Text analysis in translation - Иностранные языки и языкознание курс лекций

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Text analysis in translation

Systematic framework for external analysis. Audience, medium and place of communication. The relevance of the dimension of time and text function. General considerations on the concept of style. Intratextual factors in translation text analysis.


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1 . “Extratextual Factors in Translation Text Analysis”
L ecture 1 . Systematic Framework for External Analysis
Most writers on translation theory agree that before embarking upon any translation the translator should analyze the text comprehensively, since this appears to be the only way of ensuring that the source text (ST) has been wholly and correctly understood. Various proposals have been put forward as to how such an analysis should be carried out and how particular translation problems might best be dealt with. These tend, however, to be based on models of text analysis which have been developed in other fields of study, such as that of literary studies, of text or discourse linguistics, or even in the field of theology.
But what is right for the literary scholar, the text linguist is not necessarily right for the translator: different purposes require different approaches. Translation-oriented text analysis should not only ensure full comprehension and correct interpretation of the text or explain its linguistic and textual structures and their relationship with the system and norms of the source language (SL). It should also provide a reliable foundation for each and every decision which the translator has to make in a particular translation process. For this purpose, it must be integrated into an overall concept of translation that will serve as a permanent frame of reference for the translator.
The factors of the communicative situation in which the source text is used are of decisive importance for text analysis because they determine its communicative function. I call these factors "extra j textual" or "external" factors (as opposed to the "intratextual" or "internal" factors relating to the text itself, including its non-verbal elements). Extratextual factors may, of course, be mentioned, i.e. "verbalized", in the text, and in this case we speak of "metacommunicative utterances". The interplay between extratextual and intratextual factors can be conveniently expressed in the following set of "WH-ques-tions". Depending on their relationship to either the communicative situation or the text itself, these questions can be assigned to the extratextual or intratextual factors of analysis.
Who transmits On what subject matter
when using which non-verbal elements
with what function ? in which tone
Extratextual factors are analysed by enquiring about the author or sender of the text (who?), the sender's intention (what for?), the audience the text is directed at (to whom?), the medium or channel the text is communicated by (by which medium?), the place (where?) and time (when?) of text production and text reception, and the motive (why?) for communication. The sum total of information obtained about these seven extratextual factors may provide an answer to the last question, which concerns the function the text can achieve (with what function?).
Intratextual factors are analysed by enquiring about the subject matter the text deals with (on what subject matter?), the information or content presented in the text (what?), the knowledge presuppositions made by the author (what not?), the composition or construction of the text (in what order?), the non-linguistic or paralinguistic elements accompanying the text (using which non-verbal elements?), the lexical characteristics (in which words?) and syntactic structures (in what kind of sentences?) found in the text, and the suprasegmental features of intonation and prosody (in which tone?).
The extratextual factors are analysed before reading the text, simply by observing the situation in which the text is used. In this way, the receivers build up a certain expectation as to the intratextual characteristics of the text, but it is only when, through reading, they compare this expectation with the actual features of the text that they experience the particular effect the text has on them. The last question (to what effect?) therefore refers to a global or holistic concept, which comprises the interdependence or interplay of extratextual and intratextual factors.
Since the situation normally precedes textual communication and determines the use of intratextual procedures, it seems natural to start with the analysis of the external factors although, in view of recursiveness and circularity, the order of the analytical steps is not a constituent of the model. In written communication, the situation is often documented in the "text environment" (i.e. title and/or bibliographical references, such as name of author, place and year of publication, number of copies, etc.). This is what is usually called a "top down" analysis. If no information on the external factors can be inferred from the text environment (for example, in the case of old texts whose original situation of production and/or reception is uncertain or unknown), the analysis of internal features, again in a recursive procedure, can yield information from which the translator is able to make fairly reliable conjectures about the situation the text was used in. 14 The latter procedure is referred to as a "bottom-up" analysis.
The application of the model will show that normally both procedures have to be combined, demonstrating once more the recursive character of the model.
In classifying the situational factors as "extratextual factors" we have to make the following fundamental qualification. When referring to "situation" we mean the real situation in which the text is used as a means of communication, and not any imaginary setting of a story in a fictional text). The characteristics of a person who speaks in a fictional text do not belong to the dimension of sender, but have to be regarded as an intratextual factor which is analysed in connection with the internal dimension of "content". It is the author of the text who has to be regarded as "producer" of the fictitious utterance, whereas the fictitious speaker is a "secondary sender" (S').
