Đề tài Áp dụng mô hình đánh giá chất lượng bản dịch của house vào việc đánh giá bản dịch tiếng anh luật đầu tư số 59/2005/QH11

otional or affective stance (his “personal viewpoint”) […] ‘social attitude’, i.e. different styles (formal, consultative and informal). Mode refers to both the channel – spoken or written, and the degree of participation between writer and reader (House, 2001: 248). But register analysis alone is not sufficient for a statement of text function to be made. The analysis of the text, may it be ST or TT, has to incorporate Genre – which is ‘the conventional text type’ associated with ‘a specific communicative function’. Genre is conditioned by the socio-cultural environment and itself determines other elements in the systemic framework. As House says, Genre ‘connects texts with the “macro-context” of the linguistic and cultural community in which texts are embedded” (2001: 248). There are criticisms that House’s analytical schema is over-complicated. There are even more criticisms regarding House’s distinction of two types of translation: overt translation and covert translation. An overt translation is “one in which the addressees of the translation text are quite ‘overtly’ not being directly addressed” (1997: 66). A covert translation is “a translation which enjoys the status of an original source text in the target culture” (1997:69). In overt translation, equivalence is necessary at the level of Language/Text and Register, as well as Genre. In covert translation, equivalence is desirable at the level of Genre and the individual text function. But in covert translation, the translator has to apply what is called a “cultural filter” to modify cultural elements and to give receivers the impression that the TT is an original. The translator assessor also has to make use of this ‘cultural filter’ in judging the quality of a covert translation. 2.2. Application of the model The source text examined in this study is chapter II of the Law on Investment of Vietnam, promulgated on November, 29th 2005. The target text is the translation published by the Transportation Publishing House. As stipulated in Article 1, this Law “regulates investment activities for business purposes; the rights and obligations of investors; the guarantee of lawful rights and interests of investors; encouragement of investment and investment incentives; State administration of investment activities in Vietnam and offshore investment from Vietnam.” And entities subject to the Law are defined in Article 2 as “1. Domestic investors and foreign investors carrying out investment activities within the territory of Vietnam; offshore investments made from Vietnam. 2. Organizations and individuals involved in investment activities.” with investor being defined in Article 3 as “any organization or individual carrying out investment activities in accordance with the law of Vietnam.” Chapter II is entitled “Bảo đảm đầu tư” (“Investment Guarantees” ). There are seven articles in this chapter, from Article 6 to Article 12. A copy of the chapter is available in Appendix A. Except for Articles 7, 8 and 10, all other articles contain at least two clauses with each clause beginning with a cardinal number and each item within one clause beginning in a separate line with an alphabetical letter. And except for Clause 2 of Article 6, which contains two sentences, all other clauses compose of only one sentence, may it be long or short. Therefore, when mentioning the articles as examples, the following system of symbols is used: 6.(1, 2/1) - Article 6, Clause 1 and sentence 1 of Clause 2 7.( ) - the whole Article 7 8.(/) - Article 8, introductory part 9.(1/a) - Article 9, Clause 1, item a The English translation text is of the Transport Publishing House, a copy of which is available in Appendix B. The same system of symbols is used to refer to sentences in the translation. 