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Formal Correspondence vs.

Translation Equivalence Revisited

Vladimir Ivir

Poetics Today, Vol. 2, No. 4, Translation Theory and Intercultural Relations. (Summer - Autumn,
1981), pp. 51-59.

Stable URL:
http://links.jstor.org/sici?sici=0333-5372%28198122%2F23%292%3A4%3C51%3AFCVTER%3E2.0.CO%3B2-2

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Mon Feb 4 17:42:17 2008
FORMAL CORRESPONDENCE VS.
TRANSLATION EQUIVALENCE REVISITED

V L A D I M I R IVIR
English. Zagreb

The two concepts which feature in the title of the present paper belong to two
dillerent. though (as will he shown) hy n o means unrelated. activities. Formal
correspondence is a term used in contrastive analvsis. while translation
c.quivalence helongs to the metalanguage of translation. In principle, perhaps,
the two terrns could be discussed separately in their two disciplines, and i t is
indeed possible to irnagine a theorv of translation which would operate with the
concept of equivalence defined without reference to farrnal correspondence, just
as i t is possible to irnagine contrastive analysis which would rely on the concept of
correspondence established without the use of translation. I n practice, however,
hoth terms have heen found necessary by students of translation and hy
contrastive analysts.
Issues that are raised i n connection with forrnal correspondence and
translation equivalence are certainly more than just terminological: a discussion
of formal correspondence in translation concerns the role of linguistic units i n
translation and the place of linguistics in translation theorv. while a discussion of
translation equivalence in contrastive analysis concerns the role of translation in
contrastive work. The relationship between them has heen discussed by Catford
(1965) frorn the point of view of translation theory and hy Marton (IO6X), Tvir
(1969. 1070). Krzeszowski (1971. 1072). Raahe (1972) from the point of view of
contrastive analysis.
The present paper will look at each of the two conceptsfroni both ends and try
to show whv hoth are needed in translation and in contrastive analysis.

I
Our understanding of the concept of translation equivalence will depend on the
view we take of translation itself. 1,ooking at translation as a result or product,
faced with two texts one of which is a translation of the other, we rnight he
tempted to conclude that translation is "the rcplacernent of textual material in
one language (SI,) by equivalent textual material in another language (TI,)"
Poer~cs Today, Vol. 2 4 (1981). 51-59
52 VLADIMIR IVIR

(Catford. Ic)65:20) or Inore generally that it is " t h e rendition o f a text frorn one
language t o another" (Rolinger, 1966: 130). Equivalence would then exist
between texts - i.e.. it would hold together chunks o f textual rnaterial or
linguistic units (texts being simply linguistic units o f a higher order than the
smaller units which compose thern). This is a static view both o f translation and
o f equivalence: pushed t o its extreme. i t forces the conclusion that for anv
linguistic unit (text or portion o f a t e x t ) in the source language there is an
equivalent unit in the target languageand that it is the translator's job t o find that
unit. Hence the search for different textual types and their characteristics in
different languages.
Another picture o f translation and translation equivalence is obtained when a
dynamic view is taken and translation is regarded as a process rather than as a
result. O n e then speaks about substituting messages in one language for
rnessages in sorne other language (Jakohson. 1959: 235). ahout "reproducing in
the receptor language the-closest natural equivalent o f the rnessageof the source
language" (Nida. 1960: 40.5). or about " t h e nature o f dynamic equivalence in
translating" (Nida, 1077).
This latter view o f translation is the communicative view. and it sees
translation equivalence not as a static relationship between pairs o f texts in
different languages hut rather as a product o f the dvnarnic process o f
communication between the sender o f the original message and the ultirnate
receivers o f the translated message via the translator. who is the receiver o f the
original rnessage and the sender o f the translated message. Messages are
configurations o f extralinguistic features cornrnunicated in a given situation. T h e
original sender starts f r o m these features and - relying on the resources o f his
language, on his corn~nando f that language, and on his assessment o f the nature
o f the sociolinguistic relationship between hirn and his (actual or potential)
receivers - codes t h e m t o produce the source text. T h e coded rnessage (source
t e x t ) reaches the translator through the (spatio-temporal) channel o f
cornrnunication. H e decodes i t and receives the original sender's message. which
he then proceeds t o code again in the target language. relying on the resourcesof
that language. on his command o f that language. and on his assessment o f his
relation to the ultirnate receivers.
Under this view, what is held constant (i.e., equivalent) are not texts but rather
messages. and it is messages that the participants return to at every step in the
process o f communication. T h e translator, in particular, does not proceed
directlv from the source text to the target text: rather. he goes from the source
text hack t o that configuration o f extralinguistic features which the original
sender has tried t o communicate as his message and having arrived there he
codes that message again, in a new and different communicative situation,
producing a text in the target language for the henefi t o f the ultimate receivers.
Several points must be made in connection with the view o f translation and
equivalence presented here. First. the nature o f the translator's job in receiving
the original sender's rnessage does not essentially d i f f e r f r o m the job o f other
source-language receivers o f that message, and his job in coding the received
FORMAL CORRESPONDENCE VS. EQUIVALENCE 53

