第一篇：禮貌原則何處去

禮貌原則何處去

1.禮貌原則的理論來源以及后期發(fā)展。

早在20世紀(jì)50年代，E。Goffman就從社會(huì)學(xué)角度提出了“面子”問題，他認(rèn)為人際交往中無時(shí)無刻不涉及“臉面工作”，這一方面表現(xiàn)在人的行為受到面子的約束，另一方面人們也期待他人對(duì)自己的面子給予考慮。在Goffman的研究基礎(chǔ)上，P.Brown和S.Levinson將禮貌行為分為兩種：（1）積極禮貌，即滿足對(duì)方面子上的正面要求（如表?yè)P(yáng)對(duì)方的地位，成就等）；（2）消極禮貌，即滿足對(duì)方面子上的反面要求（如盡量不侵犯對(duì)方的人身、財(cái)產(chǎn)、自由等）。Leech的“禮貌原則”的提出則進(jìn)一步完善了Brown Levinson的理論，為禮貌行為在交際中的實(shí)現(xiàn)提供了方法論。

2.Brown & Levinson的面子觀。

他們認(rèn)為面子的概念來自Goffman的面子行為理論和英國(guó)民間詞語，是指每個(gè)社會(huì)成員想為自己爭(zhēng)取的公開的自我形象。面子與尷尬，難看，或“丟臉”相聯(lián)系。他們認(rèn)為，說話人應(yīng)該尊重聽話人的自我形象，避免威脅聽話人面子的行為。面子威脅程度的計(jì)算取決于交際雙方之間的社會(huì)距離，社會(huì)權(quán)利的差別以及特定文化對(duì)具體言語行為強(qiáng)加程度的認(rèn)定。面子管理的策略也劃分為兩類：負(fù)面面子策略和正面面子策略。負(fù)面面子策略強(qiáng)調(diào)聽話人的自由權(quán)利，所以它是一種尊重策略。正面面子語用策略強(qiáng)調(diào)說話人與聽話人之間的密切關(guān)系，所以它是一種親近策略。

3.合作原則與禮貌原則的結(jié)合。

美國(guó)語言哲學(xué)家格萊斯（Grice）1967年在哈佛大學(xué)做的演講《邏輯與會(huì)話》中，第一次論述了“合作原則”的具體內(nèi)容，他吧說話者和聽話者在會(huì)話中共同遵守的原則概括為量得準(zhǔn)則、質(zhì)的準(zhǔn)則、關(guān)系準(zhǔn)則和方式準(zhǔn)則。20世紀(jì)80年代，英國(guó)語言學(xué)家利奇在格萊斯合作原則的基礎(chǔ)上做了進(jìn)一步補(bǔ)充，從修辭學(xué)、語體學(xué)的角度出發(fā)，提出了著名的禮貌原則。它包括得體準(zhǔn)則、慷慨準(zhǔn)則、贊譽(yù)準(zhǔn)則、謙遜準(zhǔn)則、一致準(zhǔn)則和同情準(zhǔn)則、禮貌原則體現(xiàn)了這樣一條規(guī)律：盡量使自己吃虧，而使別人獲利，這樣做的目的在于取得對(duì)方的好感，從而使交際順利進(jìn)行，以便自己從中獲得更大的利益。4.禮貌原則和“灰色系統(tǒng)理論”的結(jié)合。

“灰色系統(tǒng)理論（Grey System Theory）”是20世紀(jì)80年代由我國(guó)鄧聚龍教授提出的。近來也有學(xué)者將“灰色系統(tǒng)理論”的概念和觀點(diǎn)應(yīng)用到語言、言語研究領(lǐng)域，以期解決動(dòng)態(tài)的語句在語境當(dāng)中的信息“灰色”問題。盡管當(dāng)今科學(xué)十分發(fā)達(dá)，大腦因其不可知道的運(yùn)作機(jī)制仍被人們喻為“黑箱”（Black Box）。根據(jù)“灰色系統(tǒng)理論”，大腦能夠完全理解和處理的信息被稱為“白色”信息，反之被稱為“黑色”信息。介于“黑”與“白”兩個(gè)極端之間，具有搖擺、轉(zhuǎn)化、游移的非單一性、非確定性、非完全性的信息則被稱為“灰色信息”。

通常說，言語交際的主要目的是向?qū)Ψ絺鬟f信息，盡量消除過程中信息的不明確性，使信息由“黑色”，“灰色”向“白色”轉(zhuǎn)化。但另一方面，言語交際是復(fù)雜的社會(huì)活動(dòng)。有時(shí)由于客觀條件的制約，人們又需要適當(dāng)降低明確度，提高灰度，以增強(qiáng)模糊性、含蓄性和可能性空間，吃那個(gè)人激活更多的相關(guān)外部信息。這種情況下就會(huì)出現(xiàn)相反的傾向：在不超出受話人理解限度的條件下，一定程度上違背“合作原則”，故意淡化信息某方面的明確性、單一性，傾向于提高信息灰度。所謂的“灰色信息”就是指的是這部分信息。可以看出，合作原則在言語交際中更多地決定信息是否精確及時(shí)地傳遞給受話者，起導(dǎo)向性作用，通常起到降低信息灰度的作用；而禮貌原則則決定交談雙方是否能在和諧、積極的其恩下完成言語交際，對(duì)會(huì)話者關(guān)系起潤(rùn)滑和促進(jìn)作用，一般可以提高信息灰度；另一方面，灰度的減少可以增加信息的明確性，而灰度的增加可以使言語更間接、委婉。會(huì)話者應(yīng)根據(jù)所處的環(huán)境，交際雙方關(guān)系疏密和自己的意圖信息選擇語用策略：側(cè)重傳遞信息就降低信息灰度;要禮貌、間接表達(dá)意圖就增加信息灰度。

5.顧曰國(guó)的漢語禮貌原則。

顧曰國(guó)認(rèn)為，漢語言文化有以下四個(gè)方面的特征：尊重、謙遜、態(tài)度熱情、文雅、基于這四個(gè)特征，他仿效Leech提出了漢語的五個(gè)禮貌原則。1）

貶己尊人準(zhǔn)則。

貶己尊人準(zhǔn)則是最富有中國(guó)文化特色的禮貌現(xiàn)象。貶己尊人準(zhǔn)則即指謂自己或與自己有關(guān)的事物時(shí)要“貶”，要“謙”；指謂聽者或者與聽者有關(guān)的事物時(shí)要“抬”，要“尊”。2）

成為準(zhǔn)則。

稱呼準(zhǔn)則即用適切的稱呼語主動(dòng)跟對(duì)方打招呼。稱呼語里記錄了“上下有義，貴賤有分，長(zhǎng)幼有等?！狈Q呼語代表了人與人之間的一種社會(huì)關(guān)系。3）

文雅準(zhǔn)則

文雅準(zhǔn)則即選用雅言，禁用穢語；多用委婉，少用直言，顯示說話人有教養(yǎng)。4）

求同準(zhǔn)則

求同準(zhǔn)則即說話人和聽話人在諸多方面力求和諧一致，盡量滿足對(duì)方的欲望。當(dāng)不得不批評(píng)別人或發(fā)表不同意見時(shí)，人們實(shí)施求同準(zhǔn)則的策略往往是指先指出并肯定雙方共同點(diǎn)，給對(duì)方留個(gè)臉面，然后才說出不同點(diǎn)。5）

德、言、行準(zhǔn)則。德、言、行準(zhǔn)則指在行為動(dòng)機(jī)上，盡量減少他人付出的代價(jià)，盡量增大對(duì)他人的移除。在言辭上，盡量夸大別人給自己的益處，盡量說小自己付出的代價(jià)。6.結(jié)語。

禮貌作為一種社會(huì)現(xiàn)象，無論哪個(gè)語言集團(tuán)中都是普遍存在的，但在不同的社會(huì)文化條件下禮貌原則應(yīng)該是存在區(qū)別的，而非一概而論。筆者認(rèn)為禮貌原則應(yīng)該和其他諸如合作原則，灰色系統(tǒng)理論進(jìn)行結(jié)合，幾個(gè)理論從不同角度進(jìn)行互相修補(bǔ)和參照，從而更好地服務(wù)于語言運(yùn)用，

第二篇：教育改革何處去？

教育改革何處去？ 來源：南風(fēng)窗日期：2010-09-27瀏覽：5717

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中國(guó)教育，已經(jīng)成為一個(gè)相當(dāng)沉重的話題?！霸俑F不能窮教育，再苦不能苦孩子”，既是決策者經(jīng)常的口頭禪，也是老百姓的生活信條。當(dāng)新一輪教育改革終于掀開大幕的時(shí)候，人們發(fā)現(xiàn)：對(duì)于教育，最讓人沉痛的還不是為孩子爭(zhēng)奪好學(xué)位時(shí)的無奈，學(xué)歷貶值下教育作為底層上升途徑功能的弱化，而是對(duì)于教育的信心的流失和動(dòng)搖。當(dāng)一個(gè)國(guó)家的民眾對(duì)于后代的教育前景產(chǎn)生深刻動(dòng)搖的時(shí)候，無疑是可怕和危險(xiǎn)的。

為什么溫家寶總理在全國(guó)“兩會(huì)”上說的“讓所有孩子都能上好學(xué)”引起代表們長(zhǎng)時(shí)間的掌聲？人們不是為了政府增加真金白銀而興高采烈，而是這句話傳達(dá)的價(jià)值觀念引起了強(qiáng)烈共鳴：教育天然應(yīng)該是公正的，它要給每一個(gè)人帶去夢(mèng)想。如果說公平正義比太陽(yáng)還有光輝，那么最耀眼的光輝來自教育。一個(gè)在教育領(lǐng)域不能實(shí)現(xiàn)公平公正的國(guó)家，其實(shí)也就稱不上一個(gè)公平公正的國(guó)家。一旦教育領(lǐng)域的不公平不公正的裂痕不能得到彌合，一個(gè)國(guó)家那些最美好的價(jià)值觀念的口號(hào)也將變得漏洞百出。

鄧小平曾說：“10年改革的最大失誤是教育?！彪x他說這句話20余年過去了，“失誤”以另外的形式、變幻著另外的后果仍在持續(xù)發(fā)生著，而其嚴(yán)重程度絕不小于鄧小平當(dāng)年的擔(dān)憂。從黨和政府的角度說，以教育改革來矯正這些“失誤”，其成敗不僅事關(guān)民眾對(duì)于國(guó)家和民族未來的信心，也事關(guān)國(guó)家戰(zhàn)略調(diào)整的基石是否牢固。

實(shí)現(xiàn)公平是最好的恢復(fù)信心的藥劑。中國(guó)教育能否突圍成功，教育公平能否實(shí)現(xiàn)也是個(gè)試金石。正如胡錦濤總書記說的那樣，進(jìn)一步消除制約教育發(fā)展和創(chuàng)新的體制機(jī)制障礙。如此，教育的優(yōu)先發(fā)展地位就不會(huì)僅僅是嘴上說說，教育的“戰(zhàn)略地位”也就不會(huì)變成是“略占地位”，公正也就不會(huì)變成“對(duì)一部分人的公正是對(duì)其他人的不公正”。

第三篇：禮貌原則在口譯中的應(yīng)用

Introduction

Along with the trend of economic globalization and cultural diversification, communication among people from different countries and different cultures is more frequent and important.Interpreters are enjoying a constantly improved position in international communication, acting as the bridge which make people of different languages and backgrounds connected.Gradually, more elements should be considered in interpretation, especially keeping the communications smooth by using polite expression.In this case, the study of application of politeness communicative principle in interpretation will bring enlightenment to the future work.As we all know, interpretation is a kind of hard and complex job.Politeness communicative principle is used to research communicative conversation, so it also can be applied into interpretation which can be seen as a special conversation.However, interpretation is a study with a short history, which needs more help from other fields.Nowadays, the study of interpretation is concentrated on language training, interpreting skills, exams and so on.Few people pay attention to the application of politeness communicative principle in interpretation.Thus, politeness communicative principle in interpretation is so important and deserves more attention.Except for the introduction and conclusion, this thesis is composed of three parts.Part one gives a view of related theories;Part two is main part of the paper, which includes preconditions for using politeness communicative principle and feasibility of the adoption of politeness communicative principle;Part three is the enlightenment to interpretation after the research, including strategies for applying politeness 1

communicative principle in interpretation.2

1.Literature review of interpretation and politeness communicative principle In 1978, English scholars Brown & Levinson wrote an article “Universals in Language Usage: Politeness Phenomena”.Soon after that, Leech delivered his six criteria of politeness in 1983.Since then, there are some researches about the two fields of politeness communicative principle and interpretation respectively.1.1 General review of interpretation In order to identify the relationship between interpretation and politeness communicative principle, it is necessary to review related interpretation theory at home and abroad.1.1.1 Definition of interpretation Interpretation is a form of translation, converting one language to anther so that the target language could convey the intended message in source language.Interpretation essentially is “an oral translation of oral discourse”(Gile, 1995: 1)and “ an extempore oral reproduction, in one language of what is said in another language ”(Zhong, 1999: 1).Interpretation is a form of translation in which a first and final rendition in another language is produced on the basis of a one-time presentation of an utterance in a source language(Pochhacker 2004: 11).Compared to translation which is used when the immediate result of the work is a written text, interpretation has its outstanding characteristics as being used when the immediate result is a speech reproduced orally in a language other than that spoken by the original speaker.That is to say, interpretation is a communicative process which faithfully and orally transfer the information from one language to another.3

1.1.2 Type and development of interpretation Interpretation consists of consecutive interpretation, simultaneous interpretation and whispering interpretation, among which consecutive interpretation is the most popular and widely used.In consecutive interpretation, the interpreter listens to a speech segment and then delivers the whole segment in the target language.While in simultaneous interpretation, the interpreter conveys the meaning to the listeners while listening.In whispering interpretation, the interpreter is for speeches with one to two foreign listeners or as accompanying interpreter for your international guests outside the actual event programme.Lacking of historical record makes it difficult to find the exact date when interpretation got into shape.And interpretation came into being and developed gradually when people speaking different languages started to communicate with each other.In the past, there were middlemen, who helped people speaking different languages communicate with each other.They were usually immigrants who knew two or more languages and also called dragoman, but these people were not trained professionally.When people speaking different languages started to communicate with each other more frequently, quick and effective interpretation was in urgent.Interpreter becomes an international profession in the First World War.It is in the Paris Peace Conference interpreters who have been trained professionally to meet the requirements of the conference.After that, interpretation has become a popular profession in the world.4

1.2 An overview of politeness communicative principle theories Politeness as a social phenomenon can be observed in all languages and cultures, and it has long been an important object of study in linguistics.As a common social phenomenon, politeness is not only an universal virtue but also a popular way to realize effective communication.1.2.1 A general view of politeness communicative principle Politeness is an universal phenomenon in society.However, different linguists and scholars give different explanations of politeness.In western countries, Leech says that there exists a set of maxims that guide and constrain the conversation between people, he suggests that cooperative principle should be expanded because Gricean’s cooperative principle can not sufficiently explain why people so often convey meaning indirectly.It is for this reason that politeness principle can be seen not just as another principle to be added to cooperative principle, but as its necessary complement.Leech introduces the politeness principle which runs as follows: Minimize the expression of impolite beliefs, Maximize the expression of polite belief.1.2.2 Politeness theories at home and abroad

