Các yếu tố ngôn ngữ trong đàm phán thương mại quốc tế (anh việt đối chiếu)

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B a n g ky hieu v a vie't tat

1 DA'u (^0 dm a phia tren, diiu cAu vi du: vi du c6 linh bA'l tlurang

2 COMP (Complement): 6 trdng phu

3 CP (Cooperation Principle): iiguyen tAc cong tac hoi thoai

4 CTCiT: chu the giao tiep

5 DN: di^n ngon

6 DNDP: di6n ngon dam phan

7 DP: dam phiin

8 f)P-TMQT: dam phan thirong mai quoc le

9 DTGT: doi tuang giao liep

lO.DTNV: dai tir nghi vA'n

I l.FTA (Face Threatening Act): hanh vi de doa (he dien

12.HH&DV: Hang hoa va dich vu

l3.HVH:hanh vi hoi

14.IlVK:hanh vike

15 IFID (Illucutionary Force bidicating Device): phuang lien bieu Ihi lire ngon trung/

hieu lire a lai

16 INFL (Inflection): 6 trong gianh cho tac tir

17 LS: yen to danh dA'u lich su

18 NCGT: ngir canh giao tiep

19.NV(n^: nliAn vAt giao tiep

20 PN : phat ngon

2I.PNFI: phat ngon hoi

22 PNKL: phat ngon khuyen lenh

23.PN7'L: phat ngon tra lai

24 SM: sue manh

25.TGD: tien gia dinh

26 vd.: VI du

! Tinii cAp thiet va y ngliTa ciia d6 tai 1

2 Cai moi cua d^ tai 1

3 Doi tuang va muc tieu nghien ci'iu ciia de tai 2

3.1 f)6i tuang nghien ci'ni cua de tai 4

3.2 Muc tieu nghien ciiu cua de tai 4

4 Pham vi nghien ci'in de tai 5

5 Phuc^ng phap nghien cuu de tai 5

5.1, Ve qnan diem (phuttng phap luAn) 5

5.2 Phircfng phap nghien cuu cu the 7

6 Bo cue eiia luan an X

ChUdrig 1 : Co so ly luan cua luan dn g

1.1 Fy ihuvet giao tiep () 1.2 Chu the cua qua trinh giao tiep I 2

1.2.1 Luac do (schemata) j 2

1.2.2 Niian tln'rc ve the dien I 3

1.2.3 Nhan thi're v6 doi lac: lien mic- liCn gia dinh 13

1.3 Ngu canh giao liep I 7

1.3.1 Khai nicm ngii' canh tlnh hno'ng 17

1.3.2 Ngu' canh giao tiep cheo van hoa 19

1.3.3 Bien the ngon ngu 21

1.4 Ca che vl mo cua dien ngon 2^

1.4.1 Truong dicMi ngon 11^

1.4.1.1 Fhuong mai (]iinc te va boat dong djun phan 7,4

1.4.1.2 D P - T M y r v ; , ly thuyet Iro ehoi 75

1.4.1.3 (Yic ban che cua thnyet banh vi ngon ngu y^

IV

1.4.1.4 Nguyen lAc cong lac boi Iboai -^^^

1.4.1.5 Tnrang va maeb lac dien ngon 31

1.4.2 Phuang thuc di^n ngon 32

1.4.2.1 Phat ngon-CAu 32

1.4.2.2 Van ban- di§n ngon ^^

1.4.2.3 Piiong each va phong each chuc nang 35 1.4.3 Kbong kbf di6n ngon 36

1.4.3.1 Lai ich 36 1.4.3.2 Sucmanb 37 1.4.3.3 Lira ebon chien luge dam pban 38

1.5 Co die vi mo cua di6n ngon 40

1.5.1 Cache tAng bac 40 1.5.2 Cache tuyen tfnb 40 1.5.3 Cacb^^pbam trii 41 1.5.3.1 Cung va can 41 1.5.3.2 Hanh vi ke% Hanh vi hoi 42

1.5.3.3 Tuang lac-Xuyen tboai-Trao dap-Tbain tboai 43 1.5.3.4 Giao dicb-Tuang lac 44 1.6 Ket luan chuang 1 45

C h u o n g 2 : Co che t a o n g t d c cua d i e n n g o n D P - T M Q T hay la

dien n g o n D P - T M Q T n h i n tOf c a p d o vF m o : c a p d o g i a o t i e p 4^^

2.1 Tnrang diin ngon DP-TMQT 46

2.1.1 Chu de dien ngon DP-TMQT 46

2.1.1.1 ChnAn hi noi dung cbn de 46

2.1.1.2 Pbam vi npi dung dugc cluuln bj: khnng chu de 47

2.1.1.3 Truang va chu de diSn ngon 50

2.1.2 Tac dong cua irirang len cAiu true ibam Iboai 52

2.1.2.1 Dan vi cua truang: boi dam pban 52

2.1.2.2 DA'u An cua su chuAln hi lien Ibam thoai dam plian 53

2.1.3.1 Cac dai tir nhAn xirng trong DNDP noi bo 55

2.1.3.2 Cae dai tir nhAn xirng trong DNDP quoc te 58

2.1.3.3 Ty le cac kieu loai PN trong DNDP noi bo 58

2.1.3.4 Ty le cac kieu loai PN trong DNDP quoc te 60

2.1.4 Hang so cua truang ' 61

2.1.4.I.Ty letbuAt ngu: 61 2.1.4.2 Do dai cua PN trong DNDP: 65

2 2 Phuang tbirc diln ngon DP-TMQT 66

2.2.1 CAu ti-iic dien ngon DP-TMQT 66

2.2.1.1 Can true tong the dien ngon dam pban 66

2.2.1.2 Can triic cua mot xuyen thoai 71

2 2.2 Cac dac diem cu phap 75 2.2.2.1 Cac dac diem cu phap DNDP tieng Anh 75

2.2.2.2 Cac dac diem cu phap DNDP tieng Viet 76

2.2.2.3 Cac PN hi dong trong DNDP tieng Anh 77

2.2.2.4 Cae PN bi dong trong DNDP tieng Viet 78

2.2.3 Cac dac diem ve ti^r ngu 79 2.2.4 NhAn xet chung ve phuang ihirc DNDP 81

2.3 Kbong kbf dien ngon DP-TMQT 83

2.3.1 Quan be trong dam pban 83 2.3.2 Thai do doi vai nguai nghe (cir toa) 85

2.3.2 F Sir dung yen to danb dA'u lich su please, xin: 85

2.3.2.2 Sir dung nguAn lire f ngliTa tfcb cue cua li^r 88

2.3.2.3 Sir dung nguon lire cac lirgng tir ban dinh (quantiliers) 89

2.3.2.4 Su dung nguon lire i\x luib thai 91

2.3.3 Thai dp cua nguai noi doi vdi thong diep 94

2.3.3.1 Sir dung cac yen to che chAn (hedges) 94

2.3.3.2 Sir dung thi qua khir tinb thai (modal past) 95

Vi

2.3.3.3 Sudung tb^ tiep dien 96 2.3.3.4 Sir dung blnb tbi'rc phat vA'n va so sanh ban 97

2.3.4 Y dinh nguai noi 98

2.3.4.1 Hanii vi ngon ngu gian liep (indirect speech act) ^^

2.3.-4.2 Ham y hoi ihoai (coversational implicature) '*^'^^

2.3.4.3 I lam y qny \Hic (conventional implicature) '^'^

2.4 Ket luAn chuang 2 ^^^^

Chiiong 3: Co che giao dich cua dien ngon HP-TMUl hay la

dien ngon DF-IMOT nhin tCT c a p do vi m o : c u n g - c d u t h o n g

3.1.2.4 NhAn xet '^^ 3.1.3 Cac PNH khuyen lenh '^'^

3.1.3.1 Yen cfiu cung cap bang boa dich vu

3.1.3.2 Yen cfiu cung cap ibong tin ^ - ^

3.1.3.3 Cae PNHKLvaFTA ^^^

3.1.3.4 Nhan xet ve PNKL tieng Anh va tieng Viet Irong DNDP ^^^

3.2 Ca die doi boi thong tin gian tiep 135

3.2.1 Cac PNH de ngbi 136 3.2.1.1 PNH l a s u m e m hoa PNH khuyen lenh '37

3.2.1.2 PNH la su mem boa PNH c6/khong (PNH lira ebon) ' 37

3.2.1.3 PNH la su mem boa PNH eo DTNV 1 ^8

3.2.2 PNH tiAn tbuAt 140

3.2.3 NhAn xet ebung ve ca che gian tiep trong DNDi^ 142

3.3 Ve cung Irong dien ngon DP-TMQT 144

3.3.1 Cung cAu hang hoa, dich vu 145

3.3.1.1 Kbi cAu la mot de ngbi hay menh lenb 145

3.3.1.2 Thuc bien menh lenh, yen eSu 147

3.3.1.3 Tir ehoi thuc bien menh lenb, yen cAu 147

3.3.2 Cung-cfiu thong tin 148 3.3.2.1 Kbi ve cung la mot nhAn dinh 149

3.3.2.2 Tra lai vao diem hoi 151

3.3.2.3 Tra lai "Co, VAng, Dong y" 155

3.3.2.4 Tra lai "Kbong, kbong dong y" 155

3.3.2.5 Kbong noi "eo", kbong noi "kbong" 156

3.3.2.6 Thai dp chira quyet 157

3.3.3 Tra 15i ma kbong tra I5i (Khirac tii tra lai) 158

3.4 Ket luAn chuang 3 160

ChUOng 4: Mot so' tham bien van hod thUbng hay duoc

nhdc den trong giao tiep Dong-Tdy vd trUdng hop dien

ngon DP-TMQT (tieng Anh vd tieng Viet) 162

4.1 Thien hir6ng ea nhAn - thien hu6ng lap the 1^2

4.2 Thien birang canh tranh- thien hirang cong tac l^-'^

4.3 Tu duy tuyen tfnb- tu duy vong veo If^^

4.4 Cac chien luge giao tiep true tiep-gian tiep ^71

4.4.1 PhAn loai cac PNH theo hieu lue a lai gian tiep 171

4.4.1.1 PNH dinh hirang 171 4.4.1.2 PNH kbong dbib huang 172

4.4.1.3 PNH trnib bay thong tin 172

VIII

4.4.1.4 I^NH kieh ihicb suy ngliT 173 4.4.1.5 PNH ki'ch tbich ra quycl dinh 174 4.4.1.6 PNH (lAn dm 174 4.4.1.7 PNH xo xien 175 4.4.2 Bieu thi s u d o n g y mot each true tiep 175