2.2.1. Analysis of Source Text A. Dimensions of language user: Geographical Origin: non-marked, standard Vietnamese Social class: non-marked Time: non-marked, contemporary Vietnamese B. Dimensions of language use: (1) Medium: simple, written to be read Syntactic means: a. absence of elliptical clauses, contractions, contact parentheses and comment parentheses, and any kind of spoken language signals such as ừ, à, vậy sao … b. long and carefully structured sentences. Most sentences are either complex or compound or compound-complex, c. placing of expanded subordinate clauses of purpose: 8.( /), of condition: 9.(1) before the main clause. This is a focusing device typical of the written mode as its use in spoken language is restricted by performance constraints, d. presence of syntactic discontinuity, a typical feature of the written mode. Expanded postnominal modifications separate the head of the subject noun phrase and the corresponding finite verb: 6.(3) việc thanh toán hoặc bồi thường tài sản quy định tại khoản 2 Điều này được thực hiện …, 9.(2) Người nước ngoài làm việc tại Việt Nam cho các dự án đầu tư được chuyển ra nước ngoài …, 9.(4) Thủ tục chuyển ra nước ngoài các khoản tiền liên quan đến hoạt động đầu tư theo quy định …,12.(1) Tranh chấp liên quan đến hoạt động đầu tư tại Việt Nam được giải quyết …, 12.(2) Tranh chấp giữa các nhà đầu tư trong nước với nhau hoặc với cơ quan quản lý Nhà nước Việt Nam liên quan đến hoạt động đầu tư trên lãnh thổ Việt Nam được giải quyết …, 12.(3) Tranh chấp mà một bên là nhà đầu tư nước ngoài hoặc doanh nghiệp có vốn đầu tư nước ngoài hoặc tranh chấp giữa các nhà đầu tư nước ngoài với nhau được giải quyết …, 12.(4) Tranh chấp giữa nhà đầu tư nước ngoài với cơ quan quản lý nhà nước Việt Nam liên quan đến hoạt động đầu tư trên lãnh thổ Việt Nam được giải quyết…; the object of the verb phrase is separated from the main verb: 8.( /) …Nhà nước bảo đảm thực hiện đối với nhà đầu tư nước ngoài các quy định sau đây, e. use of passive structures where in spoken language would normally be active: 6.(2/1) được thanh toán, 6.(3) được thực hiện, 9.(3) được thực hiện, 11.(2) được bảo đảm, 12.(1,2,3,4) được giải quyết, được ký. Lexical means: a. absence of qualifying modal adverbials, interjections, and other subjectivity markers typical of the spoken mode, b. frequent use of Chinese-Vietnamese words, which marks a certain degree of formality in speech. Textual means: a. the text is structured and enumerated in a highly conventionalized format: each article, the title of which introduces the rheme or summarizes the content of the article, may consist of one or more sentences, each of which expresses a complete aspect of the content and begins with a cardinal number. Where compound sentences are long, each coordinate clause is written in one line enumerated with a letter. b. the text is emic. There are no pronominal references to the addresser and the addressees; the text is determined through text-immanent criteria and is marked by an explicitness and elaborateness typical of the written mode, c. lack of repetition resulting in a lack of redundancy, d. frequent use of repetition of nouns to ensure precision of reference: 6.(2) nhà đầu tư, 8.(2) hàng hoá, dịch vụ, 11.(1, 2) pháp luật, chính sách, quyền lợi, ưu đãi, nhà đầu tư, 11.(3) nhà đầu tư. (2) Participation: complex, there is participation of both addresser and addressees. The text is a monologue with addressees being directly addressed and given instructions. The addresser is the law-making body of the country, i.e. the National Assembly of Vietnam. The text is addressee-oriented but the addressees’ potential reactions are not taken into account by the addresser. The addressees have no other choice than to do as directed. This dimension is manifest in the following means: Syntactic means: a. frequent use of modal auxiliaries to denote rights that the addresser grants the addressees: được : 6.(2/1, 3), 9.(1, 2, 3), 10.( ), 11.(1, 2); không bị 6.(1, 2/1); as well as the obligations that the addresser imposes on the addressees: phải: 6.(2/2); b. absence of modal auxiliary of obligation but the sense of obligation is still felt: 6.(4), 9.(4); c. absence of interrogative sentences, which allows for no direct (even imaginary) participation of the addressees. Textual means: a. repeated use of the noun ‘ nhà đầu tư’ with both specific and generic references, which directs the text at the addressees whenever the word is used. The noun ‘ nhà đầu tư’ has no distinction between singular and plural, thus referring to a particular investor or to investors as a whole, except for in 6.(2/2), 12.(2) and 12.(3), where the word is made plural because there must be at least two investors to these cases. b. implied participation of addresser in 6.(1, 2/1, 3) and of addressee in 6.(3), 9.(3), otherwise participation is explicit. It is the co-text feature that makes it possible to identify such participation. (3) Social Role Relationship - Asymmetrical role relationship: addresser has political authority over the addressees. - Position role of addresser: the National Assembly of Vietnam, the highest representative office of the people and the sole law-making body of the country, where the addressees are carrying out investment activities. - Situational role of addresser: representative of the Socialist Republic of Vietnam specifying the rights and obligations of investors/addressees, as well as obligations and commitments of the State. The role relationship in the text may be described as follows: the addresser, on behalf of the State of the Socialist Republic of Vietnam, speaks directly to the addressees, i.e. investors doing investment activities in Vietnam. The aim of the addresser is to make it thorough and clear to the addressees the permissions or rights granted and obligations imposed on them. In doing this, the addresser is also clarifying his obligations or commitments to ensure the addressees’ rights. This is so because in any bilateral legal relationship, a person’s rights are the other’s obligations. The relationship here is an impersonal, distant one: the investor is not being approached as an individual but as a type, as a member of the class of investors. It is also authoritative, one of a command-compliance nature. The addresser has the supreme power to command and the addressees have absolute duty to comply with the addresser’s orders. The addresser, therefore, does not have to try to be tactful or to flatter the addressees. Rather, the addresser tries to be direct in pointing out whose rights and obligations are being discussed, and to be committal to the addressees. The addressees, however, despite their sharing at least one common characteristic of carrying out investment activities in Vietnam, are not identical. Therefore, the addresser has to be precise when it comes to addressing a small group of investors or clarifying the circumstances where the regulations are applicable. This characterization of the text’s social role relationship is manifest in the following linguistic means: Syntactic means: a. use of [-human] subject noun phrases making the text impersonal: nhà đầu tư, 6.(1, 2/2, 3, 4): Vốn đầu tư và tài sản; Việc thanh toán hoặc bồi thường, thể thức, điều kiện; 7.( ): Nhà nước; 8.(/): Nhà nước; 9.(3, 4): Việc chuyển ra nước ngoài; Thủ tục chuyển ra nước ngoài; 11.(3): Chính phủ; 12.( ): Tranh chấp. The abstract nouns “Nhà nước” and “Chính phủ” refer to the addresser indirectly, which has the effect of extending the distance between the addresser and the addressees. “Nhà nước” and “Chính phủ” does not refer to a particular person but to some invisible institution of which the addresser is a representative, and about which ordinary people talk with great respect, as well as whose commands are supposed to receive unconditional compliance. It is possible to say that in this context, these two institutions have been personified. But they are distant and out of reach to the addressees because they are invisible. The noun “nhà đầu tư” is stipulated in Clause 4, Article 3 of this law as “any organization or individual carrying out investment activities in accordance with the law of Vietnam”. It can, therefore, be either [- human] or [+ human]. b. dominance of non-number-specified nouns like “nhà đầu tư, lợi ích, quy định, etc”, despite the nouns being countable or uncountable, making the text both precise and inclusive. The Vietnamese language is not an inflectional one like English. Most changes require the addition of at least one more word to the original one. In intentionally indicating the sense of plural to a countable noun, the empty words các or những are compulsory, as in “các nhà đầu tư, những biện pháp”. Otherwise, the nouns can have both generic and specific reference, as well as be both singular and plural in terms of number. There are few instances, compared with the number of nouns used throughout the text, where an indicator of number is made use of. Instances where the plural indicator “các” is used: 6.