，因此说话的角度是站在Mary的立场上，因而话题Mary在第二个句子中不能变换。

例17a.？Maryihad quite an experience at the party she went to last night.An eight－foot－tall rowdyjharassed heri.

b.Maryihad quite an experience at the party she went to last night.Sheiwas harassed by an eight－foot－tall rowdy.

例18a.Maryihad quite an experience at the party she went to last night.Shei slapped an eight－foot－tall rowdy in the face.

b.＊Maryihad quite an experience at the party she went to last night.An eight－foot－tall rowdyjwas slapped in the face by heri.

篇章的整体构建要达到语用目的，显然还要考虑各种语言对各种文本类型约束的规范，也要考虑具体的语境，采用灵活的形式，从而获得特殊的语用效果。例如，在英语的企业简介中会一反常态地使用名词短语重复，而不是英语中惯用的代名词重复，见例19。

例19.Midland Realtyialways strives to enhance its staff quality and maintain a high standard of service.Midland Realtyiis the first Hong Kong－based property agency to launch internet service of property information.Recently，the companyiintroduced the use of intranet which can greatly improve work efficiency.The groupialso makes use of the intranet as a channel to gather the latest market information and put it on to the internet.（转引自王建国等2009）

再如，例20中“Eka Udo”被反复使用，就反映了男主人公思念前妻“Eka Udo”的好处以及对现任妻子的不满，并预示了男主人公与现任妻子之间的婚姻悲剧。

例20.Eka Udoiwould never have done that.Eka Udoiwould never have allowed another man to bring her home except that man happened to be a close relative.

Eka Udoiwould have been home when he got back from work.Eka Udoiwould have had water ready for him to bath with.Eka Udoiwould have given him a hot meal.Oh Eka Udo！Why did he ever leave Eka Udo...？（Death of Kapsak）

对于英语学习来说，我们还要注意，在表达相似内容的情况下，汉英话题链的同指话题形式的选择是存在差异的。这种差异还可能是由于文化习惯差异造成的。

例21.王颖，1960年1月12日生。1982年毕业于大连外国语学院英语系语言文学专业，1986年至1988年在上海大学外国语学院英语助教班学习……。

多年来，我一直从事大学英语教学工作。曾先后讲授过精读、写作和翻译等课程；为专业研究生开设过应用语言学……。

本人在各类学术刊物上先后发表高质量论文20余篇；主编、合编、正式出版的专著、译著、教材有30余本。（蔡基刚2003）

例22.Christopher N.Candlin is Senior Research Professor in the Department of Linguistics，Division of Linguistics and Psychology，at Macquarie University，Sydney，and is a member of the Research Centre for Language in Social Life，which he established in 1994 and directed from 1994to 1998.In addition，he was the Foundation Executive Director of the Australian Government’s National Centre for English Language Teaching and Research which he directed from 1987to 1998.（同上）

这两份简历存在因汉英语言差异所导致的表述差异:汉语多使用零形式回指，而英语多使用代名词回指。在简历这种文体文本中，还存在汉英文化差异所导致的现象:英语中常以第三人称回指，汉语中常以第一人称回指（蔡基刚2003:7）。

4.结语

本研究根据吴碧宇和王建国（2012）所做的英语篇章话题系统研究，讨论了英语篇章表达中的几个问题。我们认为，英语篇章表达在整体规划上要选好篇章话题，安排好其他各个层次话题的基本布局，在局部规划上，则需要使用符合英语语言与文化规范的句子话题链和超句话题链，同时还需要注意文本类型对同指话题形式的选择限制。

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