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!""#" Contents 人民幣國際化與國際貨幣體系 RMB Internationalization and the International Monetary System 鄭國漢、陳祖旭 1 Leonard K. Cheng; Chen, Zuxu 中英譯者高語境文化文本闡釋的共性與個性—以《白于玉》譯文比對為主 Commonalities and Particularities in the Interpretation of High-Context Cultural Text by Chinese and English Translators: A Comparative Study of the Translations of “Bai Yuyu” 熊野、魏慧萍 11 Xiong, Ye; Wei, Huiping Disorientation, Mimicry, and Progression: The Identity Evolution in Miguel Street 迷失、模仿與演進—《米格爾街》中被殖民身份的演變 雷豔妮、李梓欣 43 Lei, Yanni; Li, Zixin . 深港上市公司在環境、社會及治理信息披露規則的協調對接 Coordination and Alignment of ESG Information Disclosure Rules for Shenzhen-Hong Kong Listed Companies 談蕭、譚琪琪 65 Tan, Xiao; Tan, Qiqi .
人工智能生成物的法律地位與反不正當競爭法保護 The Legal Status of AI-Generated Content and Its Protection under the Anti-Unfair Competition Law 陳思楊、龍欣璇 91 Chen, siyang; Long, xinxuan 服務型領導與員工服務創新行為影響機制之研究 A Study on the Influence Mechanism of Servant Leadership on Employees’ Service Innovation Behavior 李穎、張倩孺、張博堅 119 Li, Ying; Zhang, Qianru; Chang, Po-Chien 世漢㈻會國際㆗文教育研究專欄 (由教育部㆗外語言交流合作㆗心㈾助設立) 西班牙中文三語學習者塞音產出及偏誤研究 A Study on Stop Consonant Production and Pronunciation Errors in Spanish-Speaking Trilingual Learners of Chinese 韓婧怡、王婷 155 Han, Jingyi; Wang, Ting 馬達加斯加中級水平普通話學習者的聲調感知及其影響因素 Tone perception and its influencing factors in intermediate-level Malagasy learners of Mandarin 許雲鳳、尤舒翔 187 Xu, Yunfeng; You, Shuxiang
鄭國漢、陳祖旭 2 RMB Internationalization and the International Monetary System Leonard K. Cheng1; Zuxu Chen (1. Formerly with Lingnan University of Hong Kong) Abstract: The 2008 financial crisis spurred China to promote the use of renminbi (RMB) in international transactions in order not to be trapped deeper in a US “dollar trap”. The launch of cross-border RMB trade settlement marked the start of RMB’s internationalization. Early on, China had to choose between fully liberalizing capital flows and maintaining capital control for the sake of financial stability. It opted for a gradualist policy approach. RMB internationalization has made progress, with gains in international usage, foreign exchange reserves, international payments, and global trade finance. Yet, it still lags way behind the US dollar and the Euro. The US dollar’s dominance has contributed to the existing monetary system’s drawbacks that include global currency instability, deflationary bias in global aggregate demand due to the accumulation of currency reserves by developing countries to deal with the instability, and inequality in the international allocation of resources in the sense that the value of exports from developing countries to developed countries exceeds that of their imports from developed countries. Among the various reform proposals for the international monetary system, more feasible would be a multi-polar system whose core currencies include the US dollar, RMB, and the Euro competing with each other. It would make the global currency market more stable, reduce the global aggregate demand’s negative bias, and make the international resource allocation more equitable. RMB internationalization still has a long way to go to match China's relative economic size and share of international trade. With China's economic growth, the extent of RMB internationalization may rise much further, thus contributing to the formation of a multi-polar international monetary system. Keywords: RMB internationalization; International monetary system; US dollar’s dominance; Reform of the international monetary system
人民幣國際化與國際貨幣體系 5 提升。2 其中⼈民幣的外匯儲備佔比在近幾年因為⼈民幣貶值有所下降，2024年繼續跌至澳幣之下，在全球官⽅外匯儲備貨幣中排⾏第七。全球貿易融資佔比增長迅猛，2024 年佔比是 2021 年兩倍以上。儘管如此，⼈民幣國際地位⽬前和美元相比仍有較⼤差距。根據 IMF和環球銀⾏⾦融電信協會（SWIFT）公開數據，2024年美元在全球外匯儲備、國際⽀付和貿易融資各項佔比分別約爲 59%、47%和 80%。有學者認爲到 2035 年美元仍會在國際貿易定價貨幣中佔據主導，除非美國經濟遭受巨⼤衝擊，⼈民幣才有機會成爲國際貿易定價新主導貨幣。3 圖1. 人民幣國際化指標 （圖b,c 沒有包括領先的美元和歐元，而圖d則沒有包括領先的美元） 2 Bastian von Beschwitz, “Internationalization of the Chinese Renminbi: Progress and Outlook,” https://www.federalreserve.gov/econres/notes/feds-notes/internationalization-of-the-chinese- renminbi-progress-and-outlook-20240830.html. Accessed March 26, 2025. 3 Dmitry Mukhin, “An Equilibrium Model of the International Price System,” American Economic Review 2.112 (2022): 650-688.
澳門科技大學學報(人文社會科學版)第十九卷第四期 二零二五年十二月，頁 11-42 DOI: 10.58664/mustjournal.2025.12.002 11 中英譯者高語境文化文本闡釋的共性與個性 —以《白于玉》譯文比對為主* 熊野、魏慧萍 1 （1. 澳門科技大學國際學院副教授） 摘要：本文聚焦於《聊齋誌異》中《白于玉》這一高語境文化文本，通過比對 1835年英國《弗雷澤雜誌》刊載的《白于玉》譯文 The History of Woo-Tsing-Yen和 1997年張慶年等譯者選譯《聊齋誌異》英譯本 Strange Tales from the Liaozhai Studio中的“Bai Yuyu”，挖掘不同文化背景下中英譯者對同一源文本進行闡釋的共性和個性。本文研究發現，兩個譯本均採用明晰化和略省化策略轉換並闡釋原文，體現譯者的積極參與和主動「干涉」，其中明晰化策略的使用共性亦表明不同時期譯者同樣希望深入介紹中國文化、中國文學的闡釋動機。同時，譯者自身不同的文化身份和認知差異使其對同一文本的闡釋呈現出各自的個性，具體體現為：英語母語譯者在翻譯中傾向於詩意化、純潔化、以譯者自我意識和價值觀介入為導向的文本闡釋，中文母語譯者則呈現出簡明化、如實化、忠實植根於原作歷史處境之中的闡釋書寫。 關鍵詞：《聊齋誌異》、白于玉、高語境文化、闡釋共性、闡釋個性 * 收稿日期：2024年 04月 26日；通過日期：2025年 10月 21日。
熊野、魏慧萍 12 Commonalities and Particularities in the Interpretation of High-Context Cultural Text by Chinese and English Translators: A Comparative Study of the Translations of “Bai Yuyu” Xiong, Ye, Wei, Huiping1 (1. Associate Professor, University International College, Macau University of Science and Technology) Abstract: This paper focuses on the high-context cultural text “Bai Yuyu” in Liaozhaizhiyi. By comparing “The History of Woo-Tsing-Yen”, published in Fraser’s Magazine in 1835, and “Bai Yuyu”, included in Zhang Qingnian’s 1997 translation Strange Tales from the Liaozhai Studio, we explore the commonalities and particularities in how translators from different cultural backgrounds interpret the same source text. The findings show that both translations adopt the strategies of clarity and omission to transform and interpret the original text, reflecting the translators’ active participation and intervention. The similarity in the use of clarity strategies also demonstrates that the translators across different periods were motivated by a common desire to introduce Chinese culture and literature in-depth. At the same time, the translators’ distinct cultural identities and cognitive orientations give rise to interpretive individualities: the English native translators tend to use poetic and purified interpretations, guided by the intervention of the translators’ self-consciousness and values, while the Chinese native translators favor a concise and realistic interpretation of the text, which is faithfully rooted in the historical context of the original text. Keywords: Liaozhaizhiyi; Bai Yuyu; high-context culture; interpretive commonality; interpretive individuality
中英譯者高語境文化文本闡釋的共性與個性—以《白于玉》譯文比對為主 13 一、問題提出：漢譯英高低語境文化文本的闡釋轉換 Hall 的語境理論將⽂化分為⾼語境和低語境兩類，強調不同語境下信息解讀的差異性，指出⽂化提供⼀個選擇性屏障，影響⼈們對現實的認知。⾼語境⽂化如中國等亞洲國家⽂化，信息解讀依賴於背景知識和隱含意義，編碼的、明確的、傳遞的信息部分極少，⽽低語境⽂化如美國和⼤部分西歐國家⽂化，更依賴直接明確的信息表達，即⼤部分信息都包含在明確編碼中。根據 Hall的經典界定，可知⾼語境⽂化中信息的語義建構⾼度依賴於⽂化共同體的集體記憶與隱性認知框架，體現在⽂學創作中表現為「以少寓多」的⽂化符號經濟原則。1 這種特徵在中國典籍中尤為顯著，如《論語》中「克⼰復禮為仁」的表述，其語義完整性建⽴在儒家禮制⽂化體系之上，僅六字便濃縮對個體道德修養和社會規範互動關係的深刻詮釋。這類⽂本的編碼機制正如 David Katan 所指出的，屬於典型的⾼語境信息結構—⾔語層⾯僅保留必要⽂化坐標，其餘語義空缺需讀者通過激活⽂化前理解完成填充。2 在詩歌等⾼語境⽂學體裁中，這種編碼特質更為顯著。《詩經·關雎》開篇「關關雎鳩，在河之洲」的起興⼿法，表⾯描寫⾃然物象，實則通過周代婚戀儀禮的⽂化密碼（雎鳩象徵配偶忠貞）建構隱喻網絡。詩⼈僅提供⽂化索引符號，期待讀者沿著既定認知路徑解讀⽂本的倫理意涵。這⼀書寫策略，本質是⾼語境⽂化中集體記憶與個體表達的辯證統⼀。正如姜欣、姜怡、林萌指出，漢語典籍⽂本作為⾼語境⽂化產物，其根隱喻與本⼟⽂化緊密相連，信息多隱含於語境中。典籍為源語讀者所寫，語境匹配良好，交際⾃然有效。但作為跨⽂化闡釋活動的翻譯往往會打破這種原⽣和諧，將⽂本從原交際環境中剝離出來，信息轉換為不同語⾔符號並置於新環境中，導致⾼低語境⽂化錯層。3 當⾼語境⽂本進入低語境⽂化的解讀場域時，其信息傳遞的完整性遭遇挑戰：⼀⽅⾯，英語作為低語境語⾔系統傾向於顯性編碼，要求信息在詞彙語法層⾯充分 1 Edward T. Hall., Beyond Culture. (New York: Anchor Books, 1976), 85-91. 2 Katan, David., Translating Cultures: An Introduction for Translators, Interpreters, and Mediators. (London: Routledge Taylor & Francis Group, 2004), 84. 3 姜欣、姜怡、林萌，〈高低語境文化錯層在典籍英譯中的顯現及對策〉，《外語與外語教學》， 第 5期（遼寧：2009.05），49-51。
熊野、魏慧萍 14 外化︔4 另⼀⽅⾯，譯語讀者缺乏源語⽂化共同體的記憶儲備，難以激活隱含的⽂化密碼。這種錯層現象導致漢語典籍英譯時必須進⾏⽂化的顯化操作，此類帶有補充性質的策略雖能在⼀定程度上緩解源信息流失，但亦可能減損原⽂本的⽂化意涵和審美張⼒。 ⾼低語境⽂化⽂本的轉換困境實質折射出⽂化認知範式的深層差異。翻譯研究如何在⼆者之間建⽴動態平衡，既要避免過度闡釋損害⽂本的詩學特質，也需構建必要的⽂化橋樑，以實現有效傳播。這種跨語境闡釋的張⼒，恰是探究⽂化認知模式差異的最佳觀測點，也將為建構更具解釋⼒的翻譯理論提供重要啟⽰。 本研究著眼於《聊齋誌異·⽩于⽟》這⼀典型⾼語境⽂化⽂本。該故事通過吳⽣棄仕修仙的敘事主線，交織道教思想、⼠⼈⼼態、仙凡倫理、家庭倫理等多重⽂化符碼。在 Hall的語境理論框架下，其原⽂信息⾼度依賴於中國傳統⽂化語境的集體記憶，在漢譯英語⾔⽂化翻譯轉換中需通過多維解碼以完成闡釋。本研究試圖通過中英譯者翻譯的兩則《⽩于⽟》譯⽂比對，挖掘不同⽂化背景譯者的闡釋共性和個性。由此提出研究問題：在《⽩于⽟》譯⽂中，中英譯者分別採⽤哪些闡釋策略來處理⾼語境⽂化元素？這些策略在何種程度上保留源語⽂化內涵或適應譯語⽂化語境？這些闡釋差異反映哪些⽂化價值觀和認知模式的不同？這對跨⽂化翻譯實踐有怎樣的理論啟⽰？ 二、 《白于玉》高語境文化文本語料提取與數據收集 (㆒)、研究底本、譯本選擇與互文編碼 本研究以採⽤張友鶴輯校《聊齋誌異：會校會注會評本》卷三《⽩于⽟》⽂本作為互⽂比對底本。通過對已知英語母語譯者和中⽂母語譯者所譯《聊齋誌異》（以下簡稱《聊齋》）篇⽬的廣泛搜尋，發現⽬前已知《⽩于⽟》英譯⽂僅存有⼆：⼀是於1835年5⽉英國倫敦出版的綜合性⽂學雜誌《弗雷澤雜誌》（Fraser’s Magazine） 4 Katan, David., Translating Cultures: An Introduction for Translators, Interpreters, and Mediators. (London: Routledge Taylor & Francis Group, 2004), 84.
中英譯者高語境文化文本闡釋的共性與個性—以《白于玉》譯文比對為主 15 第 11卷第 65期刊載的完整英譯⽂“The History of Woo-Tsing-Yen”︔5 ⼆是中國譯者張慶年等 1997年選譯《聊齋》英譯本 Strange Tales from the Liaozhai Studio中的“Bai Yuyu”。儘管中英譯本存在顯著的年代差距，但是中⽂母語譯者在翻譯過程中對原作年代價值觀的忠實呈現以及避免現代視角的介入（如在處理「宗嗣」「胤續」等涉及傳統儒家宗法制度的概念時，植根於原⽂歷史語境當下維持「男性繼嗣」「傳宗接代」為⽂化坐標進⾏闡釋），在⼀定程度上抵消互⽂比對的跨時代闡釋差異，從⽽彌補跨時代對比的鴻溝。故本研究將以上述兩篇分別由英語母語譯者和中⽂母語譯者翻譯⽂本為研究對象（以下簡稱 ET和 CT）。 表 1. 中英譯者《聊齋誌異》中《白于玉》篇選譯情況調查統計 序號 英譯《聊齋誌異》 （譯者及年份） 選譯 與否 序號 中譯《聊齋誌異》 （譯者及年份） 選譯 與否 1 Sir John Francis Davis?（1835） Y 1 Dagao Chu (1937) N 2 Karl Friedrich August Gützlaff（1842） N 2 Xianyi Yang et al (1981) N 3 Samuel Wells Williams（1842/1848） N 3 Yunzhong Lu et al (1982) N 4 William Fredrick Mayers（1867） N 4 Ruoqiang Mo et al (1988) N 5 Clement Allen（1874/1875） N 5 Wanruo Xie (1990) N 6 Herbert Allen Giles（1880） N 6 Qingnian Zhang et al (1997) Y 7 Sir Walter Caine Hillier（1910） N 7 Juan Wang (1998) N 8 George Soulié (1913) N 8 9 Frederick F. Martens (1921) N 9 10 Rose Quong (1946) N 10 11 John Minford (2006) N 11 通過對研究所選底本、譯本的互⽂整理，獲得總字量為 8739的編碼藍本（其中底本字數計 2142、ET 字數計 3791、CT 字數計 2806）。通過系統性⽂本分析提取 5 雜誌編者未標註具體譯者，亦未提供關於譯者的具體信息。據蔡乾研究指出，該譯文較大可能為 英國漢學家德庇時所譯。因此說孤證不立，故本文僅基於具體譯文呈現對譯者翻譯策略進行分析。 參考蔡乾，〈再論《聊齋誌異》在西方的最早譯介〉，《明清小說研究》，第 1期（江蘇：2022. 01），268-282。
熊野、魏慧萍 20 括意義層⾯的顯性表達。11 這⼀過程旨在將原⽂中隱含的信息在譯⽂中明確呈現，⽽使譯⽂詞句意義比原⽂更清晰、具體，邏輯關係更鮮明。顯化/明晰化作為⾼低語境⽂化轉換過程中「補缺」的必要⼿段，在《⽩于⽟》兩則譯⽂中均有體現，具體表現為解釋、補充和改寫。 解釋，是指對源語⽂本中的特有⽂化概念、隱喻表達、情景語境等需要借助源語境來理解的信息進⾏闡釋說明，以確保譯⽂讀者的可理解。 例 1. 原文：生問主人，童曰：「早詣待漏，去時囑送客耳。」 ET： “Where is your master?” asked Woo-tsing yen. “My master left before the fifth watch to wait on his majesty and ordered me to accompany you home.” CT：Wu asked where Bai was. The boy replied, “He went to the holy court early in the morning and asked me to see you off.” 「早詣待漏」指百官清晨入朝，等待朝拜天⼦。漏，是古代計時器具。該⽂本蘊含古代宮廷禮儀和官員的⽇常活動。要將此蘊含古代官制⽂化的概念進⾏闡釋轉化，需要合理依據源語⽂化語境，確保⽂化意涵的恰當呈現。在 ET中，譯者通過具體指明“the fifth watch”（五更）來明確時間節點，同時“wait on his majesty”（恭候陛下）傳達等候⾏為和對象，較為準確地傳達原⽂意義和⽂化內涵。在 CT 中，譯者側重於營造莊嚴氛圍，通過“the holy court”（神聖的宮廷）讓讀者感受到宮廷的莊嚴神聖，從⽽意識到⾏為的莊重性。雖然未直接提及具體⾏為，但通過地點和時間的結合渲染，同樣有效傳達原⽂意涵。 例 2.原文：太史告女，女曰：「遠近無不知兒身許吳郎矣，今改之，是二天也。」 ET：Tae-she now informed his daughter, who replied, “Every body knows that I am engaged to Woo-tsing-yen; if now I should marry some other person, I should have two husbands.” CT：So, the taishi told his daughter what had happened. She said, “Everybody knew that I was engaged to Wu. If you find me another man, it will be like a remarriage for me.” 《儀禮·喪服》⾔「夫者妻之天也」，以「天」這⼀至⾼無上且權威存在的概念來喻指家庭中丈夫的核⼼地位及古代社會於夫妻關係的從屬約規。原⽂「是⼆天也」之說，實際上是太史女葛琳對於堅守原有婚約、抗拒新婚約的強烈表達。在 ET 11 韓孟奇，〈漢語典籍英譯的語境補缺與明晰化〉，《上海翻譯》，第 4期（上海：2016.04），73- 76。
中英譯者高語境文化文本闡釋的共性與個性—以《白于玉》譯文比對為主 21 和 CT 中，兩⽂譯者均從源語⽂化語境的解析中分別以“two husbands”（兩位丈夫）和“remarriage”（再婚）予以譯語讀者明⽰，完成⾼低語境⽂化⽂本的闡釋轉換。 例 3.原文：三年鸞鳳，分拆各天。 ET：We lived affectionately together for three years, and then we parted. CT：We were husband and wife for three years and then were separated. 「鸞鳳」即鸞⿃和鳳凰，在中國古代⽂化中有「鸞鳳之配」「鸞鳳和鳴」等意象，⽤以象徵夫婦之間的和諧美好。此處暗含吳⽣⾃述回憶與葛琳三年夫妻⽣活和諧共處。在 ET中，譯者從情感維度“lived affectionately together”（親密⽣活在⼀起）捕捉到原⽂中吳⽣和葛琳曾經和諧共處的溫情︔在 CT 中，譯者則是從關係維度，採⽤“We were husband and wife”（我們曾是夫妻）直接地表述，說明吳⽣和葛琳曾經的夫妻關係。 補充，是指譯者根據上下⽂和⽂本語境對某些特定情景語境中隱含的信息進⾏適當增補，以使表述更加完整、明確。 例 4.原文：無何，見白家童來相招，忻然從之。 ET：Not dreamless were his slumbers. In a vision the servant of Pïn-yüh came to him, and beckoned him to follow. He arose and went where the domestic led him. CT：Soon he fell asleep and saw Bai’s boy servant coming to lead the way. 上述情節敘述並未明確區分夢境與現實，⽽是將讀者直接帶入⼀個連續的、未經標誌分割的情景中。對這⼀情景語境的描述轉換需聯繫上⽂「設席即寢」，以理解該情節的發⽣為夢境。兩譯⽂均對這⼀夢境情景進⾏補充闡釋，ET中譯者⽤倒裝句“Not dreamless were his slumbers”（他的沉睡並非無夢）強調吳⽣的睡眠並非無夢，為接下來的夢境作鋪墊，並⽤“In a vision”（在幻象中）明⽰譯⽂讀者情景發⽣在夢境虛境中︔在 CT中，譯者以“Soon he fell asleep”（他很快就睡著了）直接點明吳⽣入睡的事實，接著直接描述夢境中出現的場景和⾒到的⼈。 例 5.原文：他日謂生曰：「曩所授，乃『黃庭』之要道，仙人之梯航。」 ET：Finding this, and that no use was meant to be made of this book, Pïn-yüh informed Woo-tsing-yen of its value, saying that it was the doctrine of Wang-ting-che-yaou, the steps of the gods. CT：A few days later, Bai said to Wu, “The book I lent you is the best of ‘Huang Tingjing’.
熊野、魏慧萍 22 It is a ladder and a vessel to the land of the immortals.” 從句⼦結構來看「他⽇謂⽣曰」省略主語，需要通過上下⽂或情景語境來補⾜。上⽂敘述⽩于⽟授吳⽣⼀修道之書，吳⽣未能理解其意，隨意將書擱置⼀旁。在 ET中，譯者補充⽩于⽟對吳⽣這⼀⾏為的⼼理洞察，“Finding this, and that no use was meant to be made of this book, Pïn-yüh informed Woo-tsing-yen of its value”（⽩于⽟發現該書並未為之所⽤，就告知吳⽣其真正的價值），這⼀補充不僅順承上⽂情節發展，更從“value”（價值）角度對「『⿈庭』之要道，仙⼈之梯航」這⼀深植於道教⽂化語境的表達進⾏清晰闡釋。相比之下，在 CT中，譯者僅補充主語“Bai”⽽未有其他增述。但對⽩于⽟話語進⾏詳細解釋，將「『⿈庭』之要道」翻譯為“the best of ‘Huang Tingjing’”（《⿈庭經》的精髓），「仙⼈之梯航」譯為“a ladder and a vessel to the land of the immortals”（通往仙境的階梯和船隻），較好地保留原⽂的比喻意義。 改寫，指譯者依據基於⾃身與預設讀者的認知語境和⽂化背景，對原⽂⾼語境內容進⾏適應性轉換，從⽽確保譯⽂的流暢可讀。改寫的具體歸類取決於譯⽂的實際效果，如改寫增強譯⽂的明確性、可讀性，可能更傾向於顯化/明晰化闡釋︔如改寫減少譯⽂的信息量或複雜性，則更傾向於隱化/略省化闡釋。整體來看，《⽩于⽟》兩則譯⽂中的改寫均體現顯化/明晰化的轉換。 例 6.原文：白笑曰：「足下意中自有佳人，此何足當巨眼之顧？」 ET： “What,” replied the other, “How can the lady on whom you have fixed your attentions please a person of your attainments?” CT：Bai laughed, “You already have your sweetheart. I don’t think anyone here matches your choice.” 在宴席中仙⼈⽩于⽟⾯對吳⽣求⼀仙女時，原⽂⽤「你⼼中已有佳⼈，這些女⼦又怎能入你慧眼？」來回應吳⽣。「巨眼之顧」作為⼀種比喻，象徵對⽅⾼明眼光和獨到關注。在 ET和 CT中，均對這⼀描述改寫以明⽰。ET中改寫偏向於質疑吳⽣⼼儀對象是否能夠令其滿意，CT中的改寫則以更加直接、明確的⽅式強調⽩于⽟認為這裡沒有合適的⼈能配得上吳⽣。 例 7.原文：因俾鄰好致之曰：「使青庵奮志雲霄，當以息女奉巾栉。」 ET：And afterwards, finding his zeal and perseverance equal to his abilities, he offered him his daughter in marriage.
中英譯者高語境文化文本闡釋的共性與個性—以《白于玉》譯文比對為主 23 CE：He said and asked the friend to pass the word to Wu that if he worked hard and succeeded in the imperial civil service examination, he could marry his daughter. 原⽂敘述太史通過鄰居傳話給吳⽣，表⽰如果吳⽣能努⼒上進考取功名，他便願將女兒許配給他。「奮志雲霄」表層意指奮發向上、⽴志⾼遠，但在此社會語境中實指奮發⽴志取得科舉功名。「奉⼱栉」指古代女⼦侍奉丈夫⽇常⽣活，在此以⼀種含蓄內隱的⽅式表達太史希望將女兒許配給吳⽣的意願。在 ET 中，譯者將原⽂所蘊含的條件性表述直接改寫為太史的決定，將「奮志雲霄」這⼀象徵隱喻融入新語境，並將「奉⼱栉」明晰化闡釋為“And afterwards, finding his zeal and perseverance equal to his abilities, he offered him his daughter in marriage”（後來，（太史）發現他的熱情和毅⼒與其能⼒相當，便將⾃⼰的女兒嫁給他）。CT中，譯者延續原⽂條件性意義表述，植根於源語社會⽂化語境將條件「奮志雲霄」顯化闡釋為“worked hard and succeeded in the imperial civil service examination”（努⼒學習，通過科舉考試），並將條件結果明⽰敘述為“he could marry his daughter”（他便會將女兒嫁給他）。 在翻譯的⾼低語境轉換過程中，明晰化策略的普遍應⽤，主要通過語義擴充或⽂化語境顯化，補⾜⾼語境⽂本的隱含信息，是確保原⽂意義得以延續，適應譯語語境調整的重要⼿段。這不僅展⽰譯者在處理⽂本時的靈活操作，也彰顯譯者對源語⽂化的深刻理解和把握。 (㆓)、以簡化、刪除為主的略省化闡釋策略 在論述翻譯普遍性時，Barker 指出顯化傾向是翻譯⽂本的共性特徵，譯者為協調源語與⽬標語的語境差異，往往通過擴充⽂化解釋等策略，使隱含信息顯化。12 此外亦有許多譯⽂傾向於簡化（Simplify）原⽂中複雜的和消除（Disambiguate）表意不清的部分，從⽽使譯⽂清晰易懂。13 簡化和刪除作為略省化策略，涉及在翻譯過程著重減少源語⽂本的信息量或複雜性，旨在降低跨⽂化接受障礙，以適應⽬標語讀者的閱讀習慣、接受習慣和⽂化語境。 12 Baker, Mona., “Corpus Linguistics and Translation Studies: Implications and Applications”. In: Text and Technology: In Honour of John Sinclair. (Amsterdam: John Benjamins, 1993), 240-242. 13 Shuttleworth M.＆C. Moira., Dictionary of Translation Studies. (London: Routledge, 2014), 193.
熊野、魏慧萍 24 表2. 《白于玉》文化蘊含詞及其在ET和CT中的闡釋文本及闡釋策略 文化蘊含詞 ET闡釋 闡釋策略 CT闡釋 闡 釋策略 太史 the celebrated historian 解釋 taishi (court historian) 解釋 秋闈 the autumnal examination 解釋 the autumnal examination 解釋 秀才 Tseu-tsae / xiucai (one who passed the civil service exam at the county level) 解釋 時藝 address and conversation 改寫 baguwen (stylized, eight-part essays designed for imperial civil service exams) 解釋 功名中人 nor am I very anxious about acquiring fame 解釋 not interested in an official career 解釋 吐納之術 a book on the occult sciences 改寫 a book on how to maintain health 改寫 黄庭 the doctrine of Wang-ting-che-yaou 解釋 the best of ‘Huang Tingjing’ 解釋 仙人 the gods 解釋 the immortals 解釋 求仙者 those who seek to become immortals 解釋 those who seek immortality 解釋 萬念俱寂 be free from anxious thought 簡化 rid themselves of worldly desires 簡化 青蟬 a green insect, somewhat resembling a locust, 簡化 a cicada 簡化 朱門 a red door 簡化 a vermilion-painted gate 簡化 廣寒宮 the palace Kwang-han / the Moon Palace 解釋 王母 Wang-moo, the imperial mother, 解釋 the Heavenly Mother 解釋 二八 a maiden of about sixteen 解釋 a fair young girl 簡化 笙管 reed and pepà 改寫 the flutes 改寫 合卺 having been united 簡化 Our last meeting was a wedding 簡化 良匹 some other husband for his daughter 解釋 another man as his son-in-law 解釋 姑障 his aged mother 解釋 his mother 解釋 妝奩 the dowry 解釋 dowry 解釋 嫔 the bride was taken to the house of her husband 解釋 married his daughter to Wu 解釋 翰林 the Han-lin, or imperial college, at Peking 解釋 the Imperial Academy 解釋 褒封 when desirous of extolling the virtues of his mother 簡化 The emperor praised him on several occasions and conferred an honorary title on his mother. 解釋 霜露之辰 the winter now set in, and the weather was extremely cold. 改寫 One autumn day 改寫 小字 the name given to me while an infant 解釋 childhood name 解釋
中英譯者高語境文化文本闡釋的共性與個性—以《白于玉》譯文比對為主 25 龍鍾 in his person extremely debilitated 簡化 / 刪除 回祿 Hwing-lǔh (the God of Fire) 解釋 / 刪除 簡化，指譯者在處理⾼語境⽂化⽂本時，對源語中依賴⽂化共享坐標的獨特概念或表達進⾏過濾或剔除，以使譯⽂意義更直接適應低語境受眾的認知框架。根據Hall ⾼低語境理論，⾼語境⽂化（如漢語）依賴隱性⽂化知識和語境關聯，⽽低語境⽂化（如英語）傾向依賴顯性語⾔編碼。因此，簡化策略的本質是調適⾼低語境斷層，通過削減⽂化專屬信息的複雜性，彌補⽬標讀者語境知識的缺失。 ⾼語境⽂化詞承載著密集的歷史、宗教、禮俗信息，其意義⾼度依附於源語⽂化共同體。譯者⾯臨「語境依賴」與「譯語明晰性」的張⼒，簡化策略通過選擇性剔除⽂化負載元素，在漢譯英的闡釋活動中，實現⾼低語境的「隱顯」轉化。以原⽂中的⾼語境⽂化蘊含詞為例，兩位譯者均對「萬念俱寂」這⼀描寫佛教修煉狀態的概念進⾏簡化闡釋，ET以“be free from anxious thought”（擺脫焦慮思想）進⾏闡釋，側重於表達該概念中內⼼平靜、無焦慮的狀態，重視情感層⾯的簡化闡釋，即擺脫內⼼煩惱憂慮，達到⼀種內⼼平和狀態︔CT以“rid themselves of worldly desires”（摒除世俗慾望）闡釋，強調概念中消除世俗慾望的意味，側重於⾏為或態度層⾯的簡化闡釋，即摒棄塵世雜念和慾望，追求更⾼層次的精神境界。「合卺」作為⼀種古⽼結婚禮儀，主要指新⼈共飲交杯酒以象徵⼆⼈從此結為夫妻，相濡以沫。在兩個譯⽂中均採⽤簡化策略，ET 中側重於表達「合卺」所蘊含的結合意義“having been united”（已經結合），側重於結果或狀態的簡化闡釋，即兩個⼈已成為⼀體︔CT 則重點描述「合卺」作為婚禮的⼀個具體場景或事件“Our last meeting was a wedding”（我們最後⼀次相聚是⼀場婚禮），即把「合卺」視為婚禮的⼀部分或等同物，側重於事件/場合的簡化闡釋。 刪除，指譯者主動在翻譯活動中主動剔除源語⽂本中⾼度依賴源語⽂化語境、可能引發⽬標讀者認知負荷或誤解的內容。此策略的本質是⾼低語境⽂化差異驅動的選擇性過濾。如⾼語境⽂化詞「龍鍾」和「回祿」等，依賴源語⽂化共享知識（如⽼年意象、⽕神信仰）傳遞意義，⽬標讀者或因缺乏相關⽂化語境儲備，無法解碼⽂化專有項的象徵內涵，故在 CT中譯者對此類⽂化概念選擇直接刪除。 此外，⾯對原⽂故事主線以外的⽂化概念描述，兩位譯者均採⽤刪除策略以儘量使譯⽂⽂本的閱讀更流暢、順利。在道⼠交給夢仙以送達友⼈的信件中，落款「琳
熊野、魏慧萍 26 娘夫⼈妝次」是⼀個非常重要的⽂化細節。此處「妝次」作為古代信函中的結尾敬語，專⽤於女性收件⼈，體現對其的尊重和敬意，反映古代社會書信交往的禮儀。在 ET和 CT中，譯者均將「後書『琳娘夫⼈妝次』」刪除。這樣的處理雖然導致特有⽂化概念和語⾔形式的缺失，但使得譯⽂讀者更易專注於故事情節，保證故事閱讀的連貫性，避免過多⽂化理解的障礙。同樣，還有對「始恍然悟『王林』為拆⽩謎也」相關敘述的刪除。「拆⽩謎」涉及中國古代謎語⽂化，展現古⼈善⽤語⾔⽂字進⾏⽂化交流的特點。「拆⽩謎」通常將漢字拆分開，或者通過漢字的離合變化，形成謎⾯，讓⼈猜測謎底，如原⽂中「王林」即謎⾯，「琳」為謎底指涉具體收信⼈。對於不熟悉漢字字形、結構和⽂化內涵的譯⽂讀者⽽⾔，「拆⽩謎」是⼀個難以理解的概念，且這⼀情節敘述與主線情節發展關係不⼤，故為保持譯⽂的流暢可讀和緊湊連貫，兩位譯者均選擇刪除這⼀涉及豐富⽂化的情節敘述。 從上述分析來看，兩則譯⽂中譯者的簡化、刪除策略多關涉源語⽂化概念。⾯對充斥著豐富獨特⽂化元素的⾼語境⽂本，ET和 CT⽂本多採⽤適當解釋、補充和改寫來使原⽂概念明晰化，使源語⽂化得以保留，其佔比分別為 85%、78%。在 ET的顯化闡釋中，可觀察到歸化（Domestication）策略的局部應⽤。以道教⽂化概念「吐納之術」為例，譯者將其譯為“the occult sciences”（神秘學/超⾃然學），此舉體現 Venuti所界定的歸化本質，即把源語本⼟化，以⽬標語或譯⽂讀者為歸宿，採取⽬標語讀者所習慣的表達⽅式來傳達原⽂的內容。14 具體⽽⾔，「吐納」作為道教呼吸修煉術，植根於中國「氣論」哲學，⽽英語語境中缺乏直接對應概念。ET譯者選擇以「神秘學」這⼀譯語⽂化既有範疇進⾏類比，雖犧牲道教的本⼟宗教語境，但可借助⽬標讀者對“occult”的模糊認知建⽴初步理解關聯。此類歸化操作符合Schleiermacher的「盡量不打擾讀者，使作者向讀者靠近」原則，旨在降低⾼語境⽂化元素的接受⾨檻。15 然⽽，ET整體並未呈現顯著的歸化傾向。例如對「秀才」的⾳譯處理（Tseu-tsae），以及對「回祿」（直譯 Hwing-lǔh並增注 the God of Fire）、「翰林」（直譯 the Han-lin並增釋 imperial college, at Peking）的直譯⽅式及其⽂化内涵之闡釋均顯⽰譯者所採⽤的與歸化相對的異化（Foreignization）策略，即通過 14 Venuti, Lawrence., The Translator’s Invisibility: A History of Translation. (London: Routledge, 1995), 20. 15 Schleiermacher, F.D.E., Über die Verschiedenen Methoden des Bersetzens. (Berlin: Walter de Gruyter GmbH, 1813), 33.
中英譯者高語境文化文本闡釋的共性與個性—以《白于玉》譯文比對為主 27 名詞直譯與⽂化注釋保留源語⽂化異質性。此闡釋現象源於譯者對「可讀性」與「⽂化忠實」的動態平衡能⼒：運⽤和源⽂化詞語存在相似性的本⼟化詞語進⾏闡釋，或完全保持⽂化異質，取決於譯者能夠尋找到合理的跨⽂化概念關聯。在全然屬於⽂化詞語缺項的情況下，譯者選擇忠實於源⽂化的異質化處理。 對源語⽂化概念盡可能呈現，與兩譯⽂各⾃的闡釋動機和⽬的緊密相關。 通過 1997年由中國譯者翻譯出版的《聊齋》譯本前⾔，可透視其闡釋動機主要有以下⽅⾯：⾸先，希望通過翻譯這部充滿古代⽂化奧秘的作品，為現代讀者打開⼀扇了解古代中國⼈⼼理和社會習俗的窗⼜（The book abounds with the mysteries of an ancient culture and offers a window into the psychology of the ancient Chinese people）︔其次，希望通過這部跨越國界和時代的⽂學經典，讓更多⼈領略到中國⽂學的魅⼒，增進對中國⽂化的了解認識，以促進不同⽂化之間的交流理解（the stories crystallize several thousand years of culture and offer the readers hours of interesting and rewarding adventures）︔此外，譯者還希望通過翻譯⼯作推動東⽅⽂化的傳播和弘揚，希望《聊齋》以其獨特故事情節和深刻思想內涵以為世界⽂學和⽂化寶庫增添新⾊彩（fulfilling a mission to spread oriental culture in a new historic era）。16 基於其翻譯⽬的⾃述，可知譯者的闡釋動機引導著翻譯策略的選擇，並明顯呈現於具體譯⽂中。CT譯者在確保獨特⽂化元素不過度呈現的前提下，盡可能地重現原⽂⽂化元素，並作出深刻解釋。 未明確表明譯者的 ET譯⽂，由編者莫伊爾（David Macbeth Moir，1798-1851）完整刊載於 1835 年英國《弗雷澤雜誌》並輔以中國⽂學介紹。17 編輯在發表譯⽂時，通常附帶⼀些議論說明，這些⽂字往往能夠透露出編輯對譯⽂的理解和期望，進⽽反映出譯⽂的闡釋動機和⽬的。莫伊爾在議論中表達當時英國社會對中國認知的侷限和對這⼀未知世界的好奇。他提到「中國！僅僅是這個名字就能激起非同尋常的情感！我們很少聽說它、思考它、讀到它，除非是在某些特殊場合。」（China! The very name of the country excites unusual emotions. We never hear of it, think of it, read of it, save by some extraordinary chance.）指出⼈們在對「古代」這⼀話題的談論 16 英文引文參見 Zhang Qingnian, Zhang ciyun, Yang Yi., Strange Tales from the Liaozhai Studio. (Beijing: People’s China Publishing House, 1997), 1-3. 17 蔡乾根據文章末尾的簽名標記“Δ（Delta）”確定該文編寫者為莫伊爾，並提出其文章，主要是 由莫伊爾選取早期英國漢學家的譯介成果，經摘錄、改寫和加工編輯以介紹中國文學。
熊野、魏慧萍 28 中常忽視中國，由此呼籲讀者重視中國⽂學並對其加以稱讚：「中國⼈世世代代都在閱讀和寫作散⽂、詩歌、⼩說、戲劇、傳說和哲學。在官⽅學院獲得正規學位，創作繪畫，喝茶，積累⾦銀，培育後代，在其國度中獲得滿⾜和⾃豪，彷彿全世界的⽬光都注視著他們。我們已經看到，中國女性創作的詩歌毫不遜⾊於英國女作家。在中國⽂⼈中流傳的故事，亦在英國⽂學年刊中佔有相當可觀的地位。」（But the Chinese-the poor Chinese! oh! We forgot them; But then nobody reckons the Chinese anything! Yet, notwithstanding all this, have the Chinese gone on age after age reading and writing prose, verse, novels, plays, tales, and philosophy--taking regular degrees in regularly established universities--painting pictures, and good ones too--drinking tea, and multiplying unto themselves gold, silver, and descendants, with as much content and as much pride, in their celestial empire, as though all the world had their eyes fixed on them, and them alone. we have seen that the Chinese ladies can write verses that would not disgrace an English authoress. we shall next find that the tales received among Chinese Literati would cut a very respectable figure in an English Annual.）18 從編者議論中不難發現他希望通過這篇譯⽂增進英國讀者對中國社會、⽂化和⽂學的了解。由此可以推斷，未明確標明譯者的譯⽂闡釋⽬的很可能是與莫伊爾相⼀致，即通過譯⽂向英國讀者介紹中國⽂學和⽂化，以填補當時英國社會對中國認知的空⽩。譯者的闡釋動機可能包括對中國⽂化的興趣，以希望通過翻譯，讓更多⼈了解到中國⽂學的真實⾯貌。基於上述分析中 ET 譯⽂在闡釋中對異質⽂化的解釋、補充等保留和明晰的處理⽅式，實際上即是譯者闡釋動機主導下具體闡釋策略的體現。 四、《白于玉》譯文闡釋個性：闡釋傾向與認知差異 當⼀個⽂本呈現在譯者⾯前，來⾃不同⽂化語境的譯者會根據各⾃的⽂化價值取向、審美觀念和語⾔慣習來進⾏理解和闡釋。這種信息加⼯不僅涉及接受者對空間和時間的認知，還涉及到對信息提供者和接收者的認知。19 跨⽂化闡釋的本質， 18 具體引文參考電子版《弗雷澤雜誌》，542、548。 https://babel.hathitrust.org/cgi/pt?id=umn.31951000742908e&seq=511. 19 Edward T. Hall., Beyond Culture. (New York: Anchor Books, 1976), 87.
中英譯者高語境文化文本闡釋的共性與個性—以《白于玉》譯文比對為主 29 是譯者在⾼低語境⽂化張⼒下進⾏的認知框架重構。⽂化背景深刻塑造著譯者的認知框架，每個譯者都深受其所在特定⽂化環境的影響，包括⽂化價值觀、信仰、習俗等，從⽽形成別具⼀格的認知模式。儘管在闡釋活動中，譯者普遍採⽤明晰化和略省化翻譯策略來處理⽂本，以彌補⽂化語境的斷層，但策略的具體應⽤始終滲透著譯者主體性的介入。正因如此，同⼀⽂本在不同譯者的筆下呈現出豐富絢爛的個性化特徵。具體⽽⾔，《⽩于⽟》ET⽂本突出表現為詩意化、純潔化，並體現融入譯者⾃我價值觀念的闡釋傾向，⽽ CT ⽂本則呈現出簡明化、如實化以及植根於原作歷史處境當下的闡釋書寫。 (㆒)、ET㆗的詩意美㈻建構與CT㆗的簡潔明確闡釋 從敘述風格整體⽽⾔，《⽩于⽟》ET⽂本顯著展現詩化美學闡釋特徵，具體表現在英語母語譯者對⽂本的情感渲染、細節捕捉等⽅⾯，迎合譯⽂讀者對⽂學作品的閱讀審美感受，在敘述中適當與讀者情感共頻，使其能夠深入體悟⽂本蘊含的意義與意境。相比之下，CT⽂本則是呈現出直接、簡潔的筆法，中⽂母語譯者更加簡單直接地闡述原⽂，這可能與中⽂⾼語境⽂化表達有關，譯者可能認為通過簡明扼要表述，能夠更準確傳達原⽂意義，同時避免過多的修飾和渲染，保持原⽂的質樸真實。 例 8.原文：移時，見白生候於門。握手入，見檐外清水白沙，涓涓流溢；玉砌雕欄，殆疑桂闕。 ET：They had not proceeded far before they met Pïn-yüh waiting for them. He, taking his friend by the hand, led him into the palace. In front of the houses rolled a sparkling stream of pure water, in the midst of a white path--he heard the noise of distant waters--he saw long lines of stately buildings branching off in different directions, paved with crystal, and their balustrades ornamented with precious sculpture. This, thought he, is the palace of Kwang-han. CT：Before long, they saw Bai Yuyu waiting by a gate. The two friends walked inside hand in hand. Wu was amazed at the sight: a clear stream flowed in front of a building which had white marble steps and carved banisters. It looked just like the Moon Palace.
熊野、魏慧萍 30 上述例句從⾃然風光、華美建築對廣寒宮外的環境進⾏描寫。ET中採⽤較為細膩描寫和豐富修辭，通過“a sparkling stream of pure water”（⼀條波光粼粼的⽔流），“stately building”（莊嚴的建築）等表達營造神秘瑰麗的場景。以⼀種限知敘述視角，由吳⽣所⾒所聞展開場景描繪和氛圍營造。這種敘述⽅式讓讀者彷彿身臨其境，能夠跟隨吳⽣視角⼀同感受他內⼼的震撼和好奇。此外，通過描述吳⽣的觀察和感受，猜測到這裡就是「廣寒宮」，增強故事帶入感和共鳴。相比之下，CT更注重整體意境傳達和簡潔明快的敘述，譯者⽤“a clear stream flowed in front of a building which had white marble steps and carved banisters”（⼀條清澈⼩溪從⼀座鋪滿⽩⾊⼤理⽯，刻著美麗花紋欄杆的建築物前流過）這樣簡潔⽽富有畫⾯感的描述勾勒出原⽂中的情景美學特徵⽽無過多細節渲染。 例 9.原文：才覺背上微癢，儷人即纖指長甲，探衣代搔。生覺心神搖曳，罔所安頓。既而微醺，漸不自持，笑顧儷人，兜搭與語。美人輒笑避。 ET：Woo-tsing-yen, smitten with love, gazed intently upon them; and entreated to drink wine, he took the cup from the hands of one of them, and felt much difficulty in restraining his passions. *(The Chinese here adds: at this moment Woo-tsing-yen felt a little itching between his shoulders; whereupon one of these beautiful women, having delicate fingers and long nails, put her hands under his coat and relieved the irritated part.) At length he took one by the hand, smiled upon her, and whispered his love; but the damsels laughed, and retired to their apartments. CT：Wu felt an itch on his back, immediately one maid put her soft, long-nailed hand inside his clothes to scratch the spot for him. Wu was ecstatic and, under the influence of wine, he began to lose his self-control and flirted with the four beauties. But the maids just smiled and turned their faces away. 此處原⽂描寫⼀個富有親密意味的場景，展現吳⽣與仙女之間微妙的情感互動。ET中，譯者以“smitten with love”（被愛意深深打動）、“gazed intently”（專注地凝視）、“difficulty in restraining his passions”（難以抑制⼼中湧動的情感）、“whispered his love”（低聲⽿語表達愛意）等情感表達，營造出⼀種浪漫氛圍，傳達出原⽂的情感⾊彩。但對於原⽂「探衣代搔」的親密⾏為並未直接譯出，⽽是以註釋的⽅式置於⽂本中。這⼀呈現⽅式弱化原⽂情⾊描寫⼒度。CT中準確直接傳達出仙女為吳⽣
中英譯者高語境文化文本闡釋的共性與個性—以《白于玉》譯文比對為主 31 搔癢的親密場景，捕捉到吳⽣的情感變化，如“under the influence of wine, he began to lose his self-control”（酒意上頭，難以⾃持），並直接以“flirted with the four beauties”（與四仙女眉⽬傳情）來敘述吳⽣與仙女之間的親密互動。 例 10.原文：逾年，都城有回祿之災，火終日不熄。 ET：The following year Hwing-lǔh (the God of Fire) visited the city, and the devouring element raged for an entire day and night. CT：After the New Year, a big blaze occurred in the capital. 「回祿」是中國古代神話傳說中的⽕神，後被⽤於指⽕災。ET中，譯者保留「回祿」這⼀⽂化概念，運⽤“Hwing-lǔh (the God of Fire) visited the city”（⽕神回祿光臨這座城市）為⽕災的發⽣增添⼀層神秘的超⾃然⾊彩。這⼀描述不僅符合源語⽂化中對於⽕災常帶有的神話⾊彩想像，還為譯⽂增添神秘⽽引⼈入勝的氛圍。同時，譯者⽤“devouring”（吞噬）描述⽕焰的兇猛和破壞⼒，⽤“raged”（肆虐）傳達出⽕災持續時間長和⽕勢的猛烈，向譯⽂讀者傳達出現場的緊張氛圍，通過細膩筆觸和富有想像⼒的語⾔，創造出⼀種超越現實的、具有藝術感染⼒的⽂本境界。⽽在 CT中，譯者以刪除的⽅式簡化「回祿」這⼀⽂化意象，直接簡明地以“a big blaze occurred in the capital”（京城發⽣了⼀場⼤⽕）敘述⽕災的發⽣情境。 譯者作為⼀種⽂化背景薰陶下的動態綜合主體，在進⾏對原⽂信息轉換和再編碼時，必然⾃覺不⾃覺地帶上本民族美學鑑賞的固有特徵和⾃身敘述風格、價值取向。20毫無疑問，《⽩于⽟》ET⽂本融入英語母語譯者美學思維重構的創造⼒，增強譯⽂的情感表達和審美感受，予以譯⽂讀者豐厚的閱讀美學體驗，呈現出詩意化闡釋特徵。⽽ CT ⽂本傾向於簡單直接地復述原⽂描寫，注重⾔簡意賅，⼒求保持原⽂的質樸真實，整體表現出⼀種簡明化的闡釋傾向。 (㆓)、ET和CT對原文親密關係的規避與呈現 《聊齋誌異》中的⼈欲書寫是其⽂學特⾊之⼀，展現作者蒲松齡對複雜⼈性的深刻洞察。慾望作為⼈欲的重要⽅⾯在《聊齋》中得以反覆書寫，如《續⿈粱》中 20 包通法，《共識與相異：論跨文化行而上美學信息的翻譯》，（長春：吉林人民出版社， 2002），28。
熊野、魏慧萍 32 曾姓舉⼈的權利慾望，《罵鴨》中居民某的貪慾，《畫⽪》中情慾與權⼒願望的交織等。在《⽩于⽟》中涉及吳⽣對美⾊的慾望以及帶有象徵隱喻特徵的親密關係描寫。從互⽂呈現來看，ET中對不同類型的親密關係的描寫均採取消解或刪除的處理，以純潔化闡釋︔CT 中譯者則更傾向於在避免低俗敘述的前提下如實地保留原⽂中的⼈欲描寫。 例 11.原文：白乃盡招諸女，俾自擇。生顛倒不能自決。白以紫衣人有把臂之好，遂使襆被奉客。既而衾枕之愛，極盡綢繆。生索贈，女脱金腕釧付之。 ET：Pïn-yüh then ordered all the ladies to appear before his friend, aided him in his choice; and with her he successfully prosecuted his suit. Morning dawned brightly; and before the lovers parted, Woo-tsing-yen begged her to give him some token to keep in remembrance of her. with a sweet smile she drew from her arm a golden ring and presented it to him. CT：Then, Bai asked the four maids to come forward for Wu to choose. Dazzled, Wu did not know whom to choose. Since he had touched the hand of the maid in the purple dress, Bai asked her to make up a bed for Wu. That night, Wu slept with her and had a great time. He asked for a love token, and the maid gave him her gold bracelet. 原⽂以數句敘述吳⽣與紫衣仙女之間的親密關係。「衾枕之愛」作為⾼語境⽂化特有的⼀種隱喻符號，承載著夫妻或戀⼈間親密關係的象徵意義。「衾枕」指被⼦和枕頭，是睡眠時常⽤之物，具有極强的私密性質。此處被⽤於隱喻吳⽣和紫衣仙女親密關係的發⽣。在「衾枕之愛」的轉譯過程中，ET採⽤“Morning dawned brightly”（清晨陽光明媚）的間接表述，體現同樣以含蓄為標的、但采⽤不同意象進⾏含蓄表達的轉換策略：⼀在規避⾼語境隱喻可能引發的解碼障礙︔⼆在適應⽬標語讀者的道德審美預期︔三則通過與時間相關的景象描述完成敘事的過渡。這種純潔化闡釋，既可能源於譯者對「衾枕」⽂化意象的解碼缺失，同時也反映出譯入語⽂化對私密敘事的禁忌規約，是譯者出於審美、道德標準及譯語社會讀者接受的考量，以有意識的含蓄傳遞出原⽂的⾼語境特徵，同時取得譯語讀者易於接受的敘事效果。 CT中，譯者對原⽂進⾏如實轉寫。在描述吳⽣與紫衣女⼦親密關係部分，譯者選擇直接明確的表述“That night, Wu slept with her and had a great time”（當晚，吳⽣與她共度良宵，極盡歡愉）。這體現譯者對原⽂的尊重。原⽂中親密關係的描寫是故事情節的重要環節，也是展現⼈物性格和情感發展的關鍵元素，通過直接翻譯描
中英譯者高語境文化文本闡釋的共性與個性—以《白于玉》譯文比對為主 33 寫，譯者成功保留原⽂情感⾊彩，讓讀者能夠更全⾯理解故事內容和⼈物關係。同時這種翻譯⽅式也表明譯者對闡釋⾏爲所處時代的讀者對此類敏感話題接受度的明確認知。 例 12.原文：略與傾談，豁人心胸。悦之，留同止宿。 ET：Pleased with the manners and address of his visitor, Woo-tsing-yen commenced a conversation, which soon became so interesting, that he entreated his new friend to remain (as it was now late) till the morrow. Thanking him for his obliging offer, Pïn-yüh consented, and took up his abode with him for the night. CT：As soon as they fell into conversation, Wu found Bai’s words enlightening and invited him to stay the night. 例 13.原文：遲明欲去，生囑便道頻過。白感其情殷，願即假館，約期而別。至日，先一蒼頭送炊具來。少間，白至，乘駿馬如龍。生另舍舍之。白命奴牽馬去。遂共晨夕，忻然相得。 ET：—— CT：The next morning, as Bai was leaving, Wu said he was welcome any time. Bai was touched by his hospitality and promised to come back for a longer stay. They set a date and bid each other good-bye. When the date of their appointment came, an old servant arrived first bringing some cookware. He was soon followed by Bai Yuyu on a steed. Wu found a room for him and the horse was led away by the servant. The two men enjoyed each other’s company because they had so much in common. 例 14.原文：夜每招生飲，出一卷授生，皆吐納之術，多所不解，因以遷緩置之。 ET：Night after night--for their dwellings were near together 因住處相鄰--did the two young men meet and take wine together. At length Pïn-yüh produced a book on the occult sciences, which he gave to his friend; but he understood it not, and carelessly laid it aside. CT：One evening, over cups of wine, Bai lent Wu a book on how to maintain health. Wu found the subject boring, so he put it aside. 原⽂在關於⽩于⽟和吳⽣相識和關係逐漸密切的描寫中涉及⼆⼈同宿情節。在ET中，譯者對於此類描寫進⾏審慎處理，避免同性之間過於親密的闡述呈現，例如
熊野、魏慧萍 34 在例 12.中翻譯「留同⽌宿」時，譯者添加“as it was now late”（現在天⾊已晚）這樣的客觀原因，使同宿⾏為合理化。在例 13.中，譯者省略⽩于⽟應邀借宿吳⽣處的詳細描寫，⽽對於例 14.「夜每招⽣飲」的闡釋，譯者則是通過原因釋義“for their dwellings were near together”（因住處相鄰），將飲酒聚會⾏為的發⽣歸因於居所相近。這些翻譯策略及⽂本呈現均體現 ET 譯者的謹慎態度，通過補充客觀原因、省略細節等⽅式，弱化原⽂的表述。相較於 ET中的規避處理，CT中的闡釋則表現出更為忠實於原⽂的策略，如實呈現原⽂對吳⽣和⽩于⽟⼆⼈關係的敘述。這種沒有刻意減弱或弱化的處理⽅式，忠實地再現原⽂中⼆⼈之間深厚情誼的描述。 總的來說，兩位譯者在處理原⽂描述的情感關係時，採取不同的闡釋策略。ET中的譯者更傾向於通過刪除或弱化敏感內容來進⾏純潔化闡釋，以適應特定讀者群體的⽂化和道德觀念。這種策略有助於減少爭議，提⾼譯⽂的接受性。相比之下，CT中選擇如實呈現原⽂描寫，更體現譯者對原⽂的尊重和忠實。 (㆔)、ET㆗融入譯者㉂我理解的闡釋和CT㆗植根於原作歷史語境的書㊢ ⽂化「在⼈與外界之間提供⼀個⾼度選擇性屏障」，並「指定我們所感受的和所忽略的。」21 這意味著，⽂化不僅僅是習俗、信仰、價值觀的綜合，它還塑造個體如何看待和理解周圍世界。這道「屏障」實際上是⼈們認知現實的⼯具，使得每個個體看到的現實都受到其⽂化背景的影響。在翻譯實踐中，這種⽂化的「選擇性」同樣存在，譯者對原⽂的解讀和再創造都基於⾃身⽂化背景和認知慣習，從⽽在譯⽂中呈現出各⾃的闡釋個性。 例 15.原文：白問：「何故？」生以宗嗣為慮。 ET： “Why?” asked the other, “What should hinder?” “I am anxious,” was the answer, “to obtain descendant.” CT： “Why not?” Bai asked. Wu said he constantly thought of his duty to sire a son to carry of the family line. 21 Edward T. Hall., Beyond Culture. (New York: Anchor Books, 1976), 85.
中英譯者高語境文化文本闡釋的共性與個性—以《白于玉》譯文比對為主 35 例 16.原文：每欲尋赤松遊，而尚以胤續為憂。 ET：And he became desirous of seeking the abode of Chïh-sang, the mighty and far-famed bestower of immortality. Yet though this project occupied his mind, it was ever a source of regret that he had no children. CT：And dreamed of leaving the ordinary world. Only the thought that he still had no son worried him constantly. 在同樣切實描述原⽂意義的闡釋中，CT ⽂本突出反映中國傳統的宗嗣傳承觀念。 在原⽂歷史語境中，「宗嗣」「胤續」強調傳統社會中⾎緣關係和家族的延續和繼承，且由於傳統社會對男性和女性角⾊定位不同，男性在家族延續中通常扮演更為重要的角⾊，因為他們是宗族⾎脈的主要傳承者，通常被期望在繼承家業和發揚家族傳統⽅⾯承擔更多責任。例 15.中，ET以“I am anxious to obtain descendant”（我迫切希望擁有後代）強調個⼈願望/渴望，突出個體層⾯對⽣育後代的需求和焦慮，偏向於從個⼈情感表達⽅⾯反映原⽂意義︔CT以“constantly thought of his duty to sire a son to carry of the family line”（時刻想著⾃⼰有責任⽣⼦為家族傳宗接代）復述原⽂並如實地呈現出原⽂寫作當下的社會傳統觀念—從家族層⾯強調⽣育後代的重要性，並明確指出後代的性別“son”（兒⼦）及⽣育⽬的“carry of the family line”（延續家族⾎脈），從偏向於社會⽂化層⾯的闡釋，突出⼈物思想中家族傳承和延續的重要性。同樣在例 16.中，ET使⽤“children”（孩⼦）這⼀泛指詞彙，⽽ CT堅持使⽤“son”（兒⼦），這進⼀步體現後者對中國傳統宗教傳承觀念的深刻理解和忠實表達。這種差異不僅是詞彙選擇問題，更是兩種不同⽂化和價值觀在翻譯過程中的體現和碰撞。 例 17.原文：甫坐，即有二八妖鬟，來薦香茗。少間，命酌。有四麗人，斂衽鳴璫，給事左右。 ET：They seated themselves; And a maiden of about sixteen brought fragrant tea. Pïn-yüh called for wine, and four beautiful women entered; Bending gracefully, these tended them, and the gems in their ears sent forth a pleasant sound. CT：After they sat down, a fair young girl brought them fragrant tea. Bai then asked for wine. Four beautiful maids appeared and bowed to them, their jade ornaments clanging.
熊野、魏慧萍 36 They stayed behind to serve them. 在 CT 中，原⽂歷史語境下的等級制度和主僕關係得到突顯，尤其體現在⽩于⽟與仙女的互動情節中。仙女們近前禮客，整斂衣襟，⾛動時腰間⽟飾碰擊⽽鋃鐺作響。CT中闡釋“Four beautiful maids appeared and bowed to them, their jade ornaments clanging. They stayed behind to serve them.”（四個美麗的侍女出現並向他們⾏禮，她們的⽟飾叮噹作響。她們留下來服侍他們）。然⽽，“clanging” （發出叮噹聲的）⼀詞可能給讀者留下負⾯印象，因為它暗⽰⽟飾發出的是刺⽿的碰撞聲，這在某種程度上可能被視為不合時宜或不得體的⾏為。這種描述可能使譯⽂讀者聯想到在嚴格等級制度中，侍女們應有的敬畏和謹慎，以及可能因為緊張或謙卑⽽導致的失態，這與後⾯強調她們服務角⾊的描述“bow to them”（向他們⾏禮）“serve them”（服侍他們）相呼應。⽽在 ET中，譯者選⽤“gracefully”（優雅地）“pleasant sound”（悅⽿動聽的聲⾳）等表達，強調侍女們的優雅和寶⽯聲碰撞的悅⽿，這在⼀定程度上展現對侍女的尊重，⽽無明顯貶低或過分強調等級制度的意味。 例 18.原文：喜曰：「我父仙人，啖此必能長生。」 ET：And said with great joy, “Since my father is become a god, doubtless on swallowing this I shall not know death.” CT：Mengxian said excitedly, “Now my father has become an immortal. You can take this pill and live forever, too.” 例 19.原文：母不遽吞，受而藏之。會葛太史來視甥，女誦吳生書，便進丹藥為壽。太史剖而分食之。 ET：His mother-in-law(此處應為 step-mother) objected to his thus doing, and concealed it till her father came; To whom she shewed it till her father came; To whom she shewed it, and read likewise the letter of Woo-tsing-yen. Tae-she immediately broke in pieces the pill, and all three partook of it. CT：But his mother did not swallow it. She stowed it away. When the taishi came to see his grandson, she read Wu’s letter to him and took out the pill. The taishi cut it in half and shared the pill with his daughter. 關於「誰吃了長⽣丹藥」這⼀話題的不同闡釋，亦突顯中英母語譯者不同的⽂化價值觀念。句⼦成分省略是漢語⽂⾔⽂的⼀種常⾒語⾔現象，體現古代漢語簡練
中英譯者高語境文化文本闡釋的共性與個性—以《白于玉》譯文比對為主 37 的特點，突顯漢語⽂本的⾼語境⽂化特徵。這也給讀者和譯者帶來⼀定的解讀和翻譯挑戰。在《⽩于⽟》原⽂敘述中存在⽂⾔缺省現象，如例 18.「啖此必能長⽣」，「啖此」是⼀個動詞短語，表⽰「吃這個東西」，通常該動作需要⼀個執⾏者，即主語，但在原⽂中，主語並沒有明確出現。同樣，在例 19.「太史剖⽽分食之」，「太史」是主語，表⽰執⾏動作的⼈，「剖⽽分食之」是謂語部分，「剖」和「分食」是連續動作，表⽰「剖開並分著吃」，依據上⽂可知被「分食」的事物為藥丸，但「分食」給誰並未直接表達出來，即賓語未明確出現，⽽是隱含在語境中。 在 ET中，譯者將例 18.中缺省主語填充為“I”（我），從語⾔層⾯來看，“I”作為主語在該句中承擔動作的執⾏者角⾊，即“我”是說話⼈，也是“said with great joy”（⾼興地說）和“shall not know death”（長⽣不⽼）兩個動作的主體。在英語語境中，該主語補充是合理的，因為它使得句⼦結構完整，邏輯清晰。然⽽需要注意的是，這個“I”並不是直接從原⽂翻譯過來，⽽是譯者在翻譯過程中根據語境和邏輯推斷出來的。根據原⽂語境，基於吳⽣信函收件⼈為葛琳這⼀事實，且在此情境下對話發⽣在夢仙與葛琳之間，故夢仙所⾔「啖此必能長⽣」應指其母葛琳吃了丹藥便能長⽣不⽼，“I”主語的填充在⼀定程度上體現譯者的誤讀誤譯。然⽽從⽂化闡釋角度⽽⾔，此亦彰顯譯者⾃我意識的表達和介入。同樣，在例 19.中 ET將分食丹藥情節闡釋為“Tae-she immediately broke in pieces the pill, and all three partook of it”（太史⽴刻把藥丸切碎，三個⼈均服下），明⽰在場的三個⼈“all three”均參與分食丹藥。這亦是譯者利益共享價值觀念的深刻體現，強調正當利益的分配需要照顧到每個⼈或所有⼈的利益。從讀者接受角度⽽⾔，毫無疑問，這⼀基於譯者⾃我⽂化價值觀的闡釋符合譯語讀者的價值觀和閱讀期待。 ⽽在 CT 中，中⽂母語譯者的闡釋補充在忠實於原⽂語境的同時亦彰顯植根於源語⽂化家庭觀念的表達。⾸先是將「啖」的主語補充為“you”（你），指明長⽣不⽼的受益對象為對話另⼀⽅，即其母葛琳︔其次，明確指出“The taishi cut it in half and shared the pill with his daughter”（太史把藥丸切成兩半，分給女兒葛琳）。在中國⽂化中，家庭倫理關係的輩份和角⾊定位至關重要。與英語⽂化中強調的⾃我意識和利益共享觀念不同，中國家庭倫理更注重不同輩份間的尊重和服從。在源語⽂化語境下，夢仙在⾯對分食丹藥時，出於對長輩絕對地位的尊重和⾃身角⾊的認同，必然會在利益⾯前選擇謙讓，讓其母葛琳與其祖⽗太史優先享⽤丹藥。這不僅體現
熊野、魏慧萍 38 對長輩的孝順，也是對⾃⼰作為晚輩角⾊的⾃我約束。在該⽂化語境下，CT中的闡釋體現中國家庭倫理道德的獨特內涵。 基於 ET 和 CT 闡釋⽂本的互⽂對照，譯者在翻譯過程中的主觀能動性和其⾃身⽂化的影響⼒得以體現，並展現出譯⽂獨特的闡釋個性。ET⽂本中，突顯譯者基於原⽂的個性化解讀與闡釋。這些闡釋融入譯者⾃我意識，體現其獨特的價值觀，尤其是在「誰吃了長⽣丹藥」這⼀話題處理上，更顯⽰出譯者的利益共享觀念。這種翻譯⽅式雖在某種程度上偏離原⽂的直接意義，但卻為讀者提供⼀個全新的視角，展現不同⽂化背景下的思維認知差異。⽽在 CT 中，則呈現出對原作歷史語境的深度挖掘與忠實表達。譯者在翻譯過程中，盡可能準確傳達原⽂意義，並在字裡⾏間突顯中國傳統價值觀念，展現對源語家庭倫理道德的深刻理解和忠實書寫，為讀者呈現⼀個原汁原味植根於原作歷史語境的⽂化世界。 五、結語 本⽂通過比對《聊齋誌異》中《⽩于⽟》篇⽬的兩個不同英譯版本，即 1835年英國《弗雷澤雜誌》刊載的譯⽂ The History of Woo-Tsing-Yen和 1997年中國譯者張慶年等選譯的《聊齋誌異》英譯本 Strange Tales from the Liaozhai Studio中 Bai Yuyu，以翻譯策略為分析維度，深入探究不同⽂化背景下譯者對同⼀⽂本闡釋特性。雖然兩個譯本年代差異較⼤，但是中⽂母語譯者在翻譯過程中對原作年代價值觀忠實呈現以及避免現代視角介入（如在處理「宗嗣」「胤續」等涉及傳統儒家宗法制度的概念時，植根於原⽂歷史語境中維持「男性繼嗣」「傳宗接代」為⽂化坐標進⾏闡釋），在⼀定程度上抵消時代差異，從⽽彌補時代對比鴻溝。本研究聚焦於原⽂和譯⽂互⽂關係，整理出總量達 8739字的編碼⽂本，從中提取 72條⾼語境⽂化編碼語料，結合 Hall⾼低語境⽂化理論以揭⽰譯者在處理⾼語境⽂化⽂本時翻譯策略與闡釋傾向。 研究結果顯⽰，在闡釋共性層⾯，ET和 CT均展現出譯者積極參與與主動「⼲涉」，如通過解釋、補充、改寫來明晰化原⽂中⾼語境⽂化元素，展現不同時期譯者同樣希望介紹中國⽂化、中國⽂學闡釋動機︔同時運⽤簡化、刪除等略省化策略來確保譯⽂流暢性和譯⽂讀者可接受性。這種共性特徵印證跨⽂化闡釋活動本質⽭
熊野、魏慧萍 40 徵引書目 ㆒、㆗文專書與期刊論文 [1] 包通法，《共識與相異：論跨⽂化⾏⽽上美學信息的翻譯》，（長春：吉林⼈民出版社，2002）。 [2] 蔡乾，〈再論《聊齋誌異》在西⽅的最早譯介〉，《明清⼩說研究》，第1期（江蘇：2022. 01），268-282。 [3] 韓孟奇，〈漢語典籍英譯的語境補缺與明晰化〉，《上海翻譯》，第4期（上海：2016:04），73-76。 [4] 姜欣、姜怡、林萌，〈⾼低語境⽂化錯層在典籍英譯中的顯現及對策〉，《外語與外語教學》，第5期（遼寧：2009.05），49-51。 [5] 康兆春，〈翻譯⽂本之⾼低語境化探索〉，《江西師範⼤學學報（哲學社會科學版）》，第1期（江西：2011.01），139-144。 [6] 蒲松齡著，張友鶴輯校，《聊齋誌異：會校會注會評本》，（上海：上海古籍出版社，2019）。 [7] 王克非，〈英漢/漢英語句對應的語料庫考察〉，《外語教學與研究》，第6期（北京：2003.06），410-416。 [8] 王平，《⽂學翻譯探索》，（長春：吉林⼈民出版社，2004）。 ㆓、西文論著 [1] Baker, Mona, “Corpus Linguistics and Translation Studies: Implications and Applications”. In: Text and Technology: In Honour of John Sinclair. Amsterdam: John Benjamins, 1993. [2] Hall, T, Edward, Beyond Culture. New York: Anchor Books, 1976. [3] Katan, David, Translating Cultures: An Introduction for Translators, Interpreters, and Mediators. London: Routledge Taylor & Francis Group, 2004.
中英譯者高語境文化文本闡釋的共性與個性—以《白于玉》譯文比對為主 41 [4] Schleiermacher, F.D.E., Über die Verschiedenen Methoden des Bersetzens. Berlin: Walter de Gruyter GmbH, 1813. [5] Moira, M.＆C., Shuttleworth, Dictionary of Translation Studies. London: Routledge, 2014. [6] Venuti, Lawrence, The Translator’s Invisibility: A History of Translation. London: Routledge,1995. [7] Qingnian, Zhang, Zhang ciyun, Yang Yi. Strange Tales from the Liaozhai Studio. Beijing: People’s China Publishing House, 1997.
The Journal of Macau University of Science and Technology VOL.19 NO.4 December 2025, pp.43-64 DOI: 10.58664/mustjournal.2025.12.003 43 Disorientation, Mimicry, and Progression: The Identity Evolution in Miguel Street* Lei Yanni1, Li Zixin (Associate Professor, Department of English, School of Foreign Languages, Sun Yat-sen University) Abstract: The intricacies of identity within Miguel Street have consistently captivated scholarly attention, with a predominant focus on identity loss. Remarkably scarce are analyses delving into the characters’ mimicry and development. Employing Homi Bhabha’s theories of mimicry, hybridity, and “unhomeliness”, this paper articulates a dynamic evolutionary framework for the identity of the colonized in Miguel Street. It argues that the characters progress through and interact with three stages: spiritual unhomeliness, mechanical mimicry, and hybrid progression, thereby demonstrating how the postcolonial individuals evolve their strategies of identity construction. The analysis reveals Naipaul’s emphasis on the colonial subjects’ ongoing and active agency. They are not passive victims of fate; instead, they actively shape their dignity through cultural synthesis, along a non-linear but discernible trajectory of development. Keywords: V.S Naipaul; Miguel Street; Homi Bhabha; Post-colonialism * Submission Date:16 January 2025; Acceptance Date: 21 October 2025.
Lei Yanni, Li Zixin 44 迷失、模仿與演進—《米格爾街》中被殖民身份的演變 雷豔妮1、李梓欣 （1.中山大學外國語學院英語學系副教授） 摘要：《米格爾街》中錯綜複雜的身份議題一直備受學界關注，但現有研究多聚焦於身份迷失現象，而對人物模仿行為與發展路徑的探討則顯不足。本文運用霍米·巴巴的模擬、混雜性及「非家幻覺」理論，構建了殖民語境下身份動態演進的分析框架，提出小說中的人物身份經歷並交織著三個核心階段：精神層面的無家可歸感、機械性模仿、混雜性演進。這一框架清晰呈現了後殖民個體在身份建構中策略的演變過程。研究表明，奈保爾著重刻畫了殖民者在身份發展中所展現的持續能動性。這些殖民者並未被動接受命運，而是沿著一條雖非線性卻可辨識的發展路徑，通過文化融合的方式主動塑造自身尊嚴。 關鍵詞： V.S.奈保爾、《米格爾街》、霍米·巴巴、後殖民主義
Disorientation, Mimicry, and Progression: The Identity Evolution in Miguel Street 45 1. Introduction Miguel Street, Naipaul’s debut, comprises 17 ostensibly independent stories that collectively form a polyphonic portrait of colonial subjectivity. While each narrative centers on distinct characters, they converge thematically on the collective journey of Trinidad’s lower class from cultural disorientation to hybrid resilience. This paper argues that these episodic stories collectively trace a dynamic evolutionary arc: spiritual unhomeliness, mechanical mimicry, and hybrid progression. In this arc, characters are not confined to rigid stages but intersect and influence one another. Even as distinct figures embody dominant traits of each phase, their trajectories overlap: early characters’ spiritual disorientation lays ground for later mimicry, while failed mimicry paves the way for hybrid resilience. The first-person narrator, in particular, embodies all the three stages, his coming-of-age mirroring the collective shift from fragmentation to synthesis. Rather than imposing a linear narrative, this framework treats the novel’s fragmented structure as a spectrum of colonial experiences, where each story contributes to a holistic understanding of identity evolution under imperialism. Grounded in Homi Bhabha’s postcolonialism, encompassing theories such as mimicry, hybridity, and the third space, this paper tracks the loss, adaptation, and growth of the characters in Miguel Street from three stages, thus delving into Naipaul’s contemplations on the “identity crisis and cultural belonging confusion” inherent in his multicultural experience. The scholarly landscape surrounding V.S. Naipaul’s literary corpus has long been dominated by inquiries into the complexities of postcolonial identity, with particular emphasis on themes of displacement and cultural fragmentation. While Naipaul’s broader body of work, such as A Bend in the River and The Mimic Men, has been dissected through postcolonial, postmodern, and post-independence lenses, critical engagement with Miguel Street remains disproportionately skewed. In Western academia, the text is often treated as a mere precursor to Naipaul’s later works, with Harish Trivedi1 reducing it to a 1 Trivedi, Harish, “Locating Naipaul: ‘Not English, Not Indian, Not Trinidadian’,” Journal of Caribbean Literatures 5.2 (2008): 19-32.
Lei Yanni, Li Zixin 46 “fragmented mirror” of the author’s marginal identity and Louis Simpson2 dismissing its characters as “caricatures of colonial disorientation.” This marginalization stands in stark contrast to Chinese scholarship, where Miguel Street is recognized as a microcosm of postcolonial trauma: Liu Shuang and Zhuang Jing3 situate its narrative within Fanon’s framework of “decolonization as psychological warfare,” while Chen Jianqi4 employs Marxist postcolonialism to link existential anxiety to colonial capital’s exploitation of labor. Yet across both hemispheres, scholarship shares a critical blind spot: the refusal to treat mimicry and character development as interconnected stages within a dynamic process of adaptation, instead confining them to footnotes of “cultural mimicrz” or “colonial mimicry”. A significant portion of scholarship on Miguel Street employs postcolonial theories to examine the novel’s exploration of identity crisis, yet remains trapped in a tripartite rut of static analysis. Postcolonial critiques have coalesced around three restrictive axes: identity disintegration, existential anxiety, and structural violence. Liu and Zhuang,5 for instance, frame the characters’ failed attempts at self-reinvention—B. Wordsworth’s poetic delusions, Hat’s performative masculinity-as evidence of “the tragedy of postcolonial identity reconstruction”, a narrative of irredeemable loss anchored in Fanon’s theory of cultural schizophrenia. Chen Jianqi6 deepens this pessimism by tracing material precarity to colonial economic hierarchies, arguing that poverty reduces identity formation to a “survivalist mimicry” devoid of agency. Even Yu Xiaoxi’s Bhabha-inspired analysis stumbles here: while she identifies mimicry in Bobby’s adoption of English literary tropes,7 2 Simpson, Louis, “Disorder and Escape in the Fiction of V. S. Naipaul,” The Hudson Review 37.4 (1984): 571-77. 3 Liu Shuang, and Zhuang Jing, “Memory and Identity in Miguel Street,” Journal of Ocean University of China (Social Sciences Edition) 4 (2019): 124-128. 4 Chen Jianqi, “Miguel Street and the Survival Anxiety in Colonies,” Journal of Southeast University (Philosophy and Social Sciences Edition) 14.05 (2012): 118-121+128. 5 Liu Shuang, and Zhuang Jing, “Memory and Identity in Miguel Street,” 124-128. 6 Chen Jianqi, “Miguel Street and the Survival Anxiety in Colonies,” 118-121+128. 7 Yu Xiaoxi, “An Interpretation of the Theme of Lost Identity in Miguel Street from a Postcolonial Perspective,” (MA thesis, Northeast Forestry University, 2016).
Disorientation, Mimicry, and Progression: The Identity Evolution in Miguel Street 47 she treats it as a symptom of “cultural homelessness” rather than a strategic tool. Xu Weiwei8 introduces gendered violence as a colonial microcosm, but her focus on patriarchal domination as a static “colonial residue” overlooks how characters like Mrs. Bhago subvert power through ironic mimicry of colonial etiquette. Collectively, these studies portray colonial individuals as passive victims, echoing Zhang Deming’s critique of postcolonial discourse as overly invested in “trauma porn” at the expense of agency. 9 This paper disrupts this stagnant narrative by introducing a developmental and evolutionary framework that reframes postcolonial identity as a three-stage dialectic: spiritual unhomeliness, mechanic mimicry, and advancement amid hybridity. Grounded in Bhabha’s theory of “performative mimicry” and “third-space hybridity”, this model challenges the field’s obsession with stasis by revealing mimicry’s evolutionary potential. While Liu and Chen treat characters’ spiritual rootlessness as a final state, the first stage of spiritual unhomeliness redefines this alienation as a prerequisite for mimicry rather than its ultimate conclusion. The second stage, mechanic mimicry, transcends Xu’s reduction of mimicry to “colonial aping” by demonstrating how superficial imitation (e.g., Eddie’s mimicry of British mannerisms) paradoxically creates gaps in colonial dominance, as seen in Man-man’s absurd reenactment of Christian martyrdom. The final stage, advancement amid hybridity, confronts Zhang Deming’s claim that hybridity equals “cultural chaos” by showcasing Bobby’s synthesis of Trinidadian oral traditions and Dickensian realism as a form of subaltern creativity.10 By tracing mimicry’s evolution from mechanical imitation to strategic subversion and its potential culmination in hybridity, the model repositions hybridity as a site of resilience rather than ruin, thus extending Bhabha’s theory to encompass the temporal dynamics of colonial resistance. In synthesizing these threads, this review highlights a paradox at the heart of Miguel 8 Xu Weiwei, “On the Postcolonial Domestic Violence Depicted in Naipaul’s Miguel Street,” Journal of Yangtze Normal University 26.06 (2010): 166-170. 9 Zhang Deming, “A Post-modern and Post-colonial Interpretation of Miguel Street,” Foreign Literature Studies 01 (2002): 66-71+172. 10 Zhang Deming, “A Post-modern and Post-colonial Interpretation of Miguel Street,” 66-71+172.
Lei Yanni, Li Zixin 48 Street scholarship: although the text teems with characters engaged in dynamic processes of emigration, performance, and reinvention, scholars consistently confine them within static narratives. This paper advances twofold contributions to postcolonial literary criticism while anchoring its core argument in the colonized subjects’ quest for dignity through developmental stages. First, through its three-stage framework of spiritual unhomeliness, mechanic mimicry, and advancement amid hybridity, this study attempts to complement existing scholarship on identity loss by mapping a dynamic, albeit non-linear, trajectory of adaptation. Unlike studies that frame postcolonial existence as static tragedy, this model operationalizes Homi Bhabha’s concepts of mimicry and hybridity as dynamic mechanisms of survival: spiritual unhomeliness represents the initial rupture under colonialism, mechanic mimicry serves as a tactical response to systemic domination, and advancement amid hybridity denotes the active negotiation of dignity through cultural synthesis. The core argument posits that Miguel Street articulates the colonized’s persistent pursuit of hope through these phases: Characters progress by learning from the dead ends of one stage to develop more complex tactics in the next. For example, Bobby’s hybrid narrative voice—blending Trinidadian oral traditions with British literary forms—evolves from his earlier observations of mimicry’s pitfalls and potentials, embodying Bhabha’s “third space” not as a static outcome but as the result of a developmental process. By historicizing this evolution, the paper challenges the scholarly emphasis on postcolonial despair, demonstrating that dignity emerges gradually through the courageous, adaptive process of navigating hybridity’s chaos. Ultimately, this study reframes Naipaul’s text as a testament to the resilience of the subaltern spirit: through the lens of Bhabha’s framework, the characters’ struggles illustrate how mimicry and hybridity, though born of oppression, become tools for navigating colonial violence while preserving the aspiration for dignity. 2. Disorientation: The Spiritual Unhomeliness Postcolonial theorists often describe the colonial subject as having a double
Disorientation, Mimicry, and Progression: The Identity Evolution in Miguel Street 49 consciousness or double vision, which tends to produce an unstable sense of self that is exacerbated by the forced migration of colonialism. Homi Bhabha and others refer to this feeling of being caught between two cultures and belonging to neither one nor both as unhomeliness.11 Homi Bhabha coins the term “unhomely” in The Location of Culture to describe the colonial subject’s experience of being “displaced from the myths of cultural authenticity” and thrust into a “permanent state of cultural liminality”.12 This “unhomeliness” is not merely a spiritual condition but a cultural-political fracture induced by colonialism, as seen in Miguel Street’s residents, who are torn between indigenous traditions and imperial dominance. Morgan’s pyrotechnic delusions exemplify this: his futile quest for colonial recognition stems from a structural denial of cultural belonging, making Bhabha’s framework indispensable for decoding the novel’s critique of imperial authority. The denizens in Miguel Street find themselves in a state of unhomeliness. The narrative unfolds within a neighborhood nestled in the heart of Port of Spain, the capital of Trinidad, where the inhabitants, predominantly comprised of individuals of African-black and Indian descent, inhabit the peripheries of Trinidadian society. Positioned at the nadir of the social hierarchy in relation to the upper echelons and residing culturally on the margins compared to imperialist dominance, they grapple with a profound sense of dislocation. The ostensible domiciles fail to instill any sense of belonging, as the severity of their cultural identity crisis has metamorphosed them into refugees of the psyche. The theme of spiritual unhomeliness permeates early stories like “The Pyrotechnicist” (Morgan) and “Hat”, where characters embody the fracture of colonial displacement. Though appearing in separate narratives, their shared existential void creates a cumulative portrait of cultural rootlessness, laying the groundwork for the mimicry that follows. Take Morgan, the character in the story “The Pyrotechnicist”, for example. Perpetually engaged in experimental forays with diverse fireworks, he harbored aspirations to vend his creations to the esteemed King of England and the U.S. Congress. Regrettably, the destitution of 11 Tyson, Lois, Critical Theory Today, (London: Routledge, 2006), 421. 12 Bhabha, Homi, The Location of Culture, (London: Routledge, 1995), 13.
Lei Yanni, Li Zixin 50 Trinidad rendered his endeavors futile, as the denizens of Miguel Street remained fixated solely on rum, music, and aesthetically pleasing women. Witnessing the lamentable lack of interest in his pyrotechnic wonders, Morgan adopted a self-deprecating stance, amusing himself by unleashing the fireworks in the street, eliciting laughter from the passersby. As the mockery towards Morgan gradually ceased, his eccentricity intensified, leading to a heightened frequency of domestic strife, marked by an increased severity in disciplining his own offspring. Morgan’s buffoonery, at its core, reflected an innate yearning for love and recognition. Feeling estranged and unacknowledged by the world, he resorted to outlandish antics to evoke a semblance of concern from others. Trapped within a vacuous and solitary spiritual realm, Morgan resorted to arson upon being exposed for infidelity. Morgan’s buffoonery is deeply intertwined with his spiritual unhomeliness, as evident in his repeated declarations: “My fireworks will make the King of England weep with joy”. 13 This delusion of colonial recognition underscores his profound alienation—he perceives his native Trinidad as a barren stage unworthy of his “genius”, while simultaneously craving validation from imperial powers. When he ignites his fireworks in the street, laughing manically as onlookers jeer, the text notes: “His eyes glittered with a hope that was more like desperation”.14 This paradoxical blend of grandiosity and despair embodies Bhabha’s “unhomeliness”—a psyche fractured by colonial displacement, where even self-deprecation becomes a futile attempt to bridge the chasm between his fantasized identity and marginalized reality. However, the local populace met his transgressions with apathy, failing to comprehend the wretched and desolate existence of Morgan. This poignant narrative underscores the existential emptiness and bewilderment pervasive among those under the yoke of colonial rule. Adrift in a sea of confusion regarding the true purpose of their existence, they manifest their internal disarray through comical behavior and indifferent expressions, perpetuating an enduring cycle of uncertainty and detachment. Morgan’s cycle of destruction, however, is not merely repetitive; it prefigures the community’s later strategies. His desperate pursuit 13 Naipaul, V.S, Miguel Street, (London: Penguin Books, 1971), 73. 14 Naipaul, V.S, Miguel Street, 105.
Disorientation, Mimicry, and Progression: The Identity Evolution in Miguel Street 51 of colonial validation, for instance, plants seeds for Bogart’s more performative mimicry: both seek recognition, but Morgan’s chaos unwittingly exposes the futility of unidirectional emulation, prompting others to adapt. This transition reveals how spiritual unhomeliness, rather than a static state, catalyzes the need for new survival tactics. Yet Bhabha’s theory of ambivalence reveals these actions as strategic repetitions: each pyrotechnic display, though futile, stages a symbolic challenge to colonial neglect, transforming personal chaos into a muted critique of imperial indifference. Homi Bhabha’s theory of ambivalence posits that individuals and cultures grapple with a state of ambiguity and paradox, negotiating through conflicting forces and ideas. Bhabha’s concept of ambivalence is deployed here to underscore the colonized’s dual position: simultaneously dominated by and resisting colonial discourse. This contradiction is not a flaw in the theory but a reflection of the colonial condition itself, as seen in Morgan’s futile yet defiant pursuit of imperial recognition. Homi Bhabha tried to disclose the contradictions inherent in colonial discourse to highlight the colonizer’s ambivalence concerning his position toward the colonized Other. The simple presence of the colonized Other within the textual structure serves as sufficient proof of the colonial text’s ambivalence. This ambivalence undermines its assertion of absolute authority or indisputable authenticity. Morgan’s pyrotechnic experiments serve as a performative enactment of Bhabha’s ambivalence, where his longing for colonial validation and the absurdity of his endeavor coalesce into a tragicomic critique of imperial authority. The fireworks, intended to dazzle Western powers, instead illuminate the vacuity of colonial dreams—a “bright chaos” that mirrors the fractured identities of Miguel Street’s residents. When he resorts to arson, the act transcends mere desperation; it becomes a subversive “flame of refusal,” inadvertently challenging the colonizer’s narrative of civilizational superiority by exposing its inability to fulfill its promises. Morgan’s paradox lies in the stark disparity between his yearning for recognition from colonial powers such as Britain and the United States and the harsh realities he faces. Plunged into profound disillusionment, he grapples with a sense of emptiness and isolation, further obscuring his cultural identity. Beyond Morgan, a myriad
Lei Yanni, Li Zixin 52 of characters in the novel undergoes the intricate interplay and obscurity of cultural identities. Female characters like Laura embody a gendered form of unhomeliness, where maternal responsibilities intersect with cultural displacement. Struggling to raise children amidst poverty, Laura’s “homelessness” is not merely spiritual but material and social, as she navigates the dual burdens of colonial neglect and patriarchal oppression. Her attempts to maintain domestic order amid chaos reflect a silent resilience, distinct from male characters’ performative antics, yet equally rooted in the fracture of colonial belonging. Homi Bhabha’s theories vividly manifest in the residents of Miguel Street, where they find themselves situated within the context of colonization while simultaneously navigating a multicultural milieu. As a result, the cultural identities of these individuals are complex, ambiguous, and ambivalent. This profound ambivalence creates the psychic void that the mimicry stage attempts, however imperfectly, to fill. Their collective experience of unhomeliness establishes the foundational condition from which the subsequent evolutionary stages, namely mimicry and hybridity, emerge as attempted resolutions. 3. Mimicry: The Mechanic Replication Once losing their sense of identity, the colonized will be alienated from the edge of culture. Consequently, due to their sense of inferiority, a great number of these people endeavored to emulate their colonizers to the fullest extent in aspects such as clothing, language, conduct, and way of life. Postcolonial scholars term this phenomenon as mimicry. It reflects both the desire of colonized individuals to be accepted by the colonizing culture and the shame experienced by colonized individuals concerning their own culture, which they were programmed to see as inferior.15 Mimicry, a concept that has gained growing significance, was put forward by Homi Bhabha. As Bhabha argues, mimicry is “a strategy of subversion in compliance”, where the colonized’s “almost the same but not quite” imitation becomes a “menace to colonial 15 Tyson, Lois, Critical Theory Today, (Routledge: 2006), 422.
Disorientation, Mimicry, and Progression: The Identity Evolution in Miguel Street 53 authority”.16 It depicts the ambiguous relationship between the colonizer and the colonized. In the context of colonization, the colonial discourse prompts the colonized individuals to “mimic” the colonizers. This imitation involves adopting the cultural customs, beliefs, social systems, and values of the colonizers. Miguel Street artfully captures the predicament of the colonized, who, in their endeavor to cloak an innate absence of identity, engage in a pursuit of “mimicry”. This futile undertaking leads them down a path where self-worth gradually dissipates amidst a succession of setbacks, thwarting their potential for personal growth. Stories such as “Bogart” and “Until the Soldiers Come” (Edward) exemplify the mimicry phase, representing the community’s collective attempt to respond to the alienation diagnosed in the disorientation stage. Their parallel struggles, though narratively distinct, collectively critique the futility of mechanical mimicry, while simultaneously revealing its crucial, if unintended, role in the larger evolutionary process: it exposes colonial norms and creates discursive gaps that enable hybridity. In the story “Bogart”, Bogart spoke with a somewhat crooked mouth after his first return, and he used his crooked mouth to deliberately imitate the decadent youth of the West in the 1950s and 1960s. Beyond the mimicry of a crooked mouth, Bogart immerses himself in the replication of other deleterious habits characteristic of Western decadent youths. Bogart’s contorted mouth transcends mere physical peculiarity to become a “site of resistance” where colonial mimicry transforms into exaggerated parody. Through his exaggerated embodiment of Western decadence, manifested in his slouched posture and perpetual cigarette, he converts colonial ideals of “coolness” into a grotesque spectacle. This strategic exaggeration exploits mimicry’s inherent incompleteness to subvert authoritative norms. He drank and swore and gambled with the best, and he shouted rude remarks at girls walking by themselves in the street. As Homi Bhabha defines, mimicry is the colonized’s “desire to be almost the same, but not quite”, 17 a paradox that Bogart embodies in his exaggerated Western affectations. Naipaul captures this portrayal with eloquence: “He bought a hat, and 16 Bhabha, The Location of Culture, 86. 17 Bhabha, The Location of Culture, 86.
Lei Yanni, Li Zixin 54 pulled down the brim over his eyes. He became a regular sight, standing against the high concrete fence of his yard, hands in his pockets, one foot jammed against the wall, and an eternal cigarette in his mouth.” 18 This description of Bogart’s posture—slouched, obscured, perpetually performative—materializes Bhabha’s claim that mimicry “caricatures the authority of the colonizer”, 19 transforming colonial coolness into a grotesque, subversive spectacle. Bogart’s parody, moreover, contains the seeds of hybridity. His “almost the same but not quite” mimicry, being exaggerated and incomplete, unwittingly creates cracks in colonial authority. When later characters like Elias move beyond simple mimicry to repurpose colonial knowledge, they build on this foundation: mimicry’s failure teaches that survival requires a more complex strategy than emulation, paving the way for selective synthesis. Mimicry thus functions as a necessary, experimental phase in the progression towards hybrid agency. By caricaturing colonial ideals of “coolness” through his slouched posture and eternal cigarette, he unwittingly reveals their absurdity—a “menace” that Bhabha identifies as inherent in mimicry. This “mechanical” behavior, though rooted in insecurity, paradoxically undermines the colonizer’s claim to cultural superiority. Bogart’s mimicry, while cyclical in its decadence, resists closure through its exaggeration. His perpetual cigarette and slouched posture, though mimetic, become a stylized performance that parodies rather than replicates colonial coolness, creating a loop of subversion that undermines the colonizer’s authoritative aura. In “Until the Soldiers Come”, Edward adopts an Americanized guise, both in attire and speech, as a means of shaping his own identity. “Edward surrendered completely to the Americans. He began wearing clothes in the American style, he began chewing gum, and he tried to talk with an American accent.” 20 When hosting American acquaintances at his residence, Edward feigned ignorance of anyone on Miguel Street, exhibiting a comical mimicry by folding his arms in the American manner. Edward’s American mimicry, conversely, reveals the classed limits of emulation: his ill-fitting suits and forced accent 18 Naipaul, Miguel Street, 42. 19 Bhabha, The Location of Culture, 87. 20 Naipaul, V.S. Miguel Street, 142.
Disorientation, Mimicry, and Progression: The Identity Evolution in Miguel Street 55 betray a desperate climb up the colonial hierarchy, only to remain trapped in a ambiguous space of “almost-whiteness”, a paradox Bhabha identifies as mimicry’s “menace”. In his matrimonial pursuits, Edward deliberately chose a spouse with white skin. When discussing his romantic partner with friends, he would hitch up his snug American-style trousers and adopt a visage reminiscent of an American film actor. Evidently, his sense of self is intricately woven with a fervor for American cultural elements. However, the acquisition of this pride does not ensure the establishment of a robust self-identity. Edward’s tragedy unfolds as his endeavor to forge a definitive identity within the grandeur of the colonizer’s empire. Nevertheless, it becomes evident that imitators remain just perpetual. Barred from integration into mainstream society, they persist as perennial followers, destined to occupy the periphery of societal dynamics. Characters like Edward become stuck in this phase, unable to progress, underscoring that mimicry alone is insufficient for sustained dignity. There are many more such examples in Miguel Street. For instance, In “The Engineer”, Bako’s obsession with constructing miniature trains from sugarcane stems parodies colonial modernity. His “toys” mimic British railway technology while reducing it to a fragile plaything, embodying Bhabha’s assertion that mimicry “caricatures the authority of the colonizer,” exposing its hollow core. Man-man’s mimicry of Christian martyrdom in “The Preacher”—parading through the street with a cross—echoes Bogart’s Western affectations, both exposing the performative nature of colonial power. While Man-man’s parody critiques religious imperialism, Bogart’s mimicry mocks secular colonial codes, together revealing mimicry as a universal language of subversion. Similarly, Man-man’s mimicry of Christian martyrdom in “The Preacher”, parading with a makeshift cross, mocks religious imperialism. His mechanical reenactment, while comical, exposes the performative nature of colonial power, aligning with Bhabha’s assertion that mimicry “caricatures the authority of the colonizer”.21Besides, Mrs. Hereira’s adoption of British tea rituals exemplifies gendered mimicry: by hosting “colonial-style” tea parties in her 21 Bhabha, The Location of Culture, 87.
Lei Yanni, Li Zixin 56 modest home, she performs an exaggerated version of imperial gentility, a strategy absent in male characters’ mimicry of Western decadence. This feminine mimicry, while aimed at social mobility, inadvertently exposes the absurdity of colonial class aspirations, as her limited resources betray the hollow pretensions of imperial culture—a “menace” that aligns with Bhabha’s theory but manifests through gendered performativity. Bhabha’s concept of mimicry, while not explicitly gendered, gains nuance through female characters like Mrs. Hereira. Her performance of colonial etiquette operates within the gendered expectations of “respectable womanhood”, transforming mimicry into a double-edged strategy: a bid for acceptance and a subversive parody of imperial femininity, as her imperfect imitation highlights the unattainability of colonial norms for marginalized women. Nevertheless, for Homi Bhabha, mimicry is the process by which the colonized subject is reproduced as something nearly identical to the colonizer, yet always slightly different. When colonizers mimic the culture, behavior, manners, and values of the colonizers, this behavior involves both mockery and a particular kind of “menace”. As a result, Bhabha’s dialectic of “resemblance and menace” illuminates the tension within mechanic mimicry. Characters like Edward, while initially trapped in passive emulation, inadvertently create “gaps” in colonial discourse through the incompleteness of their mimicry. Edward’s forced American accent and ill-fitting suits, rather than achieving assimilation, highlight the unbridgeable divide between colonial ideals and native reality. This “failure to mimic perfectly” becomes a form of resistance, as it lays bare the colonizer’s claim to universal validity as a myth. Mimicry exposes the constraints on the authority of colonial discourse, almost as though colonial authority inevitably embodies the seeds of its own destruction. In this process, the critical awareness that enables the subsequent stage of creative hybridity was born. Mimicry, therefore, is not an end point, but a crucial developmental phase that generates the conditions for progression. 4. Progression: Advancement Amidst Hybridity The loss of identity compels the colonized to embark on a collective emulation, yet
Disorientation, Mimicry, and Progression: The Identity Evolution in Miguel Street 57 this mimicry is not a mere replication; it unfolds as a nuanced process rife with intercultural collisions. Within this intricate process, there emerges a confluence of indigenous awakening and personal growth, propelling the hybrid of native and colonial cultures into a dynamic, ever-evolving synthesis, termed hybridity. It does not consist of a stalemate between two warring cultures but is rather a productive, exciting, positive force in a shrinking world that is itself becoming more and more culturally hybrid. This view encourages ex‑colonials to embrace the multiple and often conflicting aspects of the blended culture that is theirs and that is an indelible fact of history. Within this hybridity, the colonized have discerned their progression, ceaselessly endeavoring towards its realization. While hybridity in Miguel Street embodies growth, it is crucial to acknowledge Bhabha’s emphasis on its inherently ambivalent nature. In The Location of Culture, he defines hybridity as a “third space” where cultural differences collide and coexist in a state of productive tension, never resolving into seamless unity. This framework rejects linear notions of “advancement”, instead framing hybridity as a site of perpetual negotiation—both a source of creativity and a reminder of colonial violence. The final phase of hybrid progression emerges in later stories like “His Chosen Calling” (Elias) and the first-person narrator’s coming-of-age arc, which span multiple chapters. This stage represents an evolved response, born from the critical lessons learned during both the despair of unhomeliness and the fraught experiments of mimicry. Here, the novel’s fragmentary structure reflects the synthetic, adaptive nature of hybrid identity achieved through this developmental process. In Miguel Street, Characters’ journeys suffer confusion, and traverse the disoriented realm of mimicry, marked by repeated failures. Despite this, they persistently forge ahead, ultimately realizing their existential worth. A compelling illustration is found in the character, Elias, in “His Chosen Calling”. Nurtured amidst the tumultuous echoes of paternal violence, Elias’s aspirations diverge from the conventional allure of a blue-carriage driver, a vocation esteemed on Miguel Street since those people only worked in the early morning. Disregarding the allure of the cleaning carriage driver’s role, Elias harbors loftier ambitions, envisioning himself as a physician—a manifestation of his innate understanding
Lei Yanni, Li Zixin 58 of self-worth. Diligently toiling towards this goal, he undergoes six years of arduous examinations, yet fate conspires against his aspirations, resulting in ultimate failure. Despite this relentless struggle and the inherent setbacks, Elias perseveres, unraveling a narrative that transcends the mere pursuit of personal value to encapsulate a profound journey of spiritual growth. Instead of succumbing to the despair of unhomeliness or the futility of pure mimicry, Elias adapts. Elias’ failed medical pursuit evolves into a hybrid form of agency: repurposing colonial textbooks to invent rudimentary medical tools from scrap metal, he transforms “failure” into a subaltern science, blending Western knowledge with Trinidadian resourcefulness—an embodiment of Bhabha’s third space. Elias’ hybrid science is not an isolated innovation but a strategic response to prior failures. Unlike Edward, who abandons mimicry in despair, Elias learns from Bogart’s parodic mimicry: he retains colonial knowledge (textbooks) but refashions it through Trinidadian resourcefulness (scrap metal). This progression—from mindless emulation (Edward) to critical adaptation (Elias)—demonstrates how hybridity emerges from mimicry, not despite it. Elias’ hybrid science, while innovative, remains marked by colonial hierarchies. His reliance on discarded colonial textbooks underscores the inequal power dynamics underpinning hybridity: he must repurpose the colonizer’s knowledge, never fully escaping its shadow. This tension reflects Bhabha’s insight that hybridity is both “a strategy of resistance and a compromise with domination”. 22 The most pronounced and sustained illustration of the three-stage evolution unfolds within the first-person narrator “I”. His chronological maturation provides the structural backbone for tracing the developmental trajectory. His journey explicitly navigates the sequence: experiencing disorientation, observing mimicry, and ultimately synthesizing hybrid identity. The deliberate organization of the 17 short stories exhibits a discernible progression aligned with the chronological maturation of the first-person narrator. As the narrative complexity deepens, the first-person narrator matures from an unlettered child to an adolescent poised at the threshold of collegiate pursuits. This metamorphosis extends 22 Bhabha, The Location of Culture, 10.
Disorientation, Mimicry, and Progression: The Identity Evolution in Miguel Street 59 beyond mere temporal advancement, permeating the facets of character and values. Possessing an inherent naivety, sensitivity, and intellectual acumen surpassing peers, the first-person narrator, akin to many protagonists in coming-of-age tales, grapples with the void left by the early departure of his father. The narrative underscores the necessity for other characters to assume the role of guiding mentors and fulfill the paternal void for the first-person narrator’s growth. For the narrator, the mentorship of B. Wordsworth (oral traditions) and Hoyt (colonial rationality) fosters a “hybrid epistemology”: his diary entries juxtapose poetic verses with arithmetic problems, culminating in the insight that “rhythm exists in both algebra and calypso”, a synthesis that transcends colonial binaries. The first-person narrator’s “hybrid epistemology” of poetry and algebra reflects the inherent tension of this evolved stage, a productive ambivalence marking the distance traveled from initial disorientation or mechanical copying. His diary entries, while symbolizing synthesis, also betray anxiety: the juxtaposition of calypso rhythms and colonial arithmetic reveals a subconscious struggle to reconcile indigenous intuition with colonial rationality. Bhabha’s concept of “ambivalence” here illuminates the first-person narrator’s dual allegiance, a hybridity that fosters growth yet perpetuates fragmentation. Two pivotal characters exert a profound influence on the first-person narrator’s transformative journey within the text. Foremost among them is the poet B. Wordsworth, whose lyrical prowess sparks the first-person narrator’s poetic inclinations. B. Wordsworth leads the first-person narrator to perceive the mundane with a poetic lens, catalyzing a rediscovery of life’s beauty and fostering an appreciation for the sublime in poetry. The second influential figure is the headmaster, Hoyt, whose pedagogical shortcomings prompt the first-person narrator to engage in a more rational contemplation of altering his destiny. Hoyt, grappling with educational challenges, unveils to the narrator the veracity of the Trinidadian educational landscape. Concurrently, Hoyt’s emphasis on science and rationality serves as a guiding beacon, enlightening the first-person narrator’s reasoning faculties. For instance, Hoyt advocates scientific methodologies for healing injuries, a revelation that resonates profoundly with the narrator, inspiring him to transcend the monotonous and pallid existence on Miguel Street.
Lei Yanni, Li Zixin 60 These two figures epitomize the intrinsic growing force within the hybridity of the colonized and colonial culture. Their contrasting influences on the first-person narrator are integral to his developmental progression, providing the disparate materials he later synthesizes. Amidst this discordant cultural milieu, indigenous cultures undergo a gradual maturation, while colonized individuals tenaciously strive to move beyond simple emulation or despair towards actively forging new configurations of value and identity. Despite the arduous struggle for survival on Miguel Street, certain individuals manage to unearth their dignity, assert their unique personalities, and ascertain their inherent worth. Within the pursuit of their aspirations, a profound realization of selfhood and life emerges, fostering both material and spiritual growth. 5. Conclusion This paper traces how the colonized characters in Miguel Street evolve and navigate a developmental trajectory from confusion to self-discovery through three key and interconnected stages. First, their spiritual disorientation—exemplified by Morgan’s desperate fireworks displays—creates the foundational crisis. Second, their mimicry of colonizers, like Bogart’s exaggerated Western swagger or Edward’s forced American accent, emerges as a widespread, though often flawed, tactical response to this crisis, serving a critical evolutionary function by exposing colonial norms and creating discursive space. Finally, hybridity represents an evolved strategy of active synthesis, learned from the limitations of the previous stages, through which dignity is tentatively reclaimed. Elias, despite failing colonial exams, invents his own medical tools, while the first-person narrator explicitly journeys through all the three stages, combining poetic vision with rational thought, creating a unique identity. While Naipaul’s portrayal of colonial society is undeniably tinged with pessimism, evident in Morgan’s tragic end or Edward’s futile mimicry, this study argues that resilience lies in the process of resistance rather than its outcome. Elias’ failed medical exams and the first-person narrator’s tentative departure from Miguel Street embody Bhabha’s notion of
Disorientation, Mimicry, and Progression: The Identity Evolution in Miguel Street 61 hybridity as a “perpetual negotiation”, where dignity emerges not from overcoming oppression, but from the courage to construct meaning amid its fragments. Naipaul’s realism acknowledges limited opportunities, yet his characters’ stubborn persistence, like B. Wordsworth’s poetic defiance, testifies to a subaltern agency that transcends despair. The core argument is clear: colonial oppression compels a gradual evolution in resistance: from Morgan’s desperate unhomeliness (a cry for recognition), to Bogart’s mimicry (a subversive parody), to Elias’ hybridity (a creative synthesis). This trajectory reveals that dignity lies not in static “success” but in adaptive resilience, where each stage informs the next and turns fragmentation into a catalyst for reinvention. Their mimicry mocks colonial authority, and their hybridity transforms cultural conflict into growth. This study challenges the idea of postcolonial identity as static tragedy, proving that dignity emerges not from rejecting or fully embracing colonialism, but from rewriting one’s story within its contradictions. Miguel Street ultimately celebrates resilience: the colonized, though wounded, never stop seeking meaning and pride in a fractured world.
Lei Yanni, Li Zixin 62 References [1] Ashcroft, Bill, Gareth Griffiths, Helen Tiffin. The Empire Writes Back: Theory and Practice in Post-Colonial Literatures, 2nd ed. Routledge, 2002. [2] Homi, Bhabha. Location of Culture. London: Routledge, 1995. [3] Jianqi, Chen, “Miguel Street and the Survival Anxiety in Colonies.” Journal of Southeast University (Philosophy and Social Sciences Edition) 14.05 (2012): 118-121+128. [4] Selwyn R. V.S, Cudjoe. Naipaul: A Materialist Reading. University of Massachusetts Press, 1988. [5] Frantz, Fanon. Black Skin, White Masks. Translated by Charles Lam Markmann, Grove Press, 2008. [6] Hui, Hui. “On the marginal characters in Miguel Street.” Chinese Language and Literature Studies 11.2 (2020): 108-113. [7] Bruce. V.S, King. Naipaul, 2nd ed. Palgrave Macmillan, 2003. [8] Kumar, Mahabir. “V.S. Naipaul: Childhood and Memory.” Journal of Caribbean Literatures 5.2 (2008): 1-18. [9] V.S, Naipaul. Miguel Street. London: Penguin Books, 1971. [10] Edward W, Said. Culture and Imperialism. Vintage, 1994. [11] Louis, Simpson. “Disorder and Escape in the Fiction of V. S. Naipaul.” The Hudson Review 37.4 (1984): 571-77. [12] Guirong, Sun. “People in Miguel Street: The Humbleness of ideals and the Dilemma of breaking through.” Collection of Foreign Languages and Literature of Fudan University 2 (2020): 37-40. [13] Harish, Trivedi. “Locating Naipaul: ‘Not English, Not Indian, Not Trinidadian.’” Journal of Caribbean Literatures 5.2 (2008): 19-32. [14] Lois, Tyson. Critical Theory Today. Routledge, 2006. [15] Weiwei, Xu. “The State Apparatus Producing the Mimic Men: The Colonial Education in Miguel Street.” Foreign Literature Studies, 35.5 (2013): 141-47.
Disorientation, Mimicry, and Progression: The Identity Evolution in Miguel Street 63 [16] Robert J.C, Young. Colonial Desire: Hybridity in Theory, Culture and Race. London: Routledge, 1995. [17] Deming, Zhang. “A Post-modern and Post-colonial Interpretation of Miquel Street.” Foreign Literature Studies 01 (2002): 66-71+172.
Lei Yanni, Li Zixin 64 Author Information Lei Yanni, is Associate Professor at Department of English, School of Foreign Languages, Sun Yat-sen University. She is also supervisor of PhD candidates and cooperative supervisor of post-doctoral scholars. She takes charge of the English Poetry Studies Institute in Sun Yat-sen University. Her research interests include English poetry and poetics, the study on novel and drama, and the study on literary and cultural theories. She has chaired several national and provincial research projects. She has published her monograph Metropolitan Orientation and Sense of Naiveness: with Reference to V. S. Naipaul (2023). Address: School of Foreign Languages, Sun Yat - sen University, 135 Xin’gang West Road, Guangzhou, Guangdong Province Email: leiyanni@mail.sysu.edu.com Li Zixin is currently a postgraduate student at the Department of English, School of Foreign Languages, Sun Yat-sen University, pursuing the MA degree of English Language and Literature. Address: School of Foreign Languages, Sun Yat - sen University, 135 Xin’gang West Road, Guangzhou, Guangdong Province Email: 1303274479@qq.com
談蕭、譚琪琪 66 Coordination and Alignment of ESG Information Disclosure Rules for Shenzhen-Hong Kong Listed Companies Tan Xiao1; Tan Qiqi (1. Professor, School of Law, Guangdong University of Foreign Studies) Abstract: The significant differences in information disclosure standards between listed companies in Shenzhen and Hong Kong, the lack of interoperability for ESG information, the absence of regulations for third-party verification bodies, and the insufficient collaborative regulatory mechanism are currently hindering market integration and international development in the Greater Bay Area. To address these issues, the Shenzhen Stock Exchange should further improve its rules by clarifying the scope of mandatory disclosure, specifying quantitative disclosure requirements, and implementing measures to ensure the authenticity of disclosures. The Hong Kong Exchange needs to enhance its rules by differentiating disclosure standards across industries, regulating third-party verification bodies, and reducing the disclosure burden on small and medium-sized enterprises. Additionally, coordination and alignment of ESG information disclosure rules for listed companies in the Greater Bay Area can be achieved by establishing unified ESG information disclosure standards, creating an ESG information disclosure data platform, and developing a collaborative regulatory mechanism. Macao can also align its corresponding rules to achieve its sustainable development goals. Keywords: Guangdong-Hong Kong-Macao; Greater Bay Area market integration; listed companies; ESG; information disclosure; Regulatory alignment
談蕭、譚琪琪 80 ⽽提⾼ ESG報告的品質，防⽌「⾛⾺觀花」的⾏為。33 對於第三⽅機構出具的審計報告需要將其納入監管體系當中，完善第三⽅機構責任制度。以此來提⾼審驗的可信度，提升上市公司 ESG報告的整體⽔準。 3. ㆗小㈽業負擔過重 與⾃願性信息披露相比，強制性信息披露對於某些上市公司來說存在⼀定的困難。由於港交所強制要求全體上市公司發佈 ESG報告，對於中⼩企業來說將會是⼀種負擔。「法規」是中⼩企業披露 ESG 報告的重要驅動因素，然⽽中⼩企業對於披露 ESG報告缺乏管理層⽀持和專業知識，34 存在報告範圍有限、證據不⾜、強度計算的潛在操縱、信息籠統、信息不相關等問題，整體披露品質較低。35 基於此，港交所未來需要在強制要求所有上市公司進⾏ ESG 信息披露的前提下，充分考慮不同體量公司的實際情況，制定差異化的披露規則，適當放寬中⼩企業的 ESG 信息披露要求，增強規則的適⽤性。同時加強對中⼩企業的 ESG 合規培訓，豐富其相關⼯作⼈員的 ESG信息和知識，減少中⼩企業的披露負擔。 五、 深港上市公司ESG信息披露規則的協調與對接 縱觀⾹港和內地的 ESG 披露規則，以深交所為代表的內地 ESG 信息披露監管側重於通過 ESG 信息披露，提⾼公司的 ESG 表現，以此來解決公司造成的社會問題，實現國家的社會治理⽬標。同時也是為了順應國際潮流，提⾼國際競爭⼒︔⽽⾹港地區的 ESG 信息披露監管則是將 ESG 作為⼀個發展戰略，尋求新的經濟增長 33 Linda Chelan Li, Kin-On Li, Bo Wen,“ Green Jobs in Hong Kong: Utilizing Environmental, Social and Governance (ESG) Reporting and Certification Services as an Example.” City University of Hong Kong. Accessed March 12, 2025. https://www.cityu.edu.hk/cshk/files/ResearchReports/CSHK_Green%20Jobs_HKReport_20240413.pdf. 34 Angus W.H. Yip, William Y.P. Yu, Queenelle W.T. Ip, “Motivating Small and Medium-sized Listed Companies for Better Environmental, Social and Governance (ESG) Reporting in Hong Kong,” Public Administration and Policy 27.2 (2024): 220-234. 35 LI Yan, “SOE’s ESG Performance on Financial Flexibility: The Evidence from the Hong Kong Stock Market,” Cornell University. Accessed March 12,2025. https://arxiv.org/abs/2502.14261.
談蕭、譚琪琪 88 第10期（哈爾濱：2023.11），70-75。 [14] 侯東德，韋雅君，〈上市公司ESG信息披露框架的構建—基於新發展理念的視角〉，《財經法學》，第5期（北京：2023.09），3-17。 [15] ⽩牧蓉，張嘉鑫，〈上市公司ESG信息披露制度構建路徑探究〉，《財會⽉刊》，第7期（武漢：2022.04），90-99。 [16] 王⼀棟，謝沂廷，〈粵港澳⼤灣區綠⾊債券市場研究〉，《海南⾦融》，第9期（海⼜：2023.09），54-64。 [17] ⽯佑啟，陳可祥，〈粵港澳⼤灣區治理創新的法治進路〉，《中國社會科學》，第11期（北京：2019.12），64-85。 [18] 彭運朋，〈粵港澳⼤灣區市場⼀體化的軟法治理〉，《澳⾨科技⼤學學報》，第1期（澳⾨：2023.03），85-100。 [19] 唐曉晴，李可，〈橫琴粵澳深度合作區經濟協同⽴法：動機、問題與路徑〉，《澳⾨法學》，第1期（澳⾨：2022.05），1-14。 [20] 賀曉翊，〈橫琴粵澳深度合作區建設中的民商法律制度銜接問題研究〉，《澳⾨法學》，第1期（澳⾨：2021.06），147-165。 ㆓、西文著作 [1] Lai Yee, Choy, “Hong Kong’s Changing Regulatory Approaches to Corporate Environmental, Social, and Governance (‘ESG’) Disclosure: An Evidence-based Assessment.” Journal of Corporate Law Studies 24.1 (2024): 137-167. [2] H, Lu, “The ‘legalization’ of corporate social responsibility: Hong Kong experience on ESG reporting.” Asia Pacific Law Review 24.2 (2016):123-148. [3] W.H. Yip, Angus, William Y.P. Yu, Queenelle W.T. Ip, “Motivating Small and Medium-sized Listed Companies for Better Environmental, Social and Governance (ESG) reporting in Hong Kong.” Public Administration and Policy 27.2 (2024): 220-234. [4] A, Sulkowski, “Evolving ESG Reporting Governance, Regime Theory, and Proactive Law: Predictions and Strategies.” American Business Law Journal, 59.3 (2022): 449-
深港上市公司在環境、社會及治理信息披露規則的協調對接 89 503. [5] R, Phang, “Sustainability and the Sunlight of Disclosure: ESG Disclosure in three Asian Financial Centers.” Review of European Comparative & International Environmental Law 33.2 (2024): 209-223. [6] Chengkun, Liu, Yongjia Lin, “Macau’s Sustainability and Diversification.” Business Economics 59.4 (2022): 53-57.
陳思楊、龍欣璇 92 The Legal Status of AI-Generated Content and Its Protection under the Anti-Unfair Competition Law Chen si yang1, Long xin xuan (1. PhD Student, Faculty of Law, Macau University of Science and Technology) Abstract: With the rapid development of China’s artificial intelligence industry, the lack of institutional protection for legal safeguards of AI-generated content has become increasingly evident. According to traditional legal principles, artificial intelligence is not recognized as a legal subject and therefore cannot constitute an author as defined by copyright law. From a legal hermeneutics perspective, AI-generated content also struggles to meet the originality requirement stipulated by copyright law, which means that the rights and interests associated with such content cannot be protected under the current copyright framework. Article 18 of the Draft Amendment to the Anti-Unfair Competition Law of the People’s Republic of China stipulates that “the legitimate rights and interests of business operators in commercial data shall not be harmed.” Although this provision primarily addresses commercial data, it can also be interpreted to apply to AI-generated content. Granting limited rights to AI-generated content through the Anti-Unfair Competition Law would not only maintain the stability of the copyright legal system but also align with the law’s function of providing “complementary protection” for intellectual property. Furthermore, it would effectively mitigate the risk of “misattribution”, thereby establishing a legal development pathway for the artificial intelligence industry. Keywords: Artificial intelligence; Copyright; Legal hermeneutics; Anti unfair competition
人工智能生成物的法律地位與反不正當競爭法保護 99 由此可⾒，無論對獨創性做出何種定義，均不可能脫離作者這⼀主體，⽽⼈⼯智能⽣成物在不能滿⾜主體要求這⼀前提下，⾃然不可能被獨創性的⽂義內核所涵攝，也就不可能享有著作權。 2、目的解釋不符 〈著作權法〉的⽴法⽬的被⽴法者在第⼀條中開⾨⾒山的指出：「爲保護⽂學、藝術和科學作品作者的著作權，以及與著作權有關的權益，⿎勵有益於社會主義精神⽂明、物質⽂明建設的作品的創作和傳播，促進社會主義⽂化和科學事業的發展與繁榮，根據憲法制定本法」。可⾒其⽬的主要有三，第⼀是保護作者的權益，第⼆是⿎勵作品的創作，第三是促進⽂化科學事業的發展。這三種⽴法⽬的⾜以反駁⼈⼯智能⽣成物具有獨創性這⼀觀念。 按照⽴法者「保護作者的權益」這⼀⽬的，獨創性不可能脫離作者⽽存在。這⼀要求不僅僅是⽴法者的意圖，實際上也是〈著作權法〉劃定⼈爲壟斷的⼀個法哲學依據。獨創性本就是著作權法⽴法者的發明，是爲了證明著作權的法哲學合理性所提供的論據，基於法哲學視角，沒有了作者的存在，獨創性就失去了存在合理性，淪爲空中樓閣。⿊格爾在《權利哲學》中對財産權的分析指出，財産權與⼈格密不可分。16 這⼀理論對著作權法的發展産⽣了重要影響，可以被視爲著作權法的法哲學基礎之⼀。中國 1990年〈著作權法〉的制定理由之⼀也是對作者精神權利的保障。最⾼法院再審判决的孫某訴⾺某著作權侵權糾紛案中，法院也指出獨創性要求「所謂個⼈的印迹」和「歸結於作者的結果」。17 ⼈⼯智能⽣成物是否滿⾜獨創性的要求，必須考量其是否蘊含⼀定程度的作者精神或情感。按照⼈⼯智能的⼯作原理，它所能做到的僅僅只是對現有的信息進⾏整合加⼯，⽽不能從無到有的産⽣新的信息。以⼈⼯智能繪圖爲例，無論多麽先進的算法，均不可能脫離訓練材料本身⽽運轉，其所⽣産出來的圖⽚⼀定是基於訓練材料的「⾺賽克玻璃」⼀般的剪裁、拼接與組合。它既不能理解精神與情感，更不能對他們進⾏表達。⼈⼯智能⽣成物只是算法 16 Stillman, Peter G, “Hegel’s Analysis of Property in the Philosophy of Right,” Cardozo L. Rev. 10 (USA:1988): 1031. 17 孫某訴馬某著作權侵權糾紛案，最高人民法院民事判决書（2016）最高法民申 2136號。
陳思楊、龍欣璇 100 得出的結論，不可能包含著⼈類的精神或情感，⾃然不滿⾜獨創性的要求。 著作權法的另⼀個法哲學基礎是邊沁的功利主義，它在我國〈著作權法〉中以⿎勵作品的創作這⼀⽴法⽬的得到體現。這⼀理論認爲，對作者給予⼀定的財産和精神權利，有助於激勵作者創作更多作品。要通過〈著作權法〉規定的專有權利和保護機制達到⿎勵創作的效果，「關鍵是⽴法設定的⿎勵對象能够理解和利⽤上述激勵機制」，⽽⼈⼯智能作爲毫無感情的機器，⾃然不可能被激勵，也就不可能符合〈著作權法〉的⽴法⽬的。18 〈著作權法〉最後的⼀個⽴法⽬的在於促進⽂化科學事業的發展。但⼈⼯智能⽣成物獲得著作權，可能對這⼀⽬的的實現産⽣⼀定阻礙。由於⼈⼯智能僅能對現有信息進⾏再加⼯，難以實現真正的創新，就導致⼈⼯智能⽣成物只是不具有原創性的信息。⼈⼯智能⽣成物⼀旦享有著作權，就可能會導致對⼈類創作的擠壓，甚至産⽣「劣幣驅逐良幣」的現象。19 由於⽣成⼈⼯智能⽣成物具有便捷性和低成本性，⼀旦其能够獲得著作權，將極⼤提升⼈類作者創作獲益的⾨檻，甚至會逐漸淘汰掉⼤部分創作⽔平不⾼的⼈類作者。20 這會導致⽂化産業參與者减少，市場規模萎縮，與〈著作權法〉的⽴法本意相違。 3、體系解釋的矛盾 〈著作權法〉第⼗條將著作權分爲⼈身權和財産權，這種區分是由於前者爲與作者身份密切相關的精神權利，後者則爲作者利⽤其作品獲利的權利。21 著作⼈格 18 王遷，〈再論人工智能生成的內容在著作權法中的定性〉，《政法論壇》，第 4期（濟南：2023），20。 19 即格雷欣法則，指的是在存在兩種法定價值相同但市場價值不同的貨幣的體系中，價值較低的劣幣（bad money）會留在流通領域，而價值較高的良幣（good money）則會被人們囤積、熔煉或轉移至國外，最終從流通中消失。See Mundell, Robert. “Uses and Abuses of Gresham’s Law in the History of Money,” Zagreb Journal of Economics 2.2 (Croatia:1998): 3. 20 參見 Gian Volpicelli，《當人工智能開始創作：誰來保護藝術家的創造性和知識産權？》，龔思量譯，載澎湃新聞網：https://www.thepaper.cn/newsDetail_forward_22162954，最後訪問日 2024年 8月 22日。 21 參見「中華人民共和國著作權法釋義第二章著作權第一節著作權人及其權利」，中國人大網，http://www.npc.gov.cn/zgrdw/npc/flsyywd/minshang/2002-07/15/content_297587.htm，瀏覽日期為2024年 8月 22日。
李穎、張倩孺、張博堅 120 A Study on the Influence Mechanism of Servant Leadership on Employees’ Service Innovation Behavior Li Ying1; Zhang Qianru; Chang Po-Chien (1. PhD, School of Business, Macau University of Science & Technology) Abstract: In the contemporary market environment with intense competition, service organizations are forced to continuously renew their processes and offerings to obtain competitive advantages and maintain business sustainability. How to further improve employees’ service innovative behaviors has become critical to organizations’ survival and success. Servant leadership, as a leadership style characterized by serving others, is closely related to employees’ service innovative behaviors. Therefore, in order to investigate the influence mechanism of service leadership on employee service innovation behavior, this study aims to establish a theoretical framework to construct a moderated mediating model based on the mediating role of prosocial motivation and the moderating role of team emotional climate. This paper collected 788 valid questionnaires from 89 teams (89 leaders and 394 employees) and used SPSS 27.0 and Mplus 6.0 to test the hypothesis. The findings revealed that (1) servant leadership positively influences service innovative behaviors, (2) prosocial motivation plays an intermediary role between servant leadership and service innovative behaviors, and (3) team emotional climate positively or negatively moderates the relationship between servant leadership and service innovative behaviors. These novel findings contribute to the literature and help company managers in enhancing employee innovation and performance. From the perspective of practice, some suggestions for how to motivate employees’ service innovation behavior in the new environment and maintain the core competitiveness. Keywords: Servant leadership; Service innovative behaviors; Prosocial motivation; Team emotional climate
服務型領導與員工服務創新行為影響機制之研究 121 一、引言 在我國創新創業⽣態系統⽇益成熟並轉向⾼質量發展階段的背景下，創新已悄然演變為推動企業穩健前⾏、不懈奮進的核⼼動⼒。隨著我國經濟進入新常態，諸般⽭盾⽇益顯現，致使改⾰之路愈發⾏進艱難，⾯臨著前所未有的巨⼤考驗，⽽創新正是解決這些問題的關鍵所在。伴隨著商業環境的⽇趨複雜化，組織無不迫切需要擺脫舊有思維之窠⾅，竭⼒尋求新突破。在服務業中，競爭優勢往往取決於員⼯能否產⽣和實施新穎且有⽤的想法。所以，通過何種⽅式有效激發員⼯實施服務創新⾏為至關重要。服務創新⾏為，意指員⼯於服務實踐過程中，為提升既有服務的品質，⽽萌⽣並加以運⽤的新思想與新⽅法。1 多項研究證實，服務創新作為企業發展的核⼼驅動⼒之⼀，對企業獲得可持續競爭優勢具有無可替代的重要意義。2 故⽽如何持續性地激勵員⼯的服務創新，已然逐步演變為學術界和實務界所共同關注的熱點話題。3 既往研究已然從員⼯個體特性、領導風格以及組織管理制度架構等多個維度，對員⼯服務創新⾏為的影響要素進⾏了全⾯剖析，4 並指出員⼯創新⾏為在很⼤程度上取決於領導者的風格。5 1 Stock, Ruth Maria. “Is Boreout a Threat to Frontline Employees’ Innovative Work Behavior?” Journal of Product Innovation Management 32.4 (2015): 574-592. 2 Hu, Meng-Lei Monica, Jeou-Shyan Horng, and Yu-Hua Christine Sun. “Hospitality Teams: Knowledge Sharing and Service Innovation Performance.” Tourism Management 30.1 (2009): 41-50; Lusch, Robert F, and Satish Nambisan. “Service Innovation.” MIS Quarterly 39.1 (2015): 155-176; Bustinza, Oscar F, Emanuel Gomes, Ferran Vendrell-Herrero, and Tim Baines. “Product-Service Innovation and Performance: The Role of Collaborative Partnerships and R&D Intensity.” R&d Management 49.1 (2019): 33-45. 3 Hu, Meng-Lei Monica, Jeou-Shyan Horng, and Yu-Hua Christine Sun. “Hospitality Teams: Knowledge Sharing and Service Innovation Performance.” 41-50; Bowen, David E. “The Changing Role of Employees in Service Theory and Practice: An Interdisciplinary View.” Human Resource Management Review 26.1 (2016): 4-13. 4 Hu, Meng-Lei Monica, Jeou-Shyan Horng, and Yu-Hua Christine Sun. “Hospitality Teams: Knowledge Sharing and Service Innovation Performance.” 41-50; Kim, Taegoo Terry, and Gyehee Lee. “Hospitality Employee Knowledge-Sharing Behaviors in the Relationship between Goal Orientations and Service Innovative Behavior.” International Journal of Hospitality Management 34 (2013): 324-337; Wihuda, Faizal, Arief Adhi Kurniawan, Adie Irwan Kusumah, and Wiwiek Rabiatul Adawiyah. “Linking Empowering Leadership to Employee Service Innovative Behavior: A Study from the Hotel Industry.” Tourism: An International Interdisciplinary Journal 65.3 (2017): 294-313. 5 Dhar, Rajib Lochan. “Ethical Leadership and Its Impact on Service Innovative Behavior: The Role of Lmx and Job Autonomy.” Tourism Management 57 (2016): 139-148; Schuckert, Markus, Taegoo Terry Kim, Soyon Paek, and Gyehee Lee. “Motivate to Innovate: How Authentic and Transformational Leaders
李穎、張倩孺、張博堅 122 服務型領導作為⼀種以服務他⼈為特征的領導風格，與員⼯的服務創新⾏為密切相關。它將服務視為企業的⾸要任務，將員⼯的利益置於核⼼位置，其理念在於通過關注員⼯的福祉和發展，從⽽實現企業的長遠發展。6《財富》「美國最適合⼯作的百家企業」中，服務員⼯視為企業的核⼼價值理念，以此推動企業的持續發展和創新。7 萬豪、星巴克等知名公司的成功均歸因於此類領導風格。8 在有關於領導⼒領域的實證研究中，服務型領導⽅式與諸多積極成果之間存在著緊密的關聯。例如，當領導層展現出服務型特質時，可以顯著激發員⼯展現出幫助他⼈、積極參與組織事務以及發揮創造⼒的⾏為，9 尤其是服務型領導優先滿⾜員⼯的需求，賦予員⼯的權利，努⼒發揮他們的全部潛能，這些無私⾏為可以激勵員⼯更好地服務。10 例如，服務型領導可以促進員⼯從事深層⾏為⽽不是表⾯⾏為、11提⾼員⼯的服務績效，12 儘管越來越多的研究討論服務型領導⾏為對追隨者⼯作成果的有益影響，但 Influence Employees’ Psychological Capital and Service Innovation Behavior.” International Journal of Contemporary Hospitality Management 30.2 (2018): 776-796. 6 Greenleaf, Robert K. Servant Leadership: A Journey into the Nature of Legitimate Power and Greatness. (Paulist press, 2013). 7 Ruschman, Nancy Lamer. “Servant-Leadership and the Best Companies to Work for in America.” Focus on Leadership: Servant-leadership for the Twenty-first Century (2002): 123-139. 8 McGee-Cooper, Ann, and Gary Looper. The Essentials of Servant-Leadership: Principles in Practice. (Pegasus Communications Dallas, 2001). Hunter, Emily M, Mitchell J Neubert, Sara Jansen Perry, LA Witt, Lisa M Penney, and Evan Weinberger. “Servant Leaders Inspire Servant Followers: Antecedents and Outcomes for Employees and the Organization.” The leadership Quarterly 24.2 (2013): 316-331; Neubert, Mitchell J, K Michele Kacmar, Dawn S Carlson, Lawrence B Chonko, and James A Roberts. “Regulatory Focus as a Mediator of the Influence of Initiating Structure and Servant Leadership on Employee Behavior.” Journal of Applied Psychology 93.6 (2008): 1220; Walumbwa, Fred O, Chad A Hartnell, and Adegoke Oke. “Servant Leadership, Procedural Justice Climate, Service Climate, Employee Attitudes, and Organizational Citizenship Behavior: A Cross-Level Investigation.” Journal of Applied Psychology 95.3 (2010): 517; Ehrhart, Mark G. “Leadership and Procedural Justice Climate as Antecedents of Unit-Level Organizational Citizenship Behavior.” Personnel Psychology 57.1 (2004): 61-94. Greenleaf, Robert K. “The Servant as Leader. Newton Centre.” MA: Robert K. Greenleaf Center (1970); Liden, Robert C, Sandy J Wayne, Chenwei Liao, and Jeremy D Meuser. “Servant Leadership and Serving Culture: Influence on Individual and Unit Performance.” Academy of Management Journal 57.5 (2014); Sun, Jiaqing, Robert C Liden, and Linyi Ouyang. “Are Servant Leaders Appreciated? An Investigation of How Relational Attributions Influence Employee Feelings of Gratitude and Prosocial Behaviors.” Journal of Organizational Behavior 40.5 (2019): 528-540; Chen, Zhijun, Jing Zhu, and Mingjian Zhou. “How Does a Servant Leader Fuel the Service Fire? A Multilevel Model of Servant Leadership, Individual Self Identity, Group Competition Climate, and Customer Service Performance.” Journal of Applied Psychology 100.2 (2015): 511. 11 Lu, Junting, Zhe Zhang, and Ming Jia. “Does Servant Leadership Affect Employees’ Emotional Labor? A Social Information-Processing Perspective.” Journal of Business Ethics 159.2 (2019): 507-518. 12 Ling, Qian, Fang Liu, and Xiaoyi Wu. “Servant Versus Authentic Leadership: Assessing Effectiveness in
服務型領導與員工服務創新行為影響機制之研究 123 ⼈們對服務型領導是否或如何影響其下屬在服務環境中的服務創新⾏為知之甚少。因此，本研究的第⼀個⽬的是探索服務型領導對員⼯服務創新⾏為的影響。 除了服務型領導對員⼯服務創新⾏為的直接影響外，我們需進⼀步挖掘其內在影響機制以及作⽤邊界條件。根據刺激—有機體—反應理論（Stimulus-Organism-Response，以下簡稱 SOR），本研究試圖將⼼理動機引入這⼀影響過程。因為員⼯在實施服務創新⾏為的過程中，既可能是好⼠兵的真⼼表現，也可能是好演員的虛偽⾏為。「好⼠兵」的服務創新⾏為源⾃內⼼對他⼈和組織的真誠幫助，「好演員」的⾏為則更多是為了提升⾃身的形象，⼆者都表現出⼀定的服務創新⾏為，但⼆者的動機完全不⼀致。13 部分學者認為，「好⼠兵」的服務創新⾏為是基於親社會動機，他們關注他⼈和組織的利益，⾃發地提供幫助。「好⼠兵」不僅對組織有益，也能提升團隊的凝聚⼒和效率。14 相較之下，「好演員」的服務創新⾏為則更多是出於印象管理的考慮。15「好演員」雖然也能帶來⼀定的積極效果，但其可持續性和深度可能相較於「好⼠兵」有所不⾜。根據 SOR理論框架，如果把環境、學習—創新看成是⼀種刺激—反應式的關係，親社會動機就是這種關係建⽴後的認同過程。16 在組織環境中，受服務型領導風格刺激員⼯價值認同，感受組織⽂化，並通過組織⾃身的學習能⼒、外在環境的刺激和反省能⼒促使其產⽣服務創新⾏為。因此，本研究的第⼆個⽬的基於刺激—機體—反應理論，來探索親社會動機在服務型領導和員⼯服務創新⾏為間的中介作⽤。 此外，團隊情緒氛圍作為組織研究中的重要情境變數，瞭解情緒如何影響個體 China’s Hospitality Industry.” Cornell Hospitality Quarterly 58.1 (2017): 53-68; Qiu, Shaoping, Larry M Dooley, and Lei Xie. “How Servant Leadership and Self-Efficacy Interact to Affect Service Quality in the Hospitality Industry: A Polynomial Regression with Response Surface Analysis.” Tourism Management 78 (2020): 104051; Wu, Junfeng, Robert C Liden, Chenwei Liao, and Sandy J Wayne. “Does Manager Servant Leadership Lead to Follower Serving Behaviors? It Depends on Follower Self- Interest.” Journal of Applied Psychology 106.1 (2021): 152; Ye, Yijiao, Yijing Lyu, and Yanzhen He. “Servant Leadership and Proactive Customer Service Performance.” International Journal of Contemporary Hospitality Management 31.3 (2019): 1330-1347. 13 高日光，李勝蘭，〈親社會動機與印象管理動機對組織公民行為的影響〉，《當代財經》，第三期(2015)，79-86。 14 Rioux, Sheila M, and Louis A Penner. “The Causes of Organizational Citizenship Behavior: A Motivational Analysis.” Journal of Applied Psychology 86.6 (2001): 1306. 15 Bolino, Mark C. “Citizenship and Impression Management: Good Soldiers or Good Actors?” Academy of Management Review 24.1 (1999): 82-98. 16 梁阜，李樹文，孫銳，〈SOR視角下組織學習對組織創新績效的影響〉，《管理科學》，第三十卷第三期，（2017），63-74。
李穎、張倩孺、張博堅 124 ⾏為對於理解和預測團隊⾏為⽽⾔是⼗分重要的。17 積極情緒在團隊中的擴散，能夠促進創新思考和服務型領導的出現，激發員⼯的動機，提⾼⼯作效率︔18 相反，消極情緒的彌漫則會抑制團隊的創造性，對個體⾏為產⽣負⾯影響。19 本⽂的第三個研究⽬的是探索服務型領導與員⼯服務創新⾏為的邊界條件，即團隊情緒氛圍的調節效應。 綜上，本⽂基於刺激—有機體—反應理論（Stimulus-Organism-Response，SOR）和權變領導理論（Contingency Leadership Theory）對員⼯服務創新⾏為的⽂獻貢獻有以下三⽅⾯：⾸先，從服務型領導視角，探索服務創新⾏為的促發因素，豐富了員⼯服務創新⾏為的前因研究。其次，從⼼理學視角揭⽰服務型領導對員⼯服務創新⾏為的影響機制，為員⼯服務創新⾏為的內在機理研究提供新證據。最後，從組織情境視角探討服務型領導影響服務創新的權變要素，擴展了服務型領導作⽤於服務創新的情境邊界。 二、理論與假設 （㆒）、服務型領導與服務創新行為 根據梁⾩等⼈在 2017年將 SOR理論：刺激—機體—反應翻譯為「刺激—認同—反應」理論框架，將它看做是⼀種學習模型，認為學習不是刺激—反應機械式、直接式、被動式的，⽽是有機體主動獲取刺激並進⾏加⼯的認同認知活動，並將其應⽤於創新結果的預測。20 由於服務型領導具有許多理想和有吸引⼒的品質，員⼯會將服務型領導視為榜樣，並會學習和模仿他們的⾏為。21 依託模仿真正關⼼他⼈ 17 Liu, Xiao-Yu, Charmine EJ Härtel, and James Jian-Min Sun. “The Workgroup Emotional Climate Scale: Theoretical Development, Empirical Validation, and Relationship with Workgroup Effectiveness.” Group & Organization Management 39.6 (2014): 626-663. 18 Fredrickson, Barbara L. “The Role of Positive Emotions in Positive Psychology: The Broaden-and-Build Theory of Positive Emotions.” American Psychologist 56.3 (2001): 218. 19 Amabile, Teresa M, Sigal G Barsade, Jennifer S Mueller, and Barry M Staw. “Affect and Creativity at Work.” Administrative Science Quarterly 50.3 (2005): 367-403. 20 梁阜，李樹文，孫銳，〈SOR視角下組織學習對組織創新績效的影響〉，63-74。 21 Sun, Jiaqing, Robert C Liden, and Linyi Ouyang. “Are Servant Leaders Appreciated? An Investigation of How Relational Attributions Influence Employee Feelings of Gratitude and Prosocial Behaviors.”
服務型領導與員工服務創新行為影響機制之研究 125 利益並優先滿⾜他們需求的服務型領導，服務員⼯將更好地瞭解客⼾需求，並更有或將在與客⼾互動過程中發現市場的變化，這將有效促進他們在服務流程中識別出可以創新的領域。同時，由於服務型領導堅持「服務者至上」⽽不是「領導者至上」，正因如此，在服務型領導的刺激和影響下，員⼯的服務客⼾意識更強，更願意探索新的⽅法或產品，為客⼾提供優質的服務。22 具體從服務型領導的三⽅⾯特質進⾏闡述：⼀是服務型領導樂於對員⼯進⾏授權，賦予員⼯⾃主決策權並能夠包容他們的差錯。服務型領導尊重員⼯的意⾒和決策，給予員⼯決策⾃主權，讓員⼯充分發揮主觀能動性，激發員⼯的創新思維︔賦予員⼯容錯空間，對員⼯給予寬容和理解，⿎勵員⼯勇於嘗試，不怕失敗，關注員⼯的⼼理需求，注重⼼理安全保障和⼯作⾃由度，使員⼯感到安⼼和舒適，激發員⼯的創新潛能。23 ⼆是服務型領導明確組織的發展⽅向和⽬標，為員⼯提供清晰的⼯作⽬標和職業規劃，關注員⼯的職業發展需求，提供培訓和晉升機會，幫助員⼯在組織的發展中找到⾃⼰的定位和價值。同時這種領導⽅式還強調縮⼩領導與員⼯之間的距離，提倡與員⼯建⽴良好的溝通和互動，多去傾聽員⼯的聲⾳，給予員⼯⾜夠的尊重和理解並且注意員⼯的個⼈需求和利益，⽀持角⾊外⾏為，理解員⼯的思想動態，⿎勵員⼯展⽰⾃⼰的獨特性，⽀持員⼯的⾏為和活動，24 讓員⼯感受到組織的關懷和⽀持，充分發揮⾃⼰的特長和能⼒。25 最後，服務型領導將服務作為核⼼價值觀，關注員⼯的需求利益以及個⼈發展，把服務當做導向，注重換位思考，站在員⼯的角度來思考問題去理解員⼯的思想和情感，體諒員⼯需求，關⼼員⼯為他們提供⽀持和幫助，創造利於員⼯發展的⼯作環境，滿⾜員⼯的組織歸屬感和關係需求，提升員⼯的⼯作積極性和滿意度。這種領導風格不單單是有效促進員⼯個⼈的成長與發展，更可以激發他們為組織貢獻更多⼒量的意願。 40-528. 22 Greenleaf, Robert K. “The Servant as Leader. Newton Centre.” MA: Robert K. Greenleaf Center (1970). 23 Van Dierendonck, D., Patterson, K. “Compassionate Love as a Cornerstone of Servant Leadership: An Integration of Previous Theorizing and Research.” Journal of Business Ethics 128.1 (2015): 119-131. 24 周建濤，廖建橋，〈基於社會資訊加工理論的謙遜領導對員工工作績效的作用機制研究〉，《管理學報》，第十五期第十二卷（2018），1789-1798。 25 Eva, Nathan, Mulyadi Robin, Sen Sendjaya, Dirk Van Dierendonck, and Robert C Liden. “Servant Leadership: A Systematic Review and Call for Future Research.” The Leadership Quarterly 30.1 (2019): 111-132.
李穎、張倩孺、張博堅 126 結合以上論述，服務型領導的特點是著重於服務精神，如：關注員⼯個⼈發展、提供情感⽀持和物質⽀持、滿⾜員⼯的情感和物質需求、注重願景規劃、強調合理授權等，員⼯潛能被激發，會⼀起為達成組織⽬標⽽努⼒，增強員⼯的⼯作主動性和創新⾏為。服務型領導以其核⼼的服務精神，為員⼯提供了⼀個有利於創新和發展的環境。在中國⽂化背景下，這種領導風格對於激發員⼯的創新⾏為、促進組織的持續發展具有重要意義。基於以上原因，我們提出： 假設一：服務型領導與員工服務創新行為正相關。 （㆓）、親㈳會動機的㆗介作用 先從服務型領導⾃身特徵來分析。服務型領導往往具有卓越的概念技能和道德規範。服務型領導的概念技能，即對組織⽬標的深刻理解和對團隊運作的精准把握，領導者可以更好地指導員⼯，促進團隊合作，秉持道德規範，其中有對公平、正義和誠信的堅守，為⾃⼰贏得員⼯的認可與尊重，員⼯會更加信任和⽀持領導者，在道德標準的內化和踐⾏上也會更嚴格要求⾃⼰，積極踐⾏道德價值觀。26 服務型領導依託參與公益活動和弘揚社會責任感，⿎勵員⼯關注社會問題，積極參與公益活動，激發員⼯對社區價值的認同和參與熱情，提升他們的親社會動機，27 員⼯在⼯作中會展現出更⾼的熱情和更多的助⼈為樂的⾏為，再意識到⾃⼰的⼯作對社會和團隊的重要性，進⽽願意為團隊的成功付出更多努⼒。28 同時，服務型領導還借助情緒撫慰和授權，提⾼員⼯的積極情緒和責任感，關注員⼯的情感需求，提供及時的情緒⽀持，使員⼯保持積極樂觀的⼼態⾯對⼯作，賦予員⼯更多的⾃主權和決策權，培養他們的主⼈翁意識和責任感。另⼀⽅⾯，從⼼理動機視角出發，結合刺激—機體—反應理論，可以分析領導⾏為與員⼯內在動機之間的作⽤。服務型領導是新⽣代員⼯的學習榜樣，⾏為和道德規範可以增強員⼯親社會動機，他們向新⽣代 26 Chen, Angela Shin-Yih, and Yu-Hsiang Hou. “The Effects of Ethical Leadership, Voice Behavior and Climates for Innovation on Creativity: A Moderated Mediation Examination.” The Leadership Quarterly 27.1 (2016): 1-13. 27 Cunningham, Michael R. “Weather, Mood, and Helping Behavior: Quasi Experiments with the Sunshine Samaritan.” Journal of Personality and Social Psychology 37.11 (1979): 1947. 28 劉遠，周祖城，〈員工感知的企業社會責任、情感承諾與組織公民行為的關係—承諾型人力資源實踐的跨層調節作用〉，《管理評論》，第廿七卷第十期（2015），118-127。
服務型領導與員工服務創新行為影響機制之研究 127 員⼯傳遞⼀種積極的刺激，即親社會價值觀的體現，經過認同和內化，激發員⼯的內在機體反應，提升他們的親社會動機，員⼯會觀察和模仿領導者的親社會⾏為，無形中提⾼⾃身的親社會動機⽔準。在服務型領導的引領下，新⽣代員⼯可以感受到情緒撫慰和幫助成長的⽀持，享受到更多的⾃主權和決策權，29有更多的機會和空間去發揮⾃⼰的才能和能⼒，可以促使員⼯對服務型領導產⽣強烈的認同感，將領導的⾏為內化為⾃身的動機，形成願意幫助他⼈、替他⼈著想的親社會動機。久⽽久之，員⼯會逐漸接受並學習領導的親社會價值觀和⾏為，無形中提升⾃身的親社會動機⽔準。為此，根據現有理論框架和實證研究，本⽂構建： 假設二：服務型領導與員工的親社會動機正相關。 親社會動機是⼀種⼼理狀態，它驅使個體願意為他⼈或社會的福祉做出貢獻，這與個體的責任感、寬廣的⼼胸和對他⼈的深切關懷相連。正如 Grant 在研究中指出，具有親社會動機的員⼯會更關注組織的整體利益，主動為組織的成功和成長做出貢獻。另外研究結果表明親社會動機能直接促進員⼯的盡職利他等⾏為。30 當個體受其驅使時，他們更傾向於敞開⼼扉，接納他⼈的觀點和想法，進⽽結合⾃⼰的知識體系和經驗，提出富有創新性和實效性的⼯作改進⽅案。正是因為這種動機的存在，使得個體在思考問題時可以跳出⾃我，從更廣闊的角度即他⼈和組織的視角出發，無形中更容易受到組織的正⾯影響，並激發出更多的額外角⾊⾏為。在實際情境中，親社會動機的強度與個體的換位思考能⼒呈正相關關係。也就是說，當親社會動機在個體的思維中佔據主導地位時，他們更有或將超越固有的思維模式，進⾏深入的換位思考︔這種思考⽅式不單單是有效促進提升個體的個⼈素養，還可以激發更多的利他⾏為。31 根據觀察，懷有親社會動機的員⼯常常表現出對所承擔角⾊的認同和使命感，在⼯作和⽣活中積極履⾏⾃⼰的義務，主動為組織的成功和成 29 Liden, Robert C, Sandy J Wayne, Hao Zhao, and David Henderson. “Servant Leadership: Development of a Multidimensional Measure and Multi-Level Assessment.” The Leadership Quarterly 19.2 (2008): 161-177. 30 Grant, Adam M. “Putting Self-Interest out of Business? Contributions and Unanswered Questions from Use-Inspired Research on Prosocial Motivation.” Industrial and Organizational Psychology 2.1 (2009): 94-98; Lazauskaite-Zabielske, Jurgita, Ieva Urbanaviciute, and Dalia Bagdziuniene. “The Role of Prosocial and Intrinsic Motivation in Employees’ Citizenship Behaviour.” Baltic Journal of Management 10.3 (2015): 345-365. 31 張月豔，孔凡柱，張小兵，〈親社會動機與企業員工創造力的關係探究〉，《人才資源開發》，第十二卷（2017），254-256。
李穎、張倩孺、張博堅 128 長做貢獻，提供⽀持和援助⾏為，增進團隊合作和協作，創造新的服務⽅式、服務流程或服務理念，理解和滿⾜顧客需求，給顧客提供⾼質量的產品和服務，將潛在動機轉化為服務創新⾏為的實際⾏動。據此推測，親社會動機有助於員⼯的服務創新⾏為。 服務型領導的本質在於對員⼯的深切關懷與積極輔助，將員⼯的利益放在⾸位，⿎勵團隊成員之間的互助與合作，讓員⼯深入理解領導者的⾏為與⾃身的⼼理需求，增加對同事的關⼼幫助，形成團隊成員間的知識共⽤與創新，無形中提升⾃身的親社會動機，展現⾃發的助⼈⾏為，例如服務創新⾏為。根據前⽂的分析，本⽂構建如下假設： 假設三：在服務型領導與員工的服務創新行為之間，親社會動機充當中介作用。 （㆔）、團隊情緒氛圍的調節作用 團隊情緒氛圍在調節團隊有效性過程中的作⽤⽇益受到關注，成為研究團隊動態與效能的新視角。32 在全⾯剖析團隊現象時，Elfenbein 和 Shirako強調情緒的重要性，認為情緒不單單是是個⼈體驗，更在團隊互動中發揮著關鍵作⽤︔因為員⼯的⼤部分情緒產⽣於⼈際交往中，情緒必然對團隊⽣活具有重要影響。33 團隊情緒氛圍是團隊成員對團隊情緒狀態及情緒交換的共同感知，這種共⽤感知不單單是反映了團隊的獨特特徵，還深刻影響著團隊成員的⾏為和態度。34 權變領導理論提出，領導的有效性受到多種情境因素的影響。35 正因如此，本⽂將團隊情緒氛圍視為⼀個群體變數，深入全⾯剖析其在服務型領導和服務創新⾏為關係中的跨層調節作⽤。 情境領導理論和權變領導理論要考慮到領導者特性、情境特性和權變因素對領導有效性的影響，⽽服務型領導對團隊成員的親社會動機會因團隊情緒氛圍的⾼低 32 Liu, Xiaoyu, Jianmin Sun, and Charmine EJ Haertel. “Developing Measure of Team Emotional Climate in China.” International Journal of Psychology 43.3-4 (2008): 285. 33 Elfenbein, Hillary Anger, and Aiwa Shirako. “An Emotion Process Model for Multicultural Teams.” In An Emotion Process Model for Multicultural Teams. (Emerald Group Publishing Limited: 2006). 34 Liu, Xiaoyu, Jianmin Sun, and Charmine EJ Haertel. “Developing Measure of Team Emotional Climate in China.” 285. 35 House, Robert J. “Path-Goal Theory of Leadership: Lessons, Legacy, and a Reformulated Theory.” The Leadership Quarterly 7.3 (1996): 323-352.
服務型領導與員工服務創新行為影響機制之研究 129 ⽽發⽣改變。服務型領導對員⼯表⽰關懷、尊重和信任，會激發他們的內在動機，同時，還需要注意到環境中的權變因素，會影響下屬對領導的需求，無形中影響領導的有效性。正因如此，實施服務型的領導者要充分考慮到權變因素，適應不斷變化的環境。Kerr和 Jermier的研究列舉了眾多或將對領導⾏為與下屬的⼠氣、⼯作滿意程度還有⼯作績效之間產⽣作⽤或施加影響的變數。36這些變數其中有但不限於團隊成員的個⼈能⼒、⾃主⼯作的需求，以及團隊內部的⾼度凝聚⼒等因素。分析指出正因這些因素的存在會減少員⼯對正式領導的需求，影響服務型領導在團隊中的作⽤，導致領導有效性出現差異。這是因為團隊成員的親社會動機受到情境因素的影響，當團隊中存在其他滿⾜員⼯需求和期望的領導者或領導⽅式時，員⼯對正式領導的需求會相應的減少，領導效能會因團隊情緒氛圍改變，團隊情緒氛圍作為調節因素影響領導效能的實現。 團隊情緒氛圍指的是團隊成員在團隊中所感受到的情緒狀態，它可以影響團隊成員的情感反應和⼈際交往。37 在積極的情緒氛圍中，團隊成員更傾向於展現出親社會動機，這有效促進服務型領導的效果得到增強。與此相反消極的情緒氛圍會讓團隊成員的親社會動機受到抑制，他們會傾向於依賴其他領導者或領導⽅式，⽽不是服務型領導，無形中削弱服務型領導的效果。可以發現團隊情緒氛圍作為調節變數，可以為下屬提供指導和激勵，能促進團隊成員的主動性⾏為，發揮服務型領導在積極情緒氛圍團隊的作⽤，提升員⼯的親社會動機。相反當團隊情緒氛圍較為消極時，這時採⽤服務型領導⽅式或將反⽽會對員⼯親社會動機的產⽣造成阻礙。當團隊情緒氛圍積極且團隊成員情緒⾼漲時，採⽤服務型領導的⽅式，強調領導者對員⼯的關懷、尊重和信任，借助願景激勵下屬，個性化關懷滿⾜員⼯的⽣理與社會⽅⾯的需求，則下屬更容易意識到⾃⼰所承擔的任務，促進團隊成員之間的溝通、信任與合作，員⼯願意為組織的利益⽽犧牲⾃我利益，激發員⼯的內在動機，推動他們積極參與到組織活動，因⽽團隊情緒氛圍的積極放⼤器效有效促進服務型領導的效果得到充分發揮。但是若在團隊情緒氛圍比較消極的時候使⽤服務型領導⽅式，團隊成員的親社會動機受到抑制，會遭遇情緒氛圍不佳的團隊成員的排斥和反抗， 36 Kerr, Steven, and John M Jermier. “Substitutes for Leadership: Their Meaning and Measurement.” Organizational Behavior and Human Performance 22.3 (1978): 375-403. 37 Barsade, Sigal G. “The Ripple Effect: Emotional Contagion and Its Influence on Group Behavior.” Administrative Science Quarterly 47.4 (2002): 644-675.
李穎、張倩孺、張博堅 132 （㆓）、測量工具 1、服務型領導 服務型領導能⼒的測量依賴於Dennis的 14個題項的量表。38 它包括三個維度：願景、服務、授權。參與者使⽤李克特五點量表回答問卷，回答範圍從「1=強烈不同意」到「5=強烈同意」。 2、服務創新行為 服務創新⾏為測量使⽤了 Scott & Bruce的 6個題項量表，由領導者填寫。39 3、親㈳會動機 這項研究的測量包括來⾃ Grant的 5個題項量表。40 4、團隊情緒氛圍 團隊情緒氛圍測量來⾃於 Liu等⼈的 8個題項量表。41 38 Dennis, Rob, and Bruce E Winston. “A Factor Analysis of Page and Wong’s Servant Leadership Instrument.” Leadership & Organization Development Journal 24.8 (2003): 455-459. 39 Scott, Susanne G, and Reginald A Bruce. “Determinants of Innovative Behavior: A Path Model of Individual Innovation in the Workplace.” Academy of Management Journal 37.3 (1994): 580-607. 40 Grant, Adam M. “Relational Job Design and the Motivation to Make a Prosocial Difference.” Academy of Management Review 32.2 (2007): 393-417. 41 Liu, Xiaoyu, Jianmin Sun, and Charmine EJ Haertel. “Developing Measure of Team Emotional Climate in China.” International Journal of Psychology 43.3-4 (2008): 285.
服務型領導與員工服務創新行為影響機制之研究 133 5、控制變數 研究表明，員工的性別、教育程度和任期可能與他們的創新行為有關。42 我們對性別、教育和團隊任期的影響進⾏了控制，以排除它們潛在的混雜影響。分析表明無論我們是否納入這些控制變數，研究結果都是相同的，這為我們的發現的穩健性提供證據。 四、研究結果 （㆒）、描述性分析 1、員工 本⽂全⾯收集 394組樣本數據，分析性別在員⼯構成中的分佈情況，其中男性員⼯為 208 名（52.8%），女性員⼯有 186 名（47.2%）︔員⼯年齡主要集中在 26 至40歲年齡段，該部分占比⾼達 87.3%。進⼀步分析顯⽰，在所有年齡段中，31至 40歲的員⼯⼈數最多，占比⾼達 51.5%。由此說明在本⽂的調查樣本中，年輕⼈構成員⼯群體的主體。本科學歷的員⼯構成調查樣本的主體，占比達到 68%，碩⼠學歷的員⼯占比 20.6%，⾼中學歷的員⼯占比 11.4%，該數據著重反映在本⽂調查的員⼯群體中，本科及以上學歷者佔據絕⼤多數。其中⼯齡在 1至 5年之間的員⼯占比⾼達 72.3%。該數據著重反映本⽂的員⼯群體以年輕⼈為主，且⼤多數員⼯擁有本科學歷。本⽂調查員⼯與主管共事的時間分佈，分析員⼯與主管之間的關係特徵。其中與當前主管共事時間為 1至 3年的員⼯占比 66.8%，共事時間為 4至 6年的員⼯占比 27.9%。該數據著重反映在本⽂的員⼯群體中，⼤多數⼈與主管的共事時間較短，造成這⼀現象往往與員⼯的⼯齡有關。基於對 394份問卷展開全⾯回收與審 42 Garg, Shreya, and Rajib Dhar. “Employee Service Innovative Behavior: The Roles of Leader-Member Exchange (Lmx), Work Engagement, and Job Autonomy.” International Journal of Manpower 38.2 (2017): 242-258; Ng, Thomas WH, and Daniel C Feldman. “Evaluating Six Common Stereotypes About Older Workers with Meta-Analytical Data.” Personnel Psychology 65.4 (2012): 821-858.
服務型領導與員工服務創新行為影響機制之研究 141 6、具體調節的㆗介 從表 6 可以看出團隊情緒氛圍調節 X-M1-Y 調節效應的差值為 0.076,95%的置信區間[0.009,0.143]，不包含 0，說明中介效應受到了調節，當團隊情緒氛圍為⾼分組，中介效應為 0.095[0.038,0.152]不包含 0，說明中介效應顯著，當團隊情緒氛圍為低分組，中介效應為 0.019[-0.013,0.051]包含 0，說明中介效應不顯著，⾼團隊情緒氛圍的中介影響⾼於低團隊情緒氛圍的中介影響，說明中介受到正向調節，假設成⽴。 五、研究結論與討論 （㆒）、理論貢獻 本研究在理論建構層⾯實現三重突破。其⼀本研究基於⼀個全新的理論視角——SOR理論解釋了服務領導者是如何促進員⼯創新⾏為，許多組織學者仍主要基於社會身份理論來解釋這種影響機制。基於此本⽂從⼀個全新的理論角度拓展服務領導者和員⼯之間的關係理解與詮釋，我們希望進⼀步闡明服務領導者是如何激發員⼯創新⾏為以及親社會動機在其中的中介作⽤，這不僅有助於擴展服務型領導理論內涵，⽽且為組織更好地在實踐中運⽤服務型領導風格，從⽽促進員⼯的創新⾏為提供理論⽀撐和實踐指導︔其⼆通過考察服務型領導對服務背景下創新⾏為的影響，我們擴展了服務型領導理論。現有的關於服務型領導的研究發現其有益影響，如提升員⼯在職績效，增加員⼯組織公民⾏為，改善公司績效。43 但較少的實證研究關 43 Chen, Zhijun, Jing Zhu, and Mingjian Zhou. “How Does a Servant Leader Fuel the Service Fire? A Multilevel Model of Servant Leadership, Individual Self Identity, Group Competition Climate, and Customer Service Performance.” 511; Qiu, Shaoping, Larry M Dooley, and Lei Xie. “How Servant Leadership and Self-Efficacy Interact to Affect Service Quality in the Hospitality Industry: A Polynomial Regression with Response Surface Analysis.” 104051; Ye, Yijiao, Yijing Lyu, and Yanzhen He. “Servant Leadership and Proactive Customer Service Performance.” 1330-1347; Ling, Qian, Meizhen Lin, and Xiaoyi Wu. “The Trickle-down Effect of Servant Leadership on Frontline Employee Service Behaviors and Performance: A Multilevel Study of Chinese Hotels.” 341-368; Wu, Junfeng, et. al. “Does Manager
李穎、張倩孺、張博堅 142 注服務型領導者是否能促進追隨者的服務創新。因此我們通過研究揭⽰其對追隨者服務創新的潛在影響增加了服務型領導⽂獻。本研究通過強調積極的服務領導與服務創新聯繫，不僅拓展了服務領導在服務背景下的優勢，⽽且豐富了員⼯服務創新⾏為的前因︔其三學者往往傾向於關注領導者的內在職能，⽽對於組織層⾯的領導功能以及其對情境因素的敏感性卻較少關注。這種研究取向與長期以來組織⾏為研究在「沒有組織的個⼈與沒有個⼈的組織」這兩個極端之間徘徊的困境密切相關，缺乏對組織因素與個⼈因素整合⽅⾯的全⾯考慮。作為⼀種較新的研究維度，團隊情緒氛圍能夠為我們理解團隊績效提供獨到的視角和深層次的理解。本研究在⼀定程度上填補這⼀理論空⽩，通過考察團隊情緒氛圍作為⼀種團隊情境變數在團隊領導⽅式對團隊創新績效影響過程中的作⽤，對服務型領導的影響機制有更全⾯的認識。這不僅有助於深化對團隊情緒氛圍影響作⽤的理解，也對研究團隊創新⾏為的影響因素具有積極的貢獻。 （㆓）、實際貢獻 在服務業中服務⼈員常常作為企業與顧客之間的⾸次接觸點，他們的⾔⾏舉⽌在很⼤程度上被顧客視為企業的直接體現。Bettencourt 等認為服務⼈員是肩負著跨越組織邊界的關鍵角⾊，他們不僅是組織與外界連接的紐帶，還承擔著傳遞外部資訊的職責，依託於與顧客的深入互動洞察市場的脈動和顧客需求的細微變化，這不單單是有助於提升服務品質，⽽且還確保了組織能夠及時對市場動態和顧客需求作出反應，實現資訊的有效迴圈和回饋︔⽽領導者的領導⽅式正是激發和引導服務⼈員產⽣這些積極⾏為的關鍵因素。44 基於本研究的視角，我們強烈建議在現代管理環境複雜多變的局勢下，組織須重視服務型領導⼒的培養與發展，替代難以適應時代需求的專制型領導風格。第⼆點在深入探討員⼯親社會動機對組織積極⾏為的機 Servant Leadership Lead to Follower Serving Behaviors? It Depends on Follower Self-Interest.” 152; Liden, Robert C, Sandy J Wayne, Chenwei Liao, and Jeremy D Meuser. “Servant Leadership and Serving Culture: Influence on Individual and Unit Performance.” 1434-1452. 44 Bettencourt, Lance A, and Mark B Houston. “Reference Diversity in Jcr, Jm, and Jmr: A Reexamination and Extension of Tellis, Chandy, and Ackerman (1999).” Journal of Consumer Research 28.2 (2001): 313-323.
李穎、張倩孺、張博堅 144 調節中介效應，但服務創新可能會受到組織內部較⾼⽔準因素的影響。45 因此，未來的研究可以考慮調查可能影響服務型領導對服務創新的影響的更⾼層次的因素，如組織⽂化和服務氛圍。第三，由於時間序列控制的缺失，本⽂運⽤橫斷⾯設計研究結論可能遭受推斷偏誤影響。46 鑒於此為能夠揭⽰更為豐富的實務義涵，本⽂推薦未來的研究考慮採⽤縱斷⾯設計。儘管設計需耗費更多時間、精⼒和經費，並且對受測者的長期配合提出更⾼要求，但是其對於深化理解變數間動態關係的重要性是顯⽽易⾒的。且在中介和調節效應的驗證過程中，需採⽤蒙特卡洛作進⼀步分析。最後，在避免共同⽅法變異的考量下，本⽂運⽤他評⽅式對服務創新⾏為進⾏評估，但由於評估主體是管理者⽽非直接體驗服務的顧客，評定結果可能存在偏差：所以本⽂建議未來的研究應當考慮由顧客作為評價服務創新⾏為的主體，採⽤這樣的評價機制將有助於更準確地捕捉和衡量服務創新⾏為，進⼀步提升研究的信度和效度。 45 Nguyen, Anh Kim, Yuei-An Liou, Ming-Hsu Li, and Tuan Anh Tran. “Zoning Eco-Environmental Vulnerability for Environmental Management and Protection.” Ecological Indicators 69 (2016): 100-117. 46 Staw, Barry M. “Attribution of the “Causes” of Performance: A General Alternative Interpretation of Cross-Sectional Research on Organizations.” Organizational Behavior and Human Performance 13. 3 (1975): 414-432.
服務型領導與員工服務創新行為影響機制之研究 145 徵引書目 ㆒、㆗文書目 [1] ⾼⽇光，李勝蘭，〈親社會動機與印象管理動機對組織公民⾏為的影響〉，《當代財經》，第三期（2015），79-86。 [2] 梁⾩，李樹⽂，孫銳，〈SOR視角下組織學習對組織創新績效的影響〉，《管理科學》，第三⼗卷第三期（2017），63-74。 [3] 周建濤，廖建橋，〈基於社會資訊加⼯理論的謙遜領導對員⼯⼯作績效的作⽤機制研究〉，《管理學報》，第⼗五期第⼗⼆卷（2018），1789-1798。 [4] 劉遠，周祖城，〈員⼯感知的企業社會責任、情感承諾與組織公民⾏為的關係—承諾型⼈⼒資源實踐的跨層調節作⽤〉，《管理評論》，第廿七卷第⼗期（2015），118-127。 [5] 張⽉豔，孔凡柱，張⼩兵，〈親社會動機與企業員⼯創造⼒的關係探究〉，《⼈才資源開發》，第⼗⼆卷（2017），254-256。 ㆓、英文書目 [1] Ruth Maria, Stock, “Is Boreout a Threat to Frontline Employees’ Innovative Work Behavior?” Journal of Product Innovation Management 32.4 (2015): 574-592. [2] Meng-Lei Monica, Hu, Jeou-Shyan Horng, and Yu-Hua Christine Sun, “Hospitality Teams: Knowledge Sharing and Service Innovation Performance.” Tourism Management 30.1 (2009): 41-50. [3] Robert F, Lusch, and Satish Nambisan, “Service Innovation.” MIS Quarterly 39.1 (2015): 155-176. [4] Oscar F, Bustinza, Emanuel Gomes, Ferran Vendrell-Herrero, and Tim Baines, “Product-Service Innovation and Performance: The Role of Collaborative Partnerships and R&D Intensity.” R&d Management 49.1 (2019): 33-45.
李穎、張倩孺、張博堅 146 [5] David E, Bowen, “The Changing Role of Employees in Service Theory and Practice: An Interdisciplinary View.” Human Resource Management Review 26.1 (2016): 4-13. [6] Taegoo Terry, Kim, and Gyehee Lee, “Hospitality Employee Knowledge-Sharing Behaviors in the Relationship between Goal Orientations and Service Innovative Behavior.” International Journal of Hospitality Management 34 (2013): 324-337. [7] Faizal, Wihuda, Arief Adhi Kurniawan, Adie Irwan Kusumah, and Wiwiek Rabiatul Adawiyah, “Linking Empowering Leadership to Employee Service Innovative Behavior: A Study from the Hotel Industry.” Tourism: An International Interdisciplinary Journal 65.3 (2017): 294-313. [8] Rajib Lochan, Dhar, “Ethical Leadership and Its Impact on Service Innovative Behavior: The Role of Lmx and Job Autonomy.” Tourism Management 57 (2016): 139-148. [9] Markus, Schuckert, Taegoo Terry Kim, Soyon Paek, and Gyehee Lee, “Motivate to Innovate: How Authentic and Transformational Leaders Influence Employees’ Psychological Capital and Service Innovation Behavior.” International Journal of Contemporary Hospitality Management 30.2 (2018): 776-796. [10] Robert K, Greenleaf. Servant Leadership: A Journey into the Nature of Legitimate Power and Greatness. Paulist press, 2013. [11] Nancy Lamer, Ruschman, “Servant-Leadership and the Best Companies to Work for in America.” Focus on Leadership: Servant-leadership for the Twenty-first Century (2002): 123-139. [12] McGee-Cooper, Ann, and Gary Looper. The Essentials of Servant-Leadership: Principles in Practice. Pegasus Communications Dallas, 2001. [13] Emily M, Hunter, Mitchell J Neubert, Sara Jansen Perry, LA Witt, Lisa M Penney, and Evan Weinberger, “Servant Leaders Inspire Servant Followers: Antecedents and Outcomes for Employees and the Organization.” The Leadership Quarterly 24.2 (2013): 316-331. [14] Mitchell J, Neubert, K Michele Kacmar, Dawn S Carlson, Lawrence B Chonko, and James A Roberts, “Regulatory Focus as a Mediator of the Influence of Initiating
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世漢學會國際中文教育研究專欄 The Column of the International Society for Chinese Language Teaching 專欄為教育部中外語言交流合作中心、世界漢語教學學會與《澳門科技大學學報》（人文社會科學版）編輯部合作設立，受中外語言交流合作中心資助，特此鳴謝。 The column is established in collaboration with the Center for Language Education and Cooperation of the Ministry of Education, the International Society for Chinese Language Teaching, and the Editorial Department of the Journal of Macau University of Science and Technology (Humanities and Social Sciences Edition), funded by the Center for Language Education and Cooperation. We hereby express our gratitude.
