硕士学位论文-系统功能语言学下的国际商务合同翻译.doc

A SystemicFunctional Approach to the Translation of International Business Contracts 上海海事大学SHANGHAI MARITIME UNIVERSITY硕 士 学 位 论 文MASTER DISSERTATION论文题目：系统功能语言学下的国际商务合同翻译 学科专业： 外国语言学及应用语言学 作者姓名： 燕 阿 琴 指导教师： 瞿宗德 副教授 完成日期： 二九年 六 月 52论文独创性声明本人声明所呈交的论文是我个人在导师指导下进行的研究工作及取得的研究成果。论文中除了特别加以标注和致谢的地方外，不包含其他人或其他机构已经发表或撰写过的研究成果。其他同志对本研究的启发和所做的贡献均已在论文中作了明确的声明并表示了谢意。作者签名： 日期： 论文使用授权声明本人同意上海海事大学有关保留、使用学位论文的规定，即：学校有权保留送交论文复印件，允许论文被查阅和借阅；学校可以上网公布论文的全部或部分内容，也可以采用影印、缩印或者其他复印手段保留论文。保密的论文在解密后遵守此规定。作者签名： 导师签名： 日期：A Systemic-Functional Approach to International Business Contracts TranslationBy Yan AqinUnder the Supervision of Professor Qu ZongdeA Thesis Submitted to the College of Foreign Languages of Shanghai Maritime Universityin Partial Fulfillment of the Requirements for the MA DegreeShanghai Maritime UniversityJune, 2009AcknowledgementsFirst of all, I would like to take this opportunity to express my sincere gratitude to my supervisor, Associate Professor Qu Zongde, for his unselfish care and support to me during the two short but unforgettable years of postgraduate life in Shanghai Maritime University. Mr. Qu not only taught me how to choose the thesis topic and approach it, but also gave me a lot of suggestions and help during the preparation and writing stages of this thesis. Without him, this thesis would never be possible. Secondly, my sincere thanks go to Professor Zheng Lixin, Professor Wang Dawei and Professor Han Zhonghua for their enlightening lectures and bright style. I would also like to express my hearty thanks to all the other professors and teachers in Shanghai Maritime University. They are all respectable teachers for their erudition and kindness.Finally, I would like to dedicate this thesis to my dear parents and the other family members who have always been encouraging and supporting me. Without their unselfish help and care, I would never be where I am today. 摘 要 本论文是从系统功能语言学角度出发，结合大量实例分析国际商务合同的翻译。 随着中国的改革开放及成功加入世贸组织，中国与世界各国之间的合作日益频繁，贸易往来越来越密切。其中，合同是必不可少的一部分。合同是具有法律约束力的协议，是为了规定合同各方的权利和义务而书写的。这里所指的国际商务合同是指中国与某一外国企业因商务往来而签订的合同。合同一方为中方，另一方为外国参与者。国际商务合同翻译的好坏直接影响到双方贸易往来的质量。因此，具有十分重要的作用。这要求国际商务合同的翻译者不仅要具有良好的语言素质，还要对国际商务业务知识十分了解才行。任何方面的知识欠缺，都会影响到翻译质量。 系统功能语言学派是当今世界上主要的语言学派之一，由韩礼德（M.A.K.Halliday）于上世纪60年代末创立。韩礼德不但继承和发展了伦敦学派（the London School）奠基人弗斯（John Rupert Firth）的思想，还构建了自己的一套语言学理论。系统功能语言学包括两个部分：系统语法和功能语法。这两个语法相互联系，不可分割。概念功能、人际功能以及语篇功能构成了成人语言的纯理功能。概念功能主要由及物性系统来体现；人际功能主要由语气系统、情态系统和语调系统来体现,语篇功能由主位结构、信息结构和衔接来体现。三大纯理功能对语言的分析和研究具有重要的意义。情景语境理论是系统功能语言学的一个重要部分，包含三个情景因素：语场、语旨、语式。这三个变量也是相互关联的，其中一个发生变化时可引起其它两项的改变。它们分别制约着概念功能、人际功能以及语篇功能的实现。由于语境的因素，具体语言中的三大纯理功能会优先体现其中的某一种。在翻译的过程中，译文必须在最大程度上传译原文相应的功能。全文共分为六章。第一章为文献综述。首先介绍了国内商务合同的研究历史，归纳了在翻译时常见的错误及原因，并介绍了不同研究人员对合同翻译提出的标准；同时，也相应介绍了系统功能语言学在中国的发展研究和应用。第二章为对国际商务合同的研究，说明了合同的定义、种类并分析了其文体特征。第三章为理论框架。主要介绍系统功能语言学理论的三大纯理功能（概念功能、人际功能、语篇功能）与情景语境（语场、语旨、语式）。第四章是结合三大纯理功能分别分析了国际商务合同的翻译。第五章则是根据情景语境中的语场、语旨、语式来分析国际商务合同的翻译，通过实例分析，与概念功能、人际功能以及语篇功能对应地进行理解与分析，从而让原文与译文在同样的情景语境中实现功能上的对等。第六章为总结部分。关键词：系统功能语言学；纯理功能；情景语境；国际商务合同 ABSTRACTThis thesis is to make an analysis of the translation of international business contracts from the perspective of Systemic-Functional Linguistics with a vast number of examples. With Chinas reform, opening up and entry into the WTO, cooperation between China and the other countries is increasingly close and Sino-foreign trades become more frequent, whereas contract is an indispensable part. As an agreement with legal binding force, the word contract means specifying the obligations and rights of the contracting parties. In this thesis, international business contracts are contracts made by and between China and a foreign country for business or trade. One contracting party is a Chinese company; the other is a foreign participant or participants. The translation of international business contracts is of great importance as it directly influences the business relationship between the contracting parties. The successful translation of business contracts requires the translators proficiency in the languages involved and extensive knowledge in foreign trade as well as relevant business. Any fault may affect the translation quality.Systemic-Functional Linguistics (SFL) is one of the most influential linguistic theories in the studies of language. It was founded by M.A.K. Halliday in the late 1960s. Halliday