This qualification also applies to the so-called complex text types, where a text of a certain genre is embedded into a frame text belonging to another genre. Complex text types occur not only in fiction, but also in non-fiction. For example, in newspaper reports authors often cite remarks made by third persons in literal quotations in order to show that they do not share the speaker's opinion. In this case, the sender of the quoted utterance is not identical with the sender of the frame text.
After King Juan Carlos of Spain had received an honorary doctorate from New York University, the journalist who commented on the event in a Spanish newspaper quoted verbatim parts of the King's speech of thanks. For the translation of the quotation, the King has to be regarded as sender, whereas for the translation of the framing newspaper report, the journalist is the sender (and author). The formulation of the two texts has to conform to the different situations and positions of the two senders.
For both fictional and non-fictional complex texts it is advisable to analyse the constituent texts separately according to the principle of recursiveness. The necessary information on the situational factors of the embedded text is usually given within the frame text.
Systematic F ra mework for External A nalysis
If we want to encompass the whole situation of a text by means of a model that will serve for the analysis of any text with any possible translation skopos, we must ask the following fundamental question:
What information on the various factors may be relevant to translation?
Neubert ([1968]1981: 60) regards "age, origin, social environment, education etc." as relevant information about the language user. Vermeer ([1974b] 1983: 23) in a matrix relates attitude, status, role, strategy, behaviour and activity of the participants of communication to the corresponding features of the type of situation in order to furnish evidence of the conformist or deviant behaviour of the participants. Schmidt (cf. 1976: 104) lists the following data: (a) socio-economic conditions (role, status, economic situation), (b) socio-cultural and cognitive-intellectual conditions (text and world knowledge, education, experience, models of reality), and (c) biographical-psychical conditions (individual competences and dispositions, present biographical situation, plans, intentions). Gulich & Raible (1977: 28) even regard "hoarseness, cheerfulness, unhappiness" and the picture that speaker and hearer have of each other as factors which may influence the communicative act.
This list is in no way complete, but it clearly shows that the situation or world of a text cannot be analysed by a mere compilation of informational details. We have to find the categories by which we conceive the world, which will apply equally to the world of a text, i.e. to its historical situation.
This applies to the situation of a text as well.
The basic categories of any historical situation are time and space. The category of time also comprises the historic conception a world has of itself. The first fundamental aspect of analysis will therefore be the temporal and spatial dimension of the situation.
The situation of a text is always a part of human culture. The second fundamental aspect of analysis therefore has to refer to the culture-specific features of the situation.
(c) In its world, the text has a function which establishes its textuality. The third fundamental aspect therefore comprises the relationship between situation and communicative function of the text
The communicative function of a text has to be considered within the framework of the transcultural, possibly universal, communicative functions of language in general.
We find four basic functions of communication: (a) the referential (also denotative or cognitive) function, focussed on the referent or context referred to by the text, (b) the expressive or emotive function, focussed on the sender, the sender's emotions or attitude towards the referent, (c) the operative (also appellative, conative, persuasive or vocative) function, focussed on the orientation of the text towards the receiver, and (d) the phatic function, serving primarily "to establish, to prolong, or to discontinue communication between sender and receiver, to check whether the channel works, to attract the attention of the interlocutor or to confirm his continued attention. The phatic function is also responsible for the development of the social relationship between sender and receiver.
Apart from space, time, and culture, it is the influence of these basic functions that constitutes the "world" of a text. They will therefore form the systematic framework for the range of possible questions which can be asked regarding the situational factors of our analytical model (see the standard or model questions in the "checklist" at the end of each chapter). In order to illustrate the interdependence of factors and dimensions, the last question will always refer to the expectations raised by the analysis of the factor in question.
Although in many cases these two roles are combined in one persona (e.g. in the case of literary works, textbooks, or newspaper commentaries, which are normally signed by an author's name), the distinction seems to be highly relevant to a translation-oriented text analysis.
Many texts do not bear any author's name at all. These are usually non-literary texts for practical use, such as advertisements, laws or statutes, or operating instructions. Nevertheless, there has to be a sender who, even if not named explicitly, can be identified implicitly. For example, the sender of an advertisement is usually the company selling the product, and the sender of statutes is normally the legislative body of a state. The fact that no text producer is named in these cases leads to the conclusion that either they are not relevant as a person or - as is the case with certain genres - they do not wish to be known.
