Nghiên cứu về dịch anh việt của những quy tắc và thực hành thống nhất về tín dụng chứng từ

VIETNAM NATIONAL UNIVERSITY
UNIVERSITY OF LANGUAGES AND INTERNATIONAL STUDIES
FALCULTY OF ENGLISH LANGUAGE TEACHER EDUCATION

GRADUATION PAPER

A STUDY ON ENGLISH-VIETNAMESE
TRANSLATION OF THE UNIFORM CUSTOMS
AND PRACTICE FOR DOCUMENTARY CREDITS

Supervisor: Nguyen Thi Thanh Van, MA
Student: Phung Ngoc Tan
Year of enrolment: QH2009

HANOI - 2013


ĐẠI HỌC QUỐC GIA HÀ NỘI
TRƯỜNG ĐẠI HỌC NGOẠI NGỮ
KHOA SƯ PHẠM TIẾNG ANH

KHÓA LUẬN TỐT NGHIỆP

NGHIÊN CỨU VỀ DỊCH ANH-VIỆT CỦA NHỮNG
QUY TẮC VÀ THỰC HÀNH THỐNG NHẤT VỀ TÍN
DỤNG CHỨNG TỪ

GVHD: ThS. Nguyễn Thị Thanh Vân
Sinh viên: Phùng Ngọc Tân
Khóa: QH2009

HANOI - 2013



ACCEPTANCE
I hereby state that I: Phung Ngoc tan, class QH2009.F.1.E25, being a
candidate for the degree of Bachelor of Arts (TEFL) accept the requirements of
the University relating to the retention and use of Bachelor’s Graduation Paper
deposited in the library.
In terms of these conditions, I agree that the origin of my paper deposited in
the library should be accessible for the purposes of study and research, in
accordance with the normal conditions established by the librarian for the care,
loan or reproduction of the paper.

Signature

Date

i


ACKNOWLEDGMENT
Although the research has been imbued with great effort of its creator, it would
have never been completed without the help from many people.

Firstly, I would like to express my sincere gratitude to my supervisor, Mrs.
Nguyen Thi Thanh Van for her invaluable support, guidance and encouragement
from the very beginning of this paper. Her knowledge and passion have sparked
the interest in me leading to the fulfillment of this dissertation.

Secondly, I also owe countless credit for all teachers back in Faculty of English
Language Teacher Education who have provided me with relevant knowledge.

Finally, my gratitude goes to my family and my friends who have been giving me
extraordinary motivation throughout the research.

ii


ABSTRACT
This research aims at detecting and analyzing the translation methods and
translation procedures applied to render the English version of Uniform of
Customs and Practice for Documentary Credits into Vietnamese. The research is
carried out to answer the research questions which are “what methods and
procedures are the most common and the most effective?” and “what are the
ways to improve the general quality of the translation?”

Observation instrument is implemented to collect the data from the text. Then a
number of method and procedure examples are carefully examined and
interpreted on the basis of the rudimentary background knowledge in the
Literature review section.

Results show that there are six procedures (transference, naturalization, through
translation, functional translation, transposition and modulation) and two
methods (literal and communicative) that were used to translate UCP. Amongst
them, through translation were used as the most frequent procedure and literal
were used as the most frequent method.

iii

TABLE OF CONTENTS
ACCEPTANCE............................................................................................................. 1
ACKNOWLEDGMENT ............................................................................................ ii
ABSTRACT .................................................................................................................iii
CHAPTER I: INTRODUCTION ............................................................................. 1
1. Rationale.................................................................................................................. 1
1.2.

Research questions................................................................................................ 2

1.3.

Scope of the study................................................................................................. 2

1.4.

Method of the study .............................................................................................. 3

1.5.

Significance of the study ....................................................................................... 3

1.6.

Organization of the study ...................................................................................... 4

CHAPTER II: LITERATURE REVIEW............................................................... 5
2.1.

Overview of translation ................................................................................... 5

2.1.1.

Definition of translation ................................................................................ 5

2.1.2. Translation equivalence ....................................................................................... 6
2.1.3.

Methods of translation ................................................................................... 9

2.1.4. Translation procedures ...................................................................................... 12
2.2.

Overview of UCP............................................................................................. 16

2.2.3.

