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On Science Fiction Translation with

Functional Equivalence

--A Case Study of The Three-Body

Problem

By

Yu Shuai

Advisor: Associate Prof. Ge Lin

School of International Studies

University of International Business and Economics

November 2016

i

Acknowledgements

First of all, I would like to extend my sincere gratitude to my supervisor Ge,Lin, for

her instructive advice and useful suggestions on my thesis. I am deeply grateful of her help

in the completion of this thesis. She has walked me through all the stages of the writing of

this thesis. Without her encouragement and guidance, this thesis could not have reached its

present form.

I am also deeply indebted to all the other teachers in school of international studies, for

their direct and indirect help to me.

ii

摘要

中国文学要把中国文化的精品翻译成世界上的主要文字—英语，使它在世界范

围拥有更广泛的读者群体。现代中国科幻小说作家刘慈欣的作品《三体》极具代表

性，其英译本斩获科幻小说最高奖--项雨果奖。该作品出版以来受到了广泛关注，

并得到极高的评价。译者刘宇昆在翻译过程中其主动传播的姿态和灵活的翻译策略

即显现了文化异质性，又极具欣赏性。对于不熟悉中国历史文化且意识形态不同的

西方读者，如何接受这部作品的是值得关注的。本文以对等原则为视角，以读者反

应为参照，以小说《三体》及其译本为例，评析功能对等原则下的翻译过程和翻译

效果。

首先，笔者在第一章概述了选题的研究意义，以及论文基本构成。于第二章介

绍了科幻小说的定义和类型，以及在中外的发展，接下来介绍近代科幻小说翻译研

究现状，之后介绍了中文作品的英译成果。翻译理论方面，笔者简述了奈达的功能

对等理论。同时介绍了读者反应理论在翻译研究中的价值。在第三章，笔者从特殊

修辞手法、中国历史文化内容、科学内容、文化冲突四个方面分析了译者采取的翻

译策略，以及翻译标准。并于第四章对比了中美读者的书评，从读者评价角度辨析

译介效果，发现中美读者对小说的理解和欣赏十分一致。由此体现出功能对等的达

成情况。

最后笔者得出结论：翻译的策略和方法不应该是一成不变的。最恰当的翻译策

略是根据不同的文本类型、翻译目的和读者对象来制定，多元互补、量体裁衣、灵

活处理。这样才能满足翻译的实际需求。译者需要浸染在目标语文化系统当中，充

分了解当前译语读者的兴趣所在、解读能力和意识形态。向西方读者展现中国文化

做出努力。

关键词：科幻小说，功能对等，读者反映

iii

Abstract

It is necessary to translate classic Chinese literary works English, to attract readers

worldwide. The Three-Body Problem is the most representative work of this kind, the

English version of which won Hugo Award, the highest award in science fiction. The

translator Liu Yunkun adopted a flexible translation strategy that reflects the cultural

heterogeneity and adds literary flavor to the target text. So how would the westerners who

are not familiar with Chinese history, culture and ideology accept this work? In this paper,

the author takes The Three-Body Problem and its English version as examples to analyze

the translation process and effect guided by the concept of functional equivalence.

In the first chapter, the subject and structure of this paper are briefly introduced. In the

second chapter, the definition and classification of the science fiction, as well as its

development in China and abroad are introduced, followed by the introduction to the status

quo of research in science fiction translation. In terms of the translation theory, Nida\'s

functional equivalence theory is briefly described. The value of readers\' response in

translation studies is also introduced. In the third chapter, the author analyzed the

translation strategies adopted by the translator and translation criteria from perspectives of

special rhetoric devices, Chinese history and culture, scientific contents and cultural

conflicts. Later, the author analyzed the translation effect by comparing comments from

American readers and Chinese readers, and found their comments are highly consistent.

In the last chapter, the author reaches the following conclusion: Translation strategies

to be adopted should be ed based on the text type, purpose of translation and target

readers in a complementary and flexible manner. The translators need to put themselves in

the target language culture to fully understand the interests, decoding capability and

ideology of target readers. Translators should endeavor to transmit Chinese culture to the

west so as to fulfill the mission of introducing Chinese culture and civilization to the world.

