INTRODUCING TRANSLATION STUDIES.

THEORIES AND APPLICATIONS

CHAPTER 1. MAIN ISSUES OF TRANSLATION STUDIES
The process of translation involves the translator changing an original written text (ST source text) in the
original language (source language SL) into a written text (target text TT) in a different verbal language (target
language or TL).

ST in SL => TT in TL

KEY CONCEPTS

*The practice of translating is long established, but the discipline of T studies is new.

* In academic circles, T was relegated to language-learning activity

* There is a split between practice and theory

* The study of T began comparing literature, T workshops and contrastive analysis.

*Holme’s ‘The name and nature of T studies’=> the founding statement of a new discipline

*T studies is now considered an interdiscipline.

1.1 THE CONCEPT OF TRANSLATION: ST in SL => TT in TL

Jakobson’s three categories:

Intralingual: rewording (rephrase or summarize)
Interlingual: T proper (interpretation)
Intersemiotic: transmutation (verb to non vb, sign, tx to music)

1.2 WHAT IS TRANSTLATION STUDIES?

Holmes: T studies is concerned with the complex of problems joined round the phenomenon of
translating and translations.

Proliferation of:
1. Specialized translating and interpreting courses
2. Conferences, books, journals on T
3. International organization

1.3 HISTORY OF THE DISCIPLINE

The study of translation as a discipline was developed only in the second half of 20th C.
a) Before it was merely an element of language learning
b) From the late 18th to the 1960s: grammar-translation method
c) UK 1960s – 1970s: grammar translation was replaced for direct method or communicative
approach. This approach focused on students communicating in English and separated T from
language learning. T was restricted to higher-level.
d) USA 1960s: T workshop concept based on Richard’s reading workshops and practical criticism
approach that began in the 20s. Running parallel to this approach was that of comparative
literature and also contrastive analysis. Contrastive approach was influential for Vinay and
 Darbelnet and Catford. BUT does not incorporate sociocultural and pragmatic factors, nor the
role of T as a communicative act.
e) 1950s 1960s More systematic and mostly linguistic oriented approach:
 Jean Paul Vinay and Jean Darbelnet (French to English)
 Alfred Malblanc (French – German)
 Georges Mounin (linguistic issues of T)
 Eugen Nida: based on Chomsky’s Generative Grammar.

1.4 THE HOLMES / TOURY MAP

Holme’s ‘The Name and Nature of T studies’ is considered to be the founding statement for the field.
Holmes puts forward an overall frame work, describing what T st. covers

TRANSLATION STUDIES

PURE

a) Theoretical (translation theory)

i) General
ii) Partial
1. Medium restricted
i. By machine: alone / with human aid
ii. By humans: written / spoken: (consecutive/simultaneous)
2. Area restricted: specific languages
3. Rank restricted: word / sentence / text
4. Text-type restricted: generes (literary, business, technologic)
5. Time restricted: periods (history of T)
6. Problem restricted: e.g. equivalence

b) Descriptive (DTS)
 i) Product oriented: examines existing T
ii) Process oriented: what happens in the mind of translator
iii) Function oriented: study of context. Holmes terms socio-translation studies and
now could be called cultural-studies-oriented T.

APPLIED

a) Translator training
i) Teaching evaluation methods
ii) Testing techniques
iii) Curriculum design

b) Translation aids
i) IT applications
i. T software
ii. Online databases
iii. Use of internet

ii) Dictionaries

iii) Grammars

c) Translation criticism
i) Evaluation of T
ii) Revision of student’s T
iii) Reviews of published T

Holmes also mentions translation policy: the T scholar advising on the place of T in society

Objections: artificial division. It also omits any mention of the individuality of the style, decision-making
processes and working practices of human translators involved in the T process.

1.5 DEVELOPMENTS SINCE THE 1970s

Importance of interdisciplinarity.
An interdiscipline is an entity that exists in the interstices of the existing fields, dealing with some, many
or all of them. Therefore it challenges the current conventional way of thinking by promoting and
responding to new links between types of knowledge and technologies.
So, T studies relates to disciplines such as linguistics, modern languages, languages studies,
comparative literature, cultural studies, philosophy and sociology and history.

SUMMARY CHAPTER 1

Translation studies has expanded explosively recently. Formerly was studied as a language-learning
methodology or as a part of comparative literature, translation workshops and contrastive linguistic
courses.
 James S. Holmes with its ‘The Name and Nature of Translation Studies’ settled the basis of the discipline.

Translation studies was structured according to Holmes’s branches, but overtime the interdisciplinarity
has increased specialization and interconnection with other disciplines.

CHAPTER 2. TRANSLATION THEORY BEFORE THE 20TH C

KEY CONCEPTS

*The word for word vs sense for sense debate.

*The importance of the T of sacred text in China and Europe.

*The vitalization of the vernacular: Luther and the German Bible.

*Key notions of fidelity, spirit and truth.

*The influence of Dryden and the triad of metaphrase, paraphrase and imitation.

*Attempts at a more systematic prescriptive approach from Dolet and Tytler.

*Scheleiermacher: a separate language of T and respect for the foreign.

*The vagueness of the terms used to describe T.

2.1 WORD-FOR-WORD OR SENSE-FOR-SENSE

Sterile debate over literal, free and faithful T up until the second half of 20th C.

 1st C BCE CICERO (=Horace=St. Jerome)

Interpreter (word for word) vs orator (sense for sense)

 4th C BCE St. JEROME

Revises earlier T of New Testament and returns to the Hebrew to translate Old Testament
(sense for sense)

 Ancient China.
3 phases
1st. word for word
2nd free translation
3rd Suang Zang: attention on the style of ST
T choices were expounded in text prefaces.
Dao’an lists five elements where deviation was acceptable:
i) Flexibility of Sanskrit syntax
ii) Enhancement of literariness of ST
iii) Omission of repetition in argumentation
iv) Omission of repetition in introductions
v) Omission of repetition in summaries
 And three factor that necessitated special care:

i) The directing of the message to a new audience

ii) The sanctity of the ST words
iii) The special status of the STs as the work of others

Yiyi sense for sense vs Zhiyi word for word.