Revisions of UCP ........................................................................................ 16

CHAPTER III: METHODOLOG Y .......................................................................18
3.1.

Sampling........................................................................................................... 18

3.2.

Data collection procedures ............................................................................. 19

3.3.

Data analysis procedures ................................................................................ 19

iv


CHAPTER IV: FINDINGS AND DISCUSSION................................................20
4.1. Findings ................................................................................................................ 20
4.2. Discussion ............................................................................................................ 22
4.2.1. Translation procedures.................................................................................. 22
4.2.2. Translation methods ...................................................................................... 35
4.3. Suggestions.......................................................................................................... 37
CHAPTER V: CONCLUSION ..................................................................................... 40
5.1. Major findings ....................................................................................................... 40
5.2. Limitation .............................................................................................................. 40
5.3. Suggestion for further study................................................................................. 41

REFERENCES ...........................................................................................................42
APPENDIX1 ................................................................................................................44
APPENDIX 2 ...............................................................................................................48

v


LIST OF TABLES AND ABBREVIATIONS

Tables
Table

Name

Table 1

Translation methods used in the UCP 600

Table 2

Translation procedures used in UCP 600

Abbreviation
Abbreviation
UCP

Uniform Custom and Practice for documentary
credits

ICC

International Chamber of Commerce

VIAC

Vietnam International Arbitration center

vi


CHAPTER I: INTRODUCTION

1. Rationale

Ever since the world became more connected due to the development of
technology, transportation, communication, the international trade has never been
made simpler regardless of borders, distances and languages. In this context,
Vietnam also marked its milestones in the world economy by joining WTO in
2007 leading to the inevitable development of industrialization, modernization
and trading. As a result of rapid, international growth of the country,
Documentary Credit emerged as an indispensable instrument of payment for the
circulation of goods. Though it came out long after the aging existence of
international trade and it, in fact, is only a tool used by the sophisticated banking
system, Documentary Credit provides a convenient and secured form of payment
that helps spring up the economic transactions. Due to the vitality of one of the
most prominent payment methods, the demand for an official guideline is
urgently needed. The Uniform Customs and Practice for Documentary Credits
(commonly known as UCP) is born to answer the question.
UCP is not only an important law-based platform, but it is also a complex one.
There is no accident why it has been tinkered for five times since its first
introduction in 1933. Because of the distinct features of a law document in an
ever-changing world economy, UCP translation has brought many challenges for
Vietnamese translators and interpreters in their work. Although UCP is already
translated into more than 20 languages including Vietnamese, it remained
relatively inadequate for those who wish to have deeper analysis of this
document than simply a translated version.
The foremost reason that the researcher would like to make the study on the UCP
translation is that as it is stated in “FAQs on documentary credits” provided by
HSBC that “Any translated version must also contain the English language
1


version and the English language version is the operative set of rules.” Thus, on
the one hand, it can be understood that Vietnamese UCP version is only the

version for reference purposes and has no legal value at all. On the other hand,
we may realize the translation methods applied in bridging the two languages
play such an important role in determining the correctness, the accuracy and the
reliability of the translation leading to the better understandings for the UCP
users who have either full, little or no command of English.
Therefore, this research is conducted to revise the translation methods and
procedures used in English – Vietnamese translation of UCP and to make any
suggestions if possible.
1.2.Research questions
The researcher believes that a study on the translation of UCP is necessarily
conducted in order to answer the following questions:
Which are the most common and the most effective translation methods
applied in Vietnamese translation of UCP?
Which are the most common and the most effective translation procedures
applied in Vietnamese translation of UCP?
What suggestions could be drawn to improve the English-Vietnamese
translation of UCP
These questions are also the research question of the study.

1.3.Scope of the study
In fact, there are six versions of UCP which have been introduced ever since its
first preface. The latest and currently implemented version UCP 600 will be
designated as the main subject of the research.