Many scholars have made great contribution to the study of politeness theories.Among them, Leech and Gu Yueguo play a significant role, which serves as the foundation of the politeness research for other scholars.Politeness communicative principle is proposed to explain how politeness operates in conversational exchange, which has a series of maxims.Leech defines politeness as forms of behavior that establish and maintain comity.That is the ability of participants in a social interaction 5

to engage in interaction in an atmosphere of relative harmony.Leech specifies degree of politeness principle which are the means required in a certain situation.(1)The Tact Maxim Minimize the expression of beliefs which imply cost to other, maximize the expression of beliefs which imply benefit to other.(2)The Approbation Maxim Minimize the expression of beliefs which express dispraise of other;Maximize the expression of beliefs which express approval of other.(3)The Generosity Maxim

Minimize the expression of benefit to itself;Maximize the expression of cost to itself.(4)The Modesty Maxim

Minimize the expression of praise of self;Maximize the expression of dispraise of self.(5)The Agreement Maxim

Minimize the expression of disagreement between self and other;Maximize the expression of agreement between self and other.(Leech, 1999:20-21)While in China, the real study of politeness principle only began in the 1980s when pragmatics was introduced into China.The most influential figure in this area is Gu Yueguo.He puts forward his own set of politeness maxims in two thesis “Politeness Pragmatics and Culture” and “Politeness phenomena in modern China”.His theory has distinctive characteristics of Chinese culture.He proposed four basic 6

notions: respectfulness, modesty, attitudinal warmth and refinement.According to Gu, politeness principle includes five maxims:“Self-denigration and Respecting Maxim, Addressing Maxim, Elegancy Maxim, Conforming Maxim, Virtue, Words and Behavior Maxim.”(Gu, 2005: 10)

1.3 The relationship between politeness communicative principle and interpretation

Interpretation is understood as the mental process and communicative act of reproducing orally in a target language what a speaker is expressing in a source language.(Zhong, 1999: 1)

From the above explanation, it is easy to find that interpretation is a kind of special conversation.The success of this conversation needs a media of interpreter.During interpretation, interpreters need to cooperate both with the speakers and the listeners, and they also need to control the atmosphere of this conversation and keep the conversation polite.Besides, politeness communicative principle is used to research communicative conversation, so it can be applied into interpretation.So far, there have been some studies related to relationship between politeness communicative principle and interpretation, especially in recent years.For instance, Guo Yingzhen has published the issue of “Politeness Principle and Interpreting” by analyzing politeness principle and nine types of politeness in interpretation.She says, “ Based on the politeness principle and the experience of the author’s practice during past years, the honorific expressions in the process of interpreting can be divided into and applied to in nine different situations, namely, greetings, request, inquiry, 7

complaint and regret, advice, apology, imperative, and agreement”(Guo, 2004: 15).She tries to encourage readers to use honorific expressions in interpretation so that his or her own interpreting ability could be reflected.Wang Xiaowen discusses the complementarily and contradiction between cooperative principle and politeness principle, she mentions about the importance of politeness communicative principle in interpretation, “As two important theories in the field of pragmatics, Grice’s cooperative principle and Leech’s politeness principle both have great insights on interpreting with latter complimentary to the former.The approbation of the two principles to interpreting can effectively promote the successful cooperation between the two parties of communication.”(Wang, 2006: 18)1.4 Previous studies on interpreter’s subjectivity

With the increasing attention paid on the role of interpreters, the subjectivity of which arouse interest of scholars.Qiu Jixin observes the translator’s subjectivity and its restrictions by introducing thought of foreign scholars and analysis of translation.He says, “As a subject, translators can carry out their subjectivity during the translating process.Yet, the subjectivity must be restricted by certain factors.The two are combined closely with each other.”(Qiu, 2004: 12)Later, Hon Linping and Jiang Siping write complete conclusion on the study of the issue, on the subjectivity studies over the past ten years.They talk about the root, developing stages, some limitations and problems of all the previous researches.In general, just as what they state in the review,“the concept of interpreter’s subjectivity has gained more and more attention in China’s translation 8

study over the last decades.Analyzing the studies of the translator’s subjectivity in China from 1996 to 2005, the scholars explore the positive roles and limitations that the new trend could play in translation, the authors maintain that the translator’s turn will prevail in the 21 century.”(Hon & Jiang, 2006)These people do some research on the interpreter’s subjectivity and leave some evidence for others.Lv Binghua, from the perspective of subjectivity, proposed three norms, self-restriction on expressions and arrangement of message.It is a generalization of the forms of interpreter’s subjectivity from a rather macro perspective.Few scholars concern about the subjectivity of interpreters although the issue of interpreter’s subjectivity has been studied for years.That’s the greatest regret in the study of the issue.2.Feasibility and strategies for interpreters to apply politeness communicative principle in interpreting

From the above analysis of the research conducted by many linguists and interpretation theorists, it is easy to find that politeness communicative principle plays an important role in interpretation.No matter whether politeness communicative principle in western countries or in China, the essence is similar only with different emphasis.This chapter, which is based on the analysis of politeness communicative principle, explains the feasibility for interpreters and explores the instructive function of the politeness communicative principle in interpretation.2.1 Possible steps to deal with subjectivity

When politeness communicative principle is used in interpretation, at least two 9

things should be noticed.Firstly, it is possible to deal with subjectivity when interpret.Secondly, it is possible to apply politeness communicative principle in interpretation.Actually the process of interpreting can be divided into two parts: preparation before real interpretation and the actual interpretation process.“Translation procedure involves far more than step-by-step procedures for producing a translation from a source text.”(Nida, 2004: 131)In the following part, the author will discuss when and how interpreters can manipulate with subjectivity.2.1.1 Preparation before interpreting

It is well-known that enough preparation work is a key factor of a successful interpretation.Many things can be done before interpretation and will be later used.Generally speaking, prepared knowledge includes the glossary items, background knowledge of a certain field, understanding of the speaker’s culture and so on.In order to specify the above statement and make it clear and easy to be understood, the author sets an example in the following part.For example, There is going to be an English speaker talking about technology in clone.Preparation work will be done differently.Interpreter A may know well about clone, he masters all the background information and latest researches in the field.But he has no idea about the speaker except that the speaker is from England.In this situation, interpreter A may prepare in following steps.Firstly, since he knows well about the issue, the preparation of background knowledge may be very simple.Secondly, since the speaker comes from England, which needs to know more 10

about clone in England.Therefore, A should review the clone in England.Thirdly, given that A knows nothing about the speaker, he should seek a way to get familiar with culture and courtesy in England.Last but not least, A should know more about the situation whether in a conference or casual dialogue.Imagine another quite different situation: If interpreter B knows the English speaker very well.However, he knows little about clone, let alone clone in England.In this case, B would seek for different methods to deal with, which is quite different from A.Instead of paying much attention to the background of the speaker, B has to spend much time learning about clone, especially in England.Therefore, he had better read some scientific books and surf the Internet to gain more information about clone.Above all, it is easy to find that different interpreters choose different ways to prepare based on their own conditions though given the same situation.That leads to the possibility of choosing for interpreters in this process.2.1.2 Understanding of original speech Understanding of Original Speech is a vital process during the interpretation.If one can’t grasp the original meaning, he may mislead the intention of the speaker, even worse, spoil the whole conversation.Basil Hatim and Ian Mason once wrote in their book Discourse and the Translator, “The less evaluative the text is, the less need there will be for its structure to be modified;Conversely, the more culture-bound a text is, the more scope there may be for modification.The less culture-bound a text is, the less need there will be for its structure to be modified;Conversely, the more culture-bound a text is, the more 11

space there may be for modification.”(Hatim & Mason,1999: 3)In China, Qi Weiyan stated in her paper, “Translator’s understandings and opinions are always influenced by times, nation, language, history, custom, culture and so on.Thus, the subjectivity of translators is strongly needed because of the differences in these factors in source text, the disparity between source and target language, and the strong demonstration of times, national feature and culture capital in the source text”.(Qi, 2003)In the following, the author would show that interpreters may have different understandings towards the same original sentence.For example, It’s my great honor to be invited as your friend.Interpreter1: 作為朋友收到邀請(qǐng)，我十分榮幸。Interpreter2: 我十分榮幸以朋友的身份收到邀請(qǐng)。

