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.
*Holmes 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

Jakobsons 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 higherlevel.
d) USA 1960s: T workshop concept based on Richards 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 Chomskys Generative Grammar.
1.4

THE HOLMES / TOURY MAP

Holmes 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 sociotranslation studies and now could be called cultural-studiesoriented 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 students 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 Holmess 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.
Daoan lists five elements where deviation was acceptable:
i)
Flexibility of Sanskrit syntax
ii)
Enhancement of literariness of ST

iii)
iv)
v)

Omission of repetition in argumentation

Omission of repetition in introductions
Omission of repetition in summaries

And three factor that necessitated special care:

i)
ii)
iii)

The directing of the message to a new audience

The sanctity of the ST words
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)
ii)

iii)

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

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.
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).
Tytlers first law is similar as the first and second Dolets principles: Tr knows
perfectly the original work and language
Tytlers second law is similar to Dolets fith principle: it deals with authors
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 bersetzer: 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.
*Nidas adaptation of transformational grammar model, and scientific methods to
analyze meaning in his work or Bible translating.
*Nidas formal equivalence and dynamic equivalence and the principle of
equivalent effect (EE): focus on
the receptor
*Newmarks semantic T and communicative T
*Development of bersetzungswissenschaft 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 cant 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 Saussures 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 Saussures 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 Chomskys generative-transformational
model into his science of T, such as deep / surface structure of language.
He views Chomskys 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 Nidas work
The key role played by Nida is to point the road away from strict word-forword 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 Nidas 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

PARAMETER

SEMANTIC
TRANSLATION
Formal equivalence

COMMUNICATIVE
TRANSLATION
Dynamic equivalence

Transmitter /
addressee focus

Transmitter focused
Author centered

TT reader focused

Culture

SL culture (cordero)

Foreign elements -> TL

(foca)

Time and origin

Atemporal

Ephemeral

Relation to ST

Loss of meaning
Faithful, more literal

More clarity
Related to speech

Use of form of SL

Loyalty to ST author

Loyalty to TL norms

Form of TL

Over translation
Semantic and syntactic
oriented

Easy to read, simpler,

clearer
But longer

Appropriateness

Serious literature

Text in general

Criterion for evaluation

Significance of ST

Communication of ST into
TT

3.4 KOLLER: KORRESPONDENZ AND QUIVALENZ

Einfhrung in die bersetzungswissenschaft (Research into the science of T) (1979).

Influenced by Nida, Koller examines equivalence and correspondence:

CONTRASTIVE
LINGUISTICS
Correspondence:
compares SL and TL
(corresponding
structures and
sentences).
Interested in false
friends and signs of
lexical, morphological
and syntactic
interferences

SCIENCE OF
TRANSLATION

Knowledge

Langue

Parole

Competence

L2 competence

Translation
competence

FIELD

Research area

Equivalence: relates
to equivalent hierarchy
of utterance and texts
in SL and TL

KOLLERS FIVE TYPES OF EQUIVALENCE

Type of
equivalence
Denotative
(dictionary
meaning)

What

How attainable

Research focus

Equivalence of
the extra
linguistic
content of a
text

Analysis of
correspondence and
their interaction with
textual factors

Lexis.
Depending on similarities
of register, dialect and
style

Connotative
or stylistic

Lexical
choices, e.g.
between nearsynonyms

The most difficult

Formality (poetic, slang,

etc), social usage,
geographical origin,
stylistic effect (archaic,
plain, etc) evaluation,
emotion.

Textnormative

Text types

Functional text
analysis

Usage norms in different

communicative situations.

Pragmatic or
communicati
ve

Nidas dynamic
equivalence.
Readeroriented

First of all particular

readership

Communicative conditions
for different receiver
groups

Formal or
expressive

Related to the
form and
aesthetics of
the ST

An analogy of form in
TL, using the
possibilities of TL and
creating new ones

Rhyme, metaphor and

other stylistic forms.

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 Lev, 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 DARBELNETS MODEL V&D

Stylistique compare du franais et de langlais (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 =/= o)
- optional (it is not difficult to show > es fcil 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: Youre 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 ltima pgina
-reversal of terms: Safe and sound > Sano y salvo
-negation of opposite: dont get so excited > tranquilzate
-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 Atlntico

In short, modulation is the technique that leads to a solution that

makes the reader - or the translator exclaim, Yes, thats 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 fra huye
7. Adaptation: changes the cultural reference when a situation in
the source culture does not exists in the target culture (Dear Sir >
Muy seor mo // He met her in the pub > La encontr 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 translators own style
and preferences
Vinay and Darbelnets 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: LEV, MIKO, POPOVIC

Lev 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.
Levs 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 Levs, 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 translators 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 NIDAs 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 translators
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 50s and 60s. Vinay and Dalbernets taxonomy is still
influential, but as Catfrods 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 (70s-80s) mark a move away from static linguistic
typologies.

