AN INVESTIGATION INTO SHIFTS IN THE VIETNAMESE TRANSLATION OF ENGLISH EXISTENTIAL PROCESSES IN ‘WUTHERING HEIGHTS’ BY EMILY BRONTE

QUY NHON UNIVERSITYNGUYỄN LÊ THANH NHÃ AN INVESTIGATION INTO SHIFTS IN THE VIETNAMESE TRANSLATION OF ENGLISH EXISTENTIAL PROCESSES IN ‘WUTHERING HEIGHTS’ BY EMILY BRONTE Field: English L

QUY NHON UNIVERSITY

NGUYỄN LÊ THANH NHÃ

AN INVESTIGATION INTO SHIFTS IN THE VIETNAMESE TRANSLATION OF ENGLISH EXISTENTIAL PROCESSES IN ‘WUTHERING

HEIGHTS’ BY EMILY BRONTE

Field: English Language Code: 80 22 02 01

Supervisor: LÊ THỊ GIAO CHI, Ph.D.

TRƯỜNG ĐẠI HỌC QUY NHƠN

NGUYỄN LÊ THANH NHÃ

NGHIÊN CỨU VỀ SỰ CHUYỂN DỊCH TRONG VIỆC DỊCH THUẬT TIẾNG VIỆT CÁC DIỄN TRÌNH HIỆN HỮU TIẾNG ANH

VỚI TÁC PHẨM ‘WUTHERING

HEIGHTS’ TÁC GIẢ EMILY BRONTE

Chuyên ngành: Ngôn Ngữ Anh

Mã số: 80 22 02 01

Người hướng dẫn: TS LÊ THỊ GIAO CHI

This thesis attempts to investigate the shift in the Vietnamese translation

of English existential processes as represented in a literary work Wuthering

Heights by Emily Bronté It particularly looks at ‘existential’ clauses as

representation embodied in this piece of literary writing and examines the shiftsthat occur in the rendering of existential meaning in these clauses intoVietnamese

Based on Halliday’s functional approach to clauses as representation,clauses in English and their Vietnamese equivalents were analyzed in bothlexico-grammar and semantic meaning, and then Catford’s model of translationshift was adopted to the interpretation of different types of shifts that haveoccurred via translation

The research data include a sample of 140 ‘existential’ clauses extracted

from the literary work entitled Wuthering Heights of Emily Bronté and 140 Vietnamese translational equivalents in Doi Gio Hu translated by Duong Tuong.

The result shows that there are three types of translation shifts that have

occurred in the process of translation, namely the structure shift, the class shift, and the unit shift These changes in the lexico-grammar via translation has

necessitated shifts in the representation of experiential meaning, turning

existential process into other types: material, relational, mental, and verbal.

Finally, the correlation between shifts in translation and shifts in processes hasthus established This piece of research is hoped to shed further light into theuse of translation as a heuristic tool to analyze aspects of language incommunication across English and Vietnamese (Lê, 2014) It also draws outsome implications for the teaching and learning of English, for research inlanguage and translation studies

A number of people helped me when this thesis was on its ways Mygrateful thanks in particular are to Dr Le Thi Giao Chi, my supervisor, who hassupported me a lot during the time I work on my thesis Her kindencouragements, her endless patience, her critical comments and valuablematerials, her invaluable reading of the drafts as well as her useful feedbackhave contributed to the final shape of this thesis

My special thanks next go to my family for their love and kind support to

me during the time working on this study

I am also grateful to my friends and classmates for their warmencouragements, help and valuable materials; I will not name here for fear Imight inadvertently leave someone out This thesis would not be possiblewithout their contributions

Thank you all!

STATEMENT OF AUTHORSHIP

This thesis represents my own work and due acknowledgment is givenwhenever information is derived from other sources No part of this thesishas been or is being concurrently submitted for any other qualification at anyuniversity except where due reference has been made in the text

Quy Nhon, 2019

NGUYEN LE THANH NHA

CHAPTER 1 INTRODUCTION

The introduction chapter is an overview of this thesis It begins with therationale, followed by the aims of the thesis, research questions, scope of the thesis,significance of the thesis, ending at the organization of the research papers

1.1 Rationale

Literary books play a crucial role in the exchange of cultures as well asentertainment purposes Thanks to the printing press and the Internet, they arenow widely published or uploaded online so that it is easier for individuals toaccess However, these books are written in different languages, which requiresthe readers either to master the language written or to rely on translated books

In this regard, language barrier seems to remain a challenge which hinderspersons from communication across time and space For that reason, translationpractice is more essential than ever

Translation activities involve working with two languages, and there arealways differences between them no matter how similar they are As a result,there has been a strong urge towards formulating translation theories to resolve

this problem In translation theory, the term equivalence has been concerned and

defined by a great number of scholars in the field Halliday (2001) suggests that

analyzing equivalence should be considered in terms of stratification, rank, and

metafunctions.

From the perspective of Systemic Functional Grammar (SFG), language

should be viewed as a system of meaning A language includes different stratas:

phonetic, phonological, lexicogrammatical and semantic Each of these strata is

organized in hierarchy with several elements at different ranks Metafunctions, namely ideational metafunction, interpersonal metafunction, and textual

metafunction, refer to the way human beings use languages (Halliday &Matthiessen, 2004)

The ideational metafunction consists of two kinds of meanings:

experiential and logical In a conversation, speakers must talk about something;

their talks have content, which makes experiential meaning, or it is also named

representational meaning This meaning is expressed through the system of Transitivity or process type In transitivity system, there are six types of process: material, mental, relational, verbal, behavioural and existential The realization

of a process is through its constituents: process, participants, and circumstance These elements are, in turn, realized by lexicogrammartical elements (Eggins,

2004)

Building on SFG, Catfold in his model of translation shifts (1965) suggests analyzing translation equivalence through the lens of grammartical hierarchy He proposes translation shifts as a tool to analyze them There are two major types in translation shifts: category shifts and level shifts.