4.4.3 Bieu thi su kbong dong tlnh mot each true tiep 176

4.5 Hnib thuc - noi dung 177 4.5.1 P N T L " C 6 , VAng" 178

4.5.2 PNTL " K b o n g " 179 4.6 Lich sudirctng tinh- lich su Am tfnb 182

4.6.1 Trinb bay vA'n de dirai dang thuc PNH de ngbi 183

4.6.2 IFID "de ngbi" trong tieng Viet 184

4.7 Tfnb trang trong - xuoiig xa 1 85

4.8 Ket luAn chuang 4 188

FIIAIV Kill U]i\?i

1 Cac van de da de cAp trong In An an 1 ^*^

2 Ve xAy dung elurang ti nib, giao trnib giang day ngoai iigir a cae truang

dai hpc cliuyen ngCr a Vict nam 1^2

3 Kien ngbi cac npi dung nghien cuu va dao tao 1 ^)5

Tdi lieu t h a m k h d o

Phu lue

C d c b a n g , b i e u do vd hinh ve t r o n g ludn d n

Phan nurdaii

Hinh 0.1: Ma ngon ngu Irong dam phan 2

Hlnh 0.2: Quan diem cua Nguyen Lai 6

Hinh 0.3: Quan iiiem cua Chomsky 6

(riuiong 1

Hnili 1.1: Sa dO giao tiep cua Aristotle 9

Hinli 1.2: Cac kluiynb huang ngon ngCr hpc the ki XX 10

I luih 1.3: Qua ti nib giao liep 1 I

Ilinb 1.4: Cac hinh anh cua NVGT 1 3

ilinh 1.5: FTA va vf du minli boa 14

Minh 1.6: TAp bap lien gia dinh 16

Hinh 1.7: Mo buib diSn ngon 20

Hinh 1.8: Van boa 21 IFinh 1.9: Su pbAn biet giua nguai sir dung va su su dung ngon ngir 22

Hlnh 1.10: Kha nang dung phap ngon ngu va xa boi 27

Hlnh 1.1 I: So sanh he lliuAt ngu cua Austin va Searle 29

Flinh 1.12: Maeb lac dien ngon 31

Hiiib 1.13: Cae hlnh tbilc sue manh 37

Hlnh 1.14: Cac Ibiet che sue manh 38

Hlnh 1.15: Ma trAn lira ebon chien luac dam phan 39

Hinb 1.16: Cache Ifing bae trong dien ngon 40

Ilinb 1.17: Quan diem cua Cook ve dien ngon 41

Hlnh 1.18: So do duic nang lai noi 42

Hinb 1.I9' SuphAnbiel HVK va HVII 43

Chmrng 2

Bang 2.1: Danb mue cae van de dam phan

Hlnh 2.2: Khuug chu de

Hlnh 2.3: Can i n k dien tiiiih dam pban

Hlnh 2.4: Ty le dai lir nhan xuiig tren tong so PN

Hlnh 2.5: Bien thien ti le % tOng so dai Ur tren long so PN (ngir lieu F8)

Hlnh 2.6: Bien thien ty le % long so dai tu titn tong so PN (ngu lieu F9;

Bang 2.7: Ty le cac kieu loai PN tren F8

Bang 2.8: Ty le cac kieu loai PN tren F9

Bang 2.9: Ty le trung blub cae kie\i loai PN tren F8 va F9

Hlnh 2.10: Ty le cac kieu loai PN Iren Fl

Hlnh 2.11: Ty le tbuAt ngu tren Icing so ti^r tren ngu lieu bat ky tren Fl 0

Hlnh 2.12: Bien thien ty le % thuAl ngir tren tong so ti^r tren ngu lieu F8

Hinh 2.13: Bien thien ty le % IhuAt ngu Iren long so tij' tren ngir lieu F9

Hlnh 2.14: Mo hlnh cac xuyen thoai irong dien ngon dam phan

Hlnh 2.15: CAu true cua mot episode

Bang 2.16: Ty le cac kidu loai PN trong DNDP tieng Anh (F4)

Bang 2.17 : Cae kieu loai PN trong eac tham thoai tieng Viei (Fl)

Bang 2.18: Ty le cac kieu loai PN Irong cac tham thoai tieng Viet ( F4)

Bang 2.19: Ty le eac PN bi dong trong cae ibam thoai tieng Anh

Hlnh 2.20: Phuang thuc dien ngon

Hlnh 2.21: Cae phuang phap dam phan

Hlnh 2.22: He thong cac kieu llnb thai trong tieng Viet

Chiirmg 3

I Iinli 3.1: Cae hlnh thuc cua cAu khien

Hlnh 3.2: Hlnh thai PN

Hlnh 3.3: Cac llianh to trong can true sAu cua PN

Hinh 3.4: Tac tuchuyen dong "ra tien tuyen"

Hlnh 3.5: CAu true sAu mot PNH c6 DTNV vai cac thanh to a nguyen

vi 114

Hlnh 3.6: CAu true mat vai cac vet tfch cua sir di chuyen 1 I 5

Hlnh 3.7: Sa do chuc nang lai noi va boi dap 144

Chuang 4

1 linh 4.1: I Huh llnrc va noi dung 177

Bang 4.2 : Ty le % cac kieu loai PN trong cac tham thoai tieng Anh va

tieng Viet (ngu lieu Fl) 187 Bang 4.3 : IV le % cac kieu loai PN trong eac tham thoai tieng Anh \'a

tieng Viet (ngu lieu F"4) 187

PHANMODAU

1 Tfnb c a p t h i e t vd y nghta cua de tdi

Dam pban tbuang mai quoc te (DP-TMQT) la mot boat dong giao tie'p Ihiran mai kbong the thien doi vai mpi quoc gia, dac biet de)'i vai Viet nam, mot quoc gia v( n^n kinb te' ma va vai mong muon lilm ban v6i tA't ca cac nu6c, mong muo'n thu but del

tu nuac ngoai iibAm tirng buae vung cbAc tien hanh bien dai boa va cong nghiep he nen kinb te dAt nir6c

Nghien cuu va giang day ngoai ngu noi ebung (ngon ngu chuyen nganh iv

rieng, trong do eo ngon ngu dam phan) d^ giao tiep kinb te, la mpl doi hoi Ihue te ^ cA'p bach ciia xa hoi doi vai giao due, dae biet doi vai cac trung lAm dao tao va nghit cuu cbA't lugng cao, cae nha bien soan, cai tien chuang trlnb, giao trinh Muc die chung la kbong chi day cai ma ta dang c6 ma eon day cai xa hoi cAn

The giai da c6 bang loat cae eong trlnb nghien cuu dam pban (DP) ti^r goe dp I thuAt nghiep vu kinb te doi ngoai, song chua c6 mot cong tiinh hoan cbinb nao tiep c; dam phan lir goc dp ngu bpc Cac tiep cAn ve diSn ngon dam phan (DNDP) chi a mi

do le te, dirdi hlnh thuc mot vai nban xet cua cae tac gia nhAn dang ban mot van ( chinb nao do kbae hoac dudi dang cac dam pban inAu phuc vu cho ky thuAl dam phan

DAy la cong trlnb ngon ngu hpc khong phai mpl cong trinh ve nghiep vu da phan, nhung cae ket qua nghien cuu c6 tb<^ dirge vAn dung trong tang cirdng ky thu nghiep vu DP-TMQT

2 Cdi m d l cua de tdi

Ve ly luan, luAn an dira ra mpl kbung ly thuyet mai, xem xet DNDP tren ea 1

binh dien vT mo (trong tuang tac vai ngu canh) va vi mo (trong to chuc npi lai DN),

tfnb den dac diem chuyen mon va van boa cua CTGT va DTGT Ve mien td ngon ng

luAn an mo hlnh boa cifu true DNDP (Tuang tac-Xuyen tboai-Trao dap-Tham tho; Hanh vi), cae dac diem ve truang tluie va kbong kbf DN, ca che cung c;1u thong t bang boa, dich vu (HH&DV) trong to ehue npi bp qua trinh dien ngon DP-TM(

tieng Anh va tieng Viet Ve doi chien ngon ngn\ luAn an doi chien ngon ngu E

ngu lieu dam pban thuc dia) Ve anh huong cna van hod doi vdi DN, luAn an khao sal

su chi phoi cua cae cap tham bien van boa noi tieng (ca nhAn-lAp the; lAng bAc-binli dang; true tiep-gian tiep; tu duy tuyen tfnb-tu duy vong veo v.v.) Iren dien ngon DP-TMQT vk bac bo kbuynh budng nghien cuu giao tie'p tren ca sd cac dinh kien van hoa

3 D o i t u o n g vd muc t i e u nghien cuTu cua de t d i

3.1 Doi tiioiig nghien ci'in cna de lai

Doi tirgng nghien ei'ru long the cua de tai la boat dpng cua cac yen to ngon ngi

dudi tac dong cua hgir canh dam pban, iui\ ihong tin dugc Irao dOi vl cac muc lieu Ig

nluiAn va quan be cae nhAn vAl giao tiep boat dpng nbu nhung dai dien cho cac llu che kinb te, va eac nen van boa khae nbau Cac dac diem nay ciia ngij canh da chi pbo cac dac diem cua dien ngon dam phan

Trong DP-TMQT giiia Viet nam vdi cac nude noi tieng Anh, tieng Anh va tie'n^ Viet la bai ngon ngu dugc su dung ebinh thuc Noi each kbae, trong dam phan tienj Anh va tieng Viet la bai ngon ngu binh dang, kbong ngon ngir nao bi coi la ngon ngi

pbii tren b^n dam pban Tie'ng Viet v^ tie'ng Anh lc\ bai phuang tidn 66 gbi nhAn ke

qua dam pban Co the mo hinb boa boat dpng cua tieng Aiuh va tieng Vict tren bar dam pban trong sa d6 sau:

Ddu vao ngon ngCr

I leng Anh

Ddu vao ngon ngu 7K

Tieng Viet (ND)

Phia Viet Nam Phia nude ngoai

Hhih 0.1: Ma ng6n ngu Irong datn plvin, (NN-ngfr nguOn, NF3=^ngrr dich)

Qua sa do iren, eo the IbA'y (i) mdi ben tham gia dam phan deu sir dung bai lb tieng tieng Viet va tieng Anh; (ii) mdi ben Ibam gia dam phan deu sir dung tieng m

de cua minh lam ngu nguon (NN) va tie'ng me de cua doi tac lam ngfr dicb (ND) K(

qua dam phan duac gbi nhAn bfuig tieng me de cua cac ben tham gia: bang tieng Viet

va tieng Anh; "ca bai ban (tieng Viet va tieng Anh) cd gia tri ngang nbau" (muc 2, dieu 8, ehirang 7, Hiep dinh tbuang mai song phuang Viet-My, ngfr lieu F7)

Ngir lieu nghien cuu cua de tai nay gdm eac ngif lieu dam phan mAu trong cae giao trinh ve ky thuAt dam pban tbuang mai ([80],[89], [128] [135], [146], [148], v.v.), cae tai lieu giang day tieng Anh giao tiep doanh nghiep va tieng Anh dam phan ([F12|, [F13|,|F14],[F15])