not only inherited and developed the thoughts of John Rupert Firth, the founder of the London School, but also created his own system of linguistic theory. SFL consists of two parts: systemic grammar and functional grammar. The two are interrelated with and inseparable from each other. Ideational function, interpersonal function and textual function together comprise the three metafunctions in adults language. Ideational function is mainly realized by transitivity system; interpersonal function is mainly realized by mood, modality and intonation systems, and textual function, by theme structure, information structure and cohesion. The three metafunctions are significant in the analysis of and research on language. Context of situation is an important part in SFL. There are three variables in a situational context: field, tenor and mode. The three variables are also interrelated with each other. Any change of one variable may result in change of the other two. Respectively, they restrict the realization of ideational function, interpersonal function and textual function. Due to context of situation, one of the three metafunctions may be prominent in a certain language. In translation, the target text should also represent the corresponding function to the largest extent. There are six chapters in this thesis. Chapter one is the literature review of various studies on business contracts by different scholars in China, the problems in the translation of business contracts as well as the translation criteria. Besides, the studies and applications of SFL in China are also discussed. Chapter two is the studies on international business contracts in the aspects of definitions, categories and stylistic features. Chapter three is the theoretical framework. It mainly deals with the three metafunctions (ideational function, interpersonal function and textual function) and context of situation (field, tenor and mode) in SFL. Chapter four makes an analysis of the translation of international business contracts based on the three metafunctions. Chapter five makes an analysis of contracts translation based on field, tenor and mode respectively, and with many examples as a support, points out that ideational function, interpersonal function and textual function can be achieved in versions through the reproduction of the three variables. Chapter six is a conclusion. KEYWORDS: Systemic-Functional Linguistics; Metafunctions; Context of Situation; International Business Contracts ContentsAcknowledgementsI摘 要IIABSTRACTIVIntroduction1Chapter One Literature Review31.1 Review of Studies on Business Contracts in China31.2 Review of Studies on and Applications of SFL in China4Chapter Two Studies on International Business Contracts62.1 Definition of Contract62.2 Categories of International Business Contracts62.3 Stylistic Features of International Business Contracts72.3.1 Lexical Features of International Business Contracts82.3.1.1 Technical Terms82.3.1.2 Archaisms82.3.1.3 Usage of Shall102.3.1.4 Usage of Synonyms102.3.2 Syntactic Features of International Business Contracts112.3.2.1 Long and Complex Sentences112.3.2.2 Passive Voice122.3.2.3 Declarative Sentences122.3.3 Textual Features of International Business Contracts132.3.3.1 Formality and Preciseness of International Business Contracts132.3.3.2 Cohesion in International Business Contracts13Chapter Three Theoretical Framework143.1 Introduction to SFL143.2 Three Metafunctions in SFL143.2.1 Ideational Metafunction153.2.1.1 Transitivity153.2.1.1.1 Material Process153.2.1.1.2 Mental Process163.2.1.1.3 Relational Process163.2.1.1.4 Behavioural Process173.2.1.1.5 Verbal Process173.2.1.1.6 Existential Process173.2.1.2 Voice183.2.2 Interpersonal Metafunction183.2.2.1 Mood183.2.2.2 Modality183.2.2.3 Evaluation193.2.3 Textual Metafunction193.2.3.1 Theme System193.2.3.2 Cohesion203.2.3.2.1 Grammatical Cohesion213.2.3.2.2 Lexical Cohesion223.3 Context of Situation23Chapter Four Translation Based on Three Metafunctions244.1 Translation in Relation to Ideational Function244.1.1 Transitivity System244.1.1.1 Material Process244.1.1.2 Mental Process254.1.1.3 Relational Processes264.1.2 Voice274.2 Translation in Relation to Interpersonal Function284.2.1 Mood284.2.2 Modality294.2.2.1 Modalization294.2.2.2 Modulation304.2.3 Evaluation314.3 Translation in