(2/2): các nhà đầu tư; 8.(/): các quy định (two times), các điều ước quốc tế; 8.(2): các yêu cầu; 9.(1): các khoản, các khoản vay, các khoản thanh lý đầu tư, các khoản tiền; 9.(2): các dự án đầu tư, các nghĩa vụ; 9.(3): các khoản; 9.(4): các khoản tiền; 11.(1): các quyền lợi (two times); 11.(2): các ưu đãi, các biện pháp, các quyền; 12.(2): các nhà đầu tư trong nước; 12.(3): các nhà đầu tư nước ngoài, các bên tranh chấp. Instances where other indicators are used: indicators of plural: 9.(1/b): những khoản tiền; 11.(2): một số biện pháp; 12.(3): những cơ quan indicators of singular: 8.(2/e,g): một địa điểm; 11.(2): một (biện pháp) The number of nouns used without a number indicator outnumbers that of nouns used with one. For example, there are 24 instances where the noun “nhà đầu tư” is used, but only in three is the aspect of number identified as plural (in 6.(2/2), 12.(2) and 12.(3)). Similarly, out of the eight instances where the noun “quy định” is used, only two (both in 8.(/)) are number-clear with the empty word “các”. Clearly, where precision of number is not required, the base form of the noun is preferred. And because the nouns are not number-clear, they can refer to one particular addressee or all addressees as a group; as well as to one or countless acts. This adds to the text’s impersonality. c. the noun phrases are extended such that the provisions become more precise. The head nouns are modified by post-modifiers which make the meaning of the nouns clearer and more precise, limiting the chances of the provision being misinterpreted. The participants, therefore, are clearly aware of the circumstances of their rights and obligations. The noun phrase in 6.(2/1): trường hợp thật cần thiết vì lý do quốc phòng, an ninh và lợi ích quốc gia limits the cases where the State can carry out the permitted acts. Other cases of extended noun phrases are (the head nouns are in bold) 6.(2/2): giá thị trường tại thời điểm công bố việc trưng mua, trưng dụng; 6.(3): việc thanh toán hoặc bồi thường tài sản theo quy định tại khoản 2 Điều này; 7.( ): lợi ích hợp pháp của nhà đầu tư trong việc chuyển giao công nghệ tại Việt Nam theo quy định của pháp luật về sở hữu trí tuệ và pháp luật có liên quan; 8.(/): các quy đinh trong các điều ước quốc tế mà Việt Nam là thành viên; 8.(1): lộ trình đã cam kết; 8.(2/c): số lượng và giá trị tương ứng với số lượng và giá trị hàng hoá xuất khẩu; 8.(2/e): một địa điểm cụ thể ở trong nước hoặc nước ngoài; 9.(1): lợi nhuận thu được từ hoạt động kinh doanh; những khoản tiền trả cho việc cung cấp kỹ thuật, dịch vụ, sở hữu trí tuệ; tiền gốc và lãi các khoản vay nước ngoài; các khoản tiền và tài sản khác thuộc sở hữu hợp pháp của nhà đầu tư; 9.(2): nguời nước ngoài làm việc tại Việt Nam cho các dự án đầu tư; 9.(3): ngân hàng thương mại do nhà đầu tư lựa chọn; 9.(4): thủ tục chuyển ra nước ngoài các khoản tiền liên quan đến hoạt động đầu tư; quy định của pháp luật về quản lý ngoại hối; 11.(1): quyền lợi và ưu đãi cao hơn so với quyền lợi, ưu đãi mà nhà đầu tư đã được hưởng trước đó; 11.(2): lợi ích hợp pháp mà nhà đầu tư đã được hưởng trước khi quy định của pháp luật, chính sách đó có hiệu lực; các ưu đãi như quy định tại Giấy chứng nhận đầu tư; 11.(3): cam kết trong điều ước quốc tế mà Việt Nam là thành viên; 12.(1): Tranh chấp liên quan đến hoạt động đầu tư tại Việt Nam; 12.(2): Tranh chấp giữa các nhà đầu tư trong nước với nhau hoặc với cơ quan quản lý nhà nước Việt Nam liên quan đến hoạt động đầu tư trên lãnh thổ Việt Nam; 12.(3): Tranh chấp mà một bên là nhà đầu tư nước ngoài hoặc doanh nghiệp có vốn đầu tư nước ngoài; tranh chấp giữa các nhà đầu tư nước ngoài với nhau; trọng tài do các bên tranh chấp thoả thuận thành lập; 12.