De tai con sir dung cac ngu lieu dam phan thuc dia gdm cac bien ban chi tiet ehfnb thuc eac eiipe tliEio luan ve quan he ibucfng mai vdi Viet nam ([F8], [F9| |F10])

da dugc pbfa My xuA't ban Ben canh, chung loi con sir dung cac ngfr lieu hoi ngbi Cac ngu lieu boi ngbi la eac ngir lieu song ngu, tieng Anh (NN) va tieng Viet (NN) Chiing toi cd dugc cac tu lieu nay trong qua trinh thu tbAp tai lieu nghien cuu cho de tai, va trong kbi cong tac nbu mot ngudi pbien djch vien bay ngudi bieu dfnb tai lieu ([F1],[F2], [F3], [F4], [F5], [Fl I]) Tuy kbong phai la cae ngu lieu xuA't ban, cac lai lieu hpi ngbi dugc luu hanh ehfnb thuc nbu nhijng tuyen bd cam ket, nhan dinh de xuA't v.v ehfnb thuc cua cac ben tham gia

Cac ngu lieu nay ton tai bAng ca tieng Anh va tieng Vict, nhung khi phAn tfch phuang thuc boat dpng cua DN qua sir dung cae ngu lieu nay, chung toi chi su dung phan ngQ' ngudn cua tai lieu, de dam bao tfnh "nguyen gde" (authenticity) cua ngCr lieu dugc sir diing ebo miie dfeb so sanh doi ehieu

Hoi (tieng Anh, NN): Arc services under any sort of price control? If so, please provide details of (a) the services which are subject to price controls and (b) the form ol the price control applied

Chuyen ma (NN duoc dich sang ND): Cac dich vu cd phai chiu bat ky hlnh thuc kieir

scat gia nao hay khong? Nen c6, xin de nghi cung cap chi tiet vc (a) cac dich vu phai chiu cat bien phap kiem soat gia va (b) hlnh ihuc kiem soat gia dang duoc ap dung

Tra Idi (tieng Viet, NN): Cat dich vu tai chinh-ngan hang phai cliju cac bien phaf kiem soat gia hao gom (i) Mu L/C (ra chani; (ii) liny dpng tien giii va cho vay; (iii) KinI doanh ngoai (c; (iv) Bao hlnh Cac hinh (hue kiem soa( gia dugc ap dung bao gom: (I

inua va gia ban ngoai (e la 0 , 1 % doi vdi chuyen khoan va 0.5% doi vdi (len ina(; (iv) Doi vdi cac khoan vay, phi hao lanh (oi da la 1%/nani (inh (ren so tien dang con duoc bao lanh

Chuvdn ma (NN duac dich sang ND): Financial banking ser\'ices which arc subject to measures of pricing controls include: (i) Opening Deferred L/C; (ii) Deposit taking and lending: (iii) Foreign currency trading; (iv) Guarantee

Applicable forms of pricing controls include: (i) Guarantee fee for opening L/C shall not exceed 1% peiannum of the L/C value (ii) Top-most ceiling rales for short, medium and long-termed loans, overdue interest rates: (iii) Maximum spread between buying and selling rales in foreign currency irnding is 0.1% for transfeis and 0.5% for cash transactions; (iv) Maximum guarantee fee for loans is 1% per annum of the amount being guaranteed.) Nguon: 1F3: 23]

3.2 M n c tien nghien ciin cua de (ai

Muc tieu nghien cuu cua de tai nay gom:

(i) nghien cuu cac ca sd ly luan lam nen mdng cho viec tiep can nghien cuu boat dpng cua cac yen id ngon ngu hlnh thanh dien ngon D P - T M Q T , mot bien tuang ngon ngu dura cd cdng trlnb nghien cuu nao de cAp

(ii) nghien cuu cac binh dien vT md cua dien ngon D P - T M Q T (tieng Anh va

tieng Viet), mo blnb boa cA'u true dien ngon dam phan d cap long ihi va dan vi de tlm

ra cae dae diem chung nhA'l cua trudng thuc va khong kbf chung dien ngon D P - T M Q T

(iii) nghien ciiu hoal dong cua ca che cung cAu trong dien ngon DP-TMQT Cu the, nghien ciiu cac hlnh thuc bieu bien c^u ve thong tin trong dam pban (cac loai phat ngdn hoi (PNH) va sir lirang ihfch ciia cac phat ngon tra Idi (PNTL) doi vdi PNH xet ti^r cac binh dien kbae nbau

(iv) nghien cuu boat dong ciia mot sd tham bien van boa tliudng duac nhAc den trong giao tiep Ddng-TAy nliu thien budng ca nbAn-thien budng lAp the, thien hudng

cong tac -thien budng canh tranh, v.v va bieu hien cu the cua cac tham bien nay Ironj dien ngdn DP-TMQT;

Cac ket qua nghien cuu cua luAn an cd the dugc ap dung d^ cai lien vice xA] dung chuang trlnb giang day ngoai ngu d cac trudng dai hpc chuyen ngu noi chung v, ngdn ngu dam pban ndi rieng

4, Pham vi nghien cdu de t d i

4.1 Mac du trong luAn an, chiing tdi cd sir dung cac thanh luu nghien cuu ve 1; thuyet dam phan, dAy la cong trlnb nghien ciiu ve ngdn ngu dam phan, khong phai I cong trinh nghien cuu ve ky ibuAt nghiep vu dam phan

4.2 Qua trlnb dam pban nao ciing gom 03 giai doan: giai doan chu^n bi, gia doan tien h^nh dam phan va giai doan ky ket (bgp dong, hiep djnb) Giai doan chuAn b

cd th^ dugc lien bt^nb bAng cac trao ddi thu tin dudi hlnh thuc ngon ngu thu tfn Gi<i doan ky ket la giai doan ket thuc cua dam pban D6 tai chi dat vA'n de nghien cuu qu trinh trao doi thong tin trong dam pban Ndi each kbae de tai khong dat vA'n de nghiei cuu cac hien lugng ngdn ngu nhu thu tfn tbuang mai, bay hgp ddng; cae loai van ba nay cd nhung khudn hlnh rA'l dn dinh va mang tfnh quoc te (xem: [12], [56], |126 [220])

4.3 Do dae diem cua ngudn ngu lieu cua de tai (ngir lieu gbi Am va cac bie ban chi tiet cac cupc dam phan ve chu de tbuang mai quoc le), de lai klidng cd die kien "cAn va diV de de cAp cac yen id phi ngdn ngu (non-verbal language) trong dar pban nhu ve mat, gipng ndi, cac cu chi v.v

5 PhiTOng phdp nghien cuTu de t d i

5.L Ve quan diem (phuang phap luAn)

5.1.1 Quan diem boat dpng:

Theo Nguyen Lai [44], su phAn biet ngdn ngu- Idi ndi ciia Saussure [62| tu no c

nhfrng bA't on (vi du, cAu la iUm vi ihudc ngdn ngfr hay Ihudc Idi ndi?) Nguyen Lai du

ra each phAn biet mdi chi pliAn biet ngdn ngir vdi boat (long ngdn ngii Trong ho; dpng ngdn ngu, cd bai phuang tbiic boat dpng cbinb la phuang thuc ngdn ngu ndi \

each vie't", xem: [74], [75]) Chiing tdi xin trinh bay tdm luge cac y kien ciia Nguyfin Lai trong md blnb sau:

Hlnh 0.2: Quan diem cua Nguyen Lai

Quan diem cua NguySn Lai gSn nbu tricing vdi quan di^m eiia Chomsky

Chomsky [112 113] trong nhung nam 1980 cho rang cai dugc ndi ra - what is said gan lien vdi cai dugc suy ngbi, tfnh loan- what is thought

Nfiun npfr hue

NgOn ngfr Iioc ngon ngu I

Ngon ngiJ vie't

prinb 0.3; Quan niem ciia Chomsky

Ndi each kbae, con ngudi ludn sir dung ngon ngii' cd muc dfch, nhAm tao ra nhung tac dpng nbat dinh trong thuc lai Ngdn ngu hpc, theo dug, bao gom bai nganh nghien cuu: ngdn ngu hpc ngdn ngir ben trong (ngdn ngir hpc ngdn ngu I), va ngdn ngu hoc ngdn ngir ben ngoai (ngdn ngfr hpc ngdn ngu E) Ngdn ngif bpc ngdn ngij" ben trong nghien cuu khdng chi kha nang ngdn ngCr ma cdn ca kha nang ngu dung Ngdn ngu hpc ngdn ngu ben ngoai nghien ciiu bai dang Ihiic hoal dpng cua ngdn ngu: ngdn ngu ndi va ngdn ngfr viet Viec dua kha nang ngu dijng vao nhu mot tbanb phAn citci

ngdn ngu hpc ngdn ngu ben trong ro rang da lam nhoa di su pbAn biet ngdn ngir- I ndi theo truyen Ibd'ng Saussure'

5.1.2 Quan diem be tbdng

Dien ngdn la mpl he ihdng vua mang tfnb ddng (neu xet trong ban IbAn nd va ban ibAn nd) vi^va mang tfnh md (neu xet trong quan be vdi cac yeu td ciia qua trii giao tiep) Ndi each kbae, dien ngdn boat dpng theo mpl ea che bai mat: vi md va

md, gAn vdi nbau nbu bai mat eua mpl td giA'y Ca che vT md (ca che tuang tac, ca d ngoai tai) cua dien ngdn tao thanh trudng, phuang thuc va khdng kbf chung diSn ngd

Ca che vi md (ca che ndi lai) ciia diin ngdn la ca che tuyen tfnh, lAng bAc va pba

till

Dan vi cua dien ngdn la phat ngdn; dan vi cua phat ngdn la cac dan vi lu bo

cac yeu id tuang duang li^r "(T)u va cAu la bai dan vi ca ban ciia ngdn ngu Cac dan

kbae lien quan vdi chiing bAng nhieu each khae nbau va qua tij, cAu ma cac thudc ifi

ciia cac dan vi 66 dugc bpc Id va ly giai" (Hoang Trpng Pbien, [61:188]) Ben can

chiing tdi tiep thu quan niem "(C)Au la dan vi cua nghien cuu ngdn ngfr" [2: 107] '^ dia vi ciia phat ngdn/cau, chiing tdi tiep thu quan niem cua Nguyfin Tai CAn [7], c^

rang: "Di theo ngu phap truyen tbdng tbl di den cAu la di den tot dinh cua cac dan

ngfr phap be de lAp thanh dan vi Idn; va do dd di den bet vA'n de cAu la nhiem vu mi

ta ciia nha ngu" phap hpc da hoan loan cham diil ban Ngugc lai [ ;] hoan loan cung the cho rAng chi vdi cAu tbl la mdi bAl dAu bude cbAn vao dia hat cua tbdng bao, va c

la dan vj le bao cua dia bat nay." [7: 363]

Nhu vay, phat ngdn la dan vi lot dinh cua ngir phap kh^u ngir, nhung la 'Wan

te bao" cua nghien cuu dien ngdn (xem: Brazil [98], Hyines [169])

5.2 Phuang pliiip nghien cnu cii the

Cac phuang phap nghien ciiu cu Ih^ gom:

(i) Phuang phap tbdng ke:

' Vd su phan bi6t ng6n ngCrdai noi, xem tiieiii: Nguyen Due Ddn [18], Luu Vftn Lang [47], Lt Quang Tli

[70J Brazil [98] va niol so nh*^ nghien cuu khi'ic (Yic nha nghifen cuu nay cho rAng thill kho c6 ,su pIiAn biet i roi giua ng6n ngu -lai noi Widdowson [277,278] chi piifln biet giua ng6n ngu (language) va ng6n ngu tronj diing (language in use)

qua tbdng ke se dugc sir dung de nit ra cac dac diem cua dd'i lugng nghien ci'ru (ihdn

ke dinh lugng de nit ra cac ket luAn dinh tfnb theo nhu dinh hirdng nghien ciiu Boot

va cae dong lire gia [94] da neu trong "Nghiep vu nghien cuu- The Craft of Research")

(ii) Phuang phap mieu la:

Chiing tdi mieu la cac dac diem ngdn ngu DP-TMQT tieng Anh va tieng Vie nhu' kbung chu de cA'u Inic xuyen tboai, trao dap, tham thoai cA'u true phat ngon (cA true mat, cA'u triic sAu ciia cac I^NH tie'ng Anh) tren ca sd sir dung cac ngu lieu dar phan thuc dia de nil ra cac dac diem mang tfnh chA't dac tbi^i cuadien ngdn DP-TMQ1 Trong khi mieu ta eac hien lugng ngdn ngCr trong hai thu tieng, chiing tdi ddng the

lien hanh doi ehieu cac hien iwang ngdn ngil' quan sat dugc tren cac ngu lieu dai

phan TMQT tieng Anh va lieng Viet de tlm ra cac khae biet va tuang ddng

6 Bo cue cua ludn dn

Ngoai phAn md dfiu (gidi thieu chung ve luAn an) va pbtln ket luAn (tdm luac ci1 vA'n de chu yeu da de cAji trong luAn an), luAii an ciia cluing tdi gom 04 chuang:

1 Phan md dau

2 Phan noi dung chinh cua luan an:

Chuang I: Ca sd !y luan ciia biAn an

Chuang II: Ca che tuong lac ciia dien ngdn DP-TMQT hay la dien ngdn DI TMQT nhin tir cap dp vT md: cap dp giao tiep

Chuang III: Co che giao dich cua dien ngdn DP-TMQT bay la dien ngdn DI TM(^T nhin tu cap dp vi md: cung cfiu tbdng tin va hang boa dich vu

Chuang IV: Mpl sd tham bien van boa thirdng dugc nhAc den trong giao tit Ddng-TAy va trudng hgp dien ngdn DP-TMQT (tieng Anh va tieng Viet)

3 Phan ket luan

ChiiOng 1

CO SO LY L U A N C U A L U A N A N

Muc lieu ciia chiidug nay la lilnli bay c(^ sd ly luan ebo tonn bd ndi dune lurni

an f)e tranh nang ne ly Ihuvet chung tdi chi de cAp d dAy cac van de ly luan ebung nhal: cac \'an de Iv luan eu the lien quan den cac van de cu the d umg cbirong se duoc

(Ic (Ap sau khi can

1 1 LY T H U Y E T G I A O TIEP

1.1,1 Giao liep theo Ti)' dien ii^oii u^il hoc I'l'u^i chiiig [v:491 la qua trlnb lien (plan den it nliAl 01 ngudi n(>i /;/,'///// phat, 01 ihoug (hep dugc truyen dat va 01 hay nliieu ngudi tie'p }}hdn Ngudi dAu lien de cAp den qua trlnb giao tiep la Aristotle

Ngi-Tdi phat Thong diep Ngadi nhan

Hlnh 1.1: S(nld giao tiep ciia Aristotle (Ngudn: Kinnard [1841)

Dd la cat qua trlnb dugc (lido trinh (Saiisurre, |62:33|) iibAc den nbu la su luan cluiven cae (jiui trlnb ma hod va i^idi uid eac tfn hieu giua nhung ngudi sir dung ngdn

ngii (tu qua liinb lAm ly sang qua trlnb sinb ly rdi den qua tiinh ibuAn vAt ly Irong ma hoa vn Iruyen tin bieu va ngn(yc lai trong tiej") nhan va giai ma tin hieu) Ly giai ciia Saussure !62| cho thay mai den dfiu the ky XX nhan tluie ve tpui trlnb giao tiep cunu chang viral xa h(tii Aristotle la bao

L1.2 Su ph;ii trien cac kbuynh hudng ngu hpc the ky XX duoc danb dan hang

su chuyen hU(''ng ehii v nghien ciiu Itrdni nghia can triic (xem: Bl<x)mfield, |93|) sang nghien ciiu duic nang va boat ddng ngdn ngu Irong ngCr canh giao \\Q\). Neu trung lAn^ cua nghien eiiu ngu hoc liong cac ihap ky dfiu ciia the ky XX dai vao cac van dO nlu dial lieu (suhslance) va hlnh thiic (fcMiu) ngdn ngil thi den giua the ky XX chinh \;it

ban tu IhAp ky 40 su cliii y nghien cuu da dugc chuyen sang chire nang ngdn ng trong ngir canh Ngfr canh lid thanh mdi quan lAin ciia ngdn ngu hpc Ngdn ngu" be

khude ti^r viec xem xet mpi vA'n de lien cptaii den nd chi a pham vi "trong ban ibAn r

va vl ban ibAn nd'\

Khnynh hudng

1 Saussure/Trudng phai Prague

2 Chii iighla cAu triic My (chii

ngbla Bloom field)

3.Chii ngliTa cA'u triic- chiic nang

Anh (chii ngliTa Firth)

4 Tao sinb/ chuyen boa

5 Tin hieu hoc ngdn ngu hpc

xa hpi dung hpc ngdn ngu', chu

nghia Firth mdi (cliti ngliTa dure

Ngdn ngil trong ngu canh; nghien ciiu van

ban, ngliTa trong ngu canh

Nghien cuu langiie, thanh Id va qua trlnb

ngon ngu' pbd tjuat

Nghien etiu: ngdn ngfr (rong ngfr canh ctic

dure nang ngdn ngu; ngfr nang (kha iiAng ngdn ngu) va ngu vAn (sir vAn dung ngdn ngu trong ngu canh)

Bang 1.2: Cac kbuynh budng ngdn ngir iipc the ky XX Ngudn: Damen [123:4^

Bang 1.2 cho IbA'y khiiynh hudng nghien ciiu viec sir dung ngdn ngfr froni^ n\

cdnh giao tie'p la kbuynh budng nghien eiru ndi bat eiia ngu" hpc cudi the ky X]

Kliuynh hudng (5) trong bang 1.2 cho pliep nghien ciiu:

(a) each tbirc su dung va giai thuyet cdc phdt ngon tren c a sd kien thiic n6n (b) each ibiic nhAn vat giao tiep sir dung va tbdng hieu cdc hdnh vi ngdn ngil (e) each Ibi'rc xir ly can tnic cAu theo (jiian he giila ngiioi ndi vd ngudi nghe

(xem them: [86| [172| |18()|, | 2 7 9 | , | 2 8 0 | )

nghe hay ehii the giao tiep (CT'GT) va doi tn'o'ng giao tiep (DIXIT) la ca sd de eac n

nghien ciiu linb den cae yen id "pbfa sau sAii kbA'u" ciia giao tiep- ydii td kha nang gi

liep Khd nang giao tiep (KNGT), ndi mpl each don gian la klui nang biet ap du

11

khdng chi cac quy lAc ngu phap ciia mot thu tieng de blnb thanh cac cAu diing ngu phap ma cdn biet sir dung nhung cAu nay kbi nao?, d dAu? va vdi ai? (nghia la trong ngu canh) Kha nang giao tiep, iheo Tu di^n ngdn ngu hoc ling dung | v : 4 9 | la mpl kha

nang vT md bao gom trong nd cac he tbdng kha nang cd quan be gAn bd vdi nbau D6

la (i) kien thuc ve ngir phap va tu vung ciia mot thu tie'ng; (ii) kien Ihirc ve quy tac ndi nang, (iii) biet each sir dung va dap ling Iru'dc cac hanh vi ngdn ngu kbae nbau; (iv) hiei each su dung (bao gdm sau sinb va ly giai) ngdn ngfr phi^i bgp (xem them: Canale

& Swain [1061 Canale [ t 0 7 ] , I l y m e s [171, 172])

1.1.4 Kinnard [184] la mot nba ly luAn ve khoa hpc quan ly, song dug da rat ciuan lAm den nhung thanh qua eiia nghien ciru ngdn ngu hpc cudi the ky XX Ong da dua ra md hinb giao liep sau:

Hlnh 1.3: Qua trinh giao tiep Ngudn: Kinnard [184: 350]

Md hlnh ciia Kinnard the hien dfiy dii cac yen td ciia mpl tpia trlnb giao liep, gdm cac nhAn vat giao tiep (NVGT) gdm ngudi ndi ngudi nghe (cu toa) tbdng diep dugc bien thuc boa dudi hlnh thiic dien ngdn (DN) va ngu canh giao tiep (NCGT) vdi tat ea cac yen td vat chat cua nd ke ca tieng dn Trong luAn an nay, chiing tdi phan biet giua cac yeu td ngoai tai cua DNDP (chu the va ngir canh giao tiep DP-TM(^T) nbu nhung yeu td quy dinh trudng, ibiic, khdng kbf cua D N D P va ban thAn D N D P nbu mot qua trinh mang Ifnb tuyen linh, tfnb tttng bac va tfnh pham tru

1 , 2 C H U THE C U A Q U A T R I N H G I A O TIEP

Cac chii the' cua qua trlnb giao tiep (CTGT) vi^ia la ngudi tao ra ngu canh viia I mpl bd |")hAii ciia ngu canh, chiu tac ddng ngugc lai cua ngu canh Gidng nhu cac nh san xuat nhrrng ngudi phai tra Idi cae cAu boi san xuA't cai gi? nhu the nao? va cho ai' cac CTGT phai quyet dinh ndi/ \'iet cai gl"^ nhu the nao? va cho ai? trong dd can In cho ai la cAu bdi ve DTGT "ngudi tieu thu" DN, ngudi quyet dinh tfnh phu hgp cii

DN

1.2.1 Luoc do (schemata)

Minsky [215] trong mot bai bao mang ten "Kbung (frame) bieu thi kien Ibiic

da dua ra su tuang irng giua khung nhan thde ve mot su vAt luu tru trong bp nhd ci'i eon ngudi vdi khnng doan ngfr danh td (NP) bieu thi sir vat dd trong kha nang die

ngdn ciia mdi ngudi (mdi quan he ma Quine [232] gpi la mdi quan he giua "tii" va "v;

the") Bai bao ciia Minsky cho ra ddi mot ly thuyet Ihudng dugc goi la Iv thnxe't khin,

