15.1 Introduction
All activity, including language learning, occurs in some kind of context, whether it is acknowledged or not in research. Language is situated behavior: It happens between and among people, at a given time and space, and with certain goals and effects. Language learning, teaching, and assessment, which are subfields of applied linguistics, are particularly sensitive to contextual factors that affect society in a broad sense. The very labels and terminology that are employed in applied linguistics to refer to first/native (L1), second (L2), and heritage (HL) languages reflect the important role of context. The learning of an L1Footnote 1 does not happen without a rich context that provides input and feedback to the baby. Children learn their L1 from their primary caregivers in a familial, informal setting and, only later, expand their knowledge in more formal and public settings through instruction in an institutional context. An L2 learner typically learns the target language in a formal setting after the L1 and can also be exposed to it in informal settings at a later stage, such as during a study abroad experience. The learning of an L2 in institutional settings is also shaped by contextual factors, such as historical events and social trends, theories, policies, ideas that are current at a given time, and the characteristics of the individuals involved. Last, an HL speaker learns the HL in a familial setting, as in the case of an L1, but without the opportunity to expand their knowledge in more formal and public settings until they are older, and only in some cases (see also Reference ValdésValdés 2005). The learning of an HL, like the L1 and L2, is also shaped by educational and societal contexts, and how people use the heritage and dominant languages in their lives. However, the HL represents special contextual circumstances, for which we have included it here. This chapter will discuss all three types of language learning, teaching, and assessment in relation to context in the following sections.
15.2 The Contexts of L1 Learning, Teaching, and Assessment
The learning, teaching, and assessment of the L1, regardless of whether it is acquired at home or in school, is a crucial factor in human development, in all capacities (i.e., emotional, cognitive, social, linguistic, etc.). In this section, we begin by discussing internal factors that affect L1 development and how language is learned naturally at home, to then address L1 teaching and assessment in formal educational contexts.
In learning an L1, before birth, the developing fetus can hear language through the walls of the mother’s womb, a context devoid of much external linguistic stimuli except for sound. However, the affordance of hearing the mother’s voice and perhaps those around her as she interacts with them starts the child on a journey to learning acoustic features of the mother’s language: phonemes, intonation, pitch, etc. (Reference Partanen, Kujala, Näätänen, Liitola, Sambeth and HuotilainenPartanen et al. 2013). When the baby is born, they begin to receive rich input from the context around them through all their senses (hearing, smell, touch, taste, and even sight), which, coupled with their innate disposition to learn languages, accelerate the language learning process. Absent this context, the baby will fail to learn the language, as documented cases have indicated (e.g., the case of Genie, in Reference Curtiss, Fromkin, Krashen, Rigler and RiglerCurtiss et al. 1974). One need only look at examples of language-deprived children, which represent severe cases of child abuse, in which the child is usually deprived of linguistic input by strict confinement to a small space, with little to no social interaction. These examples show that context and language learning are inseparable, since due to this type of deprivation, the child cannot fully acquire the language.
The L1 learning process in context continues throughout childhood.Footnote 2 When the child reaches puberty, an age at which the brain loses its plasticity and the child typically undergoes changes that affect their social and personal life, L1 learning does not stop. However, linguistic information is then learned and stored in the brain differently.Footnote 3 From these facts, we know that language learning is not completely dependent on the world external to the individual, but that the internal processes of the brain, the development of the vocal apparatus, and emotional and social growth of the individual, all play a part in interaction with external context. In addition, when considering L1 learning, we must distinguish between formal and informal contexts. On the one hand, in an informal context, the language is learned at home, through interaction with caregivers and family members, where certain functions are regularly expressed in daily living, and language use is limited to intimate and familiar registers. On the other hand, in a formal context, the language is learned at school, where it is used in an institutional setting through writing and the use of additional registers. The latter type of language extends the child’s linguistic domains and registers beyond the intimate and familiar registers, the here and now, to enable them to deal with complexities and abstractions and with the vocabulary and grammar of the institutional and formal domains. This expansion is important to allow broader modes of expression and understanding, to lead into adulthood. However, as we discuss in the next section, for students of a higher socioeconomic status, the difference between home and school language is not as great as it is for students from a lower socioeconomic status or those who belong to a minority group, who may use a distinct and often stigmatized variety of the L1 at home.
15.2.1 Societal Factors in L1 Teaching and Assessment
Here, we discuss L1 teaching and learning in formal settings, while considering societal factors related to how language is taught and assessed. Although language instructors may be somewhat free to construct their own curricula, at least in part, they are still largely bound to follow the policies and guidelines set by their supervisors and institutions. Moreover, they also must adhere to the policies, guidelines, and trends set by a commission or department at local, regional, and national levels, which will affect the presentation and evaluation of the material for the students, for both L1 and L2 contexts.
Societal trends influence the formation of policies that determine the way languages are taught. As one example for the teaching of L1 in public schools, each state in the United States used to have its own standards for proficiency that set goals for the curricula. But by 2012, a statement of Common Core State StandardsFootnote 4 for English language arts/literacy and mathematics was established for the entire country to follow, built on existing state standards with input from teachers, education experts and their research, and feedback from parents and the public in general. The standards set expectations for two general categories of language education: (a) kindergarten to the end of high school, and (b) college and career readiness. Thus, the belief in a collective effort instead of individual standards established a set of targeted common goals and expectations for language teaching and assessment for the country.
On the other hand, the goals themselves have been questioned lately regarding whose language standards should be used, especially in the context of the current heightened tensions in the United States regarding race. While the examples we discuss are from the US context, they are comparable with other countries where racialized practices and discourses are still pervasive in education (Reference Rosa and FloresRosa and Flores 2017). To be sure, racial issues in education have been raised before, for example, in the efforts to legitimize Ebonics or the belief that American Black English should be regarded as a language of its own instead of a dialect of English (e.g., Reference BaughBaugh 2000). Even today, the ways in which a language is taught within the school system present challenges, as language policies set by school districts and institutions have been shown to promote the learning and use of certain prestigious varieties of the dominant language over others, thus perpetuating social inequalities and the racialization of minority groups (Reference RosaRosa 2019). Language policies are a key contextual factor that affects how L1s are learned in school and include
activities that influence the structure, function, use, or acquisition of language, are intentional and unintentional, overt and covert, de jure and de facto; and are engaged in by agents across multiple levels of language policy creation, interpretation, and appropriation, from the macro-levels of national planning and policy to the micro-level of language use.
These activities encompass not only actions, but also the underlying beliefs of a community that lead to those actions (Reference SpolskySpolsky 2004). In the context of the United States, like other countries with a multilingual and multicultural population, the implementation of policies that conceptualize L1 learning as the mastery of an ill-defