REFLECTIONS ON INTERPRETATION
---LINGUISTIC IDEAS IN THE ANALECTS OF CONFUCIUS
by
Wang Fan
A Thesis
Submitted to the Graduate School and College of English
in Partial Fulfillment of the Requirements for
the Degree of Master of Arts
Under the Supervision of Professor Sun Xinwei
Shanghai International Studies University
May 2010
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Acknowledgements
First and foremost, I am most grateful to my supervisor, Professor Sun Xinwei,
without his useful suggestions, incisive comments and constructive criticism this thesis
would never come into being. He has devoted a considerable portion of his time to
reading my manuscripts and making suggestions for further revisions. Truly his
tremendous assistance in developing the framework for analysis and in polishing my
drafts several times deserves more thanks than I can find words to express.
I am also greatly indebted to all my teachers who have helped me directly and
indirectly in my studies. Any progress that I have made is the result of their profound
concern and selfless devotion.
Last but not least, my sincere gratitude goes to my mother whose unquestioning
and consistent support for me serves as a lighthouse leading me through many stormy
nights of my life.
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摘要
随着全球化的发展，口译这一综合社会语言学，心理语言学，跨文化交流，信息
传播等多学科理论的复杂语言活动日益得到人们的重视。近年来，关于口译的跨学
科研究蓬勃发展。本文着重从社会语言学，语用学，跨文化交流等角度挖掘《论语》
中孔子的语言哲学思想，并结合西方现代语言学理论，探讨其对口译过程的启示。
本文共分为六部分：一.引言。简要介绍《论语》成书的社会历史背景，核心思想
理念，儒家的发展以及孔子的生平和其对语言的应用实践。二.正名。
“必也正名乎”
是孔子关于语言与现实关系最为著名的论断。孔子强调语言对现实（即名对实）的
规范作用，并将语言的正确应用提高到治国安邦的高度。第二部分就语言与现实的
关系及翻译的可行性展开讨论，并由此引出口译员作为文化协调者的身份角色问题。
三.“言者心声”。孔子充分依赖语言的表意和交流功能，肯定言与意的一致性。于
此同时，他也强调“听而别之”的重要性。第三章重点讨论如何解决语言模糊性，
在口译过程中通过种种策略对原语言进行分析解读，以完整准确把握原语言所传达
的信息。四.“言必有中”。孔子一生周游列国，向各诸侯宣扬自己的政治理想，对
语言应用有着自己独到的见解。他认为语言应用要符合时间，场合，地点及参与人
员的情况才能实现有效沟通。第四部分结合西方语用学理论，论述口译中如何做到
“言必有中”。五.“非礼勿言”。“礼”是孔子伦理体系中最重要的概念之一，他认
为“礼”是通向“仁”的必由之路，而“非礼勿言”则成为孔子对语言应用最根本
的规范。第五章结合西方语言学“礼貌”原则，探讨了口译过程中存在的“礼”的
问题。六. 结语。最后一部分对孔子语言哲学思想及其对口译过程的启示进行了概
括性总结。
关键词： 论语， 语言哲学， 语用， 跨文化，礼
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Abstract
With the coming and development of globalization, people from different countries
become ever more interconnected and great importance is attached to interpretation which
has long been recognized as a complicated job involving sociolinguistics, psycholinguistics,
intercultural communication and information theory. In recent years academic research
conducted in this field flourishes and large amounts of studies lay emphasis on the
interdisciplinary aspect of interpretation.
Lunyu,or The Analects of Confucius, is a book recording the words and behaviors of
Confucius and serves as one of the pillars of traditional Chinese culture. For thousands of
years, The Analects of Confucius exercises significant influence on Chinese people and
society. There are lots of remarks about language and language use made by Confucius or
his disciples in this book. These remarks are highly relevant even in today’s world and
could be applied to the process of interpretation. In the present thesis, Confucius’ ideas of
“rectification of names” is explored and correct understanding of speaker’s meaning as
well as proper language use during interpretation are discussed. In the fifth chapter, the
idea of politeness in language is introduced with regard to interpretation.