(frame theory) Diem hap dAn ciia ly thuyet nay la d cho nd tao ra "mot An du hap dA cho y tudng ve qua trlnb hieu dien ngdn, ft nbat tbl cung la qiia tiinh Ifip rap nhung c; nghe duac vao mpl kbung da cd san trong nliAn tbi'rc ciia con ngudi ve the gidi" [ 10^ 239] Cai ma Minsky goi la khung (frame) tuong ling vdi cai ma cac nha nghien cii nhu Rumelhart [244], Anderson & Pearson [84] gpi la luge dd (scheme, sd nbiei

schemata) Theo Rumelhart [244: 5|:"Mpt luge dd (schema) la mot can tnic di\ lie bieu hien cac khai niem ebung duac luu gifr trong Irf nhd Cung cd nhung tap h(

lii'ac dd bieu bien kien thi'rc ciia chiing ta ve tap hgp khai niem, cac luge dd lam ca ^

cho nliAn thiic ve cdc sit'vdt linh hudng, sif kien, chiidi sic kien hdnh dong, chiioi hdi

dong" (NXT nhAn manh)

Theo Anderson & Pearson [84: 159|: "Mdl luge dd la mot cAii tnic kicii Ihi

triiii tuang Mot luge do hao gidcilng tidii tu'o'ng do nd long ket idt cd nhilng kien thi

del hief ve mot loot cdc trudng hop khdc biet nhau ve chi tied (NXT nhan manh) M

luac dd dugc sAp xep iheo mdt cA'u Inic do trong nd cd cbiia cac quan be giiia c

13

thanh td cua nd" Khai mem ve mot he tbdng luge dd ddng, triiu tugng, bi^u bien su

boat ddng ciia chudi cac su kien thirdng dugc gpi la kich ban -scripts/ scenarios Anderson & Pearson [84] coi luac d6 lA ca sd ciia cac ky nang tie'p thu ngdn ngfr (gdm

nghe va dpe) Luge dd la mdl phuang lien nhAn thuc vi^ra mang tfnh pbd qual (xem them: [145], [205|, [212]), vua mang tfnh dac thij van hoa (xem them: [204], [269], [275])

Sperber & Wilson [285] da khai ibac ly thuyet luge dd va diing nd de giai thfeb tfnh quan yeu dien ngdn Theo cac dug ban cbAi eua con ngudi la ludn mang dinh budng kham pba va ludn cd kbuynh budng mdc ndi, lap rap cac nhAn thuc mdi vAo cac nhAn thuc eu nbAm md rpng pham vi nhAn thuc Cook [118] coi su mdc ndi nay cdn cd lac dung ngugc trd lai Irong nhAn thuc, lam thay ddi cac luge dd cu va hiub thanh cac

luge dd mdi gi1n vdi thuc le eude sdng ban, do la siic manh cua cac hinb tugng van bpc

duac hlnh thanh tu cac dAu vao ngdn ngu Tu tudng ciia Cook cd diem gap ga vdi lu tudng tiinh bay trong cac bai giang ve ngdn ngir van bpc cua Nguyen Lai (xem: Nguyen Lai |45])

Trong hinh 1.4 cd tli^ tliA'y A I , BI la con ngudi ibAt cua A, B; A2, B2 la con

ngudi ma A, B ughJ Id minh (tiic blnb anh ma A, B lu khAc boa ve minh, dd la chAl lieu

eiia th^ dien); va cudi cung la A3, B3, con ngudi cua A, B nhu trong giao tiep (tiie la t6ng bgp ciia A I , A2 vA BI B2, bieu hien eiia Ih^ dien) Brown va Levinson [100| Fasold [133] la nhung tac gia cd nhieu ddng gdp dang gbi nhAn vao linh vuc nghier ciiu lich su trong giao liep Tiep ndi dinh hirdng nghien cuu ma Goffman da de xudng hai dug dua ra bdn dinh hirdng trong viec phAn dinh cac hanh vi cd the lam phuang ha deii the dien:

(i) Cac hanh vi co ehieu hudng lam thuong i6n the dien hoac tir do cua ngudi nght

(nhu CMC luinh vi khuye'n lenh, ba( cp, rAn day, doa nat)

(ii) Cac hanh vi c6 ehieu hirdng lam tbuang ton den uy tin, long tu trpng cua ngud

nghe (nhu cac hanh \'\ phan nan, phe phan phan ddi)

(iii) Cac hanh vi c6 ehieu hirdng lam phuong bai den the dien va tu do cua ngudi no (nhu hanh vi cIiA'p tbuAn yeu cAu, liep nhAn Idi cam an, hua hen mpl each mien cudng)

(iv) Cac hanh vi lam phuang hai den uy tin, thanh danh, long tu trpng cua ngudi nd (nlurcac hanh vi xin loi, tiep nhan Idi khen thu nhAn)

Brown & Levinson [100] phAn biet bai pbam tri^i th^ dien: am tinh va du'o'ng tinh

The dien Am tfnb la bieu bien ciia mong mudn dugc tu do hanh dpng va tiii tfnb tren c(

sd minh la chii ihd The dien duang tfnh, ngugc lai, la bieu bien ciia mong mudn DTG^

cd nhung tuang ddng vdi minh vdi tu each minh la chii ib^ Ben canh cac giai thuyel V(

lich su Am tfnh va duang tfnb Brown & Levinson cdn dua ra y niem ve hanh vi de doc

the dien (face threatening act viei lAt tieng Anh-FTA, xem minh boa trong hlnh 1.5)

Tac ddng ciia the dien ddi vdi dien ngdn la mot tac dpng hai mat: md rpn: khudn khd dien ngdn va giam nlie miic dp tbdng tin truyen dat Va nhu vAy viec tuAi thii nguyen lAc lich sir se lam cho ciic phuang chAm ve lugng va cbAi trong nguyen lA hpi thoai ciia Grice bi vi pbain Trong chuang 3 cua luAn an nay, chung tdi se de cA de'n cac hanh vi yen cAu tbdng tin gian tiep (tbdng qua viec m d rdng kfcb cd cac PNI khuyen lenh, cac PNH tdng qual bay cac PNH cd f3TNV); de dat dugc tfnh gian tie

KhOng gAy FFA

(Kh6ng n6i g\ nhung

hic loi Irong u'li)

Noi true tiep (on record)

Hain y xa xOi '1 foreot mv pen'

Manh vi

6el^ hi:i ihif dien

Noi Ihang 'L'live me a pen'

Licli su duong tfnh

"How about Idling

me use your pen?"

Lich su Am tfn!i 'Could you lend uie

a pen?"

H l n h 1.5: F L A \'a vi d u m i n h h o a , T h e o L e v i n s o n [ 1 0 0 ]

1.2.3 Nhan thiifc ve doi t d c : t i e n uTOc- t i e n gia d j n h

Trong ngu bpc, khai niem tien gia dinh (TGD) dugc Frege [137] neu ra lAn di tien nAm 1896 de chi cdi md trong giao tiep cd ngiceri ndi vd ngiari nghe (CTGT ^

DTGT) deu cung hie't, nen hat tat phai ndi ra Dinh ngbla nay ve TGD deii nay vi

duac duy lii trong Td dien ngon ngil hoc dug dung [vi| va trong quan niem cua mot :

nha nghien ciiu cd ten tudi d Viet nam va tren the gidi^ Van Dijk [270:298] coi TG

la mpl hdnh v/i hanh vi gdi den ngu'di nghe cdi md ho dd hie't hoac gid dinh Id da hit

Trong ly ibuyei dam pban, TGF3 lam thanh mot he tbdng cac gia thiet cho bai loan gi, tie'p Nirenl^erg [55] chia cac gia dinh trong dam phan ra lam ba loai: (i) Cac gia dii cua CTGT ve the gidi ngoai vi (exlensional world), (ii) Cac gia dinh lien quan den t

' X e m : 0 6 IlCru CIiAu- Uiii Minh loan 19], \]oi\ug Phe [38], Nguyen Dire DAn [16], Stalnakei [259] " I G D - d

ki6n diing chuAn xac ciia mOt cAu, cai nen cho su hOi llioai duoc tiS'n hanh binh thuong va cAu noi duac c

nliAn' [16:24] "M6t menh de P \^ TGD ngu diing ciia ngiroi noi Irong m6( NCGT cu the chi khi ngiroi noi

thiet hoac tin rang P; gia thiei hoac tin rfing DTGT ciia anh ta nhAn ra rAng anh la dang c6 cac gia ihiei do hi

CO cac sir tin tuong do" [259:200]

intensional world) Lien quan den loai gia djnh thu nbAi, Cl^GT cAn kiem chung cac su

kien- facts thudc the gidi ngoai vi (xem them: Ly ibuyei nhAn thuc ciia Moser &

Muller [218]) Lien quan den loai gia dinh thu hai, CTGT cAn nliAn thuc lAng the' gidi ben trong chi la mdt blnb anh ciia the gidi ben ngoai CTGT cAn phAn biet giua nhAn thiic cam tfnb, nhAn thiie ly tfnh va su tin tudng Lien quan den loai gia dinh thu ba, su lien doan diing the gidi npi tai ciia ngudi khae se giup CTGT dat nhung thanh cong ngoan muc trong dam pban

Veneman (binh 1.6) dua ra khai niem ve lAp hgp TGD- (presupposition pool)

nghia den la mot cdi bdi thu gom cdc gid dinh cd san ciia ca hai ben tham gia giao tiep

Nhung thdng tin trao ddi dugc xAy dung tren ea sd eua lAp hgp nay se la eac tbdng tin quan yeu Quan niem nay triiiig vdi quan niem ciia Sperber & Wilson [2581 cho rAng

Ctic luge d6 ciia CTGT va DTGT la yen td quyet dinh tfnh quan yen cua dien ngdn

Hlnh 1.6: Tap hgp TGD

Mot quan niem nhu ciia cac lac gia viia nSu se giiip giai quyet thoa dang cudc tranh luAn ve tfnh maeb lac ciia bai phat ngdn sau:

We will have guest for lunch

Calderson was a great writer

Van Dick [270] coi hai phat ngdn nay chi la hai phat ngdn llnb cd dat canh nbau khdng mang quan be mndi lac Cdn Edmonson [131:13] tbl coi hai cAu nay cd quan he nguyen nhAn Ong dua ra ngu canh:

17

Did you know Calderson dies exactly one hundred years today? Good Heavens! I'd forgotten The occasion shall not pass unnoticed We will have guests for lunch Calderson was a great Spanish writer I shall invite professor Wilson and senor Caslello right away