The term Shifts means the adoption of different structures or forms in

target language (TL) to achieve the equivalence with source language (SL) Process shifts or shifts in process refer to the adoption of different process in

TL, compared to the process of SL, to achieve the equivalences in translation.

Being aware of shifts in the lexicogrammar arising during translation practices and its role in realization of process, there would be a possibility of

process shifts in translation This motivates us to carry out the study entitled “An

Investigation into Shifts in the Vietnamese Translation of English Processes in

“Wuthering Heights” by Emily Bronté”

1.2 Aims of the Study

The study aims at investigating into shifts in lexicogrammar and in

existential processes in the process of rendering the Wuthering Heights by Emily Bronté into the Vietnamese translation work by Duong Tuong based on

Catfold’s translation shifts and Halliday’s systemic functional grammar.

1.3 Objectives of the Study

To achieve the aims of the study, the researcher will focus on somespecific objectives:

-To find out the structure and configuration of ‘existential’ clause in theliteracy work Wuthering Heights by Emily Bronté;

-To find out the types of translation shifts in translation;

-To examine how translation shifts facilitate shifts in process

1.4 Research Questions

To achieve the aims and objectives mentioned above, the thesisconcentrates on answering the following questions:

1.How are ‘existential’ clauses structured and existential processes

represented in Wuthering Heights by Emily Bronté?

2.What types of shift are involved in translating these English ‘existential’clauses into Vietnamese?

3.In what way do translation shifts facilitate shifts in processes asembedded in English ‘existential’ clauses?

1.5 Scope of the Study

Translation shifts occur at any ranks of lexicogrammar, but this study

concern the rank groups/phrases and above Moreover, despite of the three lines

of meaning in metafunctions, this study focuses on only one aspect of ideational

meaning, specifically the experiential meaning In addition, the sample of data is

limited in Wuthering Heights by Emily Bronté and Đồi gió hú translated by

Dương Tường

1.6 Significance of the Study

I hope that the thesis will reveal about how existential clauses change intranslation Besides, it is hoped to shed light on differences in communicationbetween English and Vietnamese language in expressing the existence

1.7 Organization of the Study

In the thesis, there are five chapters

The first chapter is the introduction part including the rationale, aims andobjectives, research questions, the significance of the study, scope of the studyand the organization of the study

The second chapter is about the summary of theory of translation andequivalence, Catfold’s theory about translation shifts, Halliday’s theory aboutclause as representation, below and beyond the clauses, and previous studiesrelated to the topic

The third chapter is devoted to a description of the methods used in thisthesis, process of data collection, and examples of data analysis

The fourth chapter, the major chapter of the thesis, presents and discussesthe research findings regarding the ‘existential’ clauses, how they are translatedinto Vietnamese, and shifts involved in translation as well as shifts in processesfacilitated in the act of translating

The final chapter gives a summary of the research, with main ideas orresearch findings being summarized, implications being drawn, limitations aswell as suggestions for further research being put forward

CHAPTER 2 LITERATURE REVIEW

In what follows, a review of prior researches related to the problem underinvestigation is presented, starting with the translation theory in general, theSystemic Functional Linguistics by Halliday and Matthiessen (2004), and then alinguistic theory of translation by Catford (1965)

2.1 An Overview of Previous Studies

For centuries, translation has played a crucial role in communication, and

in provision of access to important texts for science and religious purposes(Munday, 2008) The notion of translation was proposed by different linguistics

Approaches to equivalences in translation, since then, have been proposed

by a great number of researchers Meetham and Hudson suggest the fully andpartial equivalent; Nida mentions formal equivalence and dynamic equivalence.Newmark introduces the approaches based on semiotic or communicativepurposes (Lê, 2015)

The concept of equivalence is also discussed by Halliday (2001), usingthe theory of Systemic Functional Grammar (SFL) He suggests three

approaches to equivalence: stratification, rank and metafunctions.

Systemic Functional Grammar (SFG), as its name implies, is an approach

to linguistic description Its aim is to explain language in term of meaning, and

to develop grammar which is for the possibility of saying useful things aboutany text (Matthiessen, Teruya, & Lam, 2010) Indeed, there are manyresearchers introducing and summarizing the theory Eggins (1994) points outthe principles and techniques of the functional approach to language Bloor andBloor (1995) summary the theory for the beginners Martin, Matthiessen, andPainter (1997) give a great number of grammatical analyses

Many attempts have been recognized to study the Vietnamese languagefrom the lens of SFG Hoang (2005), for example, constructs the transitivity

system of Vietnamese language Similar to the theory, he also suggests six

processes in Vietnamese language: material, mental, relational, behavioural,

verbal and existential He also found out three unique features First, it is

different in meaning by using the verb bị or được in passive clauses; second thing is the compulsory of the word lạ in dependent range of ‘material’ clause;

and finally, the verb groups serving as process in ‘relational’ and ‘existential’clauses can be omitted (see section 2.2.2.7.1)