Key words: Lunyu, linguistic philosophy, socio-linguistics, intercultural, politeness
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TABLE OF CONTENTS
Acknowledgement.......................................................................................................................................
摘要 ........................................................................................................................................................... 2
Abstract ..................................................................................................................................................... 3
1.Introduction…………………………………………………................................................................. 5
1.1 About The Analects of Confucius……………………………......................................................... 6
1.1.1 Social and Historical Background………………………... ................................................... 6
1.1.2 Core Ideas and Concepts………………………………......................................................... 7
1.1.3 Development and Influence of Confucianism…………... ..................................................... 8
1.2 About Confucius……………………………………………... ....................................................... 9
1.2.1 Confucius’ Life Experience………………………………... ............................................... 10
1.2.2 Confucius’ Use of Language………………………………................................................ `11
1.3 Interpretation and Language Use………………………….. ......................................................... 12
2. Zhengming…………………………………………… ....................................................................... 12
2.1 “What Is Necessary Is To Rectify Names”………………... ......................................................... 13
2.2 Application of “Zhengming”Theory………………………. ......................................................... 15
2.3 Western Linguistic Theories about Language and Reality............................................................. 17
2.4 Interpreters As Cultural Mediator………………………... ........................................................... 20
3. Knowing the Force of Words…………………................................................................................... 22
3.1 “The Force of Words”……………………………………… ........................................................ 22
3.2 Listening between Lines…………………………………… ........................................................ 24
3.2.1 Ambiguity of Language…………………………………… ................................................ 24
3.2.2 To Draw Inferences……………………………………….. ................................................. 27
3.2.3 Context…………………………………………………….................................................. 28
3.2.4 Discourse Analysis…………………………………………................................................ 32
3.2.5 The Constitutive Theory of Language…………………… .................................................. 38
3.3 To Hear the Unsaid…………………………………………. ....................................................... 41
4. Rules of Speaking………………………………….. .......................................................................... 43
4.1 Rules of Speaking in The Analects of Confucius…………. .......................................................... 44
4.2
Different
People
Use
Different
Varieties
of
Language:
Rules
of
Interpretation……………………………………………........................................................ 47
4.2.1 Discourse System………………………………………….................................................. 47
4.2.2 Speaking to People from Different Cultures……………..................................................... 50
4.3.
People
Employ
Different
Varieties
of
Language
in
Different
Situations……………………………………………………................................................ 53
5. Verbal and Non-verbal Propriety in Interpretation……………………………………....................... 56
5.1 “Speak Not What Is Contrary to Propriety”…………… .............................................................. 56
5.2 Western Theories on Linguistic Politeness………………. ........................................................... 58
5.2.1 Development of politeness theories…………………….. .................................................... 58
5.2.2 Intercultural politeness…………………………………...................................................... 62
5.3 Secondhand Politeness……………………………………........................................................... 65
5.4 Non-verbal politeness……………………………………. ........................................................... 67
6．Conclusion......................................................................................................................................... 69
References ............................................................................................................................................... 73
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1. Introduction
Confucianism is the cornerstone of traditional Chinese culture and The Analects of
Confucius is undoubtedly the most representative and influential work of this school of
thought which was enshrined as orthodox by rulers of Xi Han Dynasty and had since
then enjoyed a dominant position in ancient academic field. For almost two thousand
years, it had been the single most important course of study for any Chinese scholar
who wanted to try his luck in the official-selecting process or the imperial examination
which started during Jin Dynasty and had since then played a significant role in ancient
China until the dying days of Qing Dynasty. During the examination, emphasis was
consistently laid upon Confucian studies and words of Confucius were expected to be
quoted by scholars in their essays.