Ro rang, mot dien ngdn dugc coi la maeb lac bay khdng maeb lac hoan loan khdng phu thiipc vao ban IbAn diln ngdn dd ma la tuy thudc vao tuang tac nhAn tbiJc giua ngudi san sinb ngudi tiep nhAn dien ngdn, ki^u nbu cai dep la d trong mAt ngudi nhin Ndi each kbae, ehfnb cac NVGT vdi loan bp phong hi^u biet cua bp la yeu id quyei dinh tfnb maeb lac ciia indt dien ngdn

Cap thoai vi^ra dAn tuong ddi ndi tieng dugc trfch dAn lai trong mdt so cong trinh

nhAm minh boa cho mach lac nbu la kei qua ciia viec DTGT su dung kien thuc ngdn ngu d^ lien he the gidi dien ngdn vdi nhung con ngudi, sir vAt, sir kien ben ngoai vAn ban

Maeb lac dien ngdn la khai niem gAn chat vdi lAp hgp TGD, vdi he thdng luge

do ciia CTGT va Dl^GT Mdt dien ngdn cd dugc coi la mach lac bay khdng cdn phu

Ihudc vao ca cac yeu Id "vl md" ciia DN, cac yeu td nay lien quan den ngu canh va ngudi sii dung dien ngdn, cd chiic nang nbu mpl cAu ndi giua DN vdi ngu canh sii dung

cua nd Chiing tdi se quay trd lai vAli de nay trong phAn trinh bay Ve trudng dien ngon

dudi day

1.3 N G Q C A N H G I A O T I E P

Trong md hlnh giao liep ciia Kinnard, ngoai nhAn vat giao liep (gdm ngudi ndi

va ngudi nghe), cdn mot ye'u id quan trpng lA ngu canh giao tie'p Ngir canh giao tie'p la cac yeu td ngoai tai ciia dien ngdn chi phdi su hlnh IbAnh dien ngdn Cac blnb dien quan trpng chii yen ciia ngu canh la binh dien ngif nghia va lyinb dien ngu dung

1 - 3 1 Khdi n i e m nguf cdnh t i n h h u d n g

1.3.1.1 Sura ddi ciia khai niem ngil'cdnh tinh huong (context of situation) tlnh

cd cd ca sd xuAt phat tu viec llm kiein mpl giai phap dich tbuAl Malinowski (d.lbco

[163]) trong kbi dich cac truyen dAn gian truyen mieng (ve cac cAu chuyen ra khai va danh ca) cua cac bd tdc Melanesia lien quAn dao Trobriand thudc TAy Thai binh duang sang tieng Anh da vA'p phai cac khai niem ve vAn boa khdng cd trong truyen thdng van hoa Anglo-Saxon Ong tfnh loan: neu dich tiing elm chinh xac nbu nguyen ban sang tieiig Anh tbl gifr duge nguyen ban tren be mat nhung doe gia ndi tieng Anli

doc se khdng bie\r cdn neu dich ti.r do (phdng theo ndi dung nguyen tac) tbl doc g'vi ndi tieiig Anh khi doc se hieu song lai bd mA'l cac sAc thai van boa ciia cac bd tdc

Melanesia dugc the hien trong nguyen tac Cudi ciing Malinowski chgii each dich cc ehii Ihfcb: phSii chu thfeb ciia ban dich ddng vai trd mieu tii ngu canh trong dd dier ngdn xay ra

Trong edng tiinh mang ten ''Van de nghTa trong cdc ngon ngil nguyen thnv

(The problem of meaning in primitive languages, 1923), dug ehfnb thuc khai sinb kha:

niem ngu' cdnh tinh hudng vd van hod di chi loan bp kbung canh van boa trong dd mpi phat ngdn dugc san sinb va tiep nhan NAm 1935, mdt ddng nghiep ciia Malinowski i LuAn don J.R Firth (1951) ebo rang viec nghien ciiu nghia la raison d'etre (ly do tdi

tai) eiia ngdn ngfr bpc va nghia phai dugc xem xet tren co sd "chiic nang" Irong "ngi canb'\ Ndi each kbae viec xem xet ngbla ciia mdt phat ngdn khdng th^ tach rdi ngi canh ciia phat ngdn Va dug kbang dinh lai vai trd ciia 'iigir canh tinh hudng' Malinowski dua ra nAm 1923 Ngu canh tlnh hudng, theo Firth, gdm:

(a) Cac dac diem quan ye'u ciia nhAn vAl giao tiep (vt^ con ngudi, tfnh each), gom (i hanh dpng ngon tii (noi nang); (ii) hanli dpng phi ngon ti^r (cii chi) cua ho

(b) Cac ddi lugng quan ycii (-cac ddi tugng cac nhan vat giao tiep cung 66 cap)

(c) Tac dpng ciia hanh dpng noi nang len lam ly cac nhan \'at giao tie'p

1.3.1.2 Sau Malinowski va Firth, Hymes [170 171 172| tiep lue cac nghiei ciiu ve ngu canh d dfiu thap ky 70 the ky XX Hymes cho rAng ngu canh giao liep v, dien ngdn^ ludn nAm trong mdi quan he tuang tac dieu chinh lAn nhau de chi cho pbe|

Nhu se trinh bay trong phAn sau ve ki'ch liiucfc dien ngOn mot dien ng6n co tlie clii bao g6in mot phai ngon

19

mdt each hieu phu hgp Ngir canh vua ban che, viia bd trg ngbla phat ngdn Trong cac ye'u td ciia ngu canh, ngoai yen td nhAn vAl giao tiep (nhu Firth neu), cdn cd cac yen td: (i) chu de (topic), chi cai ma cac nhAn td giao tie'p dang de cAp den

(ii) khung canh (setting), chi khdng gian thai gian, dia di^m giao tiep

(iii) kenh (channel), chi hlnh thiic ciia kfcb thfeb va truyen tai npi dung giao tiep (iv) blnb thuc thdng diep (message form), chi cac blnb thuc nhu thao luan, ba: giang, thu tin, v.v

(v) khoa (key), chi Am budng cua giao tiep nhu vui, budn, mia mai v.v

(vi) ma (code), chi thii' tieng dugc sir dung trong giao tiep

(vii) muc dfch (purpose), chi cai cac nhAn td giao tiep mudn dat tdi

1.3.1.3 Sau Hyines Lewis (dAn theo [102]) dua ra mot be tbdng cdc toa do lair

thanh "Irpn gdi cac yen td quan yeu mot chi sd cac dac di^m ciia ngir canh tren ca sc

dd Ifnh chAn thuc ciia cAu dugc danh gia " [102: 41], gdm: (i) cac the gidi cd the

possible worlds, (ii) thai gian- time, (iii) dia diem- place, (iv) ngudi ndi- speaker, (v

cii toa- audience, (vi) ddi tugng phan anb- indicated object, (vii) dien ngdn cd tnrdc

previous discourse, (viii) ndi kei su tlnh- assignment Trong he toa dp eua Lewis, cai

yen td (ii), (iii) tuong ling vdi khung canh cua Hymes, (iv), (v) tuang ung vdi NVG^ ciia Hymes

1.3.2 Nguf cdnh giao tie'p cheo v a n hod

1.3.2.1 Theo Schein [247] cd tdi tren vai tram dinh ngbla ve van boa Dea [125] ndi den "van hoa doanh nghiep"; Willis [282] ndi deii "van boa qufin chiing' Woolf [284] ndi den "van boa dam phan", mdl thu vAn boa khdng bi lam mii mAt be dong tien Tiersky [266] nhAc den "vAn boa sAc tdc"; Valdez [269] nhAc den "vAn bo nhAn thuc" va anh hudng ciia nd tdi nep ngbi ciia con ngudi Van boa, theo Ricbar [iii], thirdng dugc coi la loan bd cac di san vAl cbAi va linh IhAn nhAn loai, khu vuc qud'c gia, cong ddng gia dinh Iruyen tir the he nay qua the be kbae va chiing cd la

ddng true liep len Idi sdng, phong tuc, lAp quan, nep ngbi cua cac chu ih^ van boa VAr hoa, dinh nghia nbu vAy, gAn nhu ddng nghia vdi vAn minh

O Viet nam sd lugng cac edng trlnb nghien cuu vi vAn boa tfnb de'n nay tu>

chua cd sd lieu tbdng ke cu the; nhung chAc cbAn dd la mpl con sd Idn Cac tac gia cc cac edng liinh noi bat ve nghien ciiu trong linh vuc nay nbu TrAn Ngpc Them" [69] Tran Dinh Ngbiem va ddng tac gia [54], va mdt sd cac nba nghien cuu khae cung cc quan niem tuong lu nhu Richard Trong luAn an nay, chiing tdi cung cd quan nieir rieng ve van boa (se tiinh bay trong phAn md d^u chuang 4)

1.3.2.2, Kaplan [177] nghien cuu 700 bai luAn cua sinb vien cac nude kbae nbai dang theo hpc tai cac trudng doi hoc eiia My va md hlnh boa cac kieu dien ngdn mi

ong ebo la dac tbii cho cac thu tieng do Trong lich sii' nghien cuu phong each giao ticj

mang dac thii vAn boa cac y tudng ciia Kaplan, tuy la cac y tudng mang tfnb khai pba nhung da cd nhung anh budng rAi manh me trong gidi nghien cuu sudt mia sau the k;

XX Theo Kaplan, tieng Anh cd dac thii cA'u tnic tuyen tfnb, va\ y chti dao dat dAu tien

cdn cac ngdn ngir Phuang Ddng cd dac thii dien ngdn la cA'u tnic vong, khdng di Ihanj vao vAii de

Hlnh 1.7: M d hlnh dien ngon Nguon: Robert B Kaplan [ 177:15

Md blnb cA'u tnic dien ngdn ciia Kaplan cho ngudi ta cam tudng vAn boa duo cai dat sAn trong diln ngdn Tuy vAy, phai tbi^ra nhAn cac md hlnh ve cAii tnic die

•' (ing CO de nghi phAn biet ro rAng giua van hoa van minh van hie'n, v5n vAt Tuy vAy chung tOi dua ra nhAn dii

nay tren ca so dinh ngiila van hoa cua 6ng "Van hoa la mot he thO'ng huu co cac gia Iri vAt chAt va tuih than c con nguoi sang tao va tich luy qua qua truih lioat dpng thuc tien trong su tuong tac giua con nguoi voi m truong tu nhien v^ xa hoi cua con ngudi." [69:27]

Khi cac thanh vien ciia cac nen vAn boa giao tiep vdi nbau va tao ra mdt ngu canh giao tiep "cheo vAn hoa'\ cac gia tri va su khae biet giua cac gia tri van boa hlnh

nhu mdi cd ca de "ehoi len", tao ra cac nguy ca hieu lAm va cac blnb thuc "choang

van boa" Cac gia trj van boa ebii yen ciia Phuang TAy va Phuang Ddng dugc cac nha nghien cuu nay su dung nbu ea sd d^ giai dap cac hien tirgng be mat ciia ngdn ngu (xem: [20], 1199],[275],[286] v.v )

Van hoa nhu la mot tang bang trdi

Hlnh 1.8: Van hoa Nguon: Wallace & Metealf [273; 101

canb-dien ngdn va bien the ngdn ngu Trong edng tiinh nay, Halliday, Mcintosh v; Streven [157] de ngbi mot kbung mieu la cae bieii the ngdn ngir trong sir dung gdm ba pbam mi: ngudi sir dung ngdn ngir (language user) va sir sir dung ngdn ngO' (language use) Cac bien the lien quan den ngudi sir dung (user-relaled varieties) duoc gpi la cac pbirofng ngu (dialects) Cac bien the lien quan deii sir su dung ngdn ngu (use-relatcc

varieties) dwqc gpi la cac phong each chiic nang (registers)

Theo Halliday va ddng nghiep [157], cac bien th^ ngdn ngu lien quan den st

dung (cac phong each chiic nang registers) khae biet nbau chii yeu ve mat hlnh thiit

(tir vung va cii phap), vf du

1 hereby declare the meeting open (Tdi xin tuyen bd khai mac hpi nghi)

va:

Shall we make the start now? (Chiing la bAl dSu dugc chua?)