(4): Tranh chấp giữa nhà đầu tư nước ngoài với cơ quan quản lý nhà nước Việt Nam liên quan đến hoạt động đầu tư trên lãnh thổ Việt Nam; thoả thuận khác trong hợp đồng được ký giữa đại diện cơ quan nhà nước có thẩm quyền với nhà đầu tư nước ngoài hoặc trong điều ước quốc tế mà Việt Nam là thành viên. Within the extended noun phrases in 7.( ), 8.(/), 9.(4), 11.(1,2,3), and 12.(1,2,4) there are several modifying noun phrases. It can be deduced that the use of extended noun phrases is a major means in making the provisions precise by listing all the possible occurrences. This does not prevent the text from being inclusive because the clearly defined nouns still have no specific agent or time reference, resulting in the provisions covering any person or act that matches the descriptions. d. dominant use of tenseless verbs making the text more objective and factual. There is no basis for establishing the time and location of the acts denoted by the verbs. The sentences are thus stated as facts, the addresser’s tone becomes more imposing. e. use of performative verbs in sentences with the non-human subject being the addresser: 7.( ): bảo hộ quyền sở hữu trí tuệ; bảo đảm lợi ích hợp pháp; 8.(/): bảo đảm thực hiện […] các quy định; 11.(3): quy định cụ thể về việc bảo đảm lợi ích . In saying sentences with these verbs, the addresser is performing the acts expressed thereby. These illocutionary acts can be classified as follows: bảo hộ and quy định are declarative, bảo đảm lợi ích hợp pháp and bảo đảm thực hiện are commissive. By saying these, the addresser is being committal and authoritative. The timelessness of the verbs suggests that the acts will be carried out as long as this law is in effect. f. maximum application of the Deontic modality in specifying rights and obligations of the addressees, as well as the addresser. This is done in both cases where the role of the participants is explicitly or implicitly stated. f.1. The role of the participants is explicit, i.e. the participants appear in the theme of the sentence: - modal particle “được” is used to grant permissions to the addressees, as in 6.(3): được quyền chuyển ra nước ngoài; 9.(1, 2): được chuyển ra nước ngoài; 10.( ): được áp dụng thống nhất giá, phí, lệ phí; 11.(1): được hưởng quyền lợi, ưu đãi; 11.(2): được hưởng (quyền lợi, ưu đãi), được trừ thiệt hại, được điều chỉnh, The word “được” is also used in other cases but functions as a signifier of the passive voice. f.2. The role of the participants is implicit, i.e. only the act is mentioned but the agent or the recipient can be inferred from the context. For example, in 6.(2/2) Việc thanh toán hoặc bồi thường phải bảo đảm lợi ích của nhà đầu tư, the addresser is inferred to be the agent because the previous sentence states that the addresser shall have to pay or compensate the addressees in the specified case; and in 6.(3) – […] được quyền chuyển ra nước ngoài, it can be constructed from the context as “nhà đầu tư nước ngoài được quyền chuyển ra nước ngoài khoản tiền thanh toán hoặc bồi thường này”. In the case of implicit participants’ role, the Deontic modality is both explicitly and implicitly expressed, i.e. it is expressed with and without a modal particle respectively. explicit modality: + expressing permissions or rights: in 6.(3): được quyền chuyển ra nước ngoài, the permission can be inferred as being given to the addressees + expressing obligations: in 6.(2/2): việc thanh toán hoặc bồi thường phải bảo đảm…, it is the addresser that has to perform this requirement; implicit modality: + expressing permissions or rights + expressing obligations: in 6.(2/2): không phân biệt – in this phrase, the modal “được” has been omitted from the phrase “không được”, which denotes an omission of permission; but it can still be interpreted as “Nhà nước không được phân biệt đối xử giữa các nhà đầu tư trong việc thanh toán hoặc bồi thường”; in 6.(4): thể thức, điều kiện theo quy định as well as in 9.(4): thủ tục … theo quy định, the performative verb – theo - without a modal expressing obligation still identifies that it is the addresser that has to perform this requirement; and in 6.