2.2 MARTIN LUTHER

Bruni translated philosophical works of the Classical authors and he was particularly concerned to
retain the style of the original author (not word for word)

Roman Catholic Church considered any translation diverging form the accepted interpretation likely
to be deemed heretical and to be censured or banned. Tyndale whose English Bible was later used as
the basis for the King James Version and Dolet were both burnt at the stake.

Non-literal or non-accepted T came to be seen and used as a weapon against the Church. The most
notable example is Martin Luther (16th C) He translated both Old and New Testament into standard
German language and played a pivotal role in the Reformation. He rejected word-for-word T and
considered that T has to focus on the TL and the TT reader.

2.3 FAITHFULNESS, SPIRIT AND TRUTH

Fidelity was first dismissed as literal word-for-word by Horace but at the end of 17th C it came
to be identified with faithfulness to the meaning by Louis Kelly.

Truth: sense of content. Spirit has two meanings: energy or inspiration and Holy Spirit. Spirit
and truth are intertwined.

In the T of sacred text, where the Word of God is sacred (paramount), fidelity, spirit and truth
are interconnected but about 17th C fidelity was seen as more than fidelity to words, spirit lost the
religious sense and was used in the sense of the creative energy of a text of language.

2.4 EARLY ATTEMPTS AT SYSTEMATIC TRANSLATION THEORY. DRYDEN, DOLET AND TYTLER

17th C. COWLEY

Imitation: very free method of T. He admits he has taken, left out and added what he pleased.

17th C. DRYDEN

He reduces all T to 3 categories:

i) Metaphrase: word-for-word and line-by-line => literal

ii) Paraphrase: some freedom to change phrases. It corresponds to faithful or sense-for-
sense T. ‘write as the original author would have written had he known TL’.
iii) Imitation: forsaking words and sense. Adaptation

16th C. DOLET (1540)

 Author-oriented. He sets out five principles in order of importance:

1. The translator (tr) must perfectly understand the sense and material of the S author,
although he should be free to clarify obscurities.
2. The Tr should have a perfect knowledge of both SL and TL.
3. The Tr should avoid word-for-word rendering.
4. The Tr should avoid latinate and unusual forms.
5. The Tr should assemble and liaise words eloquently to avoid clumsiness.

The concern is to reproduce the sense and avoid word-for-word but the stress on eloquent and
natural TL form was rooted in a desire to reinforce the structure and independence of the new
vernacular French language.

18th C. TYTLER

He defines a good T in TL-reader oriented to be that in which the merit of the ST is trespassed
in a way that a TL reader understand it as if it were written in the TL.

Tytler has three general laws (in hierarchical order):

1. T should give a complete transcript of the ideas of the ST. CONTENT

2. The style and manner of writing should be the same character with that of the original.
FORM
3. The T should have all the ease of the original composition (has to adopt the very soul of
his author).

Tytler’s first law is similar as the first and second Dolet’s principles: Tr knows perfectly the original
work and language

Tytler’s second law is similar to Dolet’s fith principle: it deals with author’s style to be maintained.

(1895) YAN FU

Three principles: Fidelity (Xin), fluency (Da), elegance (Ya)

2.5 SCHLEIERMACHER AND THE VALORIZATION OF THE FOREIGN

17th C had been about imitation

18th C had been about the duty to recreate the spirit of ST for reader

19th C. German romantics discusses the issues of translatability or untranslatability and the nature of T.

Schleiermacher distinguishes of Tr working on two types of text:

1. The Dolmetscher: who translates commercial texts.

2. The Übersetzer: who works on scholarly and artistic texts.

For him it is important how to bring the ST writer and the TT reader together. There are only
two paths for the true Tr.:

“Either the Tr leaves the writer in peace as much as possible and moves the reader toward him, or
he leaves the reader in peace as much as possible and moves the writer toward him”

Schleiermacher prefers moving the reader to the writer.

 The translator must adopt an alienating (as opposed to naturalizing) method of T, orienting
him/herself by the language and content of the ST. Tr must valorize the foreign and transfer that into the
TL.

TRANSLATION THEORY OF 19TH AND EARLY 20TH C. BRITAIN

19TH C. Britain focused on the status of the ST and the form of the TL.

SUMMARY OF CHAPTER 2

Till the second half of 20th C:

Few writers have said anything fundamental or new about T

The range of theoretical ideas covered was very small.

The criteria for judgment were vague and subjective.

The judgments themselves were highly normative.

In the second half of 20th C

New attempts to redefine the concepts of literal vs free in operational terms.

Describe meaning in scientific terms.

Put together systematic taxonomies of T phenomena

CHAPTER 3. EQUIVALENCE AND EQUIVALENT EFFECT

KEY CONCEPTS

*The problem of equivalence in meaning. Jakobson is central to T studies for two decades.

*Nida’s adaptation of transformational grammar model, and scientific methods to analyze meaning in his
work or Bible translating.

*Nida’s formal equivalence and dynamic equivalence and the principle of equivalent effect (EE): focus
on the receptor

*Newmark’s semantic T and communicative T

*Development of ‘Übersetzungswissenschaft’ science of T.

*Theoretical criticism of equivalence and the Tertium comparationis.

3.1 ROMAN JAKOBSON: THE NATURE OF LINGUISTIC MEANIN AND EQUIVALENCE (eq)

On linguistic aspects of T Jakobson describes three kinds of T: intralingual, interlingual and

intersemiotic. Key issues on interlingual T are: linguistic meaning and equivalence.

He follows the relation set out by Saussure between the signifier (the spoken and written signal) and
the signified (concept). LINGUISTIC SIGN = SIGNIFIER + SIGNIFIED.
 There is ordinarily no full equivalence between code-units, so we should substitute not words but
messages.

‘The Tr recodes and transmits a message received from another source. Thus T involves two
equivalent messages in two different codes.’

Equivalence in difference is the cardinal problem language and the pivotal concern of linguistics.

The problem of meaning and equivalence focuses on differences in the structure and terminology
of languages.

Cross-linguistic differences center on obligatory grammatical and lexical forms at:

 The level of gender (neuter: house/ feminine casa)

 The level of aspect (he sang / el cantó o cantaba)
 The level of semantic fields (children / hijos o hijas)

Only poetry is considered untranslatable and requires ‘creative transposition’

For Jakobson, meaning and equivalence are linked to the interlingual form of translation, which “involves
two equivalent messages in two different codes” (1959/2000: p.114). He considers Saussure’s ideas of the
arbitrariness of the signifier (name) for the signified (object or concept) and how this equivalence can be
transferred between different languages, for example the concept of a fence may be completely different
to someone living in the suburbs or a prison inmate. He expands on Saussure’s work in that he considers
that concepts may be transferred by rewording, without, however, attaining full equivalence. His theory is
linked to grammatical and lexical differences between languages, as well as to the field of semantics

3.2 EUGENE NIDA AND ‘THE SCIENCE OF TRANSLATING’

‘Towards a Science of Translating’ (1964)

‘The theory and Practice of Translation’ (1969)

3.2.1. The nature of meaning: advances in semantics and pragmatics.

He moves away from the old idea that an orthographic word has a fixed meaning and towards a
functional definition of meaning in which a word acquires meaning through its context and can produce
varying responses according to culture.

Meaning is divided into:

a) Linguistic

b) Referential (denotative dictionary)

c) Emotive (connotative. Related to the responses of the participants: feeling which can neither be
objectified or classified, e.g. good to bad, enjoyable to painful)

Techniques to help the translators to determine meaning:

a) Hierarchical structuring (animal: dog, cow, etc)

b) Componential analysis (relationships: mother, cousin, son)

c) Semantic structure analysis: meaning depending on context (spirit: demons, angels, gods…)

3.2.2. The influence of Chomsky

 He incorporates key features of Chomsky’s generative-transformational model into his science
of T, such as deep / surface structure of language.

He views Chomsky’s theory of Universal Grammar as a way of analyzing the underlying structures
of the ST in order to reconstruct them in the TT, so that a similar response between the target audience
and TT and source audience and ST can be achieved.

1. The surface structure of ST is analysed into the basic elements of the deep structure

2. which are transferred in the T process and

3. then restructured semantically and stylistically into the surface structure of the TT.

It is key the term Kernel sentences, which are simple, active, declarative sentences with only
a verb that require the minimum of transformation. Kernels are the basic structural elements out of
which language builds its elaborate surface structure in three stages: literal transfer, minimal transfer
and literary transfer.

3.2.3. Formal and dynamic equivalence and the principle of equivalent effect

Nida discards old terms such as ‘literal’, ‘free’ and ‘faithful’ T in favour of two basic orientations
or types of equivalence:

1) Formal equivalence or formal correspondence: focusses attention on the message itself

in both form and content. Oriented towards the ST structure. Most typical of this king of T are “gloss
translations” with a close approximation to ST structure, often with scholarly footnotes.

2) Dynamic equivalence or functional equivalence: based on the principle of equivalent effect

=> equivalent response between receptor and message of TT as it was between original receptor and
original message. It is focused on sense; receptor-oriented approach. Naturalness is a key requirement.
The goal of dynamic equivalence is seeking ‘the closest natural equivalent to the SL message’. This
receptor-oriented approach considers adaptation of grammar, of lexicon and of cultural references to
be essential in order to achieve naturalness.

Formal equivalence centres on the form and content of the message of the ST while dynamic
equivalence aims at complete naturalness of expression in the TT.

For Nida, the success of T depends on achieving equivalent response. There are 4 basic
requirement of a T, which are:

1. Making sense

2. Conveying the spirit and manner of the original

3. Having a natural and easy form of expression

 4. Producing a similar response.

3.2.4. Discussion of Nida’s work

The key role played by Nida is to point the road away from strict word-for-word equivalence.
His introduction of the concepts of formal and dynamic eq was crucial in introducing a receptor-based
orientation to T theory. However it is seen as subjective, so is hard to be seen as scientific.

3.3 NEWMARK: SEMANTIC AND COMMUNICATIVE TRANSLATION

‘Approaches to T’ (1981) and ‘A text book of T’ (1988)

He replaces Nida’s division with:

Communicative translation: attempts to produce on its readers an effect as close as possible to that
obtained on the reader of the original (similar to formal equivalence)

Semantic translation: attempts to render, as closely as the semantic and syntactic structures of the
second language allow, the exact contextual meaning of the original (dynamic equivalence). Semantic
translation is accurate, but may not communicate properly

Equivalent effect is illusory and it is impossible to achieve if the TT is out of TL space and time. E.g.
a modern British English T of Homer.

Dynamic equivalence raises the question: are the readers to be handed everything on a plate?

Semantic T differs from literal T in that it respects context, interprets and even explains metaphors.

Literal T is the best way to translate in both semantic and communicative T. However, if semantic T
would result in an abnormal TT or would nor secure equivalent effect in the TL (if it is not possible) then
communicative T should win out.

NEWMARK SEMANTIC VS COMMUNICATIVE TRANSLATION

SEMANTIC TRANSLATION COMMUNICATIVE TRANSLATION

PARAMETER
Formal equivalence Dynamic equivalence

Transmitter / Transmitter focused

TT reader focused
addressee focus Author centered

Culture SL culture (cordero) Foreign elements -> TL (foca)

Time and origin Atemporal Ephemeral

 Loss of meaning More clarity
Relation to ST
Faithful, more literal Related to speech

Loyalty to ST author
Use of form of SL Loyalty to TL norms

Over translation
Easy to read, simpler, clearer
Form of TL Semantic and syntactic
But longer
oriented

Appropriateness Serious literature Text in general

Criterion for evaluation Significance of ST Communication of ST into TT

3.4 KOLLER: KORRESPONDENZ AND ÄQUIVALENZ

‘Einführung in die Übersetzungswissenschaft‘ (Research into the science of T) (1979).

Influenced by Nida, Koller examines equivalence and correspondence:

FIELD CONTRASTIVE LINGUISTICS SCIENCE OF TRANSLATION

Correspondence: compares
SL and TL (corresponding
Equivalence: relates to
structures and sentences).
equivalent hierarchy of
Research area Interested in false friends
utterance and texts in SL and
and signs of lexical,
TL
morphological and syntactic
interferences

Knowledge Langue Parole

Competence L2 competence Translation competence

KOLLER’S FIVE TYPES OF EQUIVALENCE

Type of
What How attainable Research focus
equivalence

Denotative
Analysis of
(dictionary Equivalence of the Lexis.
correspondence and their
meaning) extra linguistic Depending on similarities of
interaction with textual
content of a text register, dialect and style
factors
 Formality (poetic, slang, etc),
Lexical choices, e.g.
Connotative or social usage, geographical origin,
between near- The most difficult
stylistic stylistic effect (archaic, plain, etc)
synonyms
evaluation, emotion.

Usage norms in different

Text-normative Text types Functional text analysis
communicative situations.

Nida’s dynamic
Pragmatic or First of all particular Communicative conditions for
equivalence.
communicative readership different receiver groups
Reader-oriented

Related to the form An analogy of form in TL,

Formal or Rhyme, metaphor and other
and aesthetics of using the possibilities of TL
expressive stylistic forms.
the ST and creating new ones

The crucial point again is that the equivalences need to be hierarchically ordered according to the
communicative situation.

3.5 LATER DEVELOPMENTS IN EQUIVALENCE

Kenny criticizes equivalence circularity: ‘equivalence is supposed to define T, and T, in turn, defines
equivalence’.

The biggest controversy in the comparison of ST and TL is tertium comparationis: the quality that
two things which are being compared have in common.

CHAPTER 4. STUDYING TRANSLATION PRODUCT AND PROCESS

KEY CONCEPTS

*T shifts are small linguistic changes occurring in T of ST to TT.

*Vinay and Darbelnet (1958): classical taxonomy of linguistic changes in T.

*Catford (1965) uses the term T shifts in his linguistic approach to T.

*Theoretical work by Czech scholars Levý, Popovik and Miko (60s) who adopt stylistic and aesthetic
parameters of language.
*The problem of the subjectivity of the invariant used to compare ST and TT.

*Cognitive models seek to investigate and explain the processes of T through observation.

4.1 VINAY AND DARBELNET’S MODEL V&D

‘Stylistique compare du français et de l’anglais’ (1958)

Two general T strategies (direct T (literal) and oblique T (free T)) which comprise seven
procedures.

A) Direct translation (3 procedures)

1. Borrowing (perestroika, siesta)

2. Calque (skyscraper: rascacielo; hot dog: perrito caliente)

3. Literal T (Word-for-word). This is the best way for T if possible. But literal T can be
unacceptable if it:

- gives a different meaning

- has no meaning

- is impossible for structural reasons

- does not have a corresponding expression within the metalinguistic

experience of the TL

- corresponds to something at a different level of language.

B) Oblique translation (4 procedures). It must be uses when literal T is not possible.

4. Transposition: operates at a grammatical level. It changes one part of the speech

for another without changing the sense. Can be:

- obligatory, When only a transposition is acceptable (I want you to go

(infinitive) => quiero que te vayas (subj.)

- optional, When the transposition used depends mostly on context and

desired effect.: it depends on the context.

5. Modulation: changes the semantics and point of view of the SL. It is used when the
others techniques (literal or transposed) generates a grammatically correct text but
unsuitable, unidiomatic or awkward in the TL. It can be:

- obligatory (when =/= oú)

- optional (it is not difficult to show > es fácil de demostrar)

Modulation at the level of message is subdivided along the following lines:

-abstract for concrete: sleep by the fire > sentarse junto a la chimenea

-cause-effect: You’re quite a stranger > No se te ve el pelo

-part-whole: vote > votation-part for another part: from cover to cover > de
la primera hasta la última página
 -reversal of terms: Safe and sound > Sano y salvo

-negation of opposite: don’t get so excited > tranquilízate

-active to passive and vice versa

-space for time

-rethinking of intervals and limits (space and time): a mile > un km

-change of symbol (including fixed and new metaphors): East coast > costa
del Atlántico

In short, modulation is the technique that leads to a solution that makes the reader -
or the translator – exclaim, “Yes, that’s exactly what you would say.”

6. Equivalence: used to render expressions using different stylistic or structural

means: idioms, proverbs, onomatopoeia, etc. (No parking at all times > vado
permanente // You are welcome > de nada // One bitten, twice shy > El gato escaldado
del agua fría huye

7. Adaptation: changes the cultural reference when a situation in the source culture
does not exists in the target culture (Dear Sir > Muy señor mío // He met her in the
pub > La encontró en el bar)

The seven categories operates on three levels:

1. The lexicon
2. Syntactic structure
3. The message

There are two further terms which look above word level:

1. Word order and thematic structure

2. Connectors, which are cohesive links, discourse markers, deixis and punctuation.

A further important parameter taken into account by V & D is that of servitude and option:

 Servitude refers to obligatory transpositions and modulations due to a difference between

the two language systems;
 Option refers to non-obligatory changes that are due to the translator’s own style and
preferences

Vinay and Darbelnet’s five steps for the translator:

1. Identify the units of T

2. Examine the SL text, evaluating the descriptive, affective and intellectual content of the
units.

3. Reconstruct the metalinguistic context of message.

4. Evaluate the stylistic effects.

5. Produce and revise the TT.

They consider the unit of T to be a combination of a ‘lexicological unit’ and a ‘unit of thought’ and
define it as: “the smallest segment of the utterance whose signs are linked in such a way that they
 should not be translated individually”. Unit of T can be: individual words, grammatically linked groups,
fixed expressions (from time to time) and semantically linked groups.

4.2 CATFORD AND TRANSLATION ‘SHIFTS’

‘A linguistic Theory of T’ (1965)

He defines shifts as departures from formal correspondence in the process of going from the SL to
the TL. He makes an important distinction between:

 Formal correspondent: is ‘any TL category (unit, class, element of structure, etc) which can 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’. It is general system-based between a pair of languages.’
 Textual equivalent: is ‘any TL text or portion of text which is equivalent to SL text or portion
of text’. Textual equivalent is thus tied to a particular ST-TT pair.