As regards translation field, Chueasuai (2017) applied SFG in his studyaimed at the relationship between interpersonal metafunction and the notion of

power relation among main characters in the literacy work Fifty Shades of Grey

in both original English version and Thai translation By analyzing theconversation of main characters, it reveals that there are differences in therepresentation of power between original version and translation due to the lack

of several features in Thai language compared to English one

Hu (2017) carried out a study about comparison of experiental meaningbetween the poem Ode to the West Wind and Its Chinese Translations Theresults show that the process is not usually maintained in translation, it ispossible to turn one kind of process into another without changing the meaning

Rosaa, Sinar, Ibrahim-Bell, and Setia (2017) compared the translationbetween student and professional translators in translating history texts Theyapplied SFG, particularly analyzing metafunctions It was found thatmetafunctional shifts occurred in translation, and the professional did it morethan students Furthermore, the professions did it for the purpose of maintainingthe meaning, while the students tried to keep the form

SFL was also the basic framework for the theory about translation of

Catford (1965) In the book A Linguistic Theory of Translation, Catford (1965)

defines equivalence by reference to the different strata in language Catford

recognizes equivalence at all strata, not only content strata but also expression

ones (phonology and phonetics) He also introduces what can be well seen as a

tool for analyzing translation, which is translation shifts.

The term shift was introduced by Catford in his work published in 1965.

He defines shifts as “departures from formal correspondence in the process ofgoing from the SL [Source language] to the TL [Target language]” (p.73) Hecategorizes it into two major types: Rank shifts and category shifts

In similar vein, Vinay and Darbelnet (1995) discuss also the concept of

shift, using the term transposition, but it hadn’t been popular until their book

was translated into English language

Translation shift theory is a useful tool for analysis of lexicogrammarshifts in translation, and there have been many researchers utilizing it (Khafaji,2006; Rezvani & Nouraey, 2014; Venckienė, 2015)

Despite many researches about shifts of metafunction, there is not anyinvestigation of shift (i) between English and Vietnamese languages, (ii)studying the process shift from lexicogrammar perspective For those reasons,

we decide to carry out this piece of research from the metafunctions approach,

particularly experiential meaning using Catford’s model of translation shift (1965/2000) to examine the shifts in process that occur via translation.

2.2 Theoretical Background

2.2.1 Translation and Equivalence

The practice of translating has been established for thousands of years, butthe study of the field was concerned to have a deep look in just around 20th century(Munday, 2008) The definition of translation is still an argument in the scholarlyworld, and it has been proposed by different linguists and/or translation theorists

Jakobson (1959/2000) uses the term interlingual translation to refer to the

practice of translating, and it is, according to him, “an interpretation of verbal signs

by means of some other languages” (p.114) He defines translation as the process

of “sic[substituting] messages in one language not for separate code-units

but for entire messages in some other language” (p.114) Catford (1965) alsoexplains the translation term as “the replacement of textual material in onelanguage (SL) by equivalent textual material in another language (TL)”(p.20).Larson (1984) says translation is a transfer of meaning from the source language

to the receptor language He says that the form of language will be changed, butthe meaning must be kept With importance attached to the intention of the textand intention of the author, Newmark (1988) considers translation as renderingthe meaning of a text into another language in the way that the author intendedthe text

By combining the definitions above, translation could be said a process oftransforming the forms between source and target languages, but maintaining itscontent as well as author’s impacts to readers

The aim of translation, in fact, is difficult to achieve in translation practices

as according to (Nida, 1964/2000), there are no two identical languages, withregard to meaning given to a symbol and its translation, or their arrangements insentences or phrases This view can be illustrated by the comparison of Jakobson(1959/2000) about the word “cheese” in English and Russian languages After thecomparing, he concludes that “there is ordinarily no full equivalence between code-units” (p.114) For that reason, Meetham and Hudson (1972) say:

Texts in different languages can be equivalent in different degrees (fully or partially equivalent), in respect of different levels of presentation (equivalent in respect of

context, of semantics, of grammar, of lexis, etc.) and at different ranks (word-for-word, phrase for-phrase, sentence-for-sentence) (as cited in Bell, 1991, p 6).

In the book A Linguistic Theory of Translation, Catford (1965) made a

distinction between textual equivalence and formal correspondence He says that

textual equivalence is a TL text or just a proportion of TL text in translation which

is said to be equivalent to SL text or a proportion of SL text, and “the discovery oftextual equivalent based on the authority of a competent bilingual informant ortranslator” (p.27) He says about formal correspondence as the following:

A formal correspondent is any TL category which may be said to occupy, as nearly

as possible, the 'same' place in the economy of the TL as the given SL category occupies in the SL (Catford, 1965, p 32)

Munday (2008) comments about those two notion “Textual equivalence isthus tied to a particular ST–TT pair, while formal equivalence is a more generalsystem-based concept between a pair of languages.” (p.60) As the focus oftranslation is on reproducing the meaning of SL text, rather than maintaining thelinguistic pair, Nida and Taber (1982) says that “certain rather radical departuresfrom the formal structure are not only legitimate but may even be highlydesirable” (p.13) This means that there will be some lexicogrammar changes toreproduce the message of SL text For that reason, Catford (1965) introduces the

tool called translation shifts (see section 2.2.3)

Nida (1964/2000) suggests two equivalence approachs: formal equivalence and dynamic equivalence The initial focus on preserving the content, while the

latter is related to impacts to readers Similarly, Newmark (1988) propose two

translation methods called communicative translation which attempts to achieve

“equivalent effect (to produce the same effect or one as close as possible) on the reader ship” (p.48) and semantic translation which prioritize semantic meaning.