Trong khudn khd cua khung sif su' dung- ngwcri sd dung (user-use framework

ton tai mpl mdi quan he rang bude giiia mdt ngu canh tlnh budng da cho va kieu loa

(lien ngdn dugc sii dung trong ngu canh tlnh hudng 66 Ngudi su dung ngdn ngCr ehii

tac ddng ciia ngu canh va ngu canh chiu tac dpng trd lai eiia ngudi sii dung ngdn ngu Quan diem nay dAn deii su phAn biet chi hai yeii td ehfnb trong qua trlnb giao tiej ngdn ngQ": yen tci' thdng diep (dugc bien thuc boa trong dien ngdn) va yen id ngu canh vdi cae nhAn vat giao tiep chi la cae "toa dp'' ciia ngu canh, nbu da trlnb bay tren Iron; phfin long luan ve ly thuyet giao liep

2 phuang thuc dien ngon

3 khong khi dien ngon

Hlnh 1.9; Su phAn biet giiia ngudi sir dung va sir sir dung ngon ngu

23

Cac blnb dien nbu tnrdng (field), phu'o'ng thii'c (mode), khong khi diiu ngon

(tenor) ciia phong each chuc nang cho thA^y sir rang bude ngbiem ngat dd Halliday va ddng tac gia gpi dAy la cac blnb dien vl md ciia dien ngdn, cho thA'y dien ngdn tnrdc

hei nhu mpl be tbdng gdm cac ca che boat ddng (vi md, vl md) va ddng tbcu nhu mdt

chinh the tuong tac vdi cac yeu id tao sinb ra nd trong giao liep

Trong mdt edng trlnb kbae, Halliday va Hassan [158] dua ra khai niem chat van

bdn (texture), trong dd trudng, phuang thuc, khdng kbf chung dugc coi la cac pham tru

thudc mat ngoai lai ciia cliAi vAn ban Mat npi lai cua chAi van ban (\6 chuc ndi bp cac

thanh td trong van ban) gdm be thdng lien kei va he tbdng cA'u tnic tin Phuang dien ngoai tai ciia chAi van ban cho IbA'y van ban nhu mdl he thdng boat dpng trong quan he phu hgp vdi ngu canh; nd cbinb la cA'u tnic vl md cua van ban

Mat ngoai tai cua diin ngdn thudc ngCr canh tinh hudng; mat ndi lai ciia dien ngdn thudc ngdn ngu hpc Flai mat nay quan he rang bude vdi nbau nbu bai mat cua mdt td giA'y, khdng cd cai np tbl se khdng cd cai kia

Ve mAt thuAl ngu", vT md khdng cd ngbla la to Ian va vi mo khdng cd ngbla la

nhd he VI md theo dinh ngbla tu dien (Ted Honderics [viii|), cd ngbla la quan he tuang tdc giua cac cbinb the be thdng vdi nhau de hlnh thanh mot chinb the he thdng

Idn ban; trong pbam vi ciia luAn an nd cd ngbla la sir tuong tac ciia cac yeu td ngu canh, nhAn vAt giao tiep vdi cac yeu id thudc dien ngdn Vi md, theo dinh ngbla (Ted Honderics |viii]), la cA'u tao ben trong ciia ndi bd mdl be thdng rieng biet Trong bai loai ca che Ihl ca che vl md quyet dinh ca che vi md ciia diln ngdn; cae dac diem ciia trircmg thiic va khdng kbf chung ddng vai trd quy dinh co che lien ket va caii tnic ben trong dien ngdn

Ca che vl md eua dien ngdn bao gdm cae blnb dien giao tiep, theo quan niem

ciia Halliday va ddng nghiep [157]), nbu trudng (field of discourse), khong kid (lenoi

of discourse) vhphiu/ng thiic (mode of discourse)

1-4.1.TrU6ng dien ngon

Trudng la pham vi boat dpng xa hpi trong đ ngdn ngu dugc sii diing nbu mdl

phuang tien d^ giao liep, nbu mdl pbirc:fng tien di hanh đng Trudng dien ngdn

DP-TMQT la ban IbAn boat dpng tbuang mai qud'c te, cai ma Gumperz [156] gpi la "bdi cjiiih xa hoi ciia boat đng ngdn ngu", trong đ DP-TMQT la mpl khfa canh boat dpng Chiing tdi se tiinh bay dudi dAy cac dac diem ciia TMQT va boat đng DP-TMQT

1.4.1.1 Thnang mai qndc (e (riVIQT) va boat dpng dam pliiiiị

v e ca ban boat đng tbuang mai d lAi ca mpi qud'c gia deu dien ra dudi hai hlnh thuc: mua ban npi dia va mua ban qud'c lẹ Hoal đng TMQT la boat đng:

1 mua ban xuyen bien gidi, xuyen qucíe gia, ngbla la boat đng giua cac ben kinh doanh bang boa va djch vu thudc cac qud'c gia khae nhau, vf du, tbuang mai Viet-

4 dugc dam bao bAng cac phuang lien tbanb loan qud'c lẹ

Nhu vAy, su kbae nbau giua npi tbuang va ngoai tbuang la su kbae nhau ve dieu kien boat dpng Muc lieu ciia ea hai hlnh thiic ludn la muc lieu lai nhuAn kinh le vii quan be đi tac

float đng DP-TMQT la mdt mat khdng the Ibieii dugc cua thuong mai ndi chung va thuong mai qud'c te ndi rieng Dam phan theo Byrnes[ 105:25] la boat đn^ nham xoa di nhung ngan each

Dieu 16 LuAl thuong mai cua Viet nam quy dinh: "Nha niroc thong nhÁt quan ly ngoai thuong, co chinh sad

md rong giao luu hang hoa voi niroc ngoai iren co so ton trong doc lAp, chii quyen hinh dAng, cimg co loi ihe( hircfng da phuong hoạ da dang hộ Chinh phu (]uy dinh cac chinh sach cu the ve ngoai thuong trong lung thai k'

vA chinh sach d6i vai nguai Viei nam o nuac ngoai lliain gia pliat trieii ngoai (huang"

25

"Dam phan la cudc thao luAn giiTa hai hay nhieu ngudi de dat dugc nhung thoa IhuAn ve nhung vA'n de ngan each giiia cac ben ma khdng ben nao cd sue manh hoac cd

siic manh nhung khdng sir dung di giai quyei nhung vA'n de ngAn each d6'\

Theo Roger Fisher & William Lliy [126:xii]: " Dam phan la phuang lien ca ban

de dat dugc dieu ta mudn ti^r ngudi kliae^\ Dd la qua tiinh giao tie'p dugc Ihiei ke nhAm dat dugc nhung thoat thuAn khi giua ta va pbfa ben kia cd nhung quyen Igi cd the chia

se va nhung quyen lai ddi khang"

1.4.1.2 DP-TMQT va ly (huyet trd chui

float ddng dam phan luAn theo cac nguyen lAc cua ly thuyet trd choi^ Cac nha

ly luAn dam phan ihudng dAn giai tboai ve '\su be tdc cua ngUdi tiC (Raiffa [235]) d^

mieu ta khd khAn trong ra quyei dinh Irong khi thieu thdng tin Giai tboai nhu sau:

Hai ke bi tlnh ngbi pham tdi dang bi biet giam lai ca quan dieu tra NhAn vien

dieu tra biei chAe diAn ve sir pham tdi ciia bp nhung chua cd dAy du bAng chung di xet

xir Do bi biet giam, hai ke bi tlnh nghi khdng lien lac dugc vdi nhau NhAn vien dieu tra ra dieu kien rAng ke bi tlnh nghi chi cd mdl lira chpn: khai hay la khdng khai Neu

ca bai ke bi tlnh nghi deu khdng khai, thi mdi ke se phai chiu an 01 nam lii ve tdi tang tru vu kbf Neu ea bai citing khai mdi ke se chiu muc an 08 nam lii giam Neu mdl khai

va mpl khdng khai ke khdng khai se chiu an tii 10 nam cdn ke khai se duoc xet giair

an xudng miic tu tieo Ke bi linh nghi diing tnrdc mdl be lAc ve ra quyei dinh tron^ dieu kien thieu thdng tin va tu nbii: "Neu ten kia khai tbl tdi nhAi la ta cung khai, vi 0^ nAm tli la iigAn hc^n 10 nAm Neii ten kia khdng khai, tdi nbAi la ta khai, de dugc hirdng

an treo'\ VAy anh la khai Nhung neu ea hai eiing khai tbl ca hai se ciing lanh miie ar nang ban nhieu so vci^i trudng hgp ca hai ci^mg khdng khai

Dat cac y ngbla lien quan den ly thuyet trd chai kinb te sang mdt ben gia Ihoai ve sir be tac ciia ngudi ti^i cho thay khd khan trong khdng chi lua chpn ndi cai gF

^' Khori kh6ng qua nhe khoe khong qua lai ('nianli ngu Viet nam)

^ Tieng Anh: game llieory ThuAl ngu "ly thuyet Iro chai" da dupe cac nha toan hoc va cac nha kinh te hoc Viet nam sir dung phA hieii trong cac giao Irinli kinh te' hoc vi mO tai cac trucfng dai hoc chuyen ngAnli kinh te (nitu

\)i\\ hoc Kinh 16 quA'c dAn, Dai hoc 1 ai chfnh-Ke' loan vA mat sef trudng kliac)

ma cdn ndi nhu the nao? Trong cudc ehoi gdm chi hai ngudi theo Lewicki [202| c the tdn lai cac quan he kei qua nhu sau:

Thdnglthua [winllose): Ben nay duac Igi tbl ben kia thua thiet Ket qua cii

loan bd trd chai cho long zero (a + -a =0) Dien hlnh cua eac trd ehoi nay la canh Iran kinh le, eac cudc thi dA'u v.v

