Text analysis in translation

1. “Extratextual Factors in Translation Text Analysis”

Lecture 1. Systematic Framework for External Analysis

Introduction

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 "extraj 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

to whom does s/he say

what for what

by which medium (what not)

where in what order

when using which non-verbal elements

why in which words

a text in what kind of sentences

with what function? in which tone

to what effect?

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.

Extratextual factors

External versus internal situation

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.

Example

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 Framework for External Analysis

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.

Sender

Sender vs. text producer

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).

Example

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.

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.

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