During the early and middle parts of 20th century, Confucianism was blamed for
backwardness of China and people of that era made great efforts to wipe out Confucian
values and thoughts while earnestly learned from powerful western nations. Yet in
recent years, with the rise to power of China demonstrated by economic strength and
political weight in international arena, traditional Chinese culture returns to the central
stage and draws much attention from both home and abroad. Confucianism once again
stands in the spotlight with its teachings and principles invested with modern
interpretations.
The present thesis focuses on Confucius’ reflections on language and language use.
As a teacher and an advocate for new politics, Confucius was fully aware of the power
of language or rather the power of proper language use. Throughout The Analects of
Confucius there are lots of remarks made in this regard and we can be sure that
Confucius himself is an apt speaker as is evidenced by his disciples’ description of him
in the book. In this thesis his teachings will be applied to the process of interpretation
and it will prove profitable for interpreters to learn from this ancient sage who tells
people not only what to do but what to say and most importantly how to say something
in an appropriate and effective way. As is mentioned above, Confucius’ wisdom is still
highly relevant today and his instructions benefit people in more ways than he
originally intended or his disciples could possibly imagine and this thesis is a humble
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proof of his everlasting charm.
1.1 About The Analects of Confucius
The Analects of Confucius, also known as Lunyu, is a record of the words and
deeds of the great philosopher, educator and statesman Confucius and his disciples. The
book, covering a wide range of subjects from politics, ethics, art to education, was
compiled and edited by his disciples and was mostly about his thoughts and teachings.
The final editors of this book are said to be disciples of Zengzi, one of the most
distinguished students of Confucius. The following is about the historical and social
background of the book, some core concepts of Confucius’ ideological system as well
as its influence on Chinese people and society.
1.1.1 Social and Historical Background
The Analects was written over a span of 30 to 50 years, beginning during the
Spring and Autumn Period and finished by the Warring States Period. It was a time
characterized by “the collapse of etiquette and the deterioration of music” when the
warlord “princes” sliced the nation into pieces. Here the “etiquette” and “music” refer
to a series of rules, conventions, codes of conduct and rituals established at the
beginning of Zhou Dynasty. For Confucius, Zhou was the symbol of an ideal society
where rulers ruled not by force but by themselves setting an example of virtue for their
subjects while those ruled were obedient and well-behaved. People were gentle and
friendly, living in peace and harmony with each other without need for police or other
forms of armed forces. There was no war, no hunger, no oppression and therefore no
rebellion. In sum, it was an oriental Utopia.
But the grave and grim reality was just the opposite. As is mentioned above, the
time when The Analects was written featured “the collapse of etiquette and the
deterioration of music”. China during that period of time experienced the transition
from a slave to a feudalist society. The widespread use of bronze plus application of
iron tools gave rise to dramatic development of productivity which in turn led to
dissolution of the land ownership system based on kinship and the emergence of new
landowners, craftsmen and free merchants. Some of these “new rich” could even
compete with local nobles because of their economic power. All these precipitated the
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ruin of hereditary system of Zhou Dynasty and gave birth to a galaxy of newly
established states. According to Bo Yang, a famous Chinese scholar, there were more
than 170 small states besides Qin, Qi, Jin, Chu and Wu. Battles were frequently waged
by these warlords against each other for land and money; subjects as consequence were
burdened with heavy tax and were often forced onto battleground against their will;
hunger and poverty was widespread while morality of people was in decline. In a word,
everything was in disorder and all signs of civilized society were gone.
With the fall of previous slave-owners came the decline of officials in charge of
Worship, Prayer as well as Divination and this directly led to the fatal “collapse of
etiquette and the deterioration of music”. Confucius, being born into an impoverished
family, lived a life of hardship in his teenage years and witnessed the miserable
conditions of common people. Like many intellectuals of that time he was deeply
concerned with the future of society and tried to uproot evils and cultivate goodness in
both society and human heart. He pinpointed the “collapse of etiquette and the
deterioration of music” as the fundamental cause of all the troubles and proposed
revival of rituals and ethics of Zhou Dynasty as a remedy. He put forward lots of
concepts and ideas which gradually evolved into Confucianism, “a school of moral
doctrine that encourages ‘justice’ and ‘peace’”.