教育部㆗外語言交流合作㆗心 簡 介 中外語言交流合作中心（簡稱「語合中心」，英文名稱“Center for Language Education and Cooperation”，簡稱 CLEC）隸屬於中國教育部，是發展國際中文教育事業的專業公益教育機構，致力於為世界各國民眾學習中文、瞭解中國提供優質的服務，為中外語言交流合作、世界多元文化互學互鑒搭建友好協作的平台。 語合中心的主要職能為發展國際中文教育與促進中外語言交流合作提供服務，統籌建設國際中文教育資源體系，參與制定國際中文教育相關標準並組織實施；支持國際中文教師、教材、學科等建設和學術研究；組織實施國際中文教師考試、外國人中文水準系列考試，開展相關評估認定；運行漢語橋、新漢學、獎學金等國際中文教育相關項目；開展中外語言交流合作等。
世界漢語教㈻㈻會 簡 介 世界漢語教學學會（簡稱「世漢學會」，英文名稱“The International Society for Chinese Language Teaching”）成立於一九八七年八月十四日，是經中華人民共和國民政部登記註冊的國際社會組織和非營利性民間學術團體，主管單位為中華人民共和國教育部，秘書處設在教育部中外語言交流合作中心（北京市西城區德勝門外大街一二九號四零一）。二零一一年十月與聯合國教科文組織建立合作關係，會員遍佈全球七十九個國家和地區，主要由世界各地從事漢語教學、研究和推廣的人士及相關機構組成。 學會宗旨是遵守中華人民共和國憲法、法律、法規和國家政策，遵守社會道德風尚；促進國際漢語教學、研究和推廣；加強世界各地漢語教學與研究工作者之間、機構之間的聯繫。自二零二零年起，學會相繼成立「教師發展專業委員會」、「標準與認證工作委員會」、「語言理論與語言教育研究分會」、「課程與教材專業委員會」、「學術交流與出版專業委員會」、「智慧教育分會」、「中小學教育研究分會」、「專門用途中文教育專業委員會」等八個分支機搆。 學會理事會為議事決策機構。歷任會長為朱德熙、呂必松、陸儉明、許嘉璐等，現任會長為天津師範大學校長鍾英華教授（二零二二年十二月當選）。第十二屆理事會由來自二十八個國家和地區的國際中文教育學術團體、各國高等院校及中文專業院系、著名漢學家、具有較高聲望的學術帶頭人、世漢學會創會會員、永久會員和普通會員等二十一位理事（單位）組成。
韓婧怡、王婷 156 A Study on Stop Consonant Production and Error Patterns among Spanish Trilingual Learners of Mandarin Chinese Han Jingyi 1; Wang Ting (1. PhD, University International College, Macau University of Science and Technology) Abstract: This paper, situated within the context of international Chinese education and country-specific studies, adopts the framework of third language phonetic acquisition theory (TLPA) and employs phonological contrastive analysis and experimental phonetics methods to investigate the production of Mandarin stop consonants by 11 trilingual learners with L1 Spanish, L2 English, and L3 Mandarin. The study analyzes their voice onset time (VOT) in stop production, aiming to identify the main error patterns and underlying causes. The results show that: (1) The learners’ production of L3 Mandarin stops is influenced by both their L1 Spanish and L2 English, indicating significant cross-linguistic phonetic transfer. (2) For aspirated voiceless stops p, t, k (/ph, th, kh/), errors include insufficient aspiration and blurred aspiration/non-aspiration contrasts. For unaspirated voiceless stops b, d, g (/p, t, k/), the main errors involve voicing confusion. Overall, k (/kh/) and g (/k/) were acquired with relatively higher accuracy, whereas p (/ph/) and b (/p/) showed lower accuracy. (3) Learners’ error patterns and accuracy are closely related to their L3 proficiency and immersion, with higher-level learners producing VOT values closer to those of native speakers. This study fills a research gap on Spanish-speaking trilingual learners of Mandarin, revealing their characteristic error features and proposing targeted teaching strategies and suggestions to inform both pedagogy and further research. Keywords: Third language phonetic acquisition (TLPA); Stop consonant production; Voice onset time (VOT); Pronunciation errors; International Chinese education
西班牙中文三語學習者塞音產出及偏誤研究 157 一、引言 塞⾳（stop; plosive），又稱爆破⾳或閉塞⾳，是最常⾒同時也是最重要的輔⾳⾳類。世界語⾔中不存在沒有塞⾳的語⾔，塞⾳在⼈類語⾳中具有絕對的共性特徵，是唯⼀⼀種普遍存在於所有語⾔中的輔⾳⾳類。1 正是由於塞⾳具備這樣的特性，也因此成為學者們研究語⾳習得、語⾳跨語⾔遷移等問題的最佳切入點。2 在國際中⽂教育領域，前⼈對於⼆語學習者的塞⾳習得關注較多。早期研究⼤多是依據對比分析或聽辨分析等⽅法展開的經驗總結式的質性研究，近年來⼀些學者開始運⽤實驗語⾳學聲學分析的⽅法對學習者的漢語塞⾳習得情況進⾏考察，考察范圍涉及到多個國別。 例如，溫寶瑩、冉啟斌、⽯鋒等學者使⽤塞⾳聲學格局分析的⽅法對初級⽔平德國學⽣的德語和普通話塞⾳格局進⾏了考察，並同漢語母語者做對比分析，結果發現：德國學⽣能夠對普通話中的送氣與不送氣的⾳位作出區分，並且送氣塞⾳的發⾳要優於不送氣塞⾳。儘管如此，學習者也呈現出⽤母語中的濁⾳特徵代替漢語不送氣特徵的典型偏誤︔3 莊潔調查了初級⽔平越南來華留學⽣塞⾳產出的偏誤情況，數據顯⽰：越南留學⽣所產出的普通話塞⾳ VOT比普通話母語者短，且送氣對⽴區分不夠明顯︔4 鄧丹、鄧亞玲對西班牙語母語者漢語塞⾳習得的研究則認為，初級學習者已具備範疇化感知能⼒，但產出中存在濁化與送氣不⾜等偏誤。⾼級學習者接近漢語母語者⽔平，體現⼆語語⾳習得中感知先於產出的特點。該研究進⼀步指出，語⾔相似性、字母⼲擾及特徵標記性是影響習得效果的關鍵因素，為三語語⾳研究提供了重要的跨語⾔對比視角︔5謝⾬欣從⾳系學和聲學兩個角度出發，探 1 Jakobson, Roman. “Typological Studies and Their Contribution to Historical Comparative Linguistics,” In Studia Linguistica et Philologica in Honorem L. Spitzer, (University of California Press, 1958), 245-265. 2 冉啟斌、石鋒，〈塞音的聲學格局分析〉，《第八屆中國語音學學術會議暨慶賀吳宗濟先生百歲華誕語音科學前沿問題國際研討會論文集》,（中國語言學會語音學分會，北京：2008）。 3 溫寶瑩、冉啟斌、石鋒，〈德國學生習得漢語塞音聲母的初步分析〉，《雲南師範大學學報（對外漢語教學與研究版）》，第 7期（雲南：2009.7），54-61。 4 莊潔，〈越南留學生習得普通話塞音和塞擦音實驗研究〉，《菏澤學院學報》，第 3期（山東：2009），114-118。 5 鄧丹、鄧亞玲，〈西班牙學習者對漢語塞音的產出與感知研究〉，《國際漢語教學研究》，（北京：2020），63-71+93。
韓婧怡、王婷 158 究不同⽔平⽼撾學習者漢語塞⾳習得情況，結果表明：⽼撾學習者同樣存在送氣清塞⾳送氣不⾜、清⾳濁化等習得偏誤。6 此外還有學者分別對盧旺達、⽇本、俄羅斯、孟加拉、柬埔寨等國家學習者的塞⾳習得情況也做了深入討論。總體⽽⾔，儘管來⾃不同國別背景的學習者在普通話塞⾳習得上的表現存在差異，但普遍均受到不同程度的母語負遷移影響。學習者往往傾向於將其母語的近似⾳位映射到普通話塞⾳的產出上，從⽽導致送氣/不送氣、清/濁⾳等塞⾳區別性特徵發⽣混淆，形成系統性偏誤。 現有研究顯⽰，當前關於學習者普通話塞⾳產出的探討，仍主要集中於對其母語和⽬的語（普通話）兩種語⾔的⼆元對比分析。但在實際教學環境中，絕⼤多數學習者都是擁有⼆語學習經歷的三語甚至多語者，不同語⾔背景的學習者在語⾳學習過程中所⾯對的重點和難點存在差異。這就意味著，基於傳統⼆語習得理論展開的研究無法嚴謹、完整、全⾯地揭⽰學習者的語⾳學習過程和特點。7 若要探求學習者語⾳產出的全貌，就必須將其既往所習得的語⾔納入研究範疇，並置於三語習得的理論視野下進⾏考察。同⼆語習得相比，三語習得過程中所涉及到的各語⾔之間的相互影響作⽤更為複雜，三語習得中的「三語」作為⽬的語不僅會受到學習者已經習得的⼀語（L1）和⼆語（L2）的影響，8 還可能同時受兩種（L1+L2）或兩種以上（L1+L2+LN）已習得語⾔的影響，亦或是受⼀種已經被先前習得的語⾔影響過的語⾔所影響。9 這種複雜的加⼯形式、錯綜語際關係為研究者提供了⼤量單語研究和⼆語/雙語研究無法呈現的數據，從⽽成為研究者探求多語⾔認知機制的窗⼜。10⽬前，國內外研究中所涉及的三語語⾳習得理論模型主要來源於⼆語語⾳習得理論模型和三語句法習得理論模型。11 從⼆語語⾳習得理論中引入的模型有：對比分析假說（Contrastive Analysis Hypothesis, CAH）、標記性區分假說（Markedness 6 謝雨欣，《老撾學習者漢語塞音習得研究》，（蘭州：蘭州大學，2024）。 7 鄭羅丹，《西班牙四種官方語言輔音語漢語輔音對比研究》，（雲南：雲南大學，2021）。 8 Cenoz,J., Hufeisen,B., & Jessner,U., “Cross-linguistic Influence in Third Language Acquisition: Psycholinguistic perspectives,” Multilingual Matters 31 (2001). 9 De Angelis, Gessica.,“Third or Additional Language Acquisition,” Multilingual Matters (Bristol: 2007). 10 De Bot, K., & Jaensch, C., “What is Special about L3 Processing?” Bilingualism: Language and Cognition (England: 2015). 11 李增根，〈三語習得與二語習得之差異探析〉，《青海師範大學學報（哲學社會科學版)）》，第2期（青海：2016），122-129。
西班牙中文三語學習者塞音產出及偏誤研究 159 Differential Hypothesis, MDH）、語⾳學習模型（Speech Learning Model, SLM）、⼆語感知模型（Second Linguistic Perception model, L2LP）、感知同化模型（Perceptual Assimilation Model, PAM）等。從三語句法習得中引入的理論包括：累積增強模型（CEM）、類型相近模型（TPM）、⼆語地位因素模型（L2SF）、語⾳滲透性假說（Phonological Permeability Hypothesis, PPH）等。基於上述理論框架，國內外研究者主要圍繞著以下四個領域對三語語⾳習得機制展開研究：12 （1）雙語/多語優勢作⽤（Bilingual & multilingual advantage）︔ （2）跨語⾔遷移影響的來源和⽅向（The source and the directionality of transfer）︔ （3）聲⾳系統的發展路徑（The developmental path of acquisition of an L3 sound system）︔ （4）產出和感知的界⾯關聯（Perception and production）。 其中，跨語⾔遷移影響研究（Cross-Linguistic Influence, CLI）無論從⽂獻數量上還是質量上都更具顯著優勢，其次是雙語/多語優勢作⽤研究及語⾳產出和感知的界⾯關聯研究。13 近年來，國內外學者通過測量不同語⾔組合 VOT 的⽅法對三語語⾳習得展開了廣泛研究。總的來說，前⼈研究認為三語語⾳習得的跨語⾔影響來源⼤致可分為三個類別： （1）認為 L1影響起主導作⽤的研究（Privileged L1 Effect）︔ （2）認為 L2影響起主導作⽤的研究（Privileged L2 Effect）︔ （3）認為聯合跨語⾔影響起主導作⽤的研究（Combined CLI Effect）。 早期研究多認為第⼀語⾔（L1）是跨語⾔遷移的主要來源。14 然⽽，後續⼤量實證研究為 L2 主導作⽤提供了⽀持。例如，Tremblay 調查了 L1 英語、L2 法語、L3⽇語的初學者的 VOT產出。結果顯⽰，被試者的 L2法語和 L3⽇語的 VOT產出模式非常相似。Tremblay據此認為，L2法語的語⾳遷移影響在 L3⽇語清塞⾳產 12 R. Llama and W. Cardoso,“Revisiting (Non-)Native Influence in VOT Production: Insights from Advanced L3 Spanish,” Languages (Basel: 2018): 3-30. 13 劉希瑞、譚媚文、蔣嘉浩，〈三語音系習得研究的國際前沿及啓示〉，《河南工業大學學報（社會科學版）》，第 40卷第 2期（河南：2024），102-109. 14 Llisterri Boix, J.,&Poch Olive, D., “Phonetic Interference in Bilingual’s Learning of a Third Language,” Proceedings XIth ICPhS / the Eleventh International Congress of Phonetic Sciences (Tallinn: 1987).
韓婧怡、王婷 160 出中占主導。15 Llama分別對 L1英語、L2法語、L3西班牙語和 L1法語、L2英語、L3 西班牙語兩組學習者進⾏朗讀實驗，結果兩組被試者 L2 與 L3VOT 均值較為接近，該現象也被解釋為 L2向 L3的遷移。16 另有研究指出，跨語⾔遷移可能並非單⼀來源，⽽是存在 L1與 L2共同影響的情況，表現出交叉性與聯合性。17 即三語語⾳習得過程中，可能同時存在母語語⾳遷移、⼆語語⾳遷移，或兩者聯合起作⽤的情形。此外，還有學者提出跨語⾔遷移可能隨 L3熟練度的變化⽽發⽣動態轉變：初學階段更依賴 L2，⽽隨著 L3⽔平提⾼，L1的影響可能逐漸增強。18 Llama通過比較不同熟練度學習者的 VOT產出進⼀步⽀持 L3熟練度對三語語⾳跨語⾔遷移可能存在調節作⽤的推測。 三語語⾳的產出和感知研究（L3 Production and Perception）也是近年來經常被關注到的重要領域，主要探討三語者在語⾳層⾯的跨語⾔影響、語⾳習得機制及其認知神經基礎。與⼆語研究相比，三語語⾳產出涉及更複雜的語⾔互動關係。19 從研究內容上看，三語語⾳產出和感知研究主要包括兩部分，⾳段研究和超⾳段研究，⾳段研究集中於塞⾳、塞擦⾳和元⾳產出上，⽽超⾳段研究側重於聲調和韻律節奏的研究。從研究⽅法上看，當前對於三語產出和感知的研究中多採⽤橫向和縱向兩類。橫向研究即共時研究，研究者通常在同⼀時間點，比較不同語⾔群體或不同語⾔條件下的語⾳產出特徵或感知情況。縱向研究即歷時追蹤研究，研究者對同⼀批三語者或多語學習者的語⾳產出和感知的變化進⾏觀察。 儘管對於三語語⾳習得的研究已取得初步進展，但作為⼀個年輕的分⽀學科和新興的研究領域，在三語研究的⼤框架下成果並不是很豐碩。20 當前國內外三語語⾳研究相關⽂獻中所涉及的語⾔類型組合也呈現出不全⾯、不均衡的特點。國外研 15 Tremblay, M., “L2 Influence on L3 Pronunciation: Native-like VOT in the L3 Japanese of English-French Bilinguals,” Satellite Workshop of ICPhS XVI (Freiburg: 2007). 16 Llama, R., Cardoso, W., & Collins, L., “The Influence of Language Distance and Language Status on the Acquisition of L3 Phonology,” International Journal of Multilingualism 7.1 (2010): 35-57. 17 Gut, U., “Cross-linguistic Influence in L3 Phonological Acquisition,” International Journal of Multilingualism 7.1 (2010):19-38. 18 Hammarberg,B., “Processes in Third Language Acquisition” (Edinburgh: 2009). 19 劉佳琦、曾婷、鄭詠滟，〈多外語學習者第三語言塞音習得實證研究〉，《外語學刊》，第 1期（黑龍江：2022），99-105。 20 Cabrelli Amaro, J., “On L3 Acquisition and Phonological Permeability: A New Test Case for Debates on the Mental Representation of non-native Phonological Systems,” IRAL (Amsterdam: 2010): 275-296.
西班牙中文三語學習者塞音產出及偏誤研究 161 究所涉及的語⾔⼤多集中於印歐語系，如英語、法語、西班牙語等，對於非印歐語系的語⾔的關注較少。國內研究的語⾔組合則集中於民族語⾔（維吾爾語、藏語等），普通話作為⽬的語的三語語⾳習得研究更是極為缺乏。這⾜以⾒得，將普通話作為⽬的語的三語習得研究尚未得到學界⾜夠的重視，這與⽬前國際中⽂教學現狀是不相稱的。 西班牙作為⼀個多語國家，獨特的社會⽂化背景和多層次的語⾔⽣態環境使其在三語習得研究和國際中⽂教育國別化研究領域都具有顯著優勢。西班牙本⼟使⽤卡斯蒂利亞語（西語）、加泰羅尼亞語、巴斯克語、加利西亞語、阿蘭尼斯語五種主流語⾔，同時存在⼤量移民語⾔，如意⼤利語、阿拉伯語、漢語等。其中西語的使⽤⼈⼜最多，全世界⼤約有五億六千萬⼈的母語或第⼆語⾔是西班牙語，按照第⼀語⾔使⽤者數量排名，西班牙語僅次於漢語位居世界第⼆位。加上第⼆語⾔使⽤⼈⼜，西班牙語總使⽤⼈數排名世界第四，僅次於英語、漢語與印地語，在全球 23個國家和地區被列為官⽅語⾔，同時也是聯合國官⽅語⾔之⼀。21 在國際中⽂教育發展⽅⾯，儘管西班牙的中⽂教育起步略晚，但發展態勢良好，是歐洲最重視中⽂教育的國家之⼀，中⽂作為「關鍵外語」之⼀也被納入到了部分⾃治區國民教育體系中。截至 2023年，西班牙中⽂學習者總規模約為 6-8萬⼈。全國約有 200所中⼩學開設中⽂選修課。22 ⾼等教育⽅⾯，格拉納達⼤學、巴塞羅那⾃治⼤學等 10餘所⾼校開設有漢語⾔⽂學、翻譯等相關專業，註冊學歷⽣約有 3000⼈。西班牙現有 8所孔⼦學院（⾺德⾥、巴塞羅那、瓦倫西亞等）年均註冊學員超 8000⼈。23 總體來看，西班牙中⽂教育呈現出「政策牽引—需求驅動」的優勢特徵，其多語⾔社會基礎、中西戰略合作政策都為國際中⽂教育提供了可持續發展的⼟壤，然⽽當前學界對於西班牙學習者的中⽂習得研究，特別是從學習者多語⾔背景出發、以三語習得理論為框架的語⾳習得研究並不多⾒。 綜上所述，有針對性、有計劃的深入開展普通話作為三語的語⾳習得國別化研 21 Ministerio de Educación y Formación Profesional, “Enseñanzas de Lenguas Extranjeras en Centros Educativos no Universitarios”, https://www.educacionyfp.gob.es, Last Modified on March 10, 2025. 22 Instituto Nacional de Estadística (INE), “Estadística de la Enseñanza Universitaria en España”, https://www.ine.es, Last Modified on March 10, 2025. 23 孔子學院官網，Hanban/Confucius Institute Headquarters，「Annual Report of Confucius Institutes」， http://www.hanban.org，瀏覽日期為 2025年 03月 10日。
西班牙中文三語學習者塞音產出及偏誤研究 185 第3期，（山東：2009），114-118。 [14] 謝⾬欣，《⽼撾學習者漢語塞⾳習得研究》，（蘭州：蘭州⼤學，2024）。 [15] 鄭羅丹，《西班牙四種官⽅語⾔輔⾳語漢語輔⾳對比研究》，（雲南：雲南⼤學，2021）。 [16] 張琳潔，《⼀語、⼆語及三語學習者雙唇爆破⾳產出與感知的研究》，（長沙：湖南⼤學，2018）。 [17] 張漠，《母語為西班牙語的漢語學習者語⾳偏誤分析及教學策略探索》，（山東：魯東⼤學，2016。 ㆓、英文文獻 [1] J., Cabrelli Amaro, “On L3 Acquisition and Phonological Permeability: A New Test Case for Debates on the Mental Representation of Non-native Phonological Systems.” IRAL (Amsterdam, John Benjamins Publishing Company: 2010): 275-296. [2] J., Cenoz, Hufeisen, B., & Jessner, U., “Cross-linguistic Influence in Third Language Acquisition: Psycholinguistic Perspectives.” Multilingual Matters (Tallinn: 2001). [3] K., De Bot, & Jaensch, C., “What is Special about L3 Processing?” Bilingualism: Language and Cognition (England: 2015). [4] De Angelis, Gessica., “Third or Additional Language Acquisition.” Multilingual Matters (Bristol: 2007). [5] B., Hammarberg, Processes in Third Language Acquisition. Edinburgh: 2009. [6] J. S., Kenyon, American Pronunciation: A Textbook of Phonetics for Students of English. Ann Arbor, MI: George Wahr, 1946. [7] U., Gut, “Cross-linguistic Influence in L3 Phonological Acquisition.” International Journal of Multilingualism 7.1 (2010):19-38. [8] R., Llama, Cardoso, W., & Collins, L., “The Influence of Language Distance and Language Status on the Acquisition of L3 Phonology,” International Journal of Multilingualism 7.1 (2010):39-57. [9] R., Llama, & W. Cardoso, “Revisiting (Non-)Native Influence in VOT Production:
韓婧怡、王婷 186 Insights from Advanced L3 Spanish.” Languages 3.3 (Basel: 2018) :30. [10] L., Lisker, & Abramson, A. S., “A Cross-language Study of Voicing in Initial Stops: Acoustical Measurements.” (Word:1964): 384-422. 第㆒作者簡介 韓婧怡，澳門科技大學國際學院博士生，研究方向為三語語音習得、三語跨語言遷移、國際中文教育語音教學、國際中文教育國別化研究 通訊地址：澳門氹仔偉龍馬路澳門科技大學國際學院 通訊電郵：tina.han0321@gmail.com 通訊作者簡介 王婷，澳門科技大學國際學院副教授，博士生導師，研究方向為語言經濟學，西班牙語教學/三語習得，西班牙社會與文化等 通訊地址：澳門氹仔偉龍馬路澳門科技大學國際學院 通訊電郵：twang@must.edu.mo
許雲鳳、尤舒翔 188 Tone perception and its influencing factors in intermediate-level Malagasy learners of Mandarin Xu, Yunfeng1; You, Shuxiang (1. Ph.D. Candidate, University International College, Macau University of Science and Technology) Abstract: With the gradual spread of Mandarin across different levels of education in Madagascar, phonetic instruction has become increasingly important in the local promotion of Mandarin. Tone perception is a crucial indicator of whether learners can effectively acquire the Mandarin phonological system. To investigate the Mandarin tone perception of Malagasy learners, this study conducted two perception experiments with ten intermediate-level learners, focusing on their recognition of both monosyllabic tones and disyllabic tone combinations. The analysis of perception accuracy and reaction times revealed learners’ weaker performance in perceiving T2 and several disyllabic tone combinations, including T3+T1, T3+T4, T1+T2, T4+T3, and T4+T2. These results suggest that learners have not yet fully established distinct categories for Mandarin tones. Further examinations of the learners’ error patterns showed that they tended to confuse T2 and T3 in perception, which was closely related to factors such as tonal category, tone combinations, and the position of a tone within a given combination. Moreover, it is argued that their tone perception was affected by the stress patterns of Malagasy, especially the “high-low” stress template, making them more sensitive to Mandarin T1 and T4. At the same time, learners’ second language, French, also appeared to influence their tone perception performance. Keywords: Malagasy learners of Mandarin; Intermediate level; Tone perception; Error patterns
馬達加斯加中級水平普通話學習者的聲調感知及其影響因素 189 一、引言 在中非往來不斷密切的背景下，多個孔⼦學院教學點相繼在⾺達加斯加的不同城市建⽴，越來越多的⾺達加斯加⼈開始學習普通話。隨著普通話在⾺達加斯加各個教育學段的逐步普及，普通話語⾳的教學在當地的普通話推廣中顯得愈發重要。普通話聲調的感知表現是衡量學習者能否有效掌握普通話語⾳系統的重要因素，因此研究⾺達加斯加學習者的普通話聲調感知能⼒對有效的普通話語⾳教學，尤其是聲調教學，具有重要的實踐意義。 ⼆⼗世紀 80年代以來，已有⼤量關於普通話⼆語學習者聲調感知的研究。1 過往研究探討了來⾃不同母語背景的學習者對普通話聲調的感知情況。然⽽，關於⾺達加斯加學習者習得普通話聲調的研究卻相對較少，⽬前僅有三項關於⾺達加斯加學習者普通話聲調感知的研究。2 本⽂探討了⾺達加斯加中級⽔平普通話學習者的聲調感知模式，重點分析了學習者的聲調感知與聲調類別、聲調組合以及聲調在組合中所處位置等因素之間的關係。同時，已有研究表明，普通話⼆語學習者的母語經驗對其普通話超⾳段特徵的識別具有顯著影響。3 因此，本⽂還討論了⾺達加斯加學習者的聲調感知與其語⾔背景之間的關聯。具體來說，本研究設計並展開了兩項感知實驗，考察了學習者在感知普通話單⾳節聲調與雙⾳節聲調組合時的感知準 1 王韞佳，〈也談美國人學習漢語聲調〉，《語言教學與研究》，第 3期（北京：1995.09），126； Yuh-Shiow Lee, Douglas A. Vakoch, and Lee H. Wurm, “Tone perception in Cantonese and Mandarin: A Cross-linguistic Comparison,” Journal of Psycholinguistic Research 25 (1996.09): 527-542; 劉藝，〈日韓學生的漢語聲調分析〉，《世界漢語教學》，第 1期（北京：1998.03），3-5； Yen-Chen Hao, “Second Language Perception of Mandarin Vowels and Tones,” Language and Speech 61.1 (2017.07): 135-152. 2 史唯一，《馬達加斯加留學生漢語上聲變調偏誤分析》，（南昌：江西師範大學碩士論文，2016），1；徐麗，《馬達加斯加學生漢語聲調習得偏誤及教學策略研究》，（天津：天津師範大學碩士論文，2018），1；董豔婷，《馬達加斯加初級漢語學習者單雙字調習得偏誤的實驗研究》，（長春：吉林大學碩士論文，2022），1。 3 Pierre A. Hallé, Yueh-Chin Chang, and Catherine T. Best, “Identification and Discrimination of Mandarin Chinese Tones by Mandarin Chinese vs. French Listeners,” Journal of Phonetics 32.3 (2004.07): 395-421; Tessa Bent, “Perception and Production of non-native Prosodic Categories,” (PhD diss., Northwestern University, 2005) abstract, iv; Xin-Chun Wang, “Perception of Mandarin Tones: The effect of L1 Background and Training,” The Modern Language Journal 97.1 (2013.02): 144-160; Ying Li, “English and Thai Speakers’ Perception of Mandarin Tones,” English Language Teaching 9.1 (Canada: 2015.12): 122-132.
