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An uncommon construction in Chinese legal language

23 January 2016

The following unusual grammatical construction, virtually ignored by conventional grammars, came to my attention when I was translating a Chinese real-estate sales contract recently. It's exemplified in the underlined portion of the following sentence:

买受人未按照补充协议约定的时间付款的,按照下列方式处理:
Mǎishòurén wèi ànzhào bǔchōng xiéyì yuēdìng de shíjiān fùkuǎn de, ànzhào xiàliè fāngshì chǔlǐ:

'Where the purchaser fails to pay according to the time stipulated in the supplementary agreement, this shall be dealt with in the following manner:'

In this construction, the underlined clause concludes with the particle de, which here has a meaning and usage generally corresponding to 'when' or 'if' in English.

de isn't conventionally treated as a conjunction in Chinese and two possible sources of this usage can be surmised:

    1) An abbreviation of the colloquial expression 的话 de huà, meaning 'if'.

    The completely literal meaning of 的话 de huà is 'talk of' (with 'talk' as a noun), and the clause can be directly translated as 'talk of the purchaser failing to pay according to the time stipulated in the supplementary agreement'. 的话 de huà functions as a kind of conjunction -- it's classed in Li and Thompson as a 'forward-linking element in clause-final position' -- but is a relatively informal expression and not always considered suitable for very formal prose. It's possible that the use of de is a result of dropping huà in an effort to make the construction less colloquial.

    2) A combination of two very common phenomena in Chinese grammar: "nominalisation" and "topicalisation".

    Under this interpretation, the clause ending in de is a nominalised clause, with the meaning 'a situation where (xxxx)', which then forms the topic of the larger sentence. The remainder of the sentence is a comment on this topic.

a) Abbreviation of 的话

Under the 的话 de huà interpretation, the sentence above can be understood as a more refined way of saying:

买受人未按照补充协议约定的时间付款的话,按照下列方式处理:
Mǎishòurén wèi ànzhào bǔchōng xiéyì yuēdìng de shíjiān fùkuǎn de huà, ànzhào xiàliè fāngshì chǔlǐ:

'If the purchaser fails to pay according to the time stipulated in the supplementary agreement, this shall be dealt with in the following manner:'

A more common way of expressing a condition without using colloquial 的话 de huà is to use , 如果 rúguǒ, or ruò, all meaning 'if' and placed at the start of the clause:

如果买受人未按照补充协议约定的时间付款,按照下列方式处理:
Rúguǒ mǎishòurén wèi ànzhào bǔchōng xiéyì yuēdìng de shíjiān fùkuǎn, ànzhào xiàliè fāngshì chǔlǐ:

'If the purchaser fails to pay according to the time stipulated in the supplementary agreement, this shall be dealt with in the following manner:'

如果 rúguǒ and 的话 de huà can also be used together, e.g.:

如果买受人未按照补充协议约定的时间付款的话,按照下列方式处理:
Rúguǒ mǎishòurén wèi ànzhào bǔchōng xiéyì yuēdìng de shíjiān fùkuǎn de huà, ànzhào xiàliè fāngshì chǔlǐ:

'If the purchaser fails to pay according to the time stipulated in the supplementary agreement, this shall be dealt with in the following manner:'

Interestingly, there is one example in the sales contract where 'if' is found paired with ...的 ...de. This example also features an additional embedded phrase of causation ('due to causes on the vendor's part'):

因出卖人自身原因未如期将与本房屋相关的户口迁出,应当向买受人支付房屋总价款5%的违约金...
yīn chūmàirén zìshēn yuányīn wèi rúqí jiāng yǔ běn fángwū xiāngguān de hùkǒu qiānchū de, yīngdāng xiàng mǎishòurén zhīfù fángwū zǒngjiàkuǎn 5% de wéiyuē jīn...

'If the vendor fails to remove household registration from the Premises on schedule due to causes on the vendor's part, the vendor shall pay to the purchaser a penalty of 5% of the total price of the premises.'

In this sentence, either 'if' or ...的 ...de could be left out without affecting the meaning. This example does suggest that the ...的 ...de construction is an abbreviation of 的话 de huà.

b) Nominalisation plus topicalisation

The other explanation involves nominalisation of the underlined clause, which then serves as the topic of the sentence.