T shifts occur when formal correspondent and textual equivalent diverge.

There are two kinds of shifts:

1. Level shift: where a grammatical concept may be conveyed by a lexeme (the French future tense
endings are represented in English by the auxiliary verb ‘will’).

2. Category shifts:

2.1. Structural shifts: a shift in grammatical structure. E.g. I like jazz > me gusta el jazz

2.2. Class shifts: from one part of speech to another: a medical student > un estudiante de medicina

2.3. Unit shifts or rank shifts: the T equivalent in the TL is at different rank to the SL (sentence, clause,
group, word, morpheme). (longer sentences are broken into smaller sentences for ease of translation

2.4. Intra-system shifts: systems are similar but not corresponding: advice (singular) > des conseils
(plural)

T shifts analysis seeks to describe the phenomenon of T by analyzing and classifying the changes that
can be observed by comparing ST-TT pair.

4.3 CZECH WRITING ON TRANSLATION SHIFTS: LEVÝ, MIKO, POPOVIC

Levý pays particular attention to poetry translation. He sees literary T as both a reproductive and
a creative labor with the goal of equivalent aesthetic effect.

Levý’s minimax strategy: the translator work is pragmatic, using game theory. The translator
chooses the solution which promises a maximum of effect with a minimum of effort.

Miko concentrates on discussing different aspects of what he terms ‘shifts of expression’ or style
in translation. Retaining the expressive character or style of the ST is the main goal of the translator.

Popovic emphasizes the importance of the shifts of expression concept: an analysis of the
shifts of expression, applied to all levels of the text, will bring to light the general system of the T, with
its dominant and subordinate elements. Popovic, in terms very similar to Levý’s, relates shifts to the
‘literal vs free’ debate, considering them to arise from the tension between the original text ant the T
ideal, and to be the result of the translator’s conscious effort faithfully to reproduce the aesthetic totally
of the original. He defines ‘adequacy of T’ as synonymus with both ‘faithfulness to the original’ and
‘stylistic equivalence in T’.
 4.4 THE COGNITIVE PROCESS OF TRANSLATION

Besides T shifts analysis, there are other models which choose a different approach, based on the
observation, analysis and / or explanation of the cognitive processes of the translator themselves. Thus,
as Roger Bell puts: translation theory must address how the process takes place and what knowledge
and skills the translator must possess in order to carry it out.

The interpretive model, by Danica Sleskovich and Marianne Lederer, explains T as an overlapping
three-stage process involving:

1. Reading and understanding using linguistic competence and ‘word knowledge’ to grasp the sense
of the ST.

2. Deverbalization is essential to avoid transcoding and calques (cognitive process)

3. Re-expression where the TT is constituted and given form based on the deverbalized
understanding of sense.

4. Verification (was added by Delisle) where the translator revisits and evaluates the TT.

DIFFERENCE FROM NIDA’s model of analysis, transfer and restructuring: rather than placing the
emphasis on a structural representation of semantics, interpretative model stresses the deverbalized
cognitive processing that takes place. But if deverbalization occurs in a non-verbal state in the mind,
how is the researcher going to gain access to it???

Relevance theory by Gutt: T relays on a cause-and-effect model of inferencing and interpretation.

The communicator gives the hearer communicative clues that allow the inference to be made.
Translators need to decide whether and how it is possible to communicate the informative intention,
whether to translate descriptively or interpretively, the degree of resemblance to ST, and so on. These
decisions are based on the translator’s evaluation of the cognitive environment of the receiver.

4.5 TECHNOLOGICAL ADVANCES

New directions such as think-aloud protocols where the translator is asked to verbalize
his/her thought processes, and technological innovations such as the Translog software, which records
the key-strokes made by the translator on the keyboard and eye-trackers, which record the focus of the
eye on the text.

SUMMARY OF CHAPTER 4

Emergence of attempts at detailed taxonomies of small linguistic changes (shifts) in ST-TT pairs
in the 50’s and 60’s. Vinay and Dalbernet’s taxonomy is still influential, but as Catfrod’s approach is a
static linguistic model.

Czechs paid attention to the translation of the style

CHAPTER 5 FUNCTIONAL THEORIES OF TRANSLATION

KEY CONCEPTS

*Functional theories from Germany (70’s-80’s) mark a move away from static linguistic typologies.

*Reiss stresses equivalence at text level, linking language functions to text types and T strategy.

*Snell-Hornby’s ‘Integrated approach to text type in T

*Holz-Mänttäri’s theory of translatorial action: a communicative process involving a series of players.

*Vermeer’s Skopos Theory of translation strategy depending on purpose of TT is expanded in Reiss and
Vermeer.

*Nord’s translation-oriented text analysis: a functional approach with more attention to ST.

5.1 TEXT TYPE. KATHARINA REISS

Text level equivalence. Reiss links language functions, text type, genre, and T strategy.

The main characteristics of each text types are:

Text type Informative Expressive Operative

Transmit
Express author’s
Language function information and Appeal to the reader
attitude
facts

Language dimension Logical o referential Aesthetic Dialogic

Content or topic
Text focus focused Form-focused Appellative-focused

Transmit full
Transmit aesthetic Elicit desired
TT should referential content
form response
of ST
Plain prose, Identifying method, Adaptive, creating
Translation method explicitation as adopt perspective of equivalent effect
required ST author among TT reader

Example Reference work Poem Advertisement

Reiss’s text typex and text varieties (Chesterman 1989)

The adequacy of a TT may be assessed by a series of intralingustic and extralinguistic instruction criteria:

 Intralinguistic criteria: semantic, lexical, grammatical and stylistic features;

  Extralinguistic criteria: situation, subject field, time, place, receiver, sender and ‘affective implications’
(humour, iron, emotion, etc.)

Although interrelated, the importance of these criteria varies according to text types, e.g. a content-
focused text should aim at preserving semantic equivalence first and second grammatical criteria; a science
book may pay attention to the individual style of the ST.