Keywords: science fiction, functional equivalence, readers\' response

iv

CONTENTS

Acknowledgement

...........................................................................................................i

Abstract in Chinese

........................................................................................................ii

Abstract in English

........................................................................................................iii

Chapter One INTRODUCTION

...............................................................................1

1.1 Need for the Study.......................................................................................................1

1.2 Structure of the Thesis.................................................................................................2

Chapter Two Literature Review

...............................................................................4

2.1 Science Fiction.............................................................................................................4

2.1.1 Definition............................................................................................................4

2.1.2 Science Fiction in China and Abroad.................................................................5

2.2 Science Fiction Translation in China and Abroad………………………………...…6

2.3 Research on Translation of The Three-Body Problem…………………………….....9

2.4 Functional Equivalence...............................................................................................10

Chapter Three Functional Equivalence in the Translation of The Three-

Body Problem

...................................................................................................................14

3.1 Rhetorical Expressions..............................................................................................15

3.2 Chinese History and Culture.....................................................................................17

3.3 Scientific Elements....................................................................................................21

3.4 Cultural Conflicts between the east and the west......................................................26

Chapter Four Functional Equivalence from a Social Investigation

………31

Chapter Five Conclusion

…………………………………………………………….38

REFERENCES

...............................................................................................................41

1

Chapter One

INTRODUCTION

1.1 Need for the Study

Over these years, a large number of foreign literary works have been translated

Chinese, but fewer Chinese literary works have been translated foreign languages.

China, as a country full of magnificent culture, has been perplexed with the long-standing

“gap” in cultural import and export. To implement the strategy of “going out”, it is

necessary to translate classic Chinese literary works English, the most popular

language in the world, to attract readers worldwide.

The Three-Body Problem coming from a contemporary Chinese science fiction writer

Liu Cixin is the most representative work of this kind, the English version of which won

Hugo Award, the highest award in science fiction. The work has been attracting great

attention since its publication, and been highly praised.

China has a history of more than 5000 years. The cultural system of China has

remained uninterrupted throughout the history, despite of the change of dynasties during

the past 2000 years. This is unique in human history. With strong vitality, Chinese culture

is capable of assimilating and integrating foreign cultures and fostering cohesion beyond

borders. Moreover, Chinese culture is “people” centered, with distinct humanistic

characteristics. In this cultural context, science fiction works written by Chinese people are

quite different from those written by westerners in terms of form and contents. Most

science fiction works from hands of westerners describe protagonists, individualistic

heroism or big wars.

In The Three-Body Problem, the main character is human, more precisely, human

civilization. It exists under certain circumstances as a symbol of humanity. The work has a

grand setting, profound meaning and a long time span. So how would the westerners who

are not familiar with Chinese history, culture and ideology accept this work? The

2

contribution of the translator Liu Yunkun is non-negligible. He adopted a flexible

translation strategy during translation that reflects the cultural heterogeneity and at the same

time, adds literary flavor to the target text. After reading a lot of online reviews and

readers’ opinion, the author thought maybe some research can be done by comparing the

way of how English readers and Chinese readers appreciate the text in their respective

language.

1.2 Structure of the Thesis

In this paper, the author takes The Three-Body Problem and its English version as

examples to analyze the translation process and effect guided by the concept of functional

equivalence. First, the definition and classification of the science fiction, as well as its

development in China and abroad are introduced, followed by the introduction to the status

quo of research in science fiction translation. Later, existing research on translations of The

Three-Body Problem are introduced. In terms of the translation theory, Nida\'s functional

equivalence theory and its important role in helping translators address language issues are

briefly described. The value of readers\' response in translation studies is also introduced.

In the next chapter, examples for elements including Chinese history, special

rhetorical methods, conflict of culture, and science are given to illustrate the translation

strategies adopted based on the principle of functional equivalence and the criteria for using

different strategies. In chapter four, the author collect reader’s reviews from major media,

summarized and analyzed these materials. Then compare the reviews both of Chinese

readers and western readers, and summarize in terms of subject, history and culture,

dialogue, science, character, narrative, hoping to better support the analysis from the

perspective of functional equivalence.

In the last chapter, a reasonable translation strategy, as well as the importance of

functional equivalence are proposed. The process of communication between English and


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