Halliday (2001) suggests metafunctions as a vector for analyzing

equivalence In the three metafunctions, ideational meaning is placed as the

highest value due to “a general rule, translation equivalence is defined in

ideational term; if a text does not match its source text ideationally, it does not

communication context SFG views language as a resource which is

fundamentally shaped by the usage thereby explaining the form of language interms of the meaning it expresses (Thompson, 2009)

In the 1930s and 1940s, Firth established the foundation for a socialapproach to linguistic description After that, his student, Halliday, developedthe idea in his distinctive direction, and SFG, at first, was presented as the nameScale and Category Grammar Halliday continued his framework which waseventually named Systemic Linguistic The framework was then applied thename Functional Grammar to more explicitly grammatical aspects (Trask,2005) In more recent year, it has been contributed greatly by Jim Martin andChristian Mathiessen (Thompson, 2009)

Hoang (2005), says that language models are assumed to consist of differentstrata In most language models, there are three strata: phonetics, syntax, and

semantics Each of them is organized into different ranks, patterns and systems Ranks refer to varied units in that stratum; for example, lexicogrammar includes

clauses, groups, words, and morphemes Regarding to patterns and systems, theformer shows the combination of units into larger one, whereas the latter illustratesthe available options for choice in each position of units

In SFG, there are five strata: context, semantics, lexicogrammar,phonology and phonetics as the following figure

Figure 2.1: Stratification in English language

(Derived from Halliday and Matthiesen 2004)

Phonetic and phonology strata relate to our speech sounds, and they arestrata for expression The content expands into 2 strata: lexicogrammar andsematic A language is used to make sense of our experience, and to carry out thesocial interaction with others, it is the statum of semantics Simultaneously thoseexperience and social interaction are transformed into wording, it is stratum oflexicogrammar Finally, context stratum is about what is going on, the relationships

of participants in the conversation, and the means they use to interact There is arelationship between these strata, and it is called realization, it means that a stratum

is realized by the lower one (Halliday & Matthiessen, 2004)

SFG deals with the lexicogrammar, the stratum of wording It is locatedbetween semantics and phonology Despite dealing with lexicogrammar, SFGprioritizes to semantics; it means that grammar is viewed as a resource formeaning expression (Halliday & Matthiessen, 2004) Halliday and Matthiessen(2004) say that “giving priority to the view ‘from above’ [semantics] means thatthe organizing principle adopted is that of system: the grammar is seen as anetwork of interrelated meaningful choices” (p.31)

With regard to ranks, SFG focuses on clause as “it is the mainspring of

grammatical energy; it is the unit where meanings of different kinds,

experiential, interpersonal and textual, are integrated into a single syntagm”

(Halliday & Matthiessen, 2004, p 50).

There are two main distinguishing features in the framework Firstly, incontrast to many other approaches concentrating on the description of syntagmatic

or of horizontal dimension, which means that they focus on how constituents inlanguage combine together, SFG prioritizes ‘vertical dimension’, the choices of thespeakers in the utterance, hence the grammatical structures are seen as the outcome

of choices from options available The second feature is priority of

meaning Its aim is to explain how wordings are used to express the meaning; inother words, what a language form consists of is less important than how itfunctions in the clause The other main feature is its functional nature; Thedesign of SFG is to link the relationships between forms and meanings inconsistent ways (Thompson, 2009).

2.2.2.2 Metafunction

The key feature of SFG is multi-perspective model, proving analysistswith complementary lenses for interpretation of language in use The ideas ofkinds of meaning is one of the most basic of these complementarities The kinds

of meaning refer to ideational meaning, interpersonal meaning, and textualmeaning The ideational meaning construes experience; The interpersonalmeaning shows social relations between communicators, and the textualmeaning are concerned with information flow (Martin & White, 2005)

2.2.2.3 Ideational Metafunction

There are two components in this metafunction: experiential and logical

meaning Experiential meaning expresses ongoing human experience, and it isrealized by transitivity system Logical meaning shows the relationshipsbetween units in the same ranks (Halliday & Matthiessen, 2004)

2.2.2.4 Transitivity system

It construes the world of experience into a manageable set of processtype Each type of processes is constructed by different models, and it expressesdifferent domains of experience There are six types of processes: material,mental, relational, existential, verbal and behavioural, which are introduced inthe figure below (Halliday & Matthiessen, 2004)

Figure 2.2:The grammar of experience: type of process in English (Taken

from Halliday & Matthiessen 2004)

Halliday and Matthiessen (2004) says that “material, mental and relationalare the main types of process in the English transitivity system” (p.171) He alsostates each region of process has its own core areas showing prototypical members

of the process types; but when the region spread continuously, it shades into eachother, forming the overlaps which is the result of the process types fuzzy

In a process type exists three constituents, namely process, participants, and circumstances, the last of which are optional elements.