1.1.2 Core Ideas and Concepts
As pointed out by Voltaire and Ezra Pound, Confucius is a “mere human” instead
of a saint and what he teaches is about daily activities. Simon Levs, a translator of The
Analects , says that “the book may well have been the first in human history to describe
the life of an individual, historic personage”. Elias Canetti writes that “Confucius’
Conversation is the oldest complete intellectual and spiritual portrait of a man.” Instead
of religious beliefs, he preaches practical values that are conducive to building up a
prosperous society and help people live in harmony with each other.
Confucius believed in the power of love and virtue. He told people to love others
and “don’t do to others what you would not want others do to yourself”. For him, rulers
should love their subjects as parents love their children and rule by themselves setting a
good example of virtue instead of by force and violence. All these come down to the
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most important concept in Confucius’ ideological system “ren”, which is often
translated as “compassion”, “loving others” or “humanity”. To practice “ren” is to
fulfill the calling or mission assigned to a Confucian gentleman and if necessary he
should lay down his life for this cause without hesitation.
But how to accomplish “ren” and become an ideal man in accordance with
Confucius’ standards? His proposal is to study “li”, another key concept of
Confucianism. “li” is the externalization of “ren” and the only way to achieve “ren” is
strict observance of “li”. “Li” involves “the ritual forms and rules of propriety through
which one expresses respect for superiors and enacts his role in society in such a way
that he himself is worthy of respect and admiration”. A Confucian gentleman always
concerns himself with “li”and whatever he says or does must never be in violation of
propriety, as is explicitly stated in Chpater 1 of Book Yanyuan, “look not what is
contrary to propriety; listen not to what is contrary to propriety; speak not what is
contrary to propriety; make no movement which is contrary to propriety”.
However, the profound significance of practicing “li” lies in the self-restraint and
self-discipline it aims at instead of the external rituals and forms. Confucius believes
that by the practice of “li” people learn to reconcile their personal needs to the demands
of family and community and therefore are willing to sacrifice individual interests for
the well-being of others and that’s why “li” is the key to an ordered society. Yet
Confucius is not a ceremonialist and he lays emphasis not on the exact performance of
rituals but rather on sincerity and devotion on the part of the performer.
“ren” and “li” constitute the core values of Confucianism and they are the rocks
upon which Confucius aspired to build his Utopia more than two thousand years ago.
Though he suffered lots of setbacks and never made a success in his lifetime, his
philosophy survives him and has been exerting tremendous influence on later
generations until today.
1.1.3 Development and Influence of Confucianism
Confucius, a philosopher, educator and statesman who is hailed as “sage among
sages” and “teacher of all times”, is the founder of Ru school of thought. He preaches
humanity, propriety, righteousness, filial piety and truthfulness as key virtues that
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define a real gentleman. His ethical system, though not popular among rulers at his
own time, is warmly received and appreciated by later generations. In West Han
Dynasty, Emperor Wu adopted Confucius’ philosophy as the State ideology and since
then Confucianism had been acclaimed as the orthodox doctrine until the dying years
of Qing Dynasty.
Being the core of feudal culture, Confucianism was under violent attack when the
New Cultural Movement broke out in 1915. Holding high the banner of science and
democracy, leaders of this movement blamed Confucian teachings for the
backwardness of China and encouraged people to learn from the West. It was since
then that Confucianism ceased to enjoy the dominant position it had occupied for
around two thousand years. And during the Cultural Revolution Confucianism was
again attacked as a symbol of feudalism.
However, recent years witness the revival of Confucianism in China. The value of
his teachings are once again recognized and appreciated. Confucius’ temple, cemetery
and family mansion in Qufu was put on the World Heritage List of the United Nations
Educational, Scientific and Cultural Organization in 1994. Scholars around the world
begin to pay more attention to this oriental sage and try to invest his words with
modern interpretations.