lnessage again in the target language is not unlike the task performed by the
original sender (onlv the co~nrnunicativesituation is different, that is, the
translator is a different "linguistic person" than the original sender, he uses a
(iifferentlanguage and codes the message for differentreceivers than the original
sender).
Second. messages are not communicated absolutely. T h e original rnessage
undergoes modifications in the process o f coding (depending on the potential o f
the language, the sender's command o f that language, and the intended
audience), in the process o f transmission (owing to the "noise in the channel"),
and in the process o f decoding (depending on the receiver's command o f the
language and his ability - coming from the shared experiential background -
to grasp the sender's message). Clearly, such modifications also take place when
the translator receives the message, when he codes it again in the target
language. when he transmits the coded rnessage through the channel o f
communication linking him with his receivers, and when the ultimate receivers
decode the translated message. This relativitv o f communication - anv
cnrnrnunication, and not just that involving translation -places the concept o f
equivalence in translation in a new perspective: equivalence holds between
messages (communicated by the original sender, received and translated by the
translator, and received by the i ~ l t i ~ n a treceivers)
e which change as little as
possible and as much as necessarv t o ensure communication. Thus, true
translation is by n o means limited to cornmunicative situations involving two
languages. A n act o f translation takes place each time that a text is produced as a
coded expression o f a particular configuration o f extralinguistic features and is
decoded to enable the receiver to receive the rnessage ( c f .Steiner, 1975: 37).
T h e third point that can be made about translation equivalence follows from
what has just been said: equivalence is a matter o f relational dvna~nicsin a
cc~mniunicativeact - it is realized in that act and has no separate existence
outside i t . ( I t can thus be compared toabstract unitsof the linguisticsystem. such
as phonemes. which do not exist physically outside the speech act in which they
are realized and whose very realization in speech is somewhat differentand is vet
produced and received as the "same" phoneme. O r i t could be compared t o a
person's signature; there is no "ideal" signature o f a given person, and in each
act o f signing it comes out a little differentvisuallv; yet, it is recognized as "same"
as long as the characteristic features are preserved t o ensure its "equivalence"
with any other o f its realizations - allowing for the fact that different
realizations take place in differentcornmunicative situations.)

2
Since translation equivalence is the translator's airn and since it is established at
the level o f messages, in the cornmunicative act, and not at the level o f linguistic
units, it lnay appear that there is no need for the concept o f formal
correspondence in the model o f translation presented here. I will argue further
below that this is not so and that there isa sense in which formal correspondence
holds together the source and target texts. But in order t o demonstrate this, a
54 VLADIMIR IVIR

modification o f some o f the available definitions of forrnal correspondence will