1 a process unfolding through the time

2 the participants involved in the process

3 circumstances associated with the process (Halliday & Matthiessen, 2004, p 175).The realization of these elements is shown as the figure below:

Figure 2.3: Central and Peripheral elements in the experiential structure

(Taken from Halliday & Matthiessen 2004)

Figure 2.2 has been remarked by Halliday and Matthiessen (2004) as follows:

The configuration of process and participants constitutes the experiential centre of the clause Circumstantial elements augment this centre in some way — temporally, spatially, causally and so on; but their status in the configuration is more peripheral and unlike participants they are not directly involved in the process (Halliday & Matthiessen, 2004, p 176)

From the figure, the process is realized by verbal groups, the participants

by nominal groups and the circumstances by adverbial groups and prepositional

phrases

2.2.2.4.1 Material process

‘Material’ clauses describe the process of doing or happening It showsthe concrete changes which can be observed In a ‘material’ clause, there is

always a participant called Actor which carry out the action, and maybe a Goal

which is acted upon

There are two sub-types: creative and transformative.

(a) In a ‘creative’ clause, the outcome is the coming into existence of one participant: it may be an actor or a goal (Halliday & Matthiessen, 2004)

The followings are the examples of ‘creative material’ clause: the

outcome is an actor:

This sub-type of process is said to be shaded into existential

process -or the goal

(b) In a ‘transformative’ clause, participant actor or goal is being

transformed as the process unfolds

Change of goal

According to (Halliday & Matthiessen, 2004), in addition to actor and

goal, there are other kinds of participants namely Scope, Recipient, Client, and

Attribute Scope follows verb groups just like goal; however, it is not affected

by the performance of the process but rather it is the domain where the process

takes place

Recipients and clients are both the benefactive roles, but recipients

receive goods, while clients receive service

They built me a house

Attribute

2.2.2.4.2 Mental process

Mental process is concerned with our experience of the inner world (ourconsciousness) In contrast to material process, it describes states of mind orpsychological event taking place in our own consciousness

The configuration of mental process always includes a participant who is

human, and it is called Sensor The other main constituent is called the

Phenonmenon which is felt, thought, wanted or perceived.

There are four sub-types: Perceptive, cognitive, desiderative, and emotive

(Halliday & Matthiessen, 2004) Examples of each type of process follow this

Perceptive mental process

Cognitive mental process

(Cir)

Desiderative mental process

Emotive mental process

Halliday and Matthiessen (2004) states that these four sub-types oftenoverlap each other in meaning

2.2.2.4.3 Relational process

It construes both inner world like mental, and outer world like material,yet it shows the relationships rather than “sensing” and “doing” There are threetypes of, and two mode of relation The combination of each type and modecreates six types of relational process which will be illustrated as below(Halliday & Matthiessen, 2004)

● In ‘attributive intensive’ clause, there is an entity – Carrier, ascribed by some class – Attribute.

In some cases, the attribute shows a quality of sensing, which is similar tomental process

● In ‘identifying intensive’ clause, there are two entities in the clause; The

first one is named Identified which is identified by the other – Identifier Put

differently, the latter provides the identity for the initial

The differences between identifying and attribute mode of relation are that(1) attribute element is represented by nominal group with indefinite article,whereas identifying element is definite article (2) The two participants in

‘identifying’ clause can be reversed, but ‘attributive’ clause cannot, and (3) there are several distinct verbs for each mode

In the ‘intensive’ clause, there is a configuration with the third participantcalled assigner in ‘identifying’ clauses or attributor in ‘attributing’ clausewho/which assign the relationship of identity or attribution

● ‘Possessive’ clauses show the relationship between owner and the entity

of owner It is also divided into two types:

‘Attribute possessive’ clause

‘Identifying possessive’ clause

● In ‘circumstantial’ clause, the relationship between the two terms is one

of time, place, manner, cause, accompaniment, role, matter, or angle

‘Attributive circumstantial’ clause

‘Identifying circumstantial’ clause

2.2.2.4.4 Behavioural process

These are processes of physiological and psychological behavior It islocated on the border of mental and material process, which means that itscharacteristics is partly from material and mental ones (Halliday & Matthiessen,2004)

There is usually one participant labelled Behaver, and it is similar to

Sensor from mental configuration.

Sometimes it also includes another participant called Behaviour, its

function is similar to scope from material process

2.2.2.4.5 Verbal process

These processes set the dialogue up for communication The participants

involved are Sayer which can be anything that put out a signal, Verbiage – the

content of what is said or the name of it, and the Target - the entity which

receive (listen or read) the verbiage (Halliday & Matthiessen, 2004)

2.2.2.4.6 Existential process

These represent that something exists or happens The only participant

involved is Existent – the entity or event which is being said to be existed

(Halliday & Matthiessen, 2004)

In several situations, where the circumstantial element is at the beginning,the adverbial group “there” will be removed from the clause

In addition to the common verb “to be”, there are other verbs in

‘existential’ clauses such as happen, occur, stand, exist …

There is also a special type of ‘existential’ clause which include thenominalized figure We will discuss it later towards the end of the section onSFG (see Chapter 2, Section 2.2.1.11)

The process type is summarized as the following figure:

Attributive Pr: attributive; +Carrier; +Attribute

Figure 2.4:The system of process type

(Taken from Eggin 2004)

be seen that constituents of a

configuration are realized by the lower strata, lexicogrammar Therefore, in order

to understand how they shift in a configuration, it is necessary to look through therelationship between elements in both semantic and lexicogrammar strata as well

as the description of latter strata

2.2.2.5 Classes and Function

Halliday and Matthiessen (2004) define a class as “a set of items that are

in some respect alike” (p.50), and regarding to the word classes, they categorizethem into three groups and one phrase, namely verbal, nominal, and adverbialgroups, and prepositional phrase They also claimed that “the class of an itemindicates in a general way its potential range of grammatical functions” (p.52);this means that a class do not play exactly the same function in differentconfiguration but it varies in a certain range For example, a nominal group can

be labeled as an actor or a senser but cannot be a process in the clause

They also say that “the significance of any functional label lies in itsrelationship to the other function with which it is structurally associated” (p.60)

In other words, the function Senser is interpretable appropriately when there areother kinds of functions like mental process and phenomenon in the configuration.