If a text bears the name of both sender and text producer, the latter usually plays a secondary role because s/he is not expected to introduce any communicative intention of her or his own into the text.
The sender of a text is the person (or institution, etc.) who uses the text in order to convey a certain message to somebody else and/or to produce a certain effect, whereas the text producer writes the text according to the instructions of the sender, and complies with the rules and norms of text production valid in the respective language and culture. The formal design of the text, such as the layout, may be assigned to another expert, and in some cases, the text is presented to the public by yet another person (e.g. a news reader or an actor).
The imprint on the back of a tourist information brochure of the city of Munich reads as follows: "Edited by the Tourist Information Office of Munich (...). Text: Helmut Gerstner." The Tourist Information Office, which intends to inform the visitors and to promote the beauties of the town, is the sender of the text. Mr Gerstner is the text producer, and he is the person responsible for the stylistic features of the text, but not for the sender's intention. The imprints on the English, French, and Spanish versions of the brochure contain the same information, which in this case is obviously wrong. Although the Tourist Information Office is the sender of these texts, too, it is the respective translators who have to be regarded as text producers. Their names ought to be mentioned in addition to, or instead of, that of Helmut Gerstner.
As is shown by the example, it is usually the text environment (imprint, reference, bibliography, etc.) that yields information as to whether or not the sender and the text producer are different persons. If the author's name is the only one given, she can normally be assumed to be the text producer. However, this cannot be regarded as a hard and fast rule, as is illustrated by the following example.
In her book Estudio sobre el cuento espahol contempordneo (Madrid 1973), Erna Brandenberger has included the short story "Pecado de omision" by the Spanish author Ana Maria Matute to give an example of a certain type of plot which she calls a "fast moving story". For the German version of the book, Brandenberger (as sender and translator in one person) has translated the story into German with the intention of showing the typical features of a fast moving story. If the same story is published in a collection of modern Spanish short stories, however, it is the author herself who acts as sender, and in translation it would be her intention that determines translation strategies.
The situation of a translator can be compared with that of the text producer. Although they have to follow the instructions of the sender or initiator and have to comply with the norms and rules of the target language and culture, they are usually allowed a certain scope in which to give free rein to their own stylistic creativity and preferences, if they so wish. On the other hand, they may decide to stick to stylistic features of the source text as long as their imitation does not infringe the text norms and conventions of the target culture.
Another aspect of sender pragmatics is the question as to whether a text has one or more than one sender (monologue vs. dialogue, question/answer, discussion, exchange of roles between sender and receiver, etc.). If there is more than one sender, the corresponding data have to be analysed for each of them.
Within the framework established by time, space, culture and the basic functions of communication, what we regard as being relevant to translation is all data which may throw light on the sender's intention, on the addressed audience with their cultural background, on the place and time of, and the motive for, text production, as well as any information on the predictable intratextual features (such as idiosyncrasies, regional and social dialect, temporal features, knowledge presuppositions, etc.).
a) If a text is written in Spanish, it may be vital for comprehension to know whether the author is from Spain or Latin America, since a large number of words are used with different meanings in European and American Spanish. Even if a Peruvian like Mario Vargas Llosa writes in a Spanish newspaper for Spanish readers, he can be expected to use americanisms. b) In a Spanish edition of Cuban short stories ( Narrativa cubana de la revolution, Madrid 1971), certain cubanisms are explained to the Spanish readers in footnotes, e.g., duro: "moneda de un peso cubano" (which was then a five peseta coin in Spain), or neques: "sorpresas, golpes imprevistos". For the translator, these footnotes may be important not only in the comprehension phase, but also - if the TT skopos requires the preservation of the effect the book has on the European Spanish-speaking reader - in the transfer phase, c) The Portuguese eclogue Crisfal can be ascribed either to Cristovao Falcaos or to Bernadim Ribeiro. In the first case, the text has to be interpreted literally as a naturalistic poem, while in the second case, it must be regarded as an allegory. As Kayser points out, "the words may have a completely different impact if they come from an author who really was put into prison for his love, who really was separated from his lady, and whose lady really was forced to stay in the cloister of Lorvao" (Kayser 1962: 36, my translation).