2


This study also focuses on the translation of UCP from English into Vietnamese.
More specifically, translation procedures and translation methods are the two
main subjects that would be thoroughly calculated and examined in order to

answer the research questions. Besides, throughout the process of digging deep
into the document, mistakes of professional translators, though occupy a tiny
fraction, might be inevitable. Therefore, this research is believed to play a role of
a revision for this document, detecting any inadequacy and improving the general
quality of the translation. The major concern of the study is all about the
translation methods and procedures applied to the translation of UCP.
1.4.Method of the study
Content analysis including the methods of gathering, listing, categorizing and
analyzing information is expected to be the major tool for the researcher to
conduct this research. The related materials (UCP 600 and its translated
Vietnamese

version)

and other

information for

theoretical background

knowledge would be extracted from various sources such as the Internet, the
library and other information sources..
1.5.Significance of the study
UCP is a set of rules that conciliates almost all the commercial disputes arising
while making payments by L/C. It would not be too much to allege that UCP is
somehow representing many economic, law-based documents in terms of
structures, expressions and terminologies. Investigating the subject will not only
facilitate the work of translators in numerous other economic documents, but it is
also a good revision with translation methods and translation procedures.
Besides, students and other people who share the interest in economic issues in

general or in UCP in particular, might broaden their horizon with practical
references from the analyses and the findings of the study.

3


This research could also be a foundation for other studies on the same fields.
Those could range from the analyses of methods and procedures used in medical,
politic, or technological document.
1.6.Organization of the study
The structure of the study is as following:
Chapter 1 - Introduction: Provides an overview of the study with rationale, aims
and objectives, significance and organization of the study.
Chapter 2 - Literature review: Provides key concepts in translation and linguistic
in order to understand the concept of translation, translation methods and
translation procedures.
Chapter 3 - Methodology: States methods of the study including selection of
subjects, research instrument, procedures of data collecting and procedure of data
analysis.
Chapter 4 - Findings and discussion: Discusses the results of the study and
explain how these results are discovered, then explains how they answer the
research questions.
Chapter 5 - Conclusion: Summarizes discussed points, limitation of the study as
well as suggestions for further researches.

4


CHAPTER II: LITERATURE REVIEW

2.1.

Overview of translation

2.1.1. Definition of translation
Translation proved its existence a long time ago. Indeed, there are quite a few of
definitions for this term.
Newmark is among those who have made important contributions to the
development of translation. He stated (1995, p.7) “translation is a craft consisting
in the attempt to replace a written message and statement in one language by the
same message and/or statement in another language”.
McGuire (1980, p.2) believed that "Translation involves the rendering of a source
language text into the target language so as to ensure that the surface meaning
of the two will be approximately similar and the structure of the source language
will be preserved as closely as possible, but not so closely that the target
language structure will be seriously distorted.”
Catford (1965, p.20) considers translation “the replacement of textual material in
one language (source language) by an equivalent textual material in other
language (target language)”.
Hartman and Stork (1972, p.713) also give a similar definition of translation,
“translation is the replacement of a representation of a text in one language by a
representation of an equivalent text in a second language.”
Of all the previous definitions, we can catch a sight a range of words like “same”,
“similar”, “equivalent”. Generally, translation will be taken for granted that it
should bring the meaning of the source language and the target language as close
as possible. If there is anything should change, it must be the form. Larson (1984,
p.3) think that: “Translation is basically a change of form. When we speak of the
form of a language, we are referring to the actual words, phrases, clauses,
sentences, paragraphs, etc., which are spoken or written. These forms are referred
5

to as surface structure of language. It is the structural part of language which is
actually seen in print or heard in speech. In translation the form of the source
language is replaced by the form of the target language.”
2.1.2. Translation equivalence
a. The nature of equivalence
Equivalence is one of the most theoretical issues in the translation studies.
Attempts have been made to clarify equivalence but there still exist controversies
and debates around the issue. In general, equivalence can be understood as the
relationship between a source text and a target text to determine one text is the
translation of another. Without equivalence, the process of translation cannot be
successful. However, Baker (1992), regarding equivalence, stated "it is [...]
always relative" because "it is influenced by a variety of linguistic and cultural
factors." This problem is clearly understood by any translators.
In order to achieve translation equivalence, different theories have been
proposed. While Baker (1992) emphasized form-based equivalence i.e.
equivalence at different grammatical levels, Nida (1969) focused on functionbased equivalence (dynamic and formal equivalence), and Koller (cited in
Newmark, 2006, pp.46-48) highlighted the importance of meaning-based
equivalence.
b. Types of translation equivalence
Many scholars have studied translation equivalence from different perspectives
and given out their own theory concerning this issue. Some of them define their
theories as a source-oriented theory, while others regard the target-oriented
theories.
 Function-based equivalence
With regard to equivalence, Eugene Nida (1964) maintains that there are two
basic types of equivalence, including formal equivalence and dynamic
equivalence. Formal equivalence focuses attention on both form and content (as
6