2.2.2.6 Groups and Phrases

Halliday and Matthiessen (2004) define a group as “a combination ofwords built up on the basis of a particular logical relation” (p.310) In this part,

we will discuss about nominal group, verbal group, adverbial group, andprepositional phrase

2.2.2.6.1 Nominal Group

A typical nominal group may include “one or more of the functionalelements Deictic, Numerative, Epithet” (Halliday & Matthiessen, 2004, p 312),Classifier and Thing

Deictic’s main function is to distinguish between specific or non-specificthing This kind is realized by articles, demonstrative and possessivedeterminers, and total or partial determiners Numerative elements representnumerical features either quantity or order, exact or inexact

Epithets show some quality of the thing It can be an objective property ofthe thing and an expression of the speaker’s subjective attitude towards it.Classifier’s indication is about a specific subtype of the thing in question Theycan be either adjective or noun

Thing is “the semantic core of the nominal group It can be commonnoun, proper noun or personal noun” (Halliday & Matthiessen, 2004, p 325).Here an example of a nominal group:

Those two splendid old electric trains with pantographs Deictic Numerative Epithet Classifier Thing Qualifier

Determiner Numeral Adjective Adjective Adjective Noun Prepositional phrase

In a nominal group, the thing is normally the head, but under certaincircumstances the other elements will take the place For example, head asdeictic: everyone; head as numerative: three of them; head as epithet: the poor.

Went

Finite /Event

The finite’s role is to relate the process to the speaker by tense andmodality, and the event’s function is to express a process, which can be event,relation, behavior, or saying

“The class of word functioning as Event in the verbal group structure isthe verb” or, specifically the “lexical verb” Lexical verbs can be one word or agroup of word (called phrase verbs) Phrase verbs consist of a verb and at leastone in two other optional elements: adverb and preposition (Halliday &Matthiessen, 2004, p 351)

These phrase verbs are also treated as a single process, rather than Processplus circumstantial element

2.2.2.6.3 Adverbial Group

It consists of an adverb as a head with or without modifying elements.Those elements for pre-modifiers may be polarity (not), comparison (more, less;as) and intensification

Its potential label in transtivity system is circumstantial constituents such

as time (yesterday, today) as manner: quality (well, badly) comparison(differently)

2.2.2.6.4 Prepositional Phrase

Matthiessen et al (2010) remark about prepositional phrase like this:Like groups, phrases constitute the rank intermediate between clauses and words However, unlike groups they are not logically structured groups of words, but

rather more like miniature clauses (Matthiessen et al., 2010, p 159)

A prepositional phrase, thus, contains a preposition and a nominal group;

several examples of prepositional phrase are in the morning, in the corner, and

on the burning deck It functions as Adjunct in the structure of the clause or

post-modifier in a nominal group or an adverbial group

Example of circumstantial adjunct: stop for lunch and a swim at Kuta Postmodifier in nominal group: the girl in the house

Postmodifier in adverbial group: faster than a crocodile

Halliday and Matthiessen (2004) claimed that “there is in fact an area ofoverlap between prepositional phrase and non-finite clause” (p.360); there aresome cases these two can be used interchangeably

2.2.2.7 Embedded Expasions

Apart from taxis relation, Halliday and Matthiessen (2004) also introducethe notion of embedding They said “Embedding is a semogenic mechanismwhereby a clause or phrase comes to function as a constituent within the structure

of a group, which itself is a constituent of a clause” (p.426), and they use [[ ]] for embedded clauses (ECL), and [ ] for embedded phrases For examples:

the man [[who came to dinner]]

Halliday and Matthiessen (2004) summarize all types of embedding

elements in the table below:

Function Class Nominal group Adverbial group

Postmodi Clause: finite The house [[that Jacke built]] Sooner [[than we had expected]] -fier Clause:non- finite The house [[being built by Jack]] Sooner [[than expected]]

phrase The house by the bridge Sonner [[ than the rest of us]] Head Clause:finite [[what Jack built]] -

Clause: non-finite [[for Jack to built the house]]

-(Borrowed from (Halliday & Matthiessen, 2004, p 427)) The relative clause is

an embedded clause “Its function is to specify which member or members of

the class designated by the Head noun”(Halliday &Matthiessen, 2004, p 428)

Halliday and Matthiessen (2004) categorized embedded clauses intoembedded units and differentiated them with ordinary clauses due to theirfunctions as post-modifier for nominal groups

The figure below will show the analysis of a clause containing a nominalgroup with an embedded clause as the post-modifier

Do you know the girl who is taking the picture

Nominal group Modifier Head Post modifier

[[Clause:Defining relative ]]

Subject Finite Predict Comple.