Nominalisation is a grammatical process whereby a verb, a verb phrase, a sentence, or a portion of a sentence including the verb, is made to function as a noun phrase (Li and Thompson). In Chinese, this involves placing the particle de after the constituent in question. In this case, the constituent is the following complete sentence:

买受人未按照补充协议约定的时间付款(的)。
Mǎishòurén wèi ànzhào bǔchōng xiéyì yuēdìng de shíjiān fùkuǎn (de).

'The purchaser has not paid according to the time stipulated in the supplementary agreement.'

"Nouns" that result from adding de to an adjective, verb, or sentence show varying degrees of specificity in terms of what is being referred to. For example, in the following exchange, the understood referent is clearly "a cat":

“你想买什么样的猫?” “我想买黑的。”
"Nǐ xiǎng mǎi shénme yàng de māo?" "Wǒ xiǎng mǎi hēi de"

'"What kind of cat do you want to buy?" "I want to buy a black one"'

In the following sentence, the referent is less clearly differentiated and can be understood generally as "a thing" (东西 dōngxi):

“你想买什么?” “我想买吃的。”
""Nǐ xiǎng mǎi shénme?" "Wǒ xiǎng mǎi chī de"

'"What do you want to buy?" "I want to buy something to eat."'

Our example sentence refers to an even more abstract entity; it can be understood as referring to an overall situation (情况 qíngkuàng 'situation', 事宜 shìyì 'matter', etc.). There's no set way of rendering this kind of nominalisation in English; it can best be understood as 'a situation where'.

Topicalisation: Topic is an important feature of Chinese, to the extent that it is described as a 'topic-prominent language'. The topic of a sentence -- what the sentence is about -- is the element that occurs at the start of the sentence. The rest of the sentence is understood as a 'comment' on the topic.

The topic-comment nature of Chinese overshadows the more familiar subject-predicate of Western grammar. The topic of the sentence may be the subject of the verb, or it may be the object, direct object, or other element of the sentence. A sentence like this (from Wiedenhof):

奴隶卖
núlì mài

'(Literally) 'Slave sell''

does not automatically fall into a subject-verb construction of the type that is normal in English, i.e., 'The slave sells [it]'. It could also mean '[We/they etc.] will sell the slaves' ('slave' as object) and '[We/they etc.] are selling to the slaves' ('slave' as indirect object).

This phenomenon is treated differently by different grammarians. Li and Thompson distinguish between the concept of TOPIC and categories like SUBJECT or OBJECT. An element can be the TOPIC of a sentence without being the SUBJECT. In the sentence above, 奴隶 núlì 'slave' is the TOPIC of the sentence, but could be either the SUBJECT or OBJECT of the verb mài 'to sell'.

On the other hand, Wiedenhof follows Y.R. Chao in treating 奴隶 núlì 'slave' in all cases as the SUBJECT of the sentence. In this treatment, TOPIC and SUBJECT are one and the same thing. The SUBJECT-cum-TOPIC may have different interpretations (e.g., agent, patient, etc.), but these are semantic categories, not grammatical ones.

In English, the concept of topic can be expressed using a paraphrase like 'as for'. The two sentences above become 'As for slaves, selling takes place'. In both sentences 奴隶 núlì is the SUBJECT, and the difference in meaning is simply a difference in reading.

Applied to our example sentence, the two possible analyses are as follows:

    As for the situation where the purchaser does not pay according to the time stipulated in the supplementary agreement, [one, we, etc.] shall deal with [it] in the following manner: (TOPIC and SUBJECT distinguished)

    As for the situation where the purchaser does not pay according to the time stipulated in the supplementary agreement, dealing in the following manner shall take place: (SUBJECT not distinguished from TOPIC)

As we've noted elsewhere, it's common in Chinese to use an active verb without an explicit subject. In such cases the subject is understood. For example, the main verb in the above sentence is 处理 chǔlǐ 'deal with' in the active voice, with no subject specified. In English, a verb like this without a subject will be generally found in the passive, i.e., 'be dealt with'. Accordingly, this sentence is better rendered in English with the passive:

    As for the situation where the purchaser does not pay according to the time stipulated in the supplementary agreement, [it] shall be dealt with in the following manner:

One characteristic of the topic in Chinese is that it is either definite (referring to something the speaker already knows about) or generic (belonging to a class of entities in general). For instance:

狗我已经看过了
gǒu wǒ yǐjīng kàn-guo le

'I have already seen the dog/dogs.'