Reiss’s work is important because it moves T theory beyond a consideration of lower linguistic levels as
words towards a consideration of the communicative purpose of translation. One criticism is why there are
only three types of language function; the chosen method for translation may not depend only on the text
type, which may also have a multifunctional purpose. Nord adds a fourth ‘phatic’ function (greetings).
Another question is how to apply a T method to a specific text, e-g- business text may contain metaphors and
a business text which is informative can also be expressive. Therefore, functions within the same ST co-exist
what difficult that it fits into clear division. Also, T method employed depends on far more than just a text
type.

5.1.1 TEXT TYPE. MARY SNELL-HORNBY’S INTEGRATED APPROACH

‘Translation studies: An Integrated Approach’ (1988)

MARY SNELL-HORNBY classifies translation on the basis of prototype theory and points out that
different types of T are influenced to different degrees by linguistic and various other disciplines.
Depending on the text type under consideration, she incorporates cultural history, literary studies, etc...,
and for technical translation, the study of the relevant specialized subject.

This is an interesting attempt to bring together diverse areas of T and to bridge the gap between the
commercial and artistic T.

It is important the removal of rigid divisions between different types of language that she did.

5.2 TRANSLATORIAL ACTION MODEL. HOLZ-MÄNTTÄRI

Translatorial action views T as purpose-driven, outcome-oriented human interaction and focuses
on the process of T as message-transmitter compounds involving intercultural transfer: it is not about
translating words, sentences or text but is in every case about guiding the intended co-operation over
cultural barriers, enabling functionally-oriented communication. It takes into account practical issues
while, at the same time, placing the emphasis firmly on the reader of the TT.
Interlingual T is described as ‘translatorial action from a ST’ and as a communicative process
involving a series of roles and players:

 The initiator: the one who needs the translation

 The commissioner: the one who contacts the translator
 The ST producer: the writer
 The TT producer: the translator and the agency
 The TT user: the one who uses TT, e.g. teaching material
 The TT receiver: the final recipient, e.g. students
 These players each have their own specific primary and secondary goals. In the case of the
professional translator faced with a text, the likely goals are primarily to earn money, and secondarily
to fulfil the contract and to process the text message
Translatorial action focuses on producing a TT that is functionally communicative for the
receiver.
Relevant features are described according to the traditional split (separation) of content and form:
Content is divided into factual information and overall communicative strategy
Form, structured by texture, is divided into terminology and cohesive elements.
The TT is determined by the needs of the receiver
Discussion of the model of translatorial action: She places the T within its sociocultural context,
including the interplay between the translator and the initiating institution.

5.3 SKOPOS THEORY. VERMEER AND REISS Skopos is the Greek word for aim or purpose.
Skopos theory centres on the purpose of the translation and the function that the TT (called translatum
by Vermeer) will fulfil in the target culture, which may not necessarily be the same as the purpose of the ST in
the source culture. The emphasis once again stays with the reader of the TT, as the translator decides on what
strategies to employ to “reach a ‘set of addressees’ in the target culture”. Cultural issues in a sociolinguistic
context therefore need to be considered. Skopos is important because it means that the same ST can be
translated in different ways depending on the purpose and the guidelines provided by the commissioner of
the translation.

The basic rules of the theory are:

1. A traslatum (or TT) is determined by its skopos.

2. A TT is an offer of information in a TL and T culture concerning an offer of information in a SL and

S culture. CONTEXT

3. A TT does not initiate an offer of information in a clearly reversible way.

4. A TT must be internally coherent (coherence rule)

5. A TT must be coherent with the ST (fidelity rule)

6. The previous rules stand in hierarchical order.

Rule 2 relates ST and TT to their function in their contexts. Irreversibility in rule 3 indicates that the function
of TT in its T culture is not necessarily the same as in the S culture. The coherence rule (4) states that the TT
must be translated in such a way that it is coherent for TT receivers. The fidelity rule (5) states that there must
be coherence between the TT and the St, or more specifically between:

 The ST information received by the translator

 The interpretation the translator makes of this information
 The information that is encoded for the TT receivers.

Disadvantage: controversy because of the hierarchical order of rules that places intertextual coherence
(rule 5) below intratextual coherence (rule 4) which is subordinate to skopos.
 Advantage: it allows the possibility of the same text being translated in different ways, according to the
purpose of the TT and the commission given to the translator.

In order for the translatorial action to be appropriate for the specific case, the skopos needs to be stated
explicitly or implicitly in the commission, which should comprise a goal and the conditions under which that
goal should be achieved.

DISCUSSION OF SKOPOS THEORY. Nord and Schäffner.

-Only valid for non-literary texts
-Reiss’s text type approach and Vermeer’s skopos theory cannot be lumped together.
-Skopos theory downplays the importance of the ST; and does not pay enough attention to linguistic detail.

5.4 TRANSLATION-ORIENTED TEXT ANALYSIS. NORD

Christiane Nord’s ‘Text analysis in T (1988/2005) presents a more detailed functional model incorporating
elements of text analysis, which examines text organization at or above sentence level.

He makes a distinction between two types of T product (and process):

 Documentary translation ‘serves as a document of a source culture communication between the

author and the ST recipient’. For example, a literary T where the TT allows the TT receiver access to the
ideas of the ST but where the reader is well aware that it is a translation. Other examples are word-
for-word and literal T and exoticizing T, where certain culture-specific lexical items in the ST are
retained in the TT in order to maintain the local colour of the ST

 Instrumental translation ‘serves as an independent message transmitting instrument in a new

communicative action in the target culture, and is intended to fulfil its communicative purpose without
the recipient being conscious of reading or hearing a text which, in a different form, was used before
in a different communicative situation’. The TT receivers read the TT as though it were a ST written in
their own language. For instance, a translated computer manual.

Nord’s book is aimed primarily at providing T students with a model of ST analysis which is applicable to all
text types and T situations. She shares many of the premises of Reiss and Vermeer’s work, but pays more
attention to features of the ST.