Relation to Textual Function324.3.1 Theme System324.3.1.1 Simple Theme334.3.1.2 Multiple Theme334.3.1.3 Patterns of Thematic Progression in Textual Analysis334.3.2 Cohesion354.3.2.1 Grammatical Cohesion354.3.2.1.1 Reference354.3.2.1.2 Ellipsis364.3.2.1.3 Substitution374.3.2.1.4 Conjunction384.3.2.2 Lexical Cohesion394.3.2.2.1 Repetition394.3.2.2.2 Synonymy/Antonymy414.3.2.2.3 Collocation42Chapter Five Translation Based on Context of Situation435.1 Field435.2 Tenor445.3 Mode46Chapter Six Conclusion48Bibliography49IntroductionWith the development of economic globalization, international business among countries has become dramatically frequent and popular. China, since its entry into the WTO, has played an increasingly important role in the international market. Contracts are indispensable part in international business transactions. International business contracts are contracts made by contracting parties from two or more countries. According to different fields of trade, international business contracts can be categorized into different types. However, they have much in common. They are all legal documents which specify the obligations and rights of the parties concerned. International business contracts are also called contracts involving foreign interests. Generally speaking, the languages of international business contracts in China are English and Chinese. E-C and C-E translation of international business contracts are equally important. Any failure in the translation may result in disputes between or losses of the contracting parties. Therefore, translators play a very important role in the process of international business. There are many aspects in the translation of international business contracts which deserve translators attention. First, international business contracts have their own stylistic features. For example, there are many technical terms, archaisms, loanwords and long and complex sentences in international business contracts. Therefore, translators should be proficient in both the source language and the target language, especially in the style of the type of texts. Second, international business contracts belong to legal documents which have binding force to the parties, and involve specific know-how. Therefore translators should have a sound understanding of the process of international business and have extensive knowledge in law as well as the relevant technology. This thesis is a study of the translation of international business contracts from the perspective of SFL. Since SFL emphases the study of live language and context analysis, it is a suitable theory for the research on the translation of international business contracts.SFL was mainly developed by M.A.K Halliday in the late 1960s. It is one of the most influential theories of linguistics in the world. According to Halliday, language is a “system of meaning”. There are three metafunctions in adults language: ideational function, interpersonal function and textual function. As already said, the three are equally important and inseparable aspects of meaning of language. In the translation of international business contracts, translators should try to achieve functional equivalence in the three metafunctions between the source language and the target language. However, it is really difficult to realize equivalence in all the three metafunctions in the practical translation. That is because the meaning of a certain language is subject to the social and cultural context of situation which the language belongs to, and the three metafunctions in a text will alter when it is translated from one language into another. “Context of situation” was first proposed by Malinowski in the 1920s. In his The Meaning of Meaning, linguistic context is divided into two categories: context of culture and context of situation. Context of culture is a general and abstract concept, while context of situation is much more concrete and specific. In the 1940s, Firth, a student of Malinowski, further developed the theory. According to Firth, there are two types of contexts: co-text and situational context. The first occurs within the linguistic factors and the second is from the outside world. After Firth, Halliday proposed register theory, which is an inseparable part of SFL. The three variables- field of