in Bible, international diplomacy, law and the like), unlike dynamic equivalence
emphasizes the text readability.
Formal equivalence consists of a target item that represents the closest equivalent
of a source language word or phrase. Nida stresses that there are not always
formal equivalents between language pairs. Dynamic equivalence is a translation
principle in which a translator translates the meaning of the original text;
producing the same impact on the original wording did upon the source text
audience. It could be argued that Nida is in favor of dynamic equivalence since
he considers it to be a more effective translation procedure.
Nida (1964) believes that the main aim of equivalent effect is to achieve "the
closest natural equivalent to the source language" (p.126). He stresses that the
adaptation of grammar, cultural references and lexicon of the source text will
lead to the translation naturalness while highlighting the preservation of the text
meaning on its style as the root of the equivalent effects. He argues that formal
translators who focus more on forms are more likely to misinterpret the
"intention of the author" and "distort the meaning" (p. 191-192).
 Form-based equivalence
Mona Baker (1992) proposes five levels of equivalence: equivalence at word
level, equivalence above word level, grammatical equivalence, textual
equivalence, pragmatic equivalence. Firstly, equivalence at word level is taken
into consideration. Baker defines the term “word” and notes that word sometimes
have different meanings in different languages, also relates meaning of words
with morpheme. Baker introduces problems at word level and above word level
before suggesting some strategies in dealing with them. Secondly, grammatical
equivalence refers to the diversity of grammatical categories across languages.
She affirms that grammatical rules across languages may differ, which leads to
some problems in finding a direct correspondence in the target language. Thirdly,
textual equivalence refers to the equivalence between a source language text and

a target language text regarding information and cohesion. Whether the cohesive
7


relations between target language and source language should be maintained
depends on three main factors, that is, the target audience, the purpose of the
translation and the text type. Finally, pragmatic equivalence refers to implication
of the target language text. The duty of a translator is recognizing the implied
meaning of source language text, and then reproducing it in a way that readers of
the

target

language

can

comprehend

clearly

without

any

culturally

misunderstanding.
 Meaning-based equivalence
Werner Koller (1977) proposes five types of equivalence, namely „denotative,

connotative, text-normative, pragmatic and formal equivalence‟.

It is

noteworthy that Koller‟s formal equivalence is different from Nida‟s. As cited in
Munday (2001, p. 47), Koller distinguishes five types of equivalence as:
Denotative equivalence refers to the case where the source text and the target text
have the same denotations that are conveying the same extra linguistic facts. It is
featured by referential, objective, and cognitive meaning; instead of associational
and subjective meaning of connotative equivalence.
Connotative equivalence, also referred to as stylistic equivalence, is related to the
lexical choices between near synonyms, aiming at evoking the same impressions
and feeling in the mind of the target text readers. For example, the phrase “bệnh
nhân HIV” can be translated into English as “HIV patient” or “people with HIV”,
which are totally similar in denotative meaning. However, the latter “people with
HIV” is much more recommended because of its euphemistic effect (mitigating
the seriousness). In practice, it is not easy to achieve connotative equivalence, as
it requires the translator‟s competence in both source language and target
language.
Text-normative equivalence refers to text types, i.e., the description and analysis
of a variety of texts behaving differently. For example, with administrative or
legal documents, their conventional forms should be strictly followed in the
translated version.
8


Pragmatic equivalence, also called communicative equivalence, is oriented
towards the receptors of the text, as they should receive the same effect that the
original text produces on its readers. For instance, if the target readers are
children, translation‟s vocabulary should be simple, bright and familiar. As for

other readership like adult or educated laymen, the languages used can be more
complicated.
Formal equivalence, may also be referred to as expressive equivalence, is related
to the word-for-word rendition of forms, aesthetic and stylistic features of the
source text. Formal equivalence is particularly important for translating poems,
song lyrics or expressive texts.
In general, the final goal of translation is to blur the barrier and bring two or
more languages to come closer. As a result, to achieve “equivalence effect” – a
concept termed by Peter Newmark (1988), i.e. to produce same effect on the
readership of the target text as on the one of the source text is the purpose of any
translator. However, Newmark notes that this “desirable result” (equivalence
effect) might be unattainable if there is a cultural gap between the SL (source
language) and the TL (target language) text. This has long been a pivotal matter
and in translation studies, and will be discussed in details in the coming parts of
the research.

2.1.3. Methods of translation
Basically, there are 8 methods of translation categorized by Newmark (1988,
p.45). They are word for word translation, literal translation, faithful translation,
semantic translation, adaption, free translation, idiomatic translation and
communicative translation. He puts it in the form of a flattened V diagram:
SL emphasis

TL emphasis

Word-for-word translation

Adaption

Literal translation

Free translation
9


Faithful translation
Semantic translation

Idiomatic translation
Communicative translation

a. Word for word translation
This is often demonstrated as interlinear translation, with The TL immediately
below the SL words. The SL word-order is preserved and the words translated
singly by their most common meanings, out of context. Cultural words are
translated literally. The main use of word-for-word translation is either to
understand the mechanics of the source language or to construe a difficult text as
a pre-translation process.
b. Literal translation
The SL grammatical constructions are converted to their nearest TL equivalents
but the lexical words are again translated singly, out of context. As a pre translation process, this indicates the problems to be solved.
c. Faithful translation
A faithful Translation attempts to reproduce the precise contextual meaning of
the original within the constraints of the TL grammatical structures. It 'transfers'
cultural words and preserves the degree of grammatical and lexical 'abnormality'
(deviation from SL norms) in the translation. It attempts to be completely faithful
to the intentions and the text-realisation of the SL writer.
d. Semantic translation
Semantic translation differs from 'faithful translation' only in as far as it must
take more account of the aesthetic value (that is, the beautiful and natural sounds

of the SL text, compromising on 'meaning' where appropriate so that no
assonance, word-play or repetition jars in the finished version. Further, it may
10


translate less important cultural words by culturally neutral third or functional
terms but not by cultural equivalents –“une nonne repassant un corporal” may
become 'a nun ironing a corporal cloth' - and it may make other small
concessions to the readership. The distinction between 'faithful' and „semantic'
translation is that the first is uncompromising and dogmatic, while the second is
more flexible, admits the creative exception to 100% fidelity and allows for the
translator's intuitive empathy with the original.
e. Adaption
This is the 'freest' form of translation. It is used mainly for plays (comedies and
poetry; the themes, characters, plots are usually preserved, the SL culture
converted to the TL culture and the text rewritten. The deplorable practice of
having a play or poem literally translated and then rewritten by an established
dramatist or poet has produced many poor adaptations, but other adaptations
have 'rescued‟ period plays.
f. Free translation
Free translation reproduces the matter without the manner or the content without
the form of original. Usually it is paraphrased much longer than the original, a
so-called „intralingual translation‟, often proliz and pretentious, and not
translation at all.
g. Idiomatic translation
Idiomatic translation reproduces the 'message' of the original but tends to distort
nuances of meaning by preferring colloquialisms and idioms where these do not
exist in the original- (Authorities as diverse as Seteskovitch and Stuart Gilbert
tend to this form of lively, 'natural' translation.)
h. Communicative translation

11


Communicative translation attempts to render the exact contextual meaning of
the original in such a way that both content and language are readily acceptable
and comprehensive to the readership.
The first four methods focus on the source language while the other four
methods‟ emphasis is on the target language.

2.1.4. Translation procedures
According to Newmark (1995), while translation methods work with the whole
text, translation procedures are used for sentences, phrases and words. He
categorized eight procedures of translation as illustrated in the following cases.
a. Transference
Transference is a procedure where a word or expression from source language is
directly transferred into target language without translating at all.
Eg:
Internet has become accessible across most major cities in Vietnam.
→ Internet hiện đã có mặt tại hầu hết các thành phố lớn của Việt Nam.
b. Naturalization
Naturalization is the procedure that is basically transferences, in which
translators apply target spelling and morphology (and pronunciation) to the
source language expressions/words.
E.g.
He had his car serviced by Viet Nhat garage last week.
→ Tuần trước anh ấy sửa xe ở ga-ra Việt Nhật
c. Through translation
12