How to obtain information about the sender
How can the translation-relevant information about the sender (or the text producer) be obtained? The first clues are provided by the text environment (imprints, blurbs, preface or epilogue, footnotes, etc.). The author's name may already carry further information which either belongs to the receiver's or translator's general background knowledge or can, if necessary, be obtained. The name of a writer usually evokes some knowledge of their literary classification, artistic intentions, favourite subject matters, usual addressees, status, etc.; similarly, the name of a politician evokes his or her political standpoint, function or position, public image, etc. Since this is culture-specific knowledge, which belongs to the "hinterland" of the text, it cannot be presumed that it is shared by the target receiver. Therefore, the translator has to consider whether the TT receiver might lack information. Whenever such a lack interferes with text comprehension, it should be compensated for by some additional piece of information given in the target text or in the TT environment.
If ex-Prime Minister Edward Heath writes an editorial in a British newspaper, British readers will immediately know what political party the author belongs to. If the text is translated and published in the German weekly paper DIE ZEIT, many German readers may not be able to "classify" the author as easily. If, however, the classification is relevant for the comprehension and/ or interpretation of the article, the information has to be supplied in a few introductory lines or even in the text itself, if possible.
Further information about the sender may be provided by other factors of the communicative situation (either individually or as a combination of several factors). There may be clear and unambiguous information, which I call "data", or there may be hints which may allow the necessary information to be inferred. If the analyst knows, for instance, by which medium, at what time, and for which function a text has been published (local newspaper of the day X, death announcement), s/he is able to tell who the sender may be (relatives, employer, or friends of the dead person). The place of publication points to the origin of the sender or possible origin, if the language is spoken in various countries (Great Britain - United States - Australia - India; Portugal - Brazil; Spain - Latin America -Bolivia), and the medium can throw light on the possible status of the sender (specialized journal - expert; newspaper -journalist), etc.
Sometimes it may even be possible to ask the sender in person, or a person related to him or her.
Another source of information is the text itself. If the text environment does not provide the necessary details, the analyst has to look for internal hints about the characteristics of the sender. The use of a certain regional or class dialect may reveal the (geographical or social) origin of the text producer (although not necessarily that of the sender, if they are not the same person), and the use of obsolete forms may tell the analyst that the text producer probably lived in another age. These questions, however, can only be answered after completing the intratextual analysis.
The following questions may help to find out the relevant information
Is the sender identical with the text producer? If not, who is the text producer and what is his/her position with regard to the sender? Is s/he subject to the sender's instructions? Is s/he an expert in text production or an expert on the subject?
What information about the sender (e.g. age, geographical and social origin, education, status, relationship to the subject matter, etc.) can be obtained from the text environment? Is there any other information that is presupposed to be part of the receiver's general background knowledge? Can the sender or any person related to him or her be asked for more details?
What clues as to the characteristics of the sender can be inferred from other situational factors (medium, place, time, motive, function)?
What conclusions can be drawn from the data and clues obtained about the sender with regard to
other extratextual dimensions (intention, receiver, medium, place, time, occasion, function) and
The difference between intention, function, and effect
In order to ascertain the dimension of intention we have to ask what function the sender intends the text to fulfill, and what effect on the receiver s/he wants to achieve by transmitting the text. It may seem difficult to distinguish the concept of intention from that of function and effect. Biihler (1984), for example, equates "author's intention" with "purpose and effect". The three concepts are three different viewpoints of one and the same aspect of communication. The intention is defined from the viewpoint of the sender, who wants to achieve a certain purpose with the text. But the best of intentions does not guarantee that the result conforms to the intended purpose. It is the receiver who "completes" the communicative action by receiving (i.e. using) the text in a certain function, which is the result of the configuration or constellation of all the situational factors (including the intention of the sender and the receiver's own expectations based on his/her knowledge of the situation). The question "What is S aiming at with the text?" can therefore not be assigned to the factor of text function, but belongs to the dimension of intention.
Text function is defined "externally", before the receiver has actually read the text, whereas the effect the text has on the receiver can only be judged after reception. It is, so to speak, the result of the reception and encompasses both external and internal factors.
It is true that certain genres are conventionally associated with certain intentions, but these need not necessarily be realized in the communicative situation. Some ancient genres, for example, such as magic spells or epic poems, are received today in a function which differs considerably from that intended by the original sender.