Thnahhua (lose/lose): Ca bai ben deu thua thiet Kei qua ciia loan trd cbc:fi ch

tdng Am (-a -\- -a- -2a) Dien hlnh eiia trd chai nay la cac cudc chien tranh quAn si

cliieii tranh gia ca, cae thuong ton danb du, th^ dien

Thdnglthdng (win/win): Ngbla la, ea hai ben tham gia deu hudng Igi Kei qii

ciia toan trd chai cho long duang (a + a = +2a) Cupc chai cho tong duang cd ib^ d bap uie hoac do ngAu nhien; trd chai cho long duang ngAu nhien dugc gpi la trd ch(

cd "the cAn bAng Nash"*^

Kei qua cua trd chai kinh le dugc lugng boa bang cac gia tri kinh te tren Cc

muc tieu dugc the bien thdng qua mot khung npi dung cu Ib^ Xet d y ngbla na; trudng la linh vuc dung phap ciia nhAn vAl giao tiep: dung phap chuyen mdn va dun phcip ngdn ngu (xem them: [89], [91], [135] v.v.) Mdi quan lAm den dung phap ngc ngu dugc khdi thuy tir Morris [218] ngudi coi dung phap ngdn ngQ la each thuc s dung tfn bieu ngdn ngu cd muc dfch

Widdowson [275], cung gidng nhu Chomsky, coi dung phap la sir the hien : ben ngoai ciia kha nang dung phap (pragmatic competence), mdl bd phAn ciia kien Ihi ngdn ngu cua ngudi ndi (KOL Chomsky [113]), ngbla la dung phap la cai dugc cai d ben trong kha nang ngdn ngu ciia eon ngirc^i "Mdl bp phAn cua kha nAng ngdn n^ ciia ngudi ndi la kha nang sir dung cac cAu de blnb thanh diSn ngdn va thuc bien cai n Searle gpi la hanh vi ngdn ngfr." [275:12]

Kien thiic ve cac quy lAc sir dung (rules of use), theo Widdowson, bao gdm c; kien thuc ve dieu kien hanh vi ngdn ngu va cac dieu kien may mAn (felici

^ Nash equilibrium, theo ten goi ciia lohn Nash, nguoi doat giai thuong Nobel kinh te'nam 1994 The cAn bAng

nAy cho thA'y ben A luOn luOn tliAng bAt ke cac su lua chon ciia ben B

27

conditions), ngbla la cac dieu kien de "diing dAt", ndi diing cai dinh ndi (what?), v( diing ngudi (to whom?), d diing cbd (where?), va diing liic (when?), theo diing cac thuc (how?)

Kalz [181] coi dung phap chi lien quan den ngii* vAn (linguistic performance) '

cac kien thiic v^ dung phap khdng gdp pbSn giai ihuyei cac cA'u tnic ngdn ngii hay cv quan he ngu" phap Cac kie'n thuc nay cbi giiip ngucifi nghe giai thuyet tu duy eiia ngiu ndi 'thdng qua viec tim ra cdc tu'o'ng lien giu'a ngil cdnh tinh hudng cua phdt ngon \

menh de trong phdt ngon" [181:19] Cac phuang chAm hpi thoai cua Grice cbi

phuang chAm (maxims); chiing khdng cd tu each ciia cac quy lAc, vf du, nhu ciia c^ quy lAc ngir phap Theo Katz, dung phap la cai thudc kinb ngbiem xa hpi ciia mdi c nhAn va la cai nAm ngoai ngdn ngO'

Ngu phap

< >

Dung phap ngon ngu

Dung phap NN&XH

Cac y kien ve cbd dung ciia dung phap deii vdi san sinb diSn ngdn la chua Ibdi

nhAi Leech [193] la ngudi trung dung; ong cho rAng ngil phdp (he thdng hinh thi trii'u tugng ciia ngdn ngu) va dung phdp (be tbdng cac nguyen lAc ve sir dung ngc ngu) la cac pham tni rieng nhung tuang lien vdi nhau "Chiing ta khong the hieu did

bdn chat ngon ngil neu khong nghien cuu cd hai pham tru dd vd cdc mdi quan he tuai tdc giila chiing" [193: 4] Leech dua ra sij phAn biet giua khd nang dung phdp ng< ngil, kha nAng ma nhd nd "chiing ta xem xet cac ngudn lire cu the ma mdt ngdn ngu >

the cung cA'p de chuyen tai cac lire ngdn trung trong giao tie'p'' [193:11] va khd nd

dung phdp xd hoi, kha nang ma nhd nd chiing ta nghien cii'u cac dieu kien "c

phuang" mang tfnh dac thii vAn boa ve su dung ngdn tu Dung phap ngdn ngO" (ihudc ngdn ngu) vA dung phap xa bdi hpc (ngoai ngdn ngu, thudc kie'n tbi'rc xa bdi) la hai bd phAn ciia kha nang dung phap dai cirang (general pragmatic competence), cai kha iiAng giiip ta sir dung ngdn ngu trong cac bdi canh giao tiep cu the trong cupc sdng xa hpi Trong dam phan, nha dam phan diutng nhien khdng chi sir dung kha nAng ngu dung dan thuAn giao tiep ngdn ngu ma cdn sir dung kha nAng dung phap xa hpi (liic kie'n thuc nen ve tbuang mai) de trao va nhAn thdng tin

1.4.1.3 Thuyet hanh vi ngon ngu

Ca sd triei hpc ciia thuyet hanh vi dugc xAy dung bdi Austin [87], ngudi cho rang chuc nAng ca ban ciia ngdn ngir khdng cbi dan thuAn la mieu ta sir vAt (trong mdi

quan be phan anh tu'-sii vat, nbu quan niem ciia Quine [232]) ma cdn la phuang lien de

hanh dpng

Theo Austin, khi ndi mdt cai gl dd cbiing ta thuc hien dong thai 5 hanh vi: (i)

hanh vi ngil dm (phonetic act): phat ra cac Am tbanb; (ii) hdnh vi ngu'ket (phatic acl):

phat ra cae tir trong mdt cA'u tnic vdi mpl ngii' dieu; (iii) hanh vi ngu nghia (rhetic act): hanh vi tao ra mdt y nghia ft nhieu xac dinh.; (iv) hdnh vi ngon trung

(illoeutionary act): tao ra cac hieu lue giao liep nhAi dinh (communicative force) cua

phat ngdn, nhu hua ben de doa khirdc tir v.v.; (v) hdnh vi muon loi (perlocutionary

act): tao ra tac dpng ciia phat ngdn ddi vdi ngudi dpe, ngudi nghe, vd tao ra mdt khoang thay doi trang thai hien lai ve lu tudng, kien Ihiic, thai dp ciia ngudi dpe, ngudi

nghe; Irong dd cac hanh vi (i), (ii), (iii) cd the gdp lai thanh hdnh vi tao Idi

(loculionary act)

Sir phAn biet ranh gidi giOa hanh vi ngdn trung va hanh vi mugn Idi cua Austin ndi chung khdng mang tfnb thuyel phuc Mdl sd nha nghien cuu (Irong dd Searle la ngudi dAu tien) cho rang hanh vi mugn Idi la nhung hanh vi chi cac tac ddng lAm ly ciia ngdn ngu tren ngudi ndi do vAy chiing khdng thudc mdi quan lAm ciia ngdn ngCr hpc Searle cbi phAn biet su khae nhau giua cac hanh vi menh de va hanh vi ngdn trung

mA Ihdi

29

Searle [249, 250 2 5 1 , 2 5 2 | la ngudi tiep lue phat trien va ta ngudi ehfnb tbi'rc dat ten cho cae tu tudng cua Austin: ly thuyel hanh vi ngdn ngu CAn luu y rang Auslin va Searle la hai nba nghien ciiu cd cac quan diem rAi gAn nhau song khdng phai ddng nhAi Austin phAn cac hanh vi ngdn ngu tbanb 05 loai: (i) pban xii (verdictives), banh chuc (exercitives), (iii) cam kei (commissives), (iv) bay id (exposives), va (v) ling xu

(behabilives) Trong khi do Searle [252| phAn loai cac banh vi ngdn ngu ciing thanh

05 loai nhung vdi cac ten goi khae: ertu kbidn'^ tiinh bAy''\ cam kei " , bieu cam tuyen

bd'' Trong he dicing tbuAl ngu ciia hp thi tbuAl ngu hdnh vi menh de la tliual ngn civd

rieng Searle, khdng phai ciia Auslin

Auslin Searle

Hanh vi

tao Idi

Hanh vi ngu am

Hanh \i ngir nghia Hanh vi menh di

Hanh vi ngon (rung Hanh vi ngon trung Hanh \i nuion Idi

Hlnh 1.11: So sanh he ihual ngu cua Austin \'a Searle

Nhu vAy cac hanii dong goi y (suggestions), yen cAu (ret|uesls), menh lenh (connnands) dtni la nhung hanh

dong cAu khien Chung chi kiiac nhau ve cirdng (\6 ap dat doi voi nguai nghe nhung bet thay deu la nhung hiinh

dong khien nguoi nghe pliai lam mot cai gi dAy

Do do theo Searle [252] cac dong tir siiy doan (suggest), ughi hoac (doubl), cJ]ni ifr (deny) ciing thiioc lieu

loai cac hanli d6ng co y ngliTa tr'inh bay Mot trong nhung phep thu hanh dong ngon trung nao do co phai !a hanh dong trinh bay hay khong ia kiem tra xem no co mang linh chA't dung/ sai hay khong

Su khae nhau giua cac hanh dong nay la gia dinh cua nguai noi ve hanh dong sAp dua ra co duoc nguoi nghe mong union hay khong mong muon (hua hen = hanh dong duac nguai nghe mong muon; de doa = hanh dona klioiig duoc nguoi nghe mong muon.)

" Sau Searle, con mot s6' each phAn loai hanh dong ng6n ngu khae nhu each [ihAii loai ciia Fraser [ 1 35], dua \ao pham trii hanh dOng khAng dinh (pham trii nlnh bay ciia Searle) cac hanh d6ng danh gia (acis of e\'ahialing) voi tieu diem la danh gia cua nguai noi ve tiiili chAn nguy ciia menh de nliir phan tfch ket hiAn, gia thiet Ben canh cac hanii dong yeu cAu ( - cac hanh dong cAu khien ciia Searle), Fraser bO sung them cac hanh dong gcfi v (acts of suggesting) nhu khuyen nghi gai y thuc giuc Trong bang phAn loai ciia Fiaser con c(i cac hanh dong qiiv dinii

{acts oi stipulating) nhu dinh danh doi tuang, phAn loai, phan cA'p Cac bang phan loai cac lianh dong ngon ngu

da la nung lAm chu y cua ngon ngu Iioc phuang TAy Irong nhung thAp ky (jua, nhung Iheo Richards Si Suku iwal

|229; 10.*^ 61 Ihi vAn co nhung hanh (\Cw n;im ngoai bAi ky bang phAn loai nAo, vf dn nhu cac hanh dong chiu^ hoi

va lir biet