Confucius’ philosophy exercises significant influence on the character of Chinese
people, their way of thinking, the kind of society they want to build as well as the
forms of government they hold dear. As pointed out by Fung Yu-lan, an authority of the
history of Chinese thought, “Confucius’ influence in Chinese history is comparable
with that of Socrates in the West” and “ at a time when Aeschylus and Socrates were
spawning the ethical philosophies of the Greek world, and Haggai and Zechariah were
encouraging the Jews to return to Jerusalem, Confucius was popularizing a philosophy
of ethical humanism that would have a huge impact on the social, political, and
philosophical structure of China for years to come”.
1.2 About Confucius
For nearly two thousand years Confucius had been glorified as a saint and his
words were held as undisputedly sacred by almost every intellectual across the nation.
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This low-ranking official and rather unsuccessful politician from Lu could hardly
imagine that one day his teachings would be so popular. The following several pages
will be dedicated to the life experience of this sage and his use of language as a tool for
spreading ideas.
1.2.1 Confucius’ Life Experience
Confucius was born June 19th, 551 BC in the State of Lu which is known as Qufu
in Shandong Province. He was born into an impoverished but noble family. His father
was said to be a commander of Lu who most unfortunately died when Confucius was
only three years old. According to Sima Qian, a well-known court historian in Han
Dynasty, Confucius suffered a poverty-stricken youth and was “forced, upon reaching
manhood, to undertake such petty jobs as accounting and caring for livestock”. But in
spite of the difficulties he earnestly devoted himself to learning and gained a reputation
for his virtues and wisdom.
Unfortunately, he did not succeed in getting himself an official post until the age
of 51 when he was appointed the magistrate of Chung-tu. Finally he had a chance to
put his ideas into practice. He initiated a series of measures and was quite successful at
first. Yet his success didn’t last long and four years later Confucius was left with no
other choice but going into exile.
He left his home land and travelled around the states trying to find an ideal prince
who would adopt his philosophy and allow him to undertake reforms. However, none
of the ruling princes was interested in his theory of love when everybody was busy
scrambling for power, land and money. He suffered a lot during these 14 years and was
even in great danger on some occasions. In 482 BC, disillusioned and disheartened by
his vain attempt to “find an ideal ruler”, Confucius returned to Lu and settled there
until he died at the age of 72.
In his last years, Confucius started the first private school in China’s history.
Though an unsuccessful politician, his career as a teacher was brilliant. It was said he
had three thousand students and among them seventy-two were most distinguished. He
taught them arts, history, literature and ethics and tried to educated them into virtuous
gentlemen who could transform the evil-ridden society and spread his principles in the
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future.
1.2.2 Confucius’ Use of Language
Confucius pays great attention to language since effective language use is vital to
the success of his mission as a sort of messiah to persuade princes into practicing
politics based on humanity and there are lots of teachings about language in The
Analects of Confucius.
Confucius was fully aware of the power of language and he knew that his success
as a promoter of “new politics” mostly depended on his proper use of language.
Therefore unlike the contemporary Taoists who held deep distrust of language as a
vehicle for thoughts and expressions, Confucius believed in the effectiveness of
language in interpersonal communication. The right words to the right person at the
right time and right place could work miracle and transform the whole horizon while
on the contrary words misused would be disastrous and ruin the cause.
There are many sayings in the The Analects of Confucius regarding proper speech.
In Chapter 21 of Book Yongye, Confucius says “to those whose talents are above
mediocrity, the highest subjects may be announced. To those who are below mediocrity,
the highest subjects may not be announced.” And in Chapter 2 of Book Xiangdang,
Confucius is described in the following sentences: when he was waiting at court, in
speaking with the great officers of the lower grade, he spake freely, but, in a
straightforward manner; in speaking with those of the higher grade, he did so blandly,
but precisely. So it is clear that Confucius’ style of speech varies according to different
kinds of addressees. He also takes the situation of speech event into consideration when
talking to people as is indicated in Chapter 1 of Book Xiangdang: Confucius, in his
village, looked simple and sincere, and as if he were not able to speak. When he was in
the prince’s ancestorial temple, or in the court, he spoke minutely on every point, but
cautiously.