*Reiss stresses equivalence at text level, linking language functions to text types and T
strategy.
*Snell-Hornbys Integrated approach to text type in T
*Holz-Mnttris theory of translatorial action: a communicative process involving a
series of players.
*Vermeers Skopos Theory of translation strategy depending on purpose of TT is
expanded in Reiss and Vermeer.
*Nords 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
Language
function
Language
dimension
Text focus

Informative

Expressive

Operative

Transmit
information
and facts
Logical o
referential
Content or topic
focused

Express
authors
attitude

Appeal to the
reader

Aesthetic

Dialogic

Form-focused

Appellativefocused

TT should

Transmit full
referential
content of ST

Transmit
aesthetic form

Elicit desired
response

Translation
method

Plain prose,
explicitation as
required

Identifying
method, adopt
perspective of
ST author

Adaptive,
creating
equivalent effect
among TT reader

Example

Reference work

Poem

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Reisss 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.
Reisss 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-HORNBYS 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-MNTTRI

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
The
The
The
The
The

initiator: the one who needs the translation

commissioner: the one who contacts the translator
ST producer: the writer
TT producer: the translator and the agency
TT user: the one who uses TT, e.g. teaching material
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 Schffner.
-Only valid for non-literary texts
-Reisss text type approach and Vermeers 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 Nords 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-forword 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.

Nords 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 Vermeers 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

The role of ST analysis. Nords 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.

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-Mnttris work on the players within
the translatorial action.
The intended text functions pursue Reiss and Vermeers skopos, but without
giving overall dominance to the skopos
The ST analysis, influenced by Reisss 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 70s and
80s moved T from a static linguistic phenomenon to being considered as an act of
intercultural communication. Reisss initial work links language function, text type,
genre, and T strategy. Reisss approach was later coupled to Vermeers 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-Mnttri, 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. Nords 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 > Lhomme tait 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 > balompi
TRANSFERENCE, <BORROWING> prstamo (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 dtat;
noblesse oblige!, Realpolitik, mermelada light, msica 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)
thatchrisme; (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
dune importance exceptionnelle > exceptionally large (SL adj. + adjectival noun >
TL adv. + adj.)
Tras su salida> after hed gone out
Theres a reason for life > Hay una razn para vivir
with government support > apoyado por el gobierno
Its 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 na pas hsit > He acted at once

shallow > poco profundo
(POSITIVE FOR DOUBLE NEGATIVE, DOUBLE NEGATIVE FOR POSITIVE [ANTONYMY] MODULATION)
sleep in the open > dormir la belle toile
sleep by the fire > sentarse junto a la chimenea
La scrittura non altro che una forma di parlare > Lo escrito no es otra cosa que una
forma de hablar
(ABSTRACT FOR CONCRETE - MODULATION)
Youre quite a stranger > No se te ve el pelo> On ne vous voit plus
The firing of cannons > El estampido de los caones
(CAUSE FOR EFFECT - MODULATION)
from cover to cover > de la primera hasta la ltima pgina
(ONE PART FOR ANOTHER - MODULATION)
lebensgefhrlich > danger de mort
heatlh insurance > seguro de enfermendad
feu et 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, clich, locucin] 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 > Rsum des chapitres prcdents
The early bird catches the worm > A quien madruga Dios le ayuda
One bitten, twice shy > El gato escaldado del agua fra huye
Such hypocrisy makes me see red > Esas hipocresas me sacan de quicio
Get off your backside and do something useful! > Deja de rascarte la barriga y
ponte a hacer algo til!
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 seor mo
Yours ever > Le saluda atentamente
Saria male usar quelle parole antique toscane > Sera malo servirnos de aquellas
palabras que ya estn fuera de uso
Dupont et Dupond (characters in Tinin) > Thomson and Thompson > Hernndez y
Fernndez > = A cultural SL word is translated by a TL cultural word (Newmark)
baccalaurat is translated as (the French) A level, or Abitur as (the German) A
level
He met her in the pub > La encontr en el bar > Il l a retrouve dans le caf
vingt mtres derrire lui > veinte metros por detrs de l > 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 baccalaurat > French secondary school leaving exam
he was not a diplomat but a wistful major in the Life Guards > No era diplomtico
sino triste general del
Regimiento Real de Caballera
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 haba cambiado por completo en la gran sala de juego, que ahora se
encontraba ms 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. Im, youre) (Delisle).
EXPANSION <AMPLIFICATION> To use more words in the Target Text in order to reexpress 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 rparation
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 delegacin de poderes
REDUCTION <CONCENTRATION> <resulting in CONCISION and in ECONOMY>
computer science > informtica
machine laver > lavadora
OMISSION = To concentrate or suppress elements in the TL text
The committee has failed to act > La comisin no actu
<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 depsito
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