(Taken from (Halliday & Matthiessen, 2004, p 428)) In addition to serving as

Postmodifier, ECL also functions as the Head; in this case, ECL is a

nominalization of a process For instance, [[threateningpeople]] will get you nowhere (Halliday & Matthiessen, 2004)

2.2.2.8 Metaphorical Modes of Expression

In general, a semantic unit is realized by certain lexicogrammar features.For example, the metafunctions are realized by the clause, the participants bynominal groups, or the process is realized by verbal groups Those types of

realization are called congruent mode However, Halliday and Matthiessen

(2004) claim that it is possible for “realignment in the realizational relationshipbetween semantic units and grammatical ones.” (p.614) In other words, undercertain circumstances, the figure – the quantum of flow event, can be realized by

a nominal group For instance, the clause they allocate an extra packer may be aligned to the nominal group the allocation of an extra packer, and that is known as incongruent mode.

2.2.2.8.1 Ideational Metaphor

Halliday and Matthiessen (2004) state “ideational metafunction involves are-mapping between the sequence, figures and elements in semantics and clausenexuses, clauses and groups in the grammar” (p.639) In this process, there seemshifted downwards in the semantics units: a sequence is realized by a clause, orthe figure is realized by a group

There are three types of ideational metaphor First of all, the sequence incongruent mode include two figures realized by a nexus of two clauses;however, in the metaphorical mode, either one or even both clauses aredownranked to group/phrase For example, one clause is downranked to agroup:

Many of these lessons may have gone wrong because teachers were nervous because the school was being inspected can be rewritten Many of these lessons may have gone wrong because of nervousness due to inspection.

Secondly, at the rank of figure, the realization of the figure inmetaphorical mode still remains a clause, but there is downgrading in the initialfigure to a metaphorical nominal group and creation of new process

e.g I originally intended to write a saga covering three generations of the

Okonkwo family in one book 

my original intention was to write …

Finally, the elements in the figure will be affected as well; the process ofthe figure is nominalized and functions as Thing, while the other elements will

be downgraded as groups or phrases serving as modifier for the Thing

We have already been through translation and equivalence Obviously,

meaning is prior in translation process, and the meaning here refers to

experiential meaning, according to Halliday (2001) We have also discussed

about experiential meaning realized via transitivity system in SFG framework

In practice of translation, as Nida and Taber (1982) mentioned above aboutlexicogrammar alternation for reproducing meaning, it is high time we discussed

about translation shifts, a useful tool for analyzing lexicogrammar alternation.

2.2.3 Translation Shifts

His definition of shifts is that “By 'shifts' we mean departures from formalcorrespondence in the process of going from the Source language (SL) to the

Target language” He explains the term formal correspondence

is any TL category which may be said to occupy, as nearly as possible, the 'same' place in the economy of the TL as the given SL category occupies in the SL

(Catford, 1965, p 33).

There are two major types: category shifts and level shifts:

The following is an example of structure shifts

SL text: This is an electric train (Deictic-Classifier-Thing)

TL text: Đây là tàu điện (Thing-Classifier)

Accounting for the rank of group, the position of classifier elements innominal groups are different in these two texts It precedes the thing in nominalgroup in the SL text whereas it follows the thing in the TL text

SL text: A beautiful girl (Pre-modifier + Thing)

TL text: Một cô gái xinh đẹp (Pre-modifier + Thing + Post-modifier) The word beautiful is in pre-modifier of noun girl, but the equivalence

xinh đẹp is in the post-modifier of cô gái.

2.2.3.1.3 Unit Shifts or Rank Shifts

Catford (1965) said that “the units of grammar or of phonology operate inhierarchies - 'larger' or more inclusive units being made up of 'smaller' or lessinclusive units They form a scale of units at different ranks” (p.6)

Hence, unit shifts or rank shifts here refer to the change in ranks (i.e.morphemes, words, clauses, sentences) (Catford, 1965)

SL text: Drinkable

TL text: Có thể uống được

It can be seen that drink is equivalent to uống and able is equivalent to có

thể; since -able is a morpheme and có thể are words, there is a shift in rank

between them

2.2.3.1.4 Intra-System Shifts

By the term “system”, Catford (1965) mean “a finite set of alternants,among which a choice must be made” (p.7) He explains the term intra-systemshifts like this:

Intra-system shifts are those cases where the shift occurs internally, within a system;

that is, for those cases where SL and TL possess systems which approximately

correspond formally as to their constitution, but when translation involves selection

of a non-corresponding term in the TL system (Catford, 1965, p 80).

For example, English and French possess formally corresponding systems

of deictics In translation, sometimes the equivalent of an article is notcorresponded in the system: L’amour and love, du vin and wine

2.3 Summary of the Chapter

This chapter has so far presented the theory of translation, theoreticalconcepts of SFG, which can serve as the framework for analyzing experientialmeaning in the verbal texts, also the representation about below the clause, andbeyond the clause are introduced Furthermore, the translation shift theory ofCatford is represented This chapter is also concerned with a brief overview ofprevious studies relating to the theories under consideration

CHAPTER 3 RESEARCH METHODOLOGY

This chapter describes the methods and procedures involved for thepresent study It touches upon how we approach, collect, and analyze the sample

of data for the analysis of matter under investigation

In order to find out whether there are shifts in process or not, theresearcher carried out an initial study Firstly, for each process, fifteen clauses

were picked out from the literary work Wuthering Heights After that, the equivalent clauses in the translation Doi Gio Hu were determined These

translated clauses were then analyzed to figure out the process it represents afterbeing translated into Vietnamese in comparison with its initial process in theoriginal English clauses The results of the initial study show that there wereoccasional shifts in process in ‘relational’ and ‘existential’ clauses, very rare in

‘material’ and ‘mental’ clauses, while ‘verbal’ and ‘behavior’ ones remainconstant These initial results show some light in the feasibility of this study