Nord highlights three useful aspects in translator training:

1 The importance of the translation commission: it should give the following information for both texts:
 The intended text functions;
 The addressees (sender and recipient);
 The time and place of text reception;
 The medium (speech and writing);
 The motive (why the ST was written and why it is being translated

2 The role of ST analysis. Nord’s list of intratextual factors is a possible model for analysing the ST:
 Subject matter
 Content, including connotation and cohesion
 Presuppositions: real-world factors of the communicative situation presumed to be
known to the participants
 Composition: including microstructure and macrostructure
  Non-verbal elements: illustrations, italics, etc.
 Lexic: inc. dialect, register and specific terminology
 Sentence structure
 Suprasegmental features: inc. stress, rhythm and ‘stylistic punctuation’
Nord stresses that it does not matter which text-linguistic model is used, what is important is to include
a pragmatic analysis of the communicative situations.

3 The functional hierarchy of translation problems: When undertaking a translation, it is important to

establish a functional hierarchy.
1. Decide intended function of translation (documentary or instrumental)
2. Determine elements that will need to be adapted to the TT addressees’ situation (after analysis
of T commission)
3. Decide translation style (S Culture or TC oriented) based on translation type
4. Deal with problems presented by text at lower linguistic level (as in ST analysis)

In many ways, this synthesized approach brings together strengths of the various functional and action
theories:
 The T commission analysis follows up Holz-Mänttäri’s work on the players within the translatorial
action.
 The intended text functions pursue Reiss and Vermeer’s skopos, but without giving overall dominance
to the skopos
 The ST analysis, influenced by Reiss’s work, gives due attention to the communicative function and
genre features of the ST type and language, but without the rigidity of other taxonomies.

SUMMARY OF CHAPTER 5

Functionalist and communicative T theories advanced in Germany in the 70’s and 80’s moved T from
a static linguistic phenomenon to being considered as an act of intercultural communication. Reiss’s initial
work links language function, text type, genre, and T strategy. Reiss’s approach was later coupled to Vermeer’s
skopos theory, where the T strategy is decided by the purpose of the T and the function of the TT in the T
culture. Skopos theory is part of the model of translatorial actions also proposed by Holz-Mänttäri, who places
professional commercial T within a sociocultural context, using the jargon of business and management. T is
viewed as a communicative transaction involving initiation, commissions, and the producers, users and
receivers of the ST and TT. In this model the ST is ‘dethroned’ and the T is judged not by equivalence of meaning
but by the adequacy to the functional goal of the TT situation as defined by the commission. Nord’s model,
designed for training translators, retains the functional context but includes a more detailed text-analysis
model for the ST.
 TRANSLATION PROCEDURES

In contrast to translation strategies (the translators’ global approach or plan of action on a given text,
according to their intention), translation procedures are used for sentences and smaller units of language
within that text. Translation procedures are methods applied by translators when they formulate an
equivalence for the purpose of transferring elements of meaning from the Source Text (ST) to the Target Text
(TT). (Delisle) Vinay and Darbelnet first proposed seven methods or procedures (loan, calque. literal
translation, transposition, modulation, equivalence, adaptation) in 1973.

More than one procedure can be seen in one translation, and some translations may result from a cluster
of procedures that is difficult to discern

WORD-FOR-WORD TRANSLATION (CLOSE TRANSLATION)= Transferring SL grammar and word order as well
as the primary meanings of all SL words. He works in the house -now > Il travaile dans la mansion maintenant

ONE-TO-ONE TRANSLATION (CLOSE TRANSLATION)= Each SL word has a corresponding TL word, but their
primary (isolated) meanings may differ. hacer un examen > take an exam

§LITERAL TRANSLATION (CLOSE TRANSLATION)= Literal translation ranges from one word to one word,
through group to group (un beau jardin > a beautiful garden), collocation to collocation (make a speech > faire
un discours), clause to clause (when that was done > quand cela fut fait), to sentence to sentence (The man
was in the street > L’homme était dans la rue)

§THROUGH-TRANSLATION <CALQUE> “calco” = The literal translation of common collocations, names of

organizations, the components of compounds, and perhaps phrases <To transfer a SL word or expression into
the Target Text using a literal translation of its component elements> (Delisle). marriage de convenance >
marriage of convenience / skyscraper > rascacielos / football > balompié

§TRANSFERENCE, <BORROWING> “préstamo” (loan word, transcription; transliteration)= Transferring a SL

word to a TL. Either because the TL does not have a lexicalized correspondence, or for stylistic or rhetorical
reasons. e.g. coup d’état; noblesse oblige!, Realpolitik, “mermelada light”, “música rap”, ad hoc formulation,
proper names, names of people (except the Pope and royals), The Times, American On Line,

§NATURALISTATION, <DIRECT TRANSFER, “traslado”>= Adapting a SL word first to the normal

pronunciation, then to the normal morphology of the TL. (in French) thatchérisme; (in German) Performanz

§SYNONYMY = To use a near TL equivalent to an SL word in a context, where a precise equivalent may or
may not exist. This procedure is used when there is no clear one-to-one equivalent, when literal translation is
not possible, and the word is not important in the text (adjectives, adverbs of quality), not important. Enough
for componential analysis. Personne gentile > kind person / Conte piquant > racy story

§TRANSPOSITION, SHIFT (Catford), <RECATEGORIZATION>= A change in the grammar from SL to TL.

(singular to plural; position of the adjective, changing the world class or part of speech)

Working with you is a pleasure > Trabajar contigo… El trabajo contigo … Cuando trabajo contigo…

d’une importance exceptionnelle > exceptionally large (SL adj. + adjectival noun > TL adv. + adj.)