許雲鳳、尤舒翔 190 確率與反應時。結合實驗結果，本⽂總結並分析了學習者的聲調感知錯誤模式及可能產⽣的原因，包括學習者既有語⾔經驗對其聲調感知的影響。 本⽂的其餘部分結構如下：第⼆部分為理論基礎與⽂獻回顧︔第三部分為研究⽅法︔第四部分展⽰學習者在單字調與雙字調感知實驗中的結果︔第五部分對實驗結果展開討論，重點分析⾺達加斯加學習者的普通話聲調感知模式及其語⾔背景的影響︔第六部分為研究結論與教學建議。 二、理論基礎與文獻回顧 (㆒)、理論基礎 為了更好地解釋⼆語語⾳感知規律，Best 提出了感知同化模型（Perceptual Assimilation Model，簡稱 PAM）。PAM認為，聽者是根據⼆語與母語語⾳的相似度進⾏感知的。當兩個⼆語語⾳被映射到兩個不同的母語⾳位範疇時，稱為「雙範疇同化」（two category assimilation），⼆語者可以很好地區分這兩個⼆語⾳位。當兩個⼆語語⾳被感知為同⼀個母語⾳位範疇，這種現象被稱為「單範疇同化」（single category assimilation），⼆語者無法區分這兩個⼆語⾳位。如果兩個⼆語語⾳被感知為同⼀個母語⾳位範疇，但⼆者與母語⾳位的相似度不同，這種區別被稱作「範疇相似度區別」（category goodness difference）。4 然⽽，隨著越來越多學習者在⼆語之外繼續接觸三語甚至更多語⾔，僅以⼆語習得為核⼼的理論模型已難以充分解釋多語習得中出現的複雜現象。因此，有必要引入多語習得模型對學習者的語⾔學習⾯貌加以說明。為此，Westergaard等⼈提出了語⾔近似模型（The Linguistic Proximity Model，簡稱 LPM）。他們認為，在多語⾔習得過程中，學習者所習得的語⾔都處於活躍狀態，已有的語⾔學習經驗都會在新的語⾔學習過程中為學習者所⽤。當學習者發現⽬標語的某些語⾔特徵與先前學 4 Catherine T. Best, “A Direct Realist View of Cross-language Speech Perception,” in Speech Perception and Linguistic Experience Issues in Cross-language Research: ed. Winifred Strange. (York: York Press, 1995), 171-204.
馬達加斯加中級水平普通話學習者的聲調感知及其影響因素 191 習的語⾔具有相似性時，跨語⾔影響便會出現。5 這說明，在⽬標語⾔習得的過程中，學習者既會受到已習得語⾔的正⾯影響，也將不可避免地受到其語⾔背景的負⾯影響。 對比來看，PAM 更突出母語對⼆語語⾳感知的制約，LPM 則將視角拓展至多語習得，認為已有的多語經驗均可能對⽬標語的習得產⽣促進或⼲擾作⽤。兩者結合，為本⽂探索學習者聲調感知的具體表現提供了更充分的理論依據。本⽂將以此為基礎，結合實驗結果討論學習者的不同語⾔經驗在其普通話聲調感知中的作⽤。 (㆓)、文獻回顧 多語背景下，學習者同時處理多種語⾔的語⾔系統，其習得過程可能受到既有語⾔的影響。已有研究開始關注多種語⾔背景對⽬標語習得的作⽤，為理解跨語⾔語⾳遷移提供了重要視角。然⽽，多語習得相關研究對語⾳遷移的關注不多，且多為個案研究。例如，Chamot對⼀名法語、西班牙語的雙語兒童習得英語的過程展開了研究。結果表明，法語和西班牙語對其英語語⾳習得均產⽣了影響，且影響程度不相上下。6 Björn Hammarberg和 Britta Hammarberg的個案研究發現，英語母語者在三語瑞典語的習得過程中，⼆語德語對該英語母語者的三語語⾳表現產⽣了較⼤的影響。7 已有研究顯⽰，多語者的語⾔經驗在⽬標語語⾳系統的習得中發揮著顯著作⽤，這為進⼀步研究多語背景下的特定語⾳要素的感知，例如聲調的感知，提供了證據⽀撐。 在語⾳遷移研究基礎上，⼀些學者開始關注多語經驗對特定語⾳要素的影響，例如多語經驗對聲調感知的影響。例如，Qin 和 Jongman 考察了母語為英語、⼆語為普通話的學習者感知三語粵語聲調時的表現。他們的研究發現，⼀語和⼆語的語 5 Marit Westergaard, et al., “Crosslinguistic Influence in the Acquisition of a Third Language: The Linguistic Proximity Model,” International Journal of Bilingualism 21.6 (2016.05): 666–682. 6 Anna U. Chamot, “Phonological Problems in Learning English as a Third Language,” IRAL: International Review of Applied Linguistics in Language Teaching 11.3 (Heidelberg: 1973.01): 243. 7 Björn Hammarberg and Britta Hammarberg, “Articulatory Re-setting in the Articulation of New Languages,” in Studies Presented to Claes-Christian Elert on the Occasion of His Seventieth Birthday, eds. Eva Strangert, Mattias Heldner, and Peter Czigler. (Umeå: University of Umeå, Department of Phonetics, 1993), 61-67.
許雲鳳、尤舒翔 192 ⾔經驗共同作⽤於學習者粵語聲調的感知。具體來說，當不同語⾔的聲調之間存在某些相似性時，已有的語⾔經驗能夠調節⽬標語⾔的聲調知覺。8 同樣地，為了探究多語者豐富的語⾔經驗是否會影響其⽬標語的聲調感知情況，Liu和 Ning對擁有早期多語學習經驗的烏爾都語母語者進⾏了聲調感知實驗。結果表明，與單⼀語⾔持有者相比，多語學習者的母語烏爾都語及⼆語英語中的語⾔策略可能會阻礙其對粵語聲調的感知。9 Lim 對同時學習英語、普通話和⾺來語的多語兒童展開了語⾳實驗，儘管研究發現這些多語兒童的普通話語⾳表現與單語兒童和雙語兒童基本⼀致，但值得關注的是，研究結果顯⽰，多語兒童與單語兒童的普通話聲調錯誤存在差異，多語兒童普遍以第⼆聲（T2）代替其他聲調。10 總的來說，過往研究不僅驗證了語⾔經驗對語⾳習得的影響，亦顯⽰出多語背景對聲調感知的影響。然⽽，多語背景下以普通話為⽬標語的聲調感知研究仍存在明顯空⽩，系統性的實證研究有待深入。 在為數不多的關於⾺達加斯加學習者普通話聲調感知的研究中，史唯⼀的研究僅考察了學習者對普通話第三聲（T3）的感知。11 ⽽徐麗與董艷婷則分別探索了⾺達加斯加普通話學習者對單⾳節及雙⾳節聲調的感知。12 徐麗的研究中，被試普通話⽔平為 HSK 5級至 HSK 6級。在單字調感知⽅⾯，這些學習者達到了 100%的準確率。然⽽，儘管他們的普通話⽔平較⾼，在感知雙字調時準確率卻顯著下降。徐麗的研究顯⽰，對這些⾼級⽔平的學習者⽽⾔，最容易判斷的聲調組合是 T1+T1、T1+T3和 T4+T3，⽽最難判斷的組合是 T2+T1、T2+T4和 T2+T2。與徐不同，董的調查對象為初級⽔平的⾺達加斯加普通話學習者，其普通話⽔平為 HSK 1級或 HSK 2 級。在董的研究中，學習者在單字調感知⽅⾯的準確率低於徐的研究，各聲調的 8 Zhen Qin and Allard Jongman, “Does Second Language Experience Modulate Perception of Tones in a Third Language?,” Language and Speech 59.3 (2015.06): 318-338. 9 Yi Liu and Jing-Hong Ning, “Attention Distribution and Integration of Non-native Segments and Tones by Early Multilingual Speakers” (conference paper, Proceedings of Speech Prosody 2020, Tokyo, Japan, May 25-28, 2020), 324-328. 10 Hui W. Lim, “Multilingual English-Mandarin-Malay Phonological Error Patterns: An Initial Cross-Sectional Study of 2 to 4 Years Old Malaysian Chinese Children,” Clinical Linguistics & Phonetics 32.10 (2018.11): 889-912. 11 史唯一，《馬達加斯加留學生漢語上聲變調偏誤分析》，5-23。 12 徐麗，《馬達加斯加學生漢語聲調習得偏誤及教學策略研究》，4-33； 董豔婷，《馬達加斯加初級漢語學習者單雙字調習得偏誤的實驗研究》，7-49。
馬達加斯加中級水平普通話學習者的聲調感知及其影響因素 209 熟練掌握母語⾺達加斯加語和第⼆語⾔法語，但對第三語⾔英語的掌握較為有限。從實驗結果可以看出，學習者在感知普通話聲調時，其先前語⾔經驗的影響主要來⾃其母語⾺達加斯加語及⼆語法語。 ⼀⽅⾯，已有⽂獻發現，⾺達加斯加語中存在重⾳⾳節與非重⾳⾳節對⽴。20 在⾺達加斯加語中，⼤多數詞將重⾳置於倒數第⼆個⾳節，包括雙⾳節、三⾳節和多⾳節詞。21 儘管不同⾺達加斯加語⽅⾔中與重⾳相關的聲學特徵存在差異（如⾳⾼、時長、強度），官⽅⾺達加斯加語主要通過較⾼的⾳⾼和/或較長的持續時間體現重⾳。22 因此，⾺達加斯加語中的雙⾳節詞通常呈現出⼀種「⾼—低」的重⾳模式，其前⼀個⾼⾳部分還伴隨較長的持續時間。這種語⾔經驗可能有助於⾺達加斯加學習者識別普通話中的 T1（保持⾼⾳⾼的⾼平調）和 T4（從⾼到低的⾼降調）的特徵，這也解釋了他們在 T1和 T4感知中的良好表現，並且能夠較容易感知由 T1和/或 T4構成的雙⾳節聲調組合（如 T4+T4、T1+T4、T1+T1和 T4+T1）。值得注意的是，另⼀個感知準確率較⾼的雙⾳節組合 T1+T3，也呈現出⼀種非常典型的「⾼—低」⾳⾼輪廓。這種「⾼—低」的⾳⾼經驗也可能影響學習者對普通話聲調的產出，這⼀⽅⾯應在未來研究中加以探討，以更全⾯地了解他們的普通話聲調習得情況。 另⼀⽅⾯，已有⼤量研究證實法語中存在重⾳現象，法語韻律單位最後⼀個⾳節相較於其他⾳節具有不同特徵，法語中重⾳主要通過延長⾳節時長來體現。23 然⽽，無論是元⾳緊張與鬆弛的對⽴，還是雙⾳節詞中兩個⾳節之間時長的對比，在普通話中均不存在。24 如此看來，法語的重⾳模式似乎並不會對學習者的普通話聲調感知產⽣影響。為了驗證學習者的第⼆語⾔法語對其普通話聲調感知表現的作⽤， 20 Noro Raoniarisoa, “Accent and Intonation in a Malagasy Dialect,” (PhD diss., University of Wales, 1990), 56; Edward L. Keenan and Maria Polinsky, “Malagasy (Austronesian),” in The Handbook of Morphology, eds. Andrew Spencer and Arnold M. Zwicky. (New York: Blackwell Publishing, 1998), 565. 21 Janie Rasoloson and Carl Rubino, “Malagasy,” in The Austronesian Languages of Asia and Madagascar. eds. Adelaar K. Alexander and Himmelmann Nikolaus. (New York: Routledge, 2011), 460-461. 22 Timothy O’Neill, “The Phonology of Betsimisaraka Malagasy,” (PhD diss., University of Delaware, 2015), 130. 23 A-P Benguerel, “Corrélats Physiologiques de L’accent en Français,” Phonetica 27.1 (2009.09): 21-35; Brian J. Wenk and François Wioland, “Is French Really Syllable-timed?,” Journal of Phonetics 10.2 (London: 1982.04): 214; Delphine Dahan and Jean-Marc Bernard, “Interspeaker Variability in Emphatic Accent Production in French,” Language and Speech 39.4 (1996.10): 341. 24 張洪明，〈韻律音系學與漢語韻律研究中的若干問題〉，《當代語言學》，第 3期（天津：2014.07），309。
許雲鳳、尤舒翔 210 我們進⼀步將本⽂的實驗結果與兩項關於法語區普通話學習者聲調感知的研究進⾏了對比。25 有趣的是，儘管三項實驗結果存在⼀些不同之處，但本⽂單字調感知結果與兩項實驗的結果均為 T2感知準確率最低，T3感知準確率較⾼，且陽平的主要感知錯誤⽅向為上聲。總體⽽⾔，這些結果顯⽰，學習者第⼆語⾔法語的語⾔經驗可能在⼀定程度上影響著普通話聲調感知表現。但需要指出的是，以上兩項法語區研究僅涉及單字調，其結論具有⼀定的局限性，後續研究有必要進⼀步展開對比分析。 綜上所述，儘管學習者的母語⾺達加斯加語和第⼆語⾔法語對其普通話聲調感知的影響呈現不同的程度和模式，但他們的聲調感知表現進⼀步驗證了 PAM和 LPM，亦⽀持了已有的多語聲調感知研究的結論。26 ⾺達加斯加語的重⾳模式對 T1、T4及部分雙⾳節組合的正⾯促進作⽤，與 LPM 所強調的已有語⾔經驗對新語⾔習得的正向作⽤相吻合。法語對普通話聲調感知的作⽤雖然仍不明確，但也可能存在⼀定程度的影響，反映出多語⼲擾可能僅在語⾳特徵相似度較低時才表現明顯。由於本研究未設置對照組，因此難以直接量化學習者各語⾔經驗之間的交互作⽤。未來研究可設計更細緻的實驗，例如引入控制組、比較單語及雙語背景的學習者，從⽽更全⾯地檢驗多語背景下聲調感知中多種語⾔經驗的相互影響。 六、結語 通過對⾺達加斯加中級⽔平普通話學習者單字調與雙字調的感知實驗，本⽂發現，儘管學習者在單字調感知⽅⾯表現相對理想，但在雙⾳節語境中聲調感知能⼒明顯下降。表明學習者尚未完全建⽴起普通話的聲調範疇。同時，學習者易混淆 T2和 T3的現象較為突出，這種混淆可能與多種因素相關，包括不同聲調類別的特徵、 25 周蘭，《中高級法國留學生漢語單字調習得的實驗研究》，（杭州：杭州師範大學碩士論文，2011），56；郭行方，《母語環境下法國中學生漢語語音偏誤分析及教學對策》，（陝西：陝西師範大學碩士論文，2015），33。 26 Zhen Qin and Allard Jongman, “Does Second Language Experience Modulate Perception of Tones in a Third Language?,” 318-338; Yi Liu and Jing-Hong Ning, “Attention Distribution and Integration of Non-native Segments and Tones by Early Multilingual Speakers,” 324-328; Hui W. Lim, “Multilingual English-Mandarin-Malay Phonological Error Patterns: An Initial Cross-Sectional Study of 2 to 4 Years Old Malaysian Chinese Children,” 889-912.
馬達加斯加中級水平普通話學習者的聲調感知及其影響因素 213 ㆓、英文文獻 [1] A-P Benguerel, “Corrélats Physiologiques de L’accent en Français.” Phonetica 27.1 (2009.09): 21-35. [2] Tessa Bent. “Perception and Production of Non-native Prosodic Categories.” PhD diss., Northwestern University, 2005. [3] Catherine T Best. “A Direct Realist View of Cross-Language Speech Perception.” in Speech Perception and Linguistic Experience: Issues in Cross-Language Research. Ed. Winifred Strange, 171-204. York: York Press, 1995. [4] Brian J Wenk and François Wioland, “Is French Really Syllable-timed?.” Journal of Phonetics 10.2 (London: 1982.04): 193-216. [5] Anna U Chamot, “Phonological Problems in Learning English as a Third Language.” IRAL: International Review of Applied Linguistics in Language Teaching 11.3 (Heidelberg: 1973.01): 243. [6] Delphine Dahan and Jean-Marc Bernard, “Interspeaker Variability in Emphatic Accent Production in French.” Language and Speech 39.4 (1996.10): 341-374. [7] Pierre A Hallé, Yueh-Chin Chang, and Catherine T. Best, “Identification and Discrimination of Mandarin Chinese Tones by Mandarin Chinese vs. French Listeners.” Journal of Phonetics 32.3 (2004.07): 395-421. [8] Björn Hammarberg and Britta Hammarberg. “Articulatory Re-setting in the Articulation of New Languages.” in Studies Presented to Claes-Christian Elert on the Occasion of His Seventieth Birthday. Eds. Eva Strangert, Mattias Heldner, and Peter Czigler, 61-67. Umeå: University of Umeå, Department of Phonetics, 1993. [9] Yen-Chen Hao, “Second Language Perception of Mandarin Vowels and Tones.” Language and Speech 61.1 (2018): 135-152. [10] Janie Rasoloson and Carl Rubino. “Malagasy.” in The Austronesian Languages of Asia and Madagascar. Eds. Adelaar K. Alexander and Himmelmann Nikolaus, 456-488. New York: Routledge, 2011.
許雲鳳、尤舒翔 214 [11] Sun-Ah Jun and Cécile Fougeron. “A Phonological Model of French Intonation.” in Intonation: Analysis, Modelling and Technology. Ed. Antonis Botinis, 209-242. Dordrecht: Springer Netherlands, 2000. [12] Edward L. Keenan and Maria Polinsky. “Malagasy (Austronesian).” in The Handbook of Morphology. Eds. Andrew Spencer and Arnold M. Zwicky, 563-623. New York: Blackwell Publishing, 1998. [13] Yuh-Shiow Lee, Douglas A. Vakoch, and Lee H. Wurm, “Tone Perception in Cantonese and Mandarin: A Cross-linguistic Comparison.” Journal of Psycholinguistic Research 25 (1996.09): 527-542. [14] Ying Li, “English and Thai Speakers’ Perception of Mandarin Tones.” English Language Teaching 9.1 (Canada: 2015.12): 122-132. [15] Hui W Lim, “Multilingual English-Mandarin-Malay Phonological Error Patterns: An Initial Cross-Sectional Study of 2 to 4 Years Old Malaysian Chinese Children.” Clinical Linguistics & Phonetics 32.10 (2018.11): 889-912. [16] Yi Liu and Jing-Hong Ning. “Attention Distribution and Integration of Non-native Segments and Tones by Early Multilingual Speakers” Conference paper, Proceedings of Speech Prosody 2020, Tokyo, Japan, May 25-28 2020. [17] Andrew Martin. “Loanwords as Pseudo-compounds in Malagasy.” in Procedings of the 12th Annual Conference of the Austronesian Formal Linguistics Association, UCLA Working Papers in Linguistics. Vol. 12. 2005. [18] Timothy O’Neill. “The Phonology of Betsimisaraka Malagasy.” PhD diss., University of Delaware, 2015. [19] Sharon Peperkamp, Emmanuel Dupoux, and Núria Sebastián-Gallés. “Perception of Stress by French, Spanish, and Bilingual Subjects”, European Conference on Speech Communication and Technology, Budapest, Hungary, September 5-9, 1999. [20] Zhen Qin and Allard Jongman, “Does Second Language Experience Modulate Perception of Tones in a Third Language?” Language and Speech 59.3 (2015.06): 318-338. [21] Noro Raoniarisoa. “Accent and Intonation in a Malagasy Dialect.” PhD diss.,
馬達加斯加中級水平普通話學習者的聲調感知及其影響因素 215 University of Wales, 1990. [22] Xin-Chun Wang, “Perception of Mandarin Tones: The Effect of L1 Background and Training.” The Modern Language Journal 97.1 (2013.02): 144-160. [23] Marit Westergaard, Natalia Mitrofanova, Roksolana Mykhaylyk, and Yulia Rodina, “Crosslinguistic Influence in the Acquisition of a Third Language: The Linguistic Proximity Model.” International Journal of Bilingualism 21. 6 (2016.05): 666-682.
224 六、網路資源： 1.12 作者/機構(如有)—「資料名稱/標題」—資源出處—網址—瀏覽日期。 初引、再引與徵引書目： 香港電台(RTHK)，「Travelling with Water: Joseph LEE (I)」(與水同游/遊：李行 偉 教 授 ) ， Our Scientists (English Version) ，https://podcast.rthk.hk/podcast/item.php?pid=1344&eid=105927&lang=zh-CN，瀏覽日期為 2022年 6月 23日。 (2)英文書目之引用(Bibliography) † 英文徵引書目之引用需留意作者/譯者/編者名字先(First Name)而姓氏後(Last Name)。如遇多位作者，只需調整第一位作者即可。如出現四位或以上作者，於註釋第一作者後以 et al.表示，但在徵引書目必須詳列所有作者。 I. 西文專書(Books) Ø 作者─書名─版次 ed.─(出版地點: 出版公司, 出版年分)─頁碼。 初引：Nathan Henry, The History of Fashion, 1500-1900, 2nd ed. (Hongkong: University of Hongkong Press, 2020), 50-80. 再引：Nathan, The History of Fashion, 1500-1900, 50-70. 徵引書目：Henry, Nathan. The History of Fashion, 1500-1900, 2nd ed. Hongkong: University of Hongkong Press, 2020. Ø 作者—書名—, ed./trans.編⁄譯者姓名—(出版地點: 出版公司, 出版年分)—頁碼。 初引：Walter Bagehot, The English Constitution, ed. Miles Taylor (Oxford: University of Oxford, 2001), 32-80. 再引：Bagehot, The English Constitution, 20-25. 徵引書目：Bagehot, Walter. The English Constitution. Edited, Miles Taylor. Oxford: University of Oxford, 2001.
225 Ø 章節作者—“章節標題”—in 書名—,ed(s).編者—(出版地: 出版者, 年份)—頁碼。（譯者亦如是—,trans譯者） 初引：Ina Zweiniger-Bargielowska, “Prince Philip: Sportsman and Youth Leader,” in The Man Behind the Queen: Male Consorts in History, eds. Charles Beem and Miles Taylor. (London: Palgrave Macmillan, 2014), 223-239. 再引：Ina Zweiniger-Bargielowska, “Prince Philip: Sportsman and Youth Leader,” 223-239. 徵引書目：Zweiniger-Bargielowska, Ina. “Prince Philip: Sportsman and Youth Leader.” in The Man Behind the Queen: Male Consorts in History. Eds. Charles Beem and Miles Taylor, 223-239. London: Palgrave Macmillan, 2014. †只需調整單一章節作者即可，編者不需調整姓氏與名字次序。 II. 期刊論文(Journals and Articles) Ø 作者—“篇名,” —期刊名稱—期.卷數—(出版地: 年份/月份)—: 頁數。 初引： Yan, Hao-Chen, Lam, Man-Yue, Lee, Joseph Hun-Wei, “Field Measurements and Numerical Modeling of Hydraulic Transients in HDPE Pipeline with PRV Interaction,” Journal of Hydraulic Engineering 147.6 (ASCE: 2021.06): 67. 再引：Yan, Hao-Chen, Lam, Man-Yue, Lee, Joseph Hun-Wei, “Field Measurements and Numerical Modeling of Hydraulic Transients in HDPE Pipeline with PRV Interaction,” 67. 徵 引 書 目 ： Hao-Chen, Yan, Lam, Man-Yue, Lee, Joseph Hun-Wei, “Field Measurements and Numerical Modeling of Hydraulic Transients in HDPE Pipeline with PRV Interaction.” Journal of Hydraulic Engineering 147.6 (ASCE: 2021.06): 1-67. 研討會或論文集，未經正式出版之成果(Unpublished manuscripts, Lectures and Working papers)，引註如下： ◎作者—“篇名”—(研討會名稱/參與地: 參與場所, 日期)—頁數。 初引： 1. David G. Harper, “The Several Discoveries of the Ciliary Muscle” (PowerPoint
226 presentation, 25th Anniversary of the Cogan Ophthalmic History Society, Bethesda, MD, March 31,2012), 24. 2. Deborah D. Lucki and Richard W. Pollay, “Content Analyses of Advertising: A Review of the Literature” (working paper, History of Advertising Archives, Faculty of Commerce, University of British Columbia, Vancouver, 1980), 46. 再引： 1. David G. Harper, “The Several Discoveries of the Ciliary Muscle”, 24. 2. Deborah D. Lucki and Richard W. Pollay, “Content Analyses of Advertising: A Review of the Literature”, 46. 徵引書目： 1. David G. Harper, “The Several Discoveries of the Ciliary Muscle” PowerPoint presentation, 25th Anniversary of the Cogan Ophthalmic History Society, Bethesda, MD, March 31, 2012. 2. Deborah D. Lucki and Richard W. Pollay, “Content Analyses of Advertising: A Review of the Literature” Working paper, History of Advertising Archives, Faculty of Commerce, University of British Columbia, Vancouver, 1980. III. 電子書(Electronic Books) Ø 作者—書名—(出版地: 出版社, 年份)—電子書類型—頁數. 初引：John Jowett, et al, The Oxford Shakespeare: the Complete Works, 2nd ed, (Oxford: Clarendon Press, 2005), EPUB, 60. 再引：John Jowett, et al, The Oxford Shakespeare: the Complete Works, 2nd ed, EPUB, 60. 徵引書目：Jowett, John, William Montgomery, Gary Taylor, Stanley Wells. The Oxford Shakespeare: the Complete Works, 2nd ed. Oxford: Clarendon Press, 2005, EPUB. IV. 報紙(Newspapers) Ø 作者/機構—“標題”—報刊名稱—月日, 年/期數—版數(如有)—URL/資料庫(如有).
227 初引：Georgina Rannard, “Five planets to line up in rare planetary conjunction” BBC News Climate & Science, June 24, 2022, https://www.bbc.com/news/science-environment-61910977. 再引：Georgina Rannard, “Five planets to line up in rare planetary conjunction”, BBC News Climate & Science, June 24, 2022. 徵引書目：Rannard, Georgina, “Five planets to line up in rare planetary conjunction” BBC News Climate & Science, June 24, 2022, https://www.bbc.com/news/science-environment-61910977. V. 碩博士學位論文(thesis and dissertations.) Ø 作者—“論文名稱” —章節—(碩 /博士論文 , 畢業大學 , 年份)—頁數—URL(如有). 初引：Melanie Subacus, “Duae Patriae: Cicero and Political Cosmopolitanism in Rome,” abstract (PhD diss., New York University, 2015), v, http://pqdtopen.pro quest.com/pubnum/3685917.html. 再引：Melanie Subacus, “Duae Patriae: Cicero and Political Cosmopolitanism in Rome,” abstract, v. 徵引書目：Subacus, Melanie, “Duae Patriae: Cicero and Political Cosmopolitanism in Rome.” PhD diss., New York University, 2015, http://pqdtopen.proquest.com/pubnum/3685917.html. VI. 檔案與政府文件(public and Legal documents) Ø 作者—檔案匯編名稱/卷/冊數—(出版地: 出版商, 年份)—頁數. Ø 作者(如有)—檔案/文件名稱—日期(如有)—檔案/文件編號—收藏機構(如有)—頁數(如有). 初引： 1. Arthur Christopher, Viscount Esher, The Letters of Queen Victoria: A Selection from Her Majesty’s Correspondent between the Years 1837-1861, Vol. III(London: John Murray, 1908, Published by Authority of Her Majesty the King), 163-178. 2. Act of Settlement, 1701,12 & 13 Will. 3, c. 2.
228 再引： 1. Arthur Christopher, Viscount Esher, The Letters of Queen Victoria: A Selection from Her Majesty’s Correspondent between the Years 1837-1861, Vol. III, 163-178. 2. Act of Settlement, 1701,12 & 13 Will. 3, c. 2. 徵引書目： 1. Christopher, Arthur, Viscount Esher. The Letters of Queen Victoria: A Selection from Her Majesty’s Correspondent between the Years 1837-1861, Vol. III. London: John Murray, 1908, Published by Authority of Her Majesty the King. 2. Act of Settlement, 1701,12 & 13 Will. 3, c. 2. VII. 其他網絡資源(Websites resources) Ø 作者/機構/其他名稱—“標題” 網站名稱—瀏覽/最後修改日期—網址. 初引、再引與徵引書目： 1. Alliance for Linguistic Diversity, n.d. “Balkan Romani.” Endangered Languages. Accessed April 6,2016. http://www.endangeredlanguages.com/lang/5342. 2. Google. 2016. “Privacy Policy.” Privacy & Terms. Last modified March 25,2016. http://www.google.com/policies/privacy/.
JOURNAL OF MACAU UNIVERSITY OF SCIENCE AND TECHNOLOGYHUMANITIES AND SOCIAL SCIENCES