In this case, the emphasis of the interpreter is different.Interpreter 1 strengthens the meaning of “great honor to be invited” with thanks.While interpreter 2 highlights the words “as your friend” to focus on the true friendship.Therefore, the hidden meaning of the sentence is “The friendship between us is precious to me and I really appreciate it”.Both of the understandings are right if the speaker expresses the sentence without the paragraph.Still, differences between two interpreters don’t influence the quality of interpretation.It can be concluded from the above example that one sentence may lead to different understandings and the interpreters can choose their own understanding according to the atmosphere of situation, the context or the relevant information.This clearly proves that interpreters are able to manipulate during the understanding 12

process and sometimes the subjective choosing may even be of great significance.2.1.3 Production of the interpreted version

As Qi Weiyan stated in her paper, “Translator’s subjectivity can be reflected not only from the comprehension of the source language, but also from the choosing ways of expressions.If we put it in another way, production of the translators gradually form their own translation styles, characteristics and features.There is a close relation between them.In a certain period and under certain historical and cultural background, translators form their own thoughts and senses of values, tastes and interests, as well as translation abilities, which are shown in his translation version.”(Qi, 2003)From the translation theory above, it is aware that translator’s subjectivity is what she talks about.It is the same with interpreters,too.Being an excellent interpreter requires abundant interpreting experiences, careful observation and daily practices.The author will give an example to illustrate this point.For example, Shenzhen today is quite different from what she looked like twenty years ago.Version1: 今日的深圳不同于20年前的深圳。

Version2: 今日的深圳比20年前不可同日而語。

When you talk about Shenzhen’s development and her achievement with a foreigner, such a sentence can be seen very often.In a real interpreting case, it is common that both of the translation versions are acceptable, with no mistake or misunderstanding between communicative parties.However, the two versions have obvious difference.Version 2 gives a more brief idea of difference in Shenzhen which 13

strikes the speaker most.While version 1 is close to literal meaning of the original sentence.The two versions have difference in ways of expression and the author believes that it can reflect the interpreter’s characteristics in some degree.Although the original sentence is a kind of praise of Shenzhen’s great development, the sentence itself does not show that Shenzhen becomes stronger or prosperous.It can be predicted that in terms of characteristics, version 2 is more direct than version 1 since he or she wishes to express the intended meaning in an obvious way.2.2 Feasibility of the adoption of politeness communicative principle in interpretation Since it has been proved that politeness communicative principle is one of the principles that should be adopted in our daily conversation.Adopting politeness communicative principle in interpretation will help create harmonious atmosphere and enable the exchange of words and thoughts to be smooth and successful.As we all know, interpretation is a kind of exchanging and talking since two communicative parties cannot communicate directly because of language and culture differences.Thus, an interpreter is needed to exchange words between the two communicative parties, which is a very important job in such kind of indirect interaction.During interpreting, a sense of being polite is badly needed.In this part, the author will talk about the application of politeness communicative principle and set examples to prove the feasibility to interpretation.The process of application of politeness communicative principle can be divided into three different forms, namely choosing of words, choosing of sentences and choosing 14

ways of expressions.2.2.1 Choosing of words Interpreters may have different words that can be used during interpretation, while they have possibility to choose proper words from them.Therefore, interpreters can find the most polite words under the direction of politeness communicative principle.First of all, some words that can help the interpreters are discussed.Firstly, application of model verbs in politeness communicative principle will be discussed.When we choose proper language form to express politely, some appropriate model verbs can make the sentence like an euphemism.In our conversations or dialogues, these model verbs are easy to find here and there, such as “should, shall, would, could”.In order to express the meaning more clearly, the author will set two examples in the following.When we put the model verb “could” ahead in a question sentence, it is a euphemistic expression.For example, “could you tell me about the story?” The word “would” can be used in a euphemistic expression, especially in the request and suggested sentence.For instance,“I would be a shame to disturb your dialogue.” “would you like to pass the book to me ?”and “wouldn’t it be better to stop it right now?” All the sentences above are more polite than those do not use model verb.Secondly, tense of verb deserves our attention.In a sentence, past tense is another way to express request politely, while past continuous tense is more polite than past tense.For instance,“Sorry, I did it again”.This sentence means this is not the first time he made mistake, and the intended meaning of which is he or she really feels 15

regrettable about what he or she does.From above, it can be found that past tense can also express apologize.Thirdly, some words expressing possibility could also express politeness.when we talk something about suggestion, advice and criticism, we could use “maybe” “perhaps” and “possible”.”Possibly” mainly used in a request sentence, if it is used together with model verbs “can” and “could”, it would be more polite.When we give an invitation, suggestion, requirement and criticism, we can use the word “wonder”, because it is also a euphemism.Another example, the word “quite” can be used in the negative sentence to express politeness:“That’s not quite what I said, you know.” Some examples related to the three pairs of maxims will be discussed next.2.2.1.1 Tact maxim and generosity maxim

From the brief introduction of maxim before, it is easy to know that these two maxims are intended to maxim of benefit to others and cost to oneself.The typical case is as followed.“This is a brief introduction brochure of our school”

Version1: 這是我校的宣傳冊(cè)。

Version2: 這是美國(guó)某大學(xué)的宣傳冊(cè)。

According to Tack and Generosity Maxim, it is polite to maximize the listener’s benefit even cost the speaker more.In this situation, since the interpreter is the direct speaker to the Chinese students attending an exhibition, the interpreter has to interpret the complete meaning while maximize benefit for the listener.Based on the given situation, version2 is more proper than version1, not only for 16

sake of better advertisement of the school, but also help the listener leave a deep impression of this school, which is different from other schools they heard before.From this point of view, the choosing of version “美國(guó)某大學(xué)” rather than “我?！?realizes the minimization of other’s cost.2.2.1.2 Approbation maxim and modesty maxim

These two maxims demand maximization of praise of others and of dispraise to oneself.The following is an example:

“我們產(chǎn)品的質(zhì)量比你方更好?！?/p>

Version1: Our product’s quality is better than yours.Version2: It seems that our product’s quality is better than yours.In this case, version2 doesn’t maximize praise of listeners and dispraise of him or her.The speaker states the meaning of “better than you”, which is going to cause unhappy feelings to the listeners.2.2.1.3 Agreement maxim and sympathy maxim Agreement Maxim and Sympathy Maxim demand maximization of agreement between oneself and others.An example is as followed:

你同意我的想法嗎？

Not really.Version1: Do you agree with me?

我不同意。

Version2: Do you agree with me?

我們的想法可能有些出入。

This is a kind of “agree-or-not” sentence.Agreement should be given based on the Agreement and Sympathy Maxim.Therefore, when the interpreter chooses the expression “有些出入” instead of “不同意”.The atmosphere is more polite and harmonious.2.2.2 Choosing of sentences

Interpreters may have different sentences that come into mind during interpretation, while they have possibility to choose the most suitable one from them.As a result, interpreters can find the most polite one under the direction of politeness communicative principle.2.2.2.1 Tack maxim and generosity maxim Two conclusions can be drawn from these maxims.Firstly, offering is more polite than request in an imperative sentence.Secondly, politeness communicative principle in language can be classified into various degrees because more indirect expressions give listeners more freedom to choose what they want.If a sentence is delivered in a more indirect way, it would be more polite.Example1, Answer the phone.I want you to answer the phone.Will you answer the phone?