The topic can't refer to something indefinite, as in 'I have seen a dog'.

In the case of a conditional ('if the purchaser does not pay according to the time stipulated in the supplementary agreement'), the definite interpretation is possible from the context, which specifically indicates the possibility of the purchaser failing to pay.

Other examples

There were a total of 15 instances of this constructions in the housing sale contracts I translated. Some examples follow.

1. This is a relatively simple, straightforward example.

买受人退房的,出卖人应当自退房通知送达之日起15日内退还全部已付款...
Mǎishòurén tuì fáng de, chūmàirén yīngdāng zì tuìfáng tōngzhī sòngdá zhī rì qǐ 15 rì nèi tuìhuán quánbù yǐ fùkuǎn...

'Where the purchaser cancels the sale, the vendor shall return all funds already paid within 15 days of the day on which notice of cancellation was delivered...'

2. A more complex example is the following, where there is a second conditional clause.

通过房地产经纪机构提供居间或代理服务达成交易的,如曾签订委托出售、购买房屋的相关文件,应当作为本合同的附件
Tōngguò fángdìchǎn jīngjì jīgòu tígōng jūjiàn huò dàilǐ fúwù dáchéng jiāoyì de, rú céng qiāndìng wěituō chūshòu, gòumǎi fángwū de xiāngguān wénjiàn, yīngdāng zuòwéi běn hétóng de fùjiàn.

'Where a deal is reached through intermediary or agency services provided by a real estate agency, if related documents to authorise sales [and] purchase have been signed, [these] shall be an attachment to this contract.'

The main clause of the sentence is 应当作为本合同的附件 yīngdāng zuòwéi běn hétóng de fùjiàn 'shall be an attachment to this contract', where the understood subject, 委托出售、购买房屋的相关文件 wěituō chūshòu, gòumǎi fángwū de xiāngguān wénjiàn 'related documents to authorise sales [and] purchase', is omitted.

3. In this example, it's not a simple sentence that is nominalised, but a compound sentence with at least two verbs (italicised below):

出卖人将该房屋出卖给第三人,导致买受人不能取得房屋所有权证的,买受人有权退房...
Chūmàirén jiāng gāi fángwū chūmài gěi dì-sān rén, dǎozhì mǎishòurén bùnéng qǔdé fángwū suǒyǒuquán-zhèng de, mǎishòurén yǒu quán tuì fáng...

'Where the vendor sells the premises to a third party, bringing about the result that the purchaser is unable to obtain the title deed to the premises, the purchaser has the right to cancel the sale...'

4. The following example contains a similar structure, but yīn 'because' is added to emphasise that it was the action of the delinquent party that resulted in loss for the other party. In English, 'because' is superfluous and is better omitted. Note that yīn 'because' is contained inside the construction.

一方不按法律、法规规定缴纳相关税费导致交易不能继续进行的,其应当向对方支付相当于房价款20%的违约金。
Yīn yīfāng bù àn fǎlǜ, fǎguī guīdìng jiǎonà xiāngguān shuì fèi dǎozhì jiāoyì bùnéng jìxù jìnxíng de, qí yīngdāng xiàng duìfāng zhīfù xiāngdāng yú fángjià kuǎn 20% de wéiyuē jīn.

'Where because one party fails to pay relevant taxes and fees according to laws and regulations [and] brings about an inability to continue the transaction, it shall pay to the other party a penalty equivalent to 20% of the house price.'
A GRAMMAR OF MANDARIN

Jeroen Wiedenhof

John Benjamins Publishing Company

Amsterdam/Philadelphia

2015

ISBN: 978 90272 1228 3

MANDARIN CHINESE: A Functional Reference Grammar

Charles N. Li and Sandra A. Thompson

University of California Press

Berkeley / Los Angeles / London

1989

ISBN: 978 0 520 06610 6