For Confucius language not only serves as a vehicle for thoughts but also reflects
the character of the speaker. A real gentleman who meets the standard of “ren” is
always “simple in mind and slow of speech” while artful words or “ingratiating
manners” suggest ill-breeding and shortcomings in character as they “would create a
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false impression and lead to self-aggrandizement”. Except for the style of speech,
propriety of speaking is also of significant importance as a component of “li” and
should be observed by gentlemen at all costs. What should be said and what should not
under certain circumstances are clearly specified and the very words used on certain
occasion to certain people are carefully chosen.
People who study Confucianism always focus on its ethical part while its
linguistic dimensions have long been neglected. The present thesis aims to explore
Confucius’ reflections on language and apply his teachings to interpretation.
1.3 Interpretation and Language Use
It has long been recognized that interpretation, instead of being a mechanical
process of information transfer between two different languages, is a complicated job
involving theories in the fields of sociolinguistics, psycholinguistics, intercultural
communication, etc. As a result large amounts of research in recent years lay emphasis
on the interdisciplinary aspect of interpretation and qualifications of interpreters are no
longer limited to command of languages. Instead they are required to know culture and
communication to make themselves better prepared and more competent for this
seemingly easy yet unimaginably tricky job. In the present thesis, the teachings of
Confucius will be applied to the study of interpretation as a process of cross-cultural
and interpersonal communication with social meanings and significance. Confucius’
zhengming theory, which is about the relationship between language and reality, will be
explored as relevant to the issue of appropriate language form during interpretation.
The sociolinguistic dimensions of his thoughts are to be discussed in detail while his
emphasis on the importance of Li, which provides another focus of the present thesis,
will be studied in comparison with western theories about politeness.
In sum, the present thesis is aimed at digging up the linguistic elements in
Confucius’ philosophical system and providing some inspirations for interpreters by
rendering his ideas relevant to the process of interpretation.
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2. Zhengming
Confucius was the first philosopher during the pre-Qin period of time who ever
brought forward the issue of relationship between language and reality. According to
China’s most famous philosopher in the 20th century Fung Yu-lan, the relationship
between language and reality is of vital importance as it is close to the heart of
philosophy. For Confucius language has its power lying in its capability to shape
instead of reflecting the world and his theory on this issue has its focus on the
prescriptive rather than descriptive function of language. He believed that the root
cause of all the troubles at that time was mismatch between “names” and reality,
therefore the key to the realization of his political ideal, which was to redress social
evils by restoring the order and tranquility established by Zhou Dynasty, was
“zhengming”, or “rectification of names”.
So it is safe to say that Confucius has deep faith in the power of language and is
very careful about the use of language. He knows that language itself speaks as much
as what is spoken through it and “forms of communication are not neutral bearers of
information but carry their own messages”. For interpreters his teaching in this regard
is highly relevant and they should always bear in mind the importance of correct use of
special terms or special sentence structures as these terms and structures themselves are
invested with meanings which will be lost even if their semantic equivalents are
employed in their stead.
2.1 “What Is Necessary Is To Rectify Names”
In Chapter 3 of Book Tsze-lu, Tsze-lu asked his master: “The ruler of Wei has
been waiting for you, in order with you to administer the government. What will you
consider the first thing to be done?” Confucius’ answer was quite surprising: “What is
necessary is to rectify names”. Obviously his disciple didn’t get his point and accused
him of being “wide of the mark”. To make himself better understood Confucius further
explained his idea in the following words:
“If names be not correct, language is not in accordance with the truth of
things. If language be not in accordance with truth of things, affairs cannot
be carried on to success. When affairs cannot be carried on to success,
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