he needed.
Catford has defined formal correspondence as identity of function of
correspondent items in two linguistic svsterns: f o r him, a formal correspondent is
"any T L /target language/ category which may be said to occupy, as nearly as
possible. the 'same' place in the economy o f the TL as the given S L /source
language/ category occupies in the SL" (Catford. 1965: 32). Marton (1068) and
Krzeszowski (1071, 1972) postulated an even closer relationship hetween
linguistic expressions in the source and target languages - that of congruence,
which is characterized hy the presence, in the two languages, of the same number
o f equivalent formatives arranged in the same order. Realizing that relying o n a
concept defined in this way would prevent the contrastive analyst frorn working
with real language (and would thus make his results useless for any conceivable
pedagogic purposes). Krzeszowski later (1072: 8 0 ) went hack to the concept of
equivalence. However. h e applied it to sentences possessing identical deep
structures (i.e.. semantic representations o f meaning) rather than those which
were translations o f each other. At the level of deep structures equivalent
sentences were also regarded as congruent. their congruence disappearing in
later derivational stages leading to the surface structure.
Both Catford's "formal correspondence" and hlarton-Kr~eszowski's
"co~igruence!equivalence" represent attempts at bringing linguistic units of the
source and target languages into sorne kind of relationship for purposes of
contrasting. the necessary tertiurn cornparationis heing provided by the identity
of function o r meaning. Without a tertiutn cotrlparatiorris n o comparison o r
contrasting of linguistic units is possible, but the question is what can serve as the
rertiurrz cotrlpararionis. O n e possibility would be an independently described
semantic systern whose categories would he held constant while their linguistic
expressions in pairs of languages under examination would be contrasted.
However. such a systern has not yet been proposed and we d o not know what its
categories might be.
Another possibility might be a common metalanguage in terrns of which both
the source and the target language would be described to the sarne degree o f
exhaustiveness. This metalanguage would supply categories in terrns of which
the appropriate parts of the two systems could be contrasted; since the
descriptions would be matchable, their contrasting would consist in simply
mapping o n e description upon the other to establish the degree of fit. Again, the
descriptions of n o two languages meet this requirement. Formal correspondence
as defined hy Catford can hardly h e said to exist: even in pairs of closely related
languages i t is practically impossible to find categories which woulcl perform the
"same" functions in their respective systerns, and that probability decreases with
typological and genetic distance. Marton-Krzeszowski's concepts o f
"congruence/equivalence" in fact make use of the metalanguage of the
transformational-gencrative grammar, in particular of the notion of decp
structure. to avoid relying on the postulate of translational equivalence. But the
postulates of decp structure and transformation are n o easier t o work with: the
FORMAL CORRESPONDENCE VS. EQUIVALENCE 55

status of deep structures is far from clear. as is also the meaning-preserving


nature of transformations.
So. one falls hack on the concept of translation equivalence in one's search f o r
a suitable tertiurrl conlparationis for contrastive purposes. (One feels all the more
justified in doing this when o n e observes actual contrastive practice: n o matter
what they otherwise profess, contrastive analysts begin with sentences which are
obviously translational pairs and proceed to demonstrate the hilingual person's,
that is the analyst's. intuition of their equivalence.)However. we must remember
that translation ecluivalence holds together communicated messages and not
linguistic units used to communicate them and that we must go beyond
equivalence to linci the necessary tertium cornparationrswhich will hold linguistic
units together. It has heen suggested (Ivir. 1960: 18) that agoodcandidatefor the
ioh would be formal correspondence -but forrnal correspondence defined not
with reference to linguistic systems (as Catford would have it) hut rather with
reference to translationally ecli~ivalent texts. Forrnal correspondents - to
modify Catford's definition given ah01 e -would he all those isolable elements
of linguistic form which occupy identical positions (i.e., serve as f o r ~ n acarriers
l
of identical units of meaning) in their respective (translationally equivalent)
tex ts.
The difference between language-based and text-based (or systern-based and
ecluivalence-based) forrnal correspondence is seen in the fact that while the
former type of correspondents stand in a one-to-one relationship. the
relationship in the latter type is one-to-many. Typically. a given formal element
o f the source language. used in different texts produced in different
communicative situations. will have several target-language f o r ~ n a lelements
which will correspond to it in translated target texts. Rut i t should be realized
that precisely f o r that reason the forrnal elernents which are correspondents in
translationally equivalent texts are never matched in totality. as they would beif
parts o f the systems of the two languages were contrasted. Rather. they are
matched in those of their rneanings with which they participate in the particular
source and target texts.
The approach to contrastive analysis based on the concept of f o r ~ n a l
correspondence presented here has heen outlined in Ivir (1970) and applied in
various papers coming out of the Zagreb-based Yugoslav Serbo-Croatian -
English Contrastive Project (cf. Filipovii.. 1971). Only a brief description will
therefore be given here of what it means f o r formal correspondents to stand in
one-to-many relationships and to be matched only in meanings involved in
particular texts. For instance. the Serho-Croatian instrumental case yields
several different correspondents in English translation - the prepositions with,
by. on. through. across, along. in, then the subject position of the noun in
question, then the plural of the noun in question, the adverb in -1y. etc. Clearly,
the different correspondents stand for the different rneanings of the
Serbo-Croatian instrumental case: with f o r instrument (rezati noierrl --cur wilh
a knife) o r company (tioCi s nekim - corrle with someone), b y for means of
transportation (doci ulakorn -corrle b y train), onandlor the plural noun for tirne
56 VLADIMIR IVIR