Can you answer the phone?

Would you mind answering the phone?

Could you possibly answer the phone?

Example 2, Call a taxi for me.18

I want you to call a taxi for me.Will you call a taxi for me?

Would you mind calling a taxi for me? In each example, the last one is the most polite because it gives the listener more opportunity to refuse.It is successful to minimize the cost to others and maximize benefit to others.More examples can be found at the beginning of a press conference.In order to keep the meeting going quietly, the host would say to the reporter just as “請(qǐng)各位與會(huì)人員關(guān)閉手機(jī)”.Under this circumstance, interpreters have these choices:“Turn off the cell phone.” “Can you turn off the cell phone?” or “Can I probably ask you to turn off the cell phone?”.Among them, the degree of being polite is deeper and deeper, then the last one is the most polite.In order to show politeness, interpreters usually express ideas in a mild and roundabout way.For example, when disagreeing with somebody, one would say,“I don’t think you are right” rather than“you are wrong”.Another example“You don’t seem to understand” instead of “You don’t know” so directly.2.2.2.2 Approbation maxim and modesty maxim

These two maxims demand maximization of praise of others and of dispraise to oneself.They contain two aspects and the first is “negative praise” which means saying something good to somebody instead of criticizing others.An example is followed,“Do you like my skirt?” “Well, yes.But it’s not my favorite.” Although B does not like A’s skirt, he expresses his feelings in a polite way.The second type is “exaggerated praise”, which is common in interpretation from Chinese to English

because English speakers like to exaggerate their feelings, while Chinese are more implicit in comparison.Here is an example: after a party, guests coming from China say to the host,“謝謝你的邀請(qǐng)，我們度過了一個(gè)愉快的夜晚?！?Interpreter can express like this,“Thank you so much for inviting us, we had a wonderful night”.In this version “so much” is an exaggerated word.Another example is, when praising others, one usually addresses in this way, ”What a beautiful house!” or “What a cute boy”.Another example,“你覺得我們有機(jī)會(huì)合作這個(gè)項(xiàng)目么？”

Hopefully, let’s wait and see.Version1: Is there any possibility for us to cooperate with each other on the project?

希望可以，讓我們邊走邊看。

Version2: Is there any possibility for us to cooperate with each other on this project?

希望能有這個(gè)合作機(jī)會(huì)，讓我們邊走邊看。

Based on Approbation and Modesty Maxim, it is polite for the interpreter to maximize praise of the Chinese party.The Chinese party asks the question about the cooperation possibility in this situation.For some reasons, Without exact comment on the possibility, the foreigner gives an ambiguous answer to the question.Thus, the second version is recommended.2.2.2.3 Agreement maxim and sympathy maxim

These two maxims demand maximization of agreement between oneself and 20

others.English speakers usually express disagreement in this way:“sorry”or“Excuse me”.For instance,A says,“I like these pictures, they are beautiful”.Then B says “Well, I don’t have any eye for beauty, I’m afraid”.From this example, it is easy to see that although B does not agree with A, he does not express that in a direct way, which not only decreases the conflict between them, but also increases the accordance with the speaker.That is to say, in order to make the listener happier, good details should be talked.For instance,“That was the great Oscar for John” and “That was the great news about John”.The first sentence brings more happiness to the listener.On the contrary, when we talk about some sad news, try to say some vague words instead of details.In western culture, the expression of “death” is a typical one.For example,“be asleep in the arms of God”“be taken to paradise and go to heaven”.Another example,“I was sorry to hear about your husband” is more polite than “I was sorry to hear about your husband’s death”.2.2.3 Choosing of expressions

Choosing of expressions means that during interpreting, an interpreter is likely to choose different ways to express the idea.Among these choices, he or she would find the most polite one according to politeness communicative principle, which includes the changing of sentence structure or custom of expression in different languages.The author would illustrate the point in following aspects.2.2.3.1 Tack maxim and generosity maxim

Here is an example to show the expression choices under the direction of these two maxims.21

你看過那份計(jì)劃了嗎？

真不好意思，我昨天去看父母了。

Version1: Sorry, I went to visit my parents yesterday.Version2: Sorry, I haven’t seen it though, since I went to visit my parents yesterday.In this situation, the hidden meaning of Chinese speaker is that he hasn’t looked into the proposal yet.According to Chinese culture, the reason is given at first.However, person asks the question in order to know whether the proposal is seen though or not.Thus, in order to show respect to the leader, he or she had better choose the latter one to give the direct answer first and if time permits, giving reasons in a simple way.In this way, the modest attitude of speaker can be clearly reflected and thus gaining opinion of Chinese audience.2.2.3.2 Approbation maxim and modesty maxim Here is an example to show the expression choices under the direction of these two maxims.That is all my speech, If you have any question concerning my speech, welcome.Version1: 我的演講完畢，有問題可以問我。

Version2: 我的演講完畢，如有問題，歡迎隨時(shí)提問。

The original sentence is a traditional English way of expression with no offence.However, the translated version1 may seem a bit rude to the audience in China.Thus, although violating the literal meaning of the original words, interpreters maybe choose the latter one to show politeness and create a harmonious atmosphere.22

2.2.3.3 Agreement maxim and sympathy maxim

Under the direction of these two maxims, the author will list an example:

Do you agree with our arrangement?

Yes, the transportation and accommodation are great.Version1: 是的，交通和住宿都不錯(cuò)。

Version2: 安排的很好，尤其是住宿和交通。

In order to be polite, version2 chooses the expression “安排的很好”，which is not heightened in the original words.The change of expression adds the degree of agreement and sounds more agreeable than just saying“是的”.Therefore, the listener will be glad to your interpretation.3 Strategies for applying politeness communicative principle in interpretation

Since a great many researches have been done on the strategies whenever concerning politeness or subjectivity, the author is going to mention three of them simply.There are substitution when the speaker does not mention, treason when the speaker does mention but not polite to the audience and omission to name just a few.3.1 Substitution Interpretation needs substitution sometimes.Since it has already been proved that interpreter is able to cope with subjectivity, substitution cannot be avoided because of different languages, backgrounds, styles and so on.When comes to politeness communicative principle, substitution can be utilized in following: The key point of Tack and Generosity maxims is to reduce the cost of others.In some cases, people are not willing to talk about death, disease, body part and so on.23

Instead, they would use indirect words replacing them.For instance, “big C” stands for “cancer” “mentally handicapped” replaces “retarded”, “psychiatric hospital” rather than “mental hospital”.Concerning about unemployment, they would use the words: “unwaged, between jobs”.It’s good for one to try hard to agree with others,if not that matters, and it is the key issue of Agreement and Sympathy maxims.When one agrees with the other but he or she omits the words like “yes” or “sure” and directly continue the topic.On such occasions, it is greater if the interpreter say like “of course” or “definitely” to emphasize the agreement.Substitution can be found quite often in opening and end of speeches, informal lectures and interviews, which allows to establish harmonious atmosphere without influencing the content or final result.3.2 Treason In some occasions, if we translate the sentences literary, it would cause misunderstanding due to different cultural backgrounds.As bridge of communication, it is interpreter’s responsibility to promote better interactions, even sometimes not being loyalty to the original words.In order to maximize praise of others and minimize praise to oneself, interpreters may sometimes behave modest on behalf of the speaker.Such kind of situation can be found when communicative parties come from different cultural backgrounds.For instance, the Westerners tend to be direct while Chinese are used to behave modest.It is the guest speaker’s or sometimes interpreter’s responsibility to use words or concept of the host speakers and that can also be regarded as a kind of agreement to 24

the host party and its custom for sake of offering more agreement to others.Situations exist when parties hold different opinions toward one issue or when slip of tongue occurs.Interpreters should be pay attention to this strategy, be loyalty to the original words and pass on the meaning to the listeners.3.3 Omission Facing with difficulties in interpretation, omission is one of the strategies most often applied.Omission concludes deletion of words, phrases, sentences or even a paragraph.Here is an example: Please turn to page 20, maybe 22.let me see, yes, 25.Version1:請(qǐng)翻到書的20頁(yè)，也許是22頁(yè)，讓我看看，第25頁(yè)。