3.1 Research Approaches

In this thesis, both qualitative and quantitative methods were applied withpriority given to the qualitative one The qualitative approach was opted for inorder to analyze the translation shift of the clause, the process embodied in the

TL clauses, and the interdependence between translation shifts and processshifts The quantitative method was utilized to count the number, and thus,occurrences of each type of shifts, and of processes

Moreover, the analysis was approached from the combination ofcomparative and descriptive methods The comparative method was employed

to find out the similarity and difference of the results Furthermore, thedescriptive method was used to provide detailed description of sample analysisand interdependence between shifts in lexico-grammar and shifts in process

3.2 Data Collection

The literary work which serves as the sample for this study is Wuthering

https://www.pdfdrive.com/wuthering-heights-planet-pdf-d7009947.html Figure3.1 is the capture of a page of this website

Figure 3.1:PDFDRIVE website screen PDFDRIVE website is an ebook store base which contains more than 86

million ebooks for free There is a wide range of ebooks: education, biography,environment, art, etc

The Vietnamese translation of Wuthering Heights is Doi Gio Hu translated by Duong Tuong It was published by Literature Publishing House in

2016 Duong Tuong is a writer, poet, and translator He has translated more than

50 l works such as Gone with the wind of Margaret Mitchell, the tempest of Shakespeare, and Wuthering Heights by Emily Bronté The publisher Literature

Publishing House was established almost a century, and it is one of most

prestigious publishers in Vietnam

The samples of study were taken in Wuthering Heights by Emily Bronté

with 140 ‘existential’ clauses which is picked out following the descriptionabout existential process proposed by Halliday and Matthiessen (2004) At first,

we decide to analyze both of relational and ‘existential’ clauses because both ofthem show the significant changes of process in translation However, werealized that too much work needs doing, compared to the size of a masterthesis, so we restricted to existential one only We also intend to collect around

150 clauses, but there exist only 140 ‘existential’ clauses in this literary work

Wuthering Heights was selected on an account of its popularity and

complicated plot It was written by Emily Bronté in around 1845 and published

in 1847; since then it has been “regarded as a classic of Englishliterature”("Wuthering Heights," 2018) Its story is about a sophisticatedromance and revenge story between Heathcliff, and the Earnshaw and Lintonfamilies through which mental and physical characters are depicted clearly

We planned to carry out the research in the literary discourse rather than

in other genres since literary translation, as we assume, may promise ampleopportunities for shifts in the lexico-grammar for equivalent effect of translationinto clauses as representation Another reason is the appealing content andplentiful samples of a literary work which enable us to enjoy along the way weconduct this research work

3.3 Data Analysis

Languages are sophisticated systems with multiple levels In this thesis,the sample of data is analyzed at simple clause since Halliday and Matthiessen(2004) say that metafunctions are integrated in clauses The samples wereanalyzed in following steps:

We picked out 140 ‘existential’ clauses from the work Wuthering

Heighst These clauses then were isolated into groups following the theory of

(Halliday & Matthiessen) Also, in the sample, the elements of transitivitysystem including

process, participants and circumstances were analyzed in lines with Functional Grammar framework Here is an example of sample analysis:

Adverbial group (AG) Verbal group (VG) Nominal group (NG)

[64 WH, p.229]After that, we identified the translation clauses of the ‘existential’ ones in

Doi Gio Hu In the same way, we analyzed the translation clauses in both

lexical-grammar and experiential meaning

3.4 Summary of the Chapter

This chapter presents different methods used in the study, and they arequalitative, quantitative, descriptive, and comparative methods Apart from these,the data collection, data analysis and research procedures are also described

CHAPTER 4 DISCUSSION OF FINDINGS

This chapter presents the findings according to the research questions First,the structures of an ‘existential’ clause and its nominal group are introduced againwith the reference to actual data After that, the translation shifts are investigatedbased on Catford’s theory, and then the experiential meaning in Vietnamese clausesare explored by Systemic Functional Grammar The chapter ends with a discussion

of how translation shifts facilitate shifts in process

4.1 Preamble of English Existential Clauses.

4.1.1 The Structure of ‘Existential’ Clause

Halliday and Matthiessen (2004) represent an ‘existential’ clause with

three main constituents The first is the word there, an adverbial group, and it

has no functional label in transtivity system Then, it comes to the process (averbal group) and the last one is an existent, which is realized by a nominalgroup or an embedded clause as he said that it can be any kinds of phenomenon.There are also optional elements which function as circumstances; inlexicogrammar, they could be nominal or adverbial groups, or prepositionalphrases The three main constituents are shown below:

Table 4.1.The structure of an ordinary ‘existential’ clause

Nominal group (NG) Adverbial group (AG) Verbal group (VG) or Embedded Clause

(ECL)

The below part shows the analysis of several ‘existential’ clauses in the sample:

[25 WH, p 114]According to Halliday and Matthiessen (2004), if the

circumstantial element is theme of the clause, then the AG there may be

omitted as the illustration below:

Table 4.2 The structure of ‘existential’ clause with circumstance as theme

Circumstance (Cir) Pr: existential Existent

In the sample, there are a few of them structured like that:

(3)

Above the chimney were sundry villainous old guns,

and a couple of horse-pistols

[138 WH, p 10]

As has been mentioned, there are circumstantial elements and these areplaced at the beginning or at the end of the clause

4.1.1.1 Circumstance at the Beginning of the Clause

Table 4.3 The structure of ‘existential’ clause with circumstance at initial position