( m u z e j je zatuoren ponedjeljkom - the museum is closeci on Monday/ o n


Mondays/Montlays), in for mode (pisati tintom - write in ink). in. through.
across, along for place (s'etatiparkonl - walk in the park. prolaziti Surrlorn -walk
through the forest, prelaziti poljern - walk across the field, i f i cestom - walk
along the roati), the subject-noun for place (pijevptica odzvanjao je Sumom -the
forest resounded with the chirping of birds) o r instrument (ovim kljutem mogu se
otvoriti sva vrata -this key will open all the doors). the adverb in -1y for manner ( s
intlignacijorn - indignantly), etc.
'Thus. in looking for forrnal correspondents in English for thc Serbo-Croatian
instrumental case o n e scans translationally equivalent texts and establishes a list
of formal linguistic elements. each of which corresponds not to the
Serbo-Croatian instrumental as such but to some particular aspect of its
meaning. (It should he noted in passing that such multiple formal correspo~itfents
are important analytical pointers to distinctions of meaning in the source
language of which native-speakers may be unaware. Hence the importance of
translation and contrastive analysis for native language description.) Rut
normally that particular aspect of the meaning will not he expressed by lneansof
just o n e kind of formal elements in the target language (just as it is not the case
that a particular meaning will b e expressible by only one kind of formal element
in the source language - the one-to-many relationship among formal corre-
spondents in pairs o f contrasted languages is merely a reflection of similar rela-
tionships between meanings and linguistic units in single languages). W e have
already seen, for instance, that the temporal meaning of the Serho-Croatian
instrumental case is expressed in English hy the preposition on plus the name of
the day in singular o r plural. o r simply the name of the day in the plural without a
preposition (hut unmistakably in the position of an adverbial adjunct).
Differences in meaning may be hardly detectable in some cases ( s ir~dignacijotn
- indignantly o r with indignation); they may he slight in other cases (Mondays
and o n Mondays belong to different varieties of English, while on Monday is
potentially ambiguous and may refer to o n e particular Monday. an
interpretation not permitted hy the Serbo-Croatian instrumental. o r to every
Monday), o r they may be more appreciable though not quiteeasy to specify ( d o i i
automobilom --arrive by car o r arrive in a car).
T h e presence of correspondent formal elements in texts which express
equivalent messages is a matter of likelihood, not certainty. In seeking to
communicate, in the target-language communicative situation, a message
equivalent to the o n e received in the source language, the translator - as noted
earlier - has at his disposal a different potential set of linguistic devices than that
used f o r the coding of the message in the source language. 'Therefore. in a given
translated text, some linguistic units of the source text will have n o formal
correspondents, while the formal correspondents of others will inevitably carry
somewhat different meanings. (This is due to the fact that languages are
differently equipped to express different real-world relations. and they certainly
d o not express all aspects of meaning with equal ease.) When the English
translation of the Serbo-Croatian sentence Podjitno liftotn ("Let's go by lift") is
FORMAL CORRESPONDENCE VS. EQUIVALENCE 57