discourse, tenor of discourse and mode of discourse together determine the usage of language. According to SFL, language is a meaning potential and the three metafunctions are determined by context of situation. To be specific, field of discourse determines the ideational function, tenor of discourse determines the interpersonal function and mode of discourse determines the textual function. This thesis is going to analyze the translation of international business contracts from the perspective of the three metafunctions and context of situation in the following chapters. Chapter One Literature ReviewThis chapter is the literature review of studies on both business contracts and SFL in China. 1.1 Review of Studies on Business Contracts in China The contract is an inseparable part in the international business activities. The studies of international business contracts have extended into many aspects such as the theoretical studies, translation studies and practical studies. Here the author gives a brief introduction to both the linguistic and translation studies of business contracts. About linguistic studies, international business contracts have their unique features. Many scholars and those dealing with international business activities have put forth their points of view. Che Lijuan and Jia Xiumei (车丽娟、贾秀梅，2007) hold that the words in business contracts are professional, accurate and formal while the structures are precise and the sentences are long and complex. According to Liao Ying and Mo Zaishu (廖瑛、莫再树，2007), contractual language belongs to legal language. The wording is formal; the mood is solemn; the structure is strict, neat and highly logical. Xie Jianping (谢建平，2008) deems that the stylistic features of business contracts are prominent in the usage of technical terms, pairs of synonyms, archaisms and loan words. As far as mood is concerned, Jiang Yu (姜煜，1995) considers that legal English is characterized by declarative sentences. There are no interrogative sentences because legal documents are written to specify what the contracting parties should do rather than raise questions for negotiation. The type of sentences tends to be complete, and elliptical sentences are abandoned. When it comes to the structure of a contract, Fan Weixiang (范文祥，2007) points out that a complete English contract is generally composed by four parts: Title, Recitals, Terms and Conditions as well as Final Clauses. Increasing attention has been given to the translation studies of business contracts in recent years. The translation of business contracts is a significant part in international business activities. The translation quality directly influences the interests of the parties concerned. Due to various reasons, there are still many problems in the translation of business contracts. Jin Chaowu and Hu Aiping (金朝武、胡爱平，2000) initially point out the problems arising in legal translation recently in China. They are as follows: (1) error in spelling and grammar; (2) improper omission and amplification resulting from mechanical translation; (3) incorrectness in the translation of technical terms; (4) inappropriate style in the target language; (5) incompleteness in understanding the original language; (6) the translators disqualification in language capabilities and (7) mistakes resulting from diversity in legal cultures. Varied translation principles are proposed by different scholars. Hu Gengshen（胡庚申等, 2003:228-244）lists two criteria in contractual translation: (1) faithfulness and accuracy; (2) expressiveness and smoothness. He also proposes four requirements for contracts translators. Firstly, translators should have a sense of responsibility. Secondly, translators should have bilingual proficiency. Thirdly, translators should have necessary knowledge of the subject matter. Fourthly, translators should have theory and practice of translation. Qiu Guixi (邱贵溪，2000) puts forward five principles of the translation of legal documents: (1) the principle of using solemn words; (2) the principle of accuracy; (3) the principle of preciseness; (4) the principle of consistent in terminology and (5) the principle of using technical terms. Li Boyang (李波阳，2005:177) notes that generally speaking, the premise of business contracts translation should be “faithful to the original language”. Any am