Version2:請(qǐng)翻到書的第25頁(yè)。

It costs a lot for the audience to hear page 20, 22and 25 getting themselves busy in turning to pages that are not certain.Thus, it is wise and polite for the interpreter to slip to the final page which is quite certain, or else it will cause a confusing situation.However, this strategy is not proper in all conditions.When comes to important content, no random omission is allowed.Conclusion

Through this paper, the author draws the conclusion that it is very important and feasible to use politeness communicative principle in interpretation.Therefore, when interpreters understand preconditions of the principle and adopt related interpretation strategies, the interpreted version would be better.Since interpreters are already aware of the importance to be polite and feasibility to subjectivity.Besides, some possible ways to deal with subjectivity, interpretation strategies under the direction of politeness communicative principle are are listed in the paper.It is conductive to the improvement of the quality of interpretation and the development of interpreters themselves.Since this paper is done with the aid of many reference books and some papers, there may exist weakness and limitations during the process.Besides, there are causes that actually lead to these limitations: Firstly, as a college student, it is unlikely for the author to get in touch with interpreters in everyday life;Secondly, not doing or observing enough interpreting practice, it is impossible for the author to collect a large number of materials and cover all the areas.Finally, the author has little experience in interpretation, which causes the big trouble to perfect the paper.As a result, based on the materials available and current condition, the author tries best to make the paper reliable.The author hopes that the future researches can spare more efforts in the following aspects.Firstly, researches may collect as much materials as they can through all possible channels in future.If time permits, such kind of collection may 26

produce a more reliable research than this one.Secondly, there is no space and time left for strategies and suggestions.The author just lists three of them to name just a few.It is the hope of the author that future researcher can lay more emphasis on the strategy part to make this research more complete and systematic.Bibliography Brown.P &Levinson, S.Universals in Language Usage [J].Shanghai: Shanghai

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Language Education Press, 2001.Nida, E.A.Language, Culture and Translating [M].Shanghai: Shanghai Foreign

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External Translation Press, 2001.顧曰國(guó).跨文化交際 [M].北京: 外語教學(xué)與研究出版社, 2005.郭英珍.語用中的禮貌原則與口譯的敬體形式 [J].華北水利水電學(xué)報(bào), 2004(2).侯林平, 姜泗平.我國(guó)近十年來譯者主體性研究的回顧與反思 [J].山東科技大

學(xué)學(xué)報(bào), 2006(3).利奇.語義學(xué) [M].上海: 上海外語教育出版社, 1996.呂炳華.譯者主體性的體現(xiàn).[J] 山東外語外貿(mào)大學(xué)學(xué)報(bào), 2005(1).戚偉燕.譯者主體性的體現(xiàn)和強(qiáng)弱.[J] 杭州電子工業(yè)學(xué)院學(xué)報(bào).2004(1).裘姬新.譯者主體性及其制約因素 [J].河南科技大學(xué)學(xué)報(bào), 2004(1).28

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第四篇：中國(guó)土地改革何處去

中國(guó)土地改革何處去

我國(guó)農(nóng)村在20多年前實(shí)行的家庭承包經(jīng)營(yíng)制大大解放了農(nóng)民的生產(chǎn)力，對(duì)扭轉(zhuǎn)我國(guó)糧食供應(yīng)嚴(yán)重緊張的局面做出了關(guān)鍵性的貢獻(xiàn)。但是，隨著中國(guó)社會(huì)的繼續(xù)前進(jìn)，這個(gè)體制的弊端也開始逐漸表露出來。

其一，家庭承包制的實(shí)行導(dǎo)致農(nóng)田耕地急劇減少，國(guó)家和農(nóng)民都經(jīng)受著失地之痛。由于公權(quán)力機(jī)關(guān)往往不珍惜土地，在公共事務(wù)中

過度使用土地；而資本更是大力圈占土地；同時(shí)，農(nóng)民用蓋房子、擴(kuò)大宅基地等意圖保住對(duì)土地的占有權(quán)。這樣一來，中國(guó)本來就不多的土地在各種形式的占用中日益減少。

其二，家庭承包制也不能激勵(lì)農(nóng)民對(duì)農(nóng)業(yè)生產(chǎn)實(shí)行長(zhǎng)期投入。盡管中央政府三令五申不準(zhǔn)隨意改變土地承包合同，但“三年一小調(diào)、五年一大調(diào)”的現(xiàn)象仍很普遍。

其三，家庭承包制不僅制約著中國(guó)的城市化進(jìn)程，也制約著農(nóng)業(yè)經(jīng)濟(jì)效率的提高。一方面，農(nóng)民不能用自己的土地財(cái)產(chǎn)權(quán)換取進(jìn)入城市的生存手段。另一方面，由于土地的規(guī)模經(jīng)營(yíng)往往要靠強(qiáng)制，導(dǎo)致依靠農(nóng)民間的土地財(cái)產(chǎn)權(quán)轉(zhuǎn)讓來形成土地規(guī)模經(jīng)營(yíng)的交易成本很高。

夠了！單這幾條理由，也足以讓我們必須考慮改革農(nóng)村土地制。

面對(duì)這樣的困境，“讓農(nóng)民退回到人民公社時(shí)代”的主張也就堂而皇之地?cái)[到了桌面上。筆者絲毫不擔(dān)心決策者會(huì)采納這種主張，這種主張只不過是某些人制造噱頭、玩弄標(biāo)新立異的學(xué)術(shù)游戲而已。

也有人似乎理由很充分地來維護(hù)家庭承包制，因?yàn)椤巴恋厥寝r(nóng)民的生活保障手段，是萬萬動(dòng)不得”。

筆者不敢贊成這種貌似同情農(nóng)民，實(shí)則束縛農(nóng)民的主張。如果一個(gè)國(guó)家要靠平均主義分配土地的方法來保障農(nóng)民利益的話，那意味著這個(gè)國(guó)家將永無現(xiàn)代化到來之日：人均兩畝地的保障，我們不用細(xì)算賬也該知道它的意義有多大。

土地改革的積極想法是給予農(nóng)民有保障的土地財(cái)產(chǎn)權(quán)，使農(nóng)民的土地承包權(quán)含有使用權(quán)、收益權(quán)、處置權(quán)、出售權(quán)和抵押權(quán)等一系列權(quán)利。

然而，“兩畝地保障”的堅(jiān)持者總在說，這樣的積極改革會(huì)導(dǎo)致一些農(nóng)民喪失土地、流離失所、生活悲慘。筆者以為這種擔(dān)憂其實(shí)是一葉障目、不見泰山。

首先，現(xiàn)行的制度并不能保障農(nóng)民的土地使用權(quán)，如果給予農(nóng)民充分的土地財(cái)產(chǎn)權(quán)，反倒可以使農(nóng)民不容易喪失土地。第二，新的積極的改革辦法固然會(huì)使一批又一批農(nóng)民離開土地，但這種淘汰是“正淘汰”，留下的是能干的農(nóng)民。而現(xiàn)行制度的淘汰是“逆淘汰”，留下的農(nóng)民往往是不能干的農(nóng)民。第三，中國(guó)目前正在進(jìn)行最快的資本積累，如果政策得當(dāng)，還會(huì)發(fā)生最快的城市化。那些在“正淘汰”中出局的農(nóng)民會(huì)被吸納在城市化進(jìn)程中，即使沒有能力就業(yè)的也會(huì)被納入城市社會(huì)保障系統(tǒng)。第四，國(guó)際經(jīng)驗(yàn)告訴我們，沒有哪個(gè)國(guó)家是靠“兩畝地保障”來支撐現(xiàn)代化的。日本曾經(jīng)在類似的擔(dān)憂下設(shè)計(jì)過類似的“兩畝地保障”政策，但很快發(fā)現(xiàn)工業(yè)擴(kuò)張使得這種擔(dān)憂大可不必。于是，日本在20世紀(jì)60年代初就調(diào)整了政策，鼓勵(lì)土地的集約化經(jīng)營(yíng)。第五，現(xiàn)代國(guó)家也能夠控制土地的集約化過程和規(guī)模，使其適應(yīng)城市化對(duì)農(nóng)村勞動(dòng)力的吸收速度。