f o u n d to he Let's take the lift. then the search for the English correspondent of
the Serbo-Croatian i n s t r ~ ~ m e n t acase
l is in vain: the message is structured
clifferently. using a verb which does not accept a means-of-tiansportation
construction. In the case of the sentence Doci ce popodnevrlim vlakom ("He'll
come by the afternoon train") translated as He'll come on the afterrloor1 train, the
preposition on focuses on an aspect of meaning not in the focus of the
Serbo-Croatian instrumental.
In view of what has just heen said, a procedure is needed that will enable the
contrastive analyst to isolate formal correspondents in translationally equivalent
texts. T h e recommended procedure is that of back-translation (Spalatin, IC)67),
which is intended to serve as a check o n the semantic content. Because of its
function. hack-translation, ~ ~ n l i ktranslation
e proper, does not deal with
messages but with formal ling~~istic elements isolated from the target text, which
are then translated hack into the source l a n g ~ ~ a gtoe give the corresponding
linguistic element of that language. Back-translation can thus he defined as
one-to-one structural replacement. This rneans that an element of forrn isolated
from the target language as a likely candidate for a formal correspondent of an
elernent in the source text is translated literally (and only once) hack into the
source language to see i f i t will yield exactly that element whose correspondent it
is thought to be. Thus the translated expression come by train back-translates as
doti ulakot?l and we know that the by-construction is a formal correspondent of
the means-of-transportation instrumental in Serbo-Croatian. But when the
translated sentence He'll cotne or1 the afternoorl train is hack-translated into
Serbo-Croatian, we get Doc'i c'e na popodrlevnom vlaku. which is ~ ~ n d e r s t o obyd
native speakers. correctly. as having an element of meaning that Doc'i cc
popotinrvr~im ulmkot~does not have. hut which they can hardly accept as a
grammatical sentence of Serbo-Croatian. l h e lack of grammaticalness does not
rnatter since we are dealing with s t r u c t ~ ~ rreplacement,
al not translation in the
ordinary sense. What does matter is that the meaning is not q ~ ~ i the t e same,
because in expressing this particular message English reveals an aspect of the
real world which Serbo-Croatian does not.
Is the contrastive analyst to conclude from this that the on-construction is not
to he accepted as the formal correspondent of the means-of-transportation
instrumental (that is. that the establishment of translation equivalence has
necessitated structural changes between the source and target texts involving the
disappearance o f any formal trace of the source-text instrumental)'? The answer
to this question would have been positive if the translator had been free to use
the by-construction but had for some reason failed to use it. But when, as in this
case, the translator could not very well have used it and at the same time ensure
the translational equivalence of messages (because the by-construction would
have been less natural than the instrumental case was in the original and
equivalence would have suffered), the formal element which he did use is
accepted as a correspondent. 'The shift in meaning which it brings ahout and the
exact conditions of its use are precisely what contrastive analysis should
elucidate. A sufficiently large corpus of translationally equivalent texts will
58 VLADIMIR lVlR

supply further examples of formal correspondence to make generalizat~ons


possible. In the case of the means-of-transportation instrumental, for instance,
one will find doti automobilom translated as arrive by car but doti ulastitim
automobilom as arrive in one's own car and doii automobilima as arrive in cars,
which seems to indicate that no restrictions are placed on the use of the
Serho-Croatian means-of-transportation instrumental, while the English
by-construction is largely restricted to unmodified nouns of this class in the
singular. Moreover, the class of nouns admitted in this construction is broader in
Serbo-Croatian than in English, as illustrated by examples l ~ k ethe following:
putovati prvim razredotn - * travel by first class.

3
The preceding section has shown how translation eqilivalence enables the
analyst to isolate formal correspondents which are then contrastively ;inalyzed.
An indication of the actual contrastive procedure has also been given, hut its full
description is outside the scope of the present paper. What remains to be shown
now is how contrastive correspondents (and the results of contrastive analysis)
are used in translation.
It was said above. i n the first section, that the process of translation is
characterized by repeated recursions to the extralinguistic content of messages.
However, the process of translation is also a linguistic process and a strict
separation of message and expression is not possible. For that reason. a graphic
representation of the process of translation would look as follows:

e l t r a l i n g u ~ s t ~message
c

w u r c e text
- - - - - - - -
+ - - - - - -
formal correspondence
- -
- target text

The contrastive pair of formal correspondence links forms the base of the
triangle of communication hy translation and serves as a hasis for the
establishment of translation equivalence. The translator begins his search for
translation equivalence from formal correspondence, and i t is only when the
identical-meaning formal correspondent is either not available or not able to
ensure equivalence that he resorts to formal correspondents with not-quite-
identical meanings or to structural and semantic shifts which destroy formal
correspondence altogether. But even in the latter case he makes use of formal
correspondence as a check on meaning -to know what he is doing. so tospeak.
FORMAL CORRESPONDENCE VS. EQUIVALENCE 50

A realistic theory of translation will have to account for the cornmunicative


and for the linguistic (in the narrow sense) aspectsof the translator's work. The
linguistic aspects are contrastive in nature. Ecluivalence appears as a product of
the contrasting of testually realized formal correspondents in the source a n d the
target 1;lnguage and the communicative realization of the extralinguisticcontent
of the original sender's message In the target language. Both components are
present in ihe process of translation and together ensure dynamic eq~livalence
which a v o ~ d both
s literalness and paraphrase.