Ideally, the three factors of intention, function and effect are congruent, which means that the function intended by the sender (= intention) is also assigned to the text by the receiver, who experiences exactly the effect conventionally associated with this function. Methodologically, the three factors have to be distinguished because their separate analysis allows for a different treatment (preservation, change, adaptation) in the translation process. If the intention has to be preserved in translation, we must often be prepared for a change in function and/or effect.
The intention of (he sender is of particular importance to the translator because it determines the structuring of the text with regard to content (subject matter, choice of informative details) and form (e.g. composition, stylistic-rhetorical characteristics, quotations, use of non-verbal elements etc.). At the same time, the specific organization of a text marks the text type and is a pre-signal which tells the receivers in which function they are expected to use the text.
A set of operating instructions is meant to inform the user about a certain piece of equipment, e.g. a hairdryer, and to explain its correct use. Therefore, the text producer chooses the conventional forms of text organization (composition, sentence structures, lexical cliches, etc.). Taking the text out of the box with the hairdryer, the receiver recognizes the particular forms of text organization and immediately knows that the sender wants to inform about the hairdryer and the way it has to be used. Therefore receivers will normally utilize the text in this particular function. In this case, the text type is linked with a particular intention on the part of the sender, which leads to the corresponding text function on the part of the receiver. The effect will be that of "conventionality".
The sender's intention is also important in connection with the principle of loyalty. Even if the text function is changed in translation, the translator must not act contrary to the sender's intention (if it can be elicited).
The information on the dimension of intention can throw some light on other external factors (e.g., what effect on the receiver might be intended, which medium may be most appropriate or conventionally used to realize the intention in question, or whether there is a link between intention and genre), and, to a large extent, on the intratextual features (e.g. composition, use of rhetorical devices or non-verbal elements, tone, etc.).
What to find out about the sender's intention
What different types of intention can be associated with a text? There may be forms of "communication", where the sender is his or her own addressee: somebody may write something down either to ease the burden of their memory or to sort out their ideas and thoughts, or they may just scribble something on a piece of paper while making a phone call ("zero-intention"). These forms would not appear to be relevant to translation. In normal communication with two or more participants, the possible intentions correspond with the four basic functions of communication described above in connection with the systematic framework. We may ask, for example, whether the sender wants to inform the receiver about a certain issue (referential intention) or intends to express her/his feelings or attitude towards things (expressive intention), whether s/he plans to persuade the receiver to adopt a particular opinion or perform a certain activity (appellative intention), or whether s/he just wants to establish or maintain contact with the receiver (phatic intention).
Of course, a sender may well have more than just the one intention. Several intentions can be combined in a kind of hierarchy of relevance. For pragmatic reasons, this hierarchy may have to be changed in translation.
How to obtain information about the sender's intention
Normally, the receiver is not informed explicitly about the sender's intention, but receives the text as the result of the sender's communicative purposes. One means of obtaining explicit or implicit information about the intention(s) of the sender or text producer, therefore, is the analysis of intratextual features.
However, if we stay with the extratextual factors (sender, receiver, medium, place, time, motive, and function), these can throw some light on the intention the sender may have had in transmitting the text. Paralinguistic phenomena, such as manifestations of the sender's excitement or indignation, may have to be taken into account as well.
In determining the sender's intention we have to consider the role the sender adopts towards the receiver in or through the text, a role which is quite separate from the "real", status-based relationship between the two. A sender who is superior to the receiver because of greater knowledge about the subject in question may nevertheless try to play down this knowledge in order to gain the receiver's confidence. If the analyst knows the sender's role (in relation to status), s/he may be able to draw some conclusions as to the sender's intention.
The sender's intention is of particular importance when analysing literary texts or texts marked as a personal opinion (e.g. political commentaries, editorials) because there is no conventional link between genre and intention. In these cases, the translator may have to take account of the author's life and background, events that have influenced his or her writings or any literary classification (such as "romantic" or "politically/socially committed literature"). There is no doubt that for a translation-relevant text analysis translators must exploit all sources at their disposal. The translator should strive to achieve the information level which is presupposed in the receiver addressed by the author. For a literary text this will not be the level of a literary scholar, but certainly that of a "critical receiver".
a) Bertolt Brecht is a representative of German politically committed literature. If the receivers know that his story "Measures against Violence" was first published in 1930, they may take this as a clue that the author intended to warn his readers about Nazi tendencies, b) If a text is published in a newspaper on the pages specially devoted to political commentaries (which in quality papers is often separate from news and re
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