In this translation procedure, the translator seeks for the literal translation
(convert to the nearest equivalence) and a higher degree of formal retention. This
should be used for recognized terms: terms of organization or common
collocations.
E.g.
Federal Reserve → Cục dự trữ Liên Bang (although many Vietnamese do not
understand this term clearly)
d. Shift/transpositions
A “shift” or “transposition” is a translation procedure involving a change in
grammar from the source language to the target language. There are three types
of “shift”.
The first type of shift is maybe from singular to plural.
The second type of shift is required when a grammatical structure of the source
language does not exist in the target language.
The third type of shift is the one where literal translation is grammatically
possible but may not accord with natural usage in the target language.
E.g.
Round table interview with US Secretary of State, C. Rice at the Sheraton Hotel,
one day after her arrival in Hanoi.(NP)
→ Cuộc phỏng vấn với ngoại trưởng Mỹ, C.Rice tại khách sạn Sheraton, một
ngày sau khi bà đặt chân đến Hà Nội.(VP)
e. Modulation
Modulation is a change in point of view, perspective, that allows us to express
the same phenomenon in a different way.
Positive for double negative
13


E.g.

He always wishes to become a president.
→ Anh ta không thôi ước mơ trở thành tổng thống
Part for the whole
Don‟t touch me
→Đừng chạm vào người tao.
Abstract for concrete
She bounced onto a flat rock and then stood looking at him for a few swift heart
beats
→Nó nhảy lên tảng đá phẳng rồi đứng nhìn lão trong khoảnh khắc.
Cause and effect
Don‟t climb up the tree behind that house
→ Đã có rất nhiều người ngã ở cái cây đằng sau ngôi nhà kia rồi đấy.
One part for another
He cleared his throat.
→ Anh ta hắng giọng
Reversal of term
He lent me 500,000 VND
→ Tôi vay anh ta 500.000
Active for passive
This book was given on my 18 th birthday by my mother.
→ Mẹ tôi tặng quyển sách này nhân dịp sinh nhật lần thứ 18.
14


Space for time
Intervals and limits
Change of symbol
f. Cultural equivalence
Cultural equivalence is an approximate translation where a source language
cultural word is translated by a target language cultural word.

E.g. Eaten bread will be soon forgotten
→ Ăn cháo đá bát.
He could only earn more or less a dollar a day.
→ Mỗi ngày anh ta chỉ kiếm được hơn chục bạc
g. Functional equivalence
Functional equivalence is used for cultural words and requires the use of a
culture-free word/expression.
E.g.
Federal Reserve → Ngân hàng trung ương Hoa Kỳ
Pentagon → Bộ quốc phòng Mỹ
h. Descriptive equivalence
Descriptive equivalence is used for translation of original words which needs
more explanation (in several words).
E.g.
In India, three quarters of the population – more than 800 million people, survive
each day on less than the cost of a starbuck latte.

15


→ Tại ấn độ, ¾ dân số, tương đương hơn 800 triệu người phải sốn qua ngày đoạn
tháng với mức chi tiêu thấp hơn cả giá của một ly cà phê lathay – một loại cà phê
hả hạng.
Havard University now has about 3000 Asian students.
→Harvard, trường đại học danh tiếng nhất nước Mỹ hiện có khoảng 3000 sinh
viên châu Á theo học.
2.2.

Overview of UCP

2.2.1. Definition of UCP
According to Wikipedia, UCP is defined as “a set of rules on the issuance and
use of letters of credit” Indeed, it is utilized by bankers and commercial parties in
more than 175 countries in trade finance. Some 11-15% of international trade
utilizes letters of credit, totaling over a trillion dollars (US) each year.
ABN AMRO – an all-round banking service retail also pointed out the
relationship of UCP with its creator ICC: “The UCP 600 (“Uniform Customs &
Practice for Documentary Credits”) is the official publication issued by the ICC
(International Chamber of Commerce).”
2.2.2. Importance of UCP
UCP

is

recognized worldwide

non-governmental

business

organizations

developed the most successful international practices. The world has nearly ten
thousand more than 100 countries and regions on the bank statement in the credit
for UCP. The revised UCP led the eUCP, ISBP, SWIFT and other consequential
amendments and upgrades, and also means a greater impact on credit. In addition
to banks, import and export of the affected parties, it will also affect the transport
in international trade, such as parties, the insurance side, the judiciary, and many
other parties.
2.2.3. Revisions of UCP

16