ROILIN(;FK D.. IOhh "Transforinul;~tiori:Structural 'I'ranslation." Acltr l,rr1gu1sricc1Hufrlirris1cr IX,


130.- 144.
C \ I F O K DJ ( ' . IVhS A Li~rguisric-Theory of Trunslario~i(Oxford 1JP)
F~~.ir>o\.lc.. R.. 1071. "The Yugoslav Serbo-Croatian English Project," in: (;. Nickel, ed.. Picper.\ rn
-

('on~rus!l~:eI,lnguisric.\ (Cambridge UP). 10 1-1 14.


I V I I ( . V., 1VOO. "Contrast~ng Translation: Fornral <'orrespondence vs. 1'r;rnslation Eclu~valence."
Yugo.slau Serbo-Cioc~riitn- Fnglish C70n!rctsrrve Projecr, Sludies 1 . 13-25.
1070 "Remark5 I>n Contrastive Analysis and l'ranslat~on." Ytrgosla~.Serho-('rocr~iu~i- English
(hnrru.\rrve Prolecr. Srudles 7. I&2(i.
J A K O R S ~ N R . 1450. " O n L.inguistic Aspccts of ~l'r;rnslat~on.''in: R A . Rrowcr. ed.. 0 1 1 lrurisl~rt~orr
(<'aml>ridge.Mass.: Harvard UP). 232-23).
KKZFSZOWSKI. T.P. 1071. "Eclui\alcnce. Congruence and Deep S t r ~ ~ c t u r e ,in:" (; N~ckel.ed..
I'c~persI ~ (i)r~trcrsliue
I Lir1guis1ic.s(Cambridge UP). 37-48.
1972 "K~mtrast~ve (;eneralive C;rammat~k,"in: Ci. Nickel. cd.. Rec1~1erzurkonrrcr.sri~rn l,~rigu~.s!ik

(ilthenriuin F~scherVcrlag: Frankfurt), 7-84.

?~I,ZKTOY. W . lUhX "Equ~valcnccand ('ongruence In rransforni:~tional('ontrastive Stud~e\..'S~uclic~


Anghc-u Posnirri~ens~u 1. 53-62.
N1n.4 E.t'\.. IOhO. "Scicnce of franslation," Lurrguugr 45, 483-4VS.
1977 "The Nature of 13ynainlc Eqr~~valcnce in Translating." Buhel XXIII. 00-103.
KAAIIE. F1.. !077. " Z ~ I I IVcrhjiltiiis
I
vori kontrtlstivcr C;r;rmmar~k~rridUl>er\etrung." in: C;. Nickel.
ed . Reudrr zrrr kontrclsr~oc~n Linguisrlk

(Atheniium Fischer Verlag: Frtlrikfurt). 50-74
SPA^..^ r 14.I-.. 1967. "('onlrast~veklethods," Srudiu Koriiunicu pr Anglrcu Zugruhicrisia 73. 2')-J5
S I IPINFK. ( ~ .i 1075 .-\ftcr Bubel: A s ~ ~ J cof! .I.unguu,qe
~ clnd Iiurrs~ol~orr
((>\ford UP).
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Formal Correspondence vs. Translation Equivalence Revisited
Vladimir Ivir
Poetics Today, Vol. 2, No. 4, Translation Theory and Intercultural Relations. (Summer - Autumn,
1981), pp. 51-59.
Stable URL:
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References

Science of Translation
Eugene A. Nida
Language, Vol. 45, No. 3. (Sep., 1969), pp. 483-498.
Stable URL:
http://links.jstor.org/sici?sici=0097-8507%28196909%2945%3A3%3C483%3ASOT%3E2.0.CO%3B2-H

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