Tras su salida> after he’d gone out

There’s a reason for life > Hay una razón para vivir

with government support > apoyado por el gobierno

It’s getting dark > comienza a oscurecer

§<DENOMINALIZATION>

To transform a noun or nominal structure in the ST into a verbal structure in the TT. Some language, such
as French and German, prefer to package verb-related information in verbal nouns, whereas English prefers
to use verbs, specifically action verbs. Hence we speak of <deverbalization> or <nominalization> when
translating out of English into other languages (Delisle)

§<RECASTING> = To modify the order of the units in a ST in order to conform to the syntactic or idiomatic
constraints of the Target Text

§MODULATION= Variation through change of viewpoint, of perspective, and very often of category of
thought (Vinay and Darbelnet) introducing a clarification with respect to the original formulation

Il n’a pas hésité > He acted at once

shallow > poco profundo

(POSITIVE FOR DOUBLE NEGATIVE, DOUBLE NEGATIVE FOR POSITIVE [ANTONYMY] - MODULATION)

sleep in the open > dormir à la belle étoile

sleep by the fire > sentarse junto a la chimenea

La scrittura non è altro che una forma di parlare > Lo escrito no es otra cosa que una forma de hablar

(ABSTRACT FOR CONCRETE - MODULATION)

You’re quite a stranger > No se te ve el pelo> On ne vous voit plus

 The firing of cannons > El estampido de los cañones

(CAUSE FOR EFFECT - MODULATION)

from cover to cover > de la primera hasta la última página

(ONE PART FOR ANOTHER - MODULATION)

lebensgefährlich > danger de mort

heatlh insurance > seguro de enfermendad

À feu et à sang > a sangre y fuego

Safe and sound > Sano y salvo

(REVERSAL OF TERMS - MODULATION)

(ACTIVE FOR PASSIVE - MODULATION)

§EQUIVALENCE (Vinay and Darbelnet)= To substitute a TL statement for a SL statement which accounts for
the same situation, even though there is no formal or semantic correspondence. To render a set phrase [idiom,
cliché, “locución”] from the SL with a set phrase from the TL which expresses the same idea, although in a
different way (Delisle). Approximate equivalence of complete statements, accounting for the same situation
in different terms. Different from modulation in that it belongs to the semantic level, not to the lexical level.

An extreme case of ‘modulation’.

the story so far > Résumé des chapitres précédents

The early bird catches the worm > A quien madruga Dios le ayuda

One bitten, twice shy > El gato escaldado del agua fría huye

Such hypocrisy makes me see red > Esas hipocresías me sacan de quicio

Get off your backside and do something useful! > ¡Deja de rascarte la barriga y ponte a hacer algo útil!

No parking at all times > vado permanente

You are welcome > de nada

§<ADAPTATION> (Vinay and Darbelnet) (CULTURAL EQUIVALENT for Newmark)= To replace a situation of
the SL by an analogous situation of the TL (when communicative situations are difficult to understand in the
culture of TL, when the situation of the SL does not exist in the TL - a cultural gap- and therefore another
equivalent situation has to be created) To replace a socio-cultural reality from the SL with a reality specific to
the Target Culture in order to accomodate for the expectations of the Target Audience (Delisle)

Dear Sir > Muy señor mío

Yours ever > Le saluda atentamente

Saria male usar quelle parole antique toscane > Sería malo servirnos de aquellas palabras que ya están
fuera de uso

Dupont et Dupond (characters in Tinin) > Thomson and Thompson > Hernández y Fernández > = A cultural
SL word is translated by a TL cultural word (Newmark)

baccalauréat is translated as ‘(the French) ‘A’ level’, or Abitur as ‘(the German) ‘A’ level’
 He met her in the pub > La encontró en el bar > Il l’ a retrouvée dans le café

vingt mètres derrière lui > veinte metros por detrás de él > twenty yards behind him

§RECOGNISED TRANSLATION = Use of the official or generally accepted translation of any institutional term
Rechtsstaat> constitutional state

§FUNCTIONAL EQUIVALENT = To neutralise or generalise a SL cultural word by using a culture-free word

baccalauréat > French secondary school leaving exam

he was not a diplomat but a wistful major in the Life Guards > No era diplomático sino triste general del

Regimiento Real de Caballería

§DESCRIPTIVE EQUIVALENT, [related to EXPANSION OR AMPLIFICATION] = To neutralise or generalise a SL

cultural word by using a description

Samurai > Japanese aristocracy from the eleventh to the nineteenth century

§COMPONENTIAL ANALYSIS To split up a lexical unit into its sense components

§COMPENSATION= When loss of meaning, sound-effect, metaphor or pragmatic effect in one part of a
sentence is compensated in another part, or in a contiguous sentence

The atmosphere in the big gambling room had changed. It was now much quieter > El ambiente había
cambiado por completo en la gran sala de juego, que ahora se encontraba más tranquila

E.g. The French use of the pronoun tu to express familiarity between two people (as opposed to formal
vous) could correspond in English to the use of a first name or nickname, or be marked by familiar syntactic
phrases (ex. I’m, you’re) (Delisle).

§EXPANSION <AMPLIFICATION> To use more words in the Target Text in order to re-express an idea or to
reinforce the sense of a ST word because his correspondence in the TL cannot be expressed as concisely
(Delisle)

vivificante > life-giving

penalty (in football) > tir de réparation

Yorkshire > condado de Yorkshire

§PARAPHRASE= Amplification or explanation of the meaning of a segment of the text. For Delisle,
paraphrase is the result of amplifying a TT by replacing a word from the ST with a group of words or phrasal
expression that has the equivalent sense

§EXPLICITATION To introduce precise details into the TT for clarification (Delisle)

To help resolve the basic questions of delegation > Para ayudar a resolver el problema fundamental de la
delegación de poderes

§REDUCTION <CONCENTRATION> <resulting in CONCISION and in ECONOMY>

computer science > informática

machine à laver > lavadora

OMISSION = To concentrate or suppress elements in the TL text

The committee has failed to act > La comisión no actuó

 §<IMPLICITATION> A translation procedure intended to increase the economy of the TT and achieved by
not explicitly rendering elements of information from the Source Text in the Target Text when they are evident
from the context or the described situation and can be readily inferred by speaker of the TL

Be sure the iron is unplugged from the electrical outlet before filling with water > Desconectar la plancha
siempre antes de llenar el depósito

§NOTES, ADDITIONS, GLOSSES When the translator supplies additional information in the form of
footnotes, endnote, glossaries at the end of the text, or within the text (e.g. Debrecen > the city of Debrecen,
in West Hungary