(3): việc thanh toán hoặc bồi thường … được thực hiện as well as in 9.(3): việc chuyển …được thực hiện, the word “được” is not a modal in its normal use. Instead, it is the modal “phải”, which denotes an obligation, that has been omitted. In 6.(3) the obligation is imposed on the addresser and in 9.(3) the addressees. It can be observed that the Vietnamese text employs both explicit and implicit means to establish rights, permissions and obligations. Sometimes the modal verb is omitted but the sense of permission or obligation is still felt. And when the agent or recipient is missing in the theme but a permission or an obligation is still present, the reader has to infer from the context who the permission or obligation is targeted at. Another important means in establishing the Deontic modality of the text is the present, non-deictic tense of the verbs, making the provisions applicable to anyone and at anytime. g. nominalization of verbs. There are two ways a verb can be changed into a noun: by adding a prefix, or an empty word, or by ‘nominalizing’ the verb without changing its form. The nominalized verbs in the text are listed below in terms of the two means: g.1. Nominalizing by adding an empty word: 6.(2/1): việc trưng mua, trưng dụng; 6.(2/2, 3): việc thanh toán hoặc bồi thường; 7.( ): việc chuyển giao 9.(1/b): việc cung cấp; 9.(3): việc chuyển (ra nước ngoài) 11.(3): việc bảo đảm (lợi ích), việc thay đổi In 6.(2/1) and 6.(2/2, 3), the prefix “việc” is only used once but the co-text feature implies that the following word without the prefix is also a nominalized noun. g.2. Nominalizing without changing the form of the verb: 6.(4): quy định; 7.( ): quy định, sở hữu trí tuệ; 8.(/): (các) quy định; 8.(2): (các) yêu cầu; 9.(1/dd): sở hữu; 9.(4): quy định, quản lý 11.(1): ưu đãi, quy định; 11.(2): quy định, ưu đãi, thu nhập; 11.(3): quy định, cam kết 12.( ): tranh chấp; 12.(1): thương lượng, hoà giải, quy định; 12.(4): thoả thuận, đại diện All these nouns refer to neither concrete nor abstract objects. They are in fact the products of the process called “grammatical metaphor” [Halliday & Martin], which makes the words nouns grammatically, not lexically, thus making the text ‘nominal’ too. The nominalized verbs are therefore non-objective by nature, referring to the act performed thereby. These non-objective nouns play a large role in bringing about the characteristic of ‘inclusiveness’ for the text. For example, the noun “việc chuyển giao” in 7.( ) is not connected with any specific act of transferring since it does not refer to any specific agent or any specific moment when it is performed or any specific location where it is performed. Instead, it refers to and includes all possible acts of transferring. By making use of this syntactic means, the addresser is not directing at any particular addressee but to all addressees as a whole. h. frequency of passive structures drawing focus on the acts discussed, which makes the text more impersonal. Passive constructions are found in 6.(1): [vốn, tài sản] bị quốc hữu hoá, bị tịch thu; 6.(2/1): [nhà đầu tư] được thanh toán hoặc [được] bồi thường; 6.(3): [việc thanh toán] được thực hiện; 9.(3): [việc chuyển ra nước ngoài] được thực hiện; 11.(2): [nhà đầu tư] được bảo đảm hưởng các ưu đãi, được giải quyết, được xem xét bồi thường; 12.( ): [tranh chấp] được giải quyết. Textual means: a. deliberate attempt to preserve the theme-rheme structure of textual theme – topical theme – rheme in cases where a specification of the circumstances wherein the regulation introduced in the rheme shall apply. This structure of thematisation can be found in the following sentences: 6.(2/1), 6.(3), 8.(/), 9.(1), 10.( ), and 11.(1, 2, 3). b. deliberate placing of nouns referring to addresser or addressees in the topical theme where it is important to specify the agent or the recipient. c. use of anaphoric and cataphoric reference to clarify the noun. In 6.(3): quy định tại khoản 2 Điều này, the reader is instructed to refer back to the previous clause in this same article. In 9.(3), các khoản trên leads t