我國(guó)土地制度的改革需要大智慧，而不是墨守成規(guī)。如果我們真正同情農(nóng)民，就不要去束縛他們，而應(yīng)該把他們推入到現(xiàn)代化主流當(dāng)中去。

第五篇：農(nóng)村信用社向何處去

農(nóng)村信用社向何處去

發(fā)布時(shí)間：2009年08月13日 18:17

來源：《求是》期號(hào)：2005.10作者：烏東峰 王國(guó)平

有著農(nóng)村血液之稱的農(nóng)村信用合作社，在我國(guó)已存續(xù)半個(gè)多世紀(jì)，為農(nóng)業(yè)和農(nóng)村發(fā)展提供了巨大金融支持。但隨著社會(huì)主義市場(chǎng)經(jīng)濟(jì)的發(fā)展，農(nóng)信社原有的管理體制已不適應(yīng)農(nóng)業(yè)發(fā)展的需要，籌資能力差、成本高、服務(wù)手段落后、資金運(yùn)用效率低等問題日益突出。因此，從農(nóng)村實(shí)際和農(nóng)民需求出發(fā)，按照有利于改善農(nóng)村金融服務(wù)的原則，加快改革和創(chuàng)新農(nóng)村金融體制，已成為當(dāng)務(wù)之急。

中國(guó)農(nóng)信社怎樣走來

建國(guó)初期，黨和國(guó)家在著手整頓財(cái)經(jīng)紀(jì)律的同時(shí)，決定在農(nóng)村建立信用合作組織，以支持農(nóng)村經(jīng)濟(jì)的發(fā)展。中國(guó)農(nóng)村信用合作社建立以來，大體經(jīng)歷了四個(gè)重要的發(fā)展階段：

１９４９—１９５９年，大規(guī)模組建和迅速發(fā)展時(shí)期。１９５１年５月，中國(guó)人民銀行總行召開了第一次全國(guó)農(nóng)村金融工作會(huì)議，決定大力發(fā)展農(nóng)村信用社。農(nóng)信社資本金由農(nóng)民入股，干部由社員選舉，通過信貸活動(dòng)為社員的生產(chǎn)生活服務(wù)。在這個(gè)時(shí)期，由于政策得當(dāng)，農(nóng)信社與農(nóng)戶和農(nóng)業(yè)生產(chǎn)合作社聯(lián)系緊密，對(duì)農(nóng)業(yè)生產(chǎn)和農(nóng)民生活改善起了較大的支持作用，獲得了迅速發(fā)展。到１９５７年底，全國(guó)共建立農(nóng)信社８８３６８?jìng)€(gè)。

１９５９—１９７９年，下放基層的緩慢發(fā)展時(shí)期。這個(gè)時(shí)期農(nóng)信社曾先后下放給人民公社、生產(chǎn)大隊(duì)管理，后來又交給社員管理。由于制度安排上的缺陷，下放形成了基層干部對(duì)信用合作社的控制，農(nóng)信社基本成為基層社隊(duì)的金融工具，對(duì)農(nóng)業(yè)生產(chǎn)的整體性支持作用受到限制，因而發(fā)展十分緩慢。

１９７９—１９９６年，農(nóng)業(yè)銀行管理時(shí)期。１９８４年，國(guó)務(wù)院批轉(zhuǎn)了中國(guó)農(nóng)業(yè)銀行《關(guān)于改革信用社管理體制的報(bào)告》，提出把農(nóng)信社辦成群眾性的合作金融組織，并在農(nóng)業(yè)銀行的領(lǐng)導(dǎo)和監(jiān)督下開展存貸業(yè)務(wù)。這段時(shí)期，農(nóng)信社雖然成立了縣級(jí)聯(lián)社，卻變成了農(nóng)業(yè)銀行的基層機(jī)構(gòu)。由于監(jiān)督約束機(jī)制不健全，農(nóng)信社貸款大量投放鄉(xiāng)鎮(zhèn)企業(yè)，增大了潛在的經(jīng)營(yíng)風(fēng)險(xiǎn)。

１９９６年至今，中國(guó)人民銀行托管時(shí)期。近年來，在中國(guó)人民銀行的托管下，農(nóng)信社通過加快改革和加強(qiáng)制度建設(shè)，取得了顯著成效。主要表現(xiàn)在：一是貸款投向發(fā)生了重大調(diào)整，農(nóng)業(yè)貸款比重明顯提高；二是貸款方式有了改進(jìn)，農(nóng)戶貸款面明顯擴(kuò)大；三是經(jīng)營(yíng)機(jī)制有了初步轉(zhuǎn)變，內(nèi)部管理逐漸規(guī)范。

中國(guó)農(nóng)信社向何處去

由于歷史包袱沉重等諸多原因，農(nóng)信社目前仍面臨著發(fā)展危機(jī)。在社會(huì)主義市場(chǎng)經(jīng)濟(jì)條件下，中國(guó)農(nóng)信社到底向何處去？

早在２０００年初，國(guó)家就在江蘇省進(jìn)行農(nóng)信社改革試點(diǎn)。從近年來農(nóng)信社改革試點(diǎn)方案以及試點(diǎn)情況來看，深化農(nóng)信社改革的主要內(nèi)容包括兩個(gè)方面：一是改革產(chǎn)權(quán)制度，完善法人治理結(jié)構(gòu)；二是改革管理體制，將信用社交由地方政府管理。

農(nóng)信社產(chǎn)權(quán)制度改革，其基礎(chǔ)工作是處理歷史遺留問題。根據(jù)農(nóng)信社實(shí)際情況，對(duì)資產(chǎn)大于負(fù)債的，其積累部分首先按規(guī)定提足股金分紅、應(yīng)付未付利息、各類保險(xiǎn)基金；其次按資產(chǎn)風(fēng)險(xiǎn)程度提取風(fēng)險(xiǎn)準(zhǔn)備金，作為信用社的附屬資本；仍有剩余的，可拿出一定比例對(duì)原有股金予以增值。對(duì)資不抵債但目前還難以撤銷的信用社，先用現(xiàn)有積累沖抵歷年掛賬虧損，其余部分落實(shí)經(jīng)營(yíng)責(zé)任，通過采取轉(zhuǎn)換機(jī)制、加強(qiáng)管理、政策扶持等多種措施逐步消化。同時(shí)，按照股權(quán)結(jié)構(gòu)多樣化原則，各地分別進(jìn)行產(chǎn)權(quán)改革試點(diǎn)。有條件的地區(qū)可以進(jìn)行股份制改造，對(duì)暫不具備條件的地區(qū)可以比照股份制原則，實(shí)行股份合作制。對(duì)股份制改造有困難而又適合搞合作制的，也可以進(jìn)一步完善合作制。在加快產(chǎn)權(quán)制度改革的同時(shí)，加大對(duì)高風(fēng)險(xiǎn)信用社進(jìn)行兼并和重組的步伐，對(duì)一些資不抵債的信用社，按照《金融機(jī)構(gòu)撤銷條例》予以撤銷。

農(nóng)信社管理體制改革，一個(gè)重要環(huán)節(jié)是將信用社交由省級(jí)政府負(fù)責(zé)。但對(duì)農(nóng)信社的監(jiān)管，仍由人民銀行、國(guó)家銀監(jiān)會(huì)與省級(jí)政府分工協(xié)作，各司其責(zé)。省級(jí)政府對(duì)信用社管理的主要職責(zé)是：督促信用社貫徹執(zhí)行國(guó)家金融方針政策，引導(dǎo)信用社堅(jiān)持為“三農(nóng)”服務(wù)的經(jīng)營(yíng)宗旨；指導(dǎo)本地區(qū)信用社加強(qiáng)自律性管理，督促信用社依法選舉領(lǐng)導(dǎo)班子和聘用主要管理人員；對(duì)今后發(fā)生的高風(fēng)險(xiǎn)機(jī)構(gòu)的處置，在省級(jí)政府承諾同意由中央財(cái)政從轉(zhuǎn)移支付中扣劃的前提下，中央銀行可以提供臨時(shí)支持；幫助信用社清收舊貸，打擊逃廢債行為，查處信用社各類案件，建立良好的信用環(huán)境，維護(hù)農(nóng)村金融秩序的穩(wěn)定。銀監(jiān)會(huì)作為國(guó)家銀行監(jiān)管機(jī)構(gòu)，承擔(dān)對(duì)信用社的金融監(jiān)管職能，主要是根據(jù)有關(guān)法律法規(guī)制定相應(yīng)的監(jiān)管制度和辦法；對(duì)審批機(jī)構(gòu)的設(shè)立、變更、終止及其業(yè)務(wù)范圍做出規(guī)定；進(jìn)一步做好信息統(tǒng)計(jì)和風(fēng)險(xiǎn)評(píng)價(jià)，對(duì)違法違規(guī)行為進(jìn)行查處；進(jìn)一步做好審查高級(jí)管理人員的任職資格等工作。

按照這一思路，２００３年８月，國(guó)家在浙江、山東、江西、貴州、吉林、重慶、陜西和江蘇８?jìng)€(gè)省市率先進(jìn)行農(nóng)村信用社改革試點(diǎn)。為了使信用社改革試點(diǎn)順利進(jìn)行，國(guó)家以補(bǔ)貼、稅收、資金等多種方式給予諸多政策支持。國(guó)家資金支持采取兩種方式：一種是由人民銀行按照２００２年底實(shí)際資不抵債數(shù)額的５０％，安排專項(xiàng)再貸款；一種是人民銀行按２００２年底實(shí)際資不抵債數(shù)額的５０％，發(fā)行專項(xiàng)中央銀行票據(jù)，用于置換信用社的不良貸款。上述兩種方式可由試點(diǎn)地區(qū)自主選擇，具體辦法由人民銀行另行規(guī)定。

在改革試點(diǎn)的推動(dòng)下，２００４年第二季度以來農(nóng)信社資金運(yùn)營(yíng)狀況開始好轉(zhuǎn)。到２００４年底，全國(guó)農(nóng)信社各項(xiàng)存款余額已達(dá)２７８４．９７億元，全國(guó)農(nóng)信社包括農(nóng)村商業(yè)銀行、農(nóng)村合作銀行全行業(yè)１０年來首次實(shí)現(xiàn)統(tǒng)算盈余。

走向新生需要艱難探索

回顧改革歷程，我國(guó)近年來雖然加大了農(nóng)信社改革力度，但目前在總體上仍沒有改變其發(fā)展弱化的狀況。新一輪改革盡管力度很大，但農(nóng)信社畢竟是我國(guó)農(nóng)村改革中的一個(gè)薄弱環(huán)節(jié)，走向新生要有一個(gè)艱難探索的過程。當(dāng)前要特別注重幾個(gè)關(guān)鍵問題。

注重制度建設(shè)。農(nóng)信社發(fā)展面臨的一系列難題，除部分政策性因素外，根源還在于農(nóng)信社缺乏嚴(yán)格有效的制度約束。這次改革突出了制度建設(shè)，加強(qiáng)了對(duì)農(nóng)信社員工的培訓(xùn)教育，從而使農(nóng)信社改革和發(fā)展的每一步都沿著法制化軌道穩(wěn)步推進(jìn)。目前，制度建設(shè)應(yīng)把重點(diǎn)放在建立健全財(cái)務(wù)會(huì)計(jì)制度上。在加快改革中，隨著省級(jí)信用聯(lián)社、農(nóng)村合作銀行等新型金融組織形式的出現(xiàn)，農(nóng)信社如不及時(shí)建立和完善財(cái)務(wù)會(huì)計(jì)制度，勢(shì)必造成財(cái)會(huì)行為失范，危及地區(qū)金融穩(wěn)定。同時(shí)，要盡快建立健全內(nèi)部控制制度。內(nèi)部控制制度是為

實(shí)現(xiàn)單位運(yùn)營(yíng)效率效果、財(cái)務(wù)報(bào)告的可靠性等目標(biāo)，由單位理事層、經(jīng)理層和其他員工共同實(shí)施的，包括控制環(huán)境、風(fēng)險(xiǎn)評(píng)估、信息溝通和監(jiān)督等在內(nèi)的風(fēng)險(xiǎn)防范體系。

注重體制創(chuàng)新。經(jīng)濟(jì)合作制曾是近代不少人士實(shí)現(xiàn)均貧富理想的選擇。１９世紀(jì)３０—５０年代，在歐文的倡導(dǎo)及實(shí)踐下，歐美的金融信用類合作社曾有過較快的發(fā)展。１９９４年底，全世界還有５．５萬家金融類合作社，其中美國(guó)有１．１萬多家，一般由同一企業(yè)員工集資組成，有些也由當(dāng)?shù)毓?huì)、教堂或退休人員協(xié)會(huì)發(fā)動(dòng)各自成員參加，資金以內(nèi)部調(diào)劑為主，只求保本運(yùn)作。借鑒發(fā)達(dá)國(guó)家的經(jīng)驗(yàn)教訓(xùn)，今后我國(guó)農(nóng)信社在改革方向上要繼續(xù)堅(jiān)持合作制原則，主要發(fā)展具有內(nèi)部互助性質(zhì)的社區(qū)性金融合作組織，一些基層社及縣級(jí)社將來也可以發(fā)展為帶有合作性質(zhì)的股份制中小銀行，與其他金融機(jī)構(gòu)一起，服務(wù)于本地域的經(jīng)濟(jì)發(fā)展。

注重整體推進(jìn)。農(nóng)信社改革是一項(xiàng)系統(tǒng)工程，如果單兵深入，是很難成功的，也很難滿足農(nóng)村多樣化的金融需求。當(dāng)前，在加快農(nóng)信社發(fā)展的同時(shí)，增強(qiáng)農(nóng)業(yè)發(fā)展銀行為“三農(nóng)”服務(wù)的功能，鼓勵(lì)其他商業(yè)銀行為農(nóng)村發(fā)展服務(wù)，已經(jīng)成為重構(gòu)農(nóng)村金融體系的緊迫任務(wù)。國(guó)家應(yīng)通過建立和完善農(nóng)村金融市場(chǎng)，整合對(duì)農(nóng)村的資金投入，加大對(duì)農(nóng)村公共品的投入力度。除此之外，中央財(cái)政和省級(jí)財(cái)政應(yīng)運(yùn)用補(bǔ)償性財(cái)政支出，向承擔(dān)政策性金融業(yè)務(wù)的農(nóng)村金融機(jī)構(gòu)提供貼息資金和呆賬損失補(bǔ)償，用少量的財(cái)政補(bǔ)貼引導(dǎo)社會(huì)資金流向農(nóng)業(yè)和農(nóng)村。

（作者烏東峰，求索雜志主編、博士生導(dǎo)師；王國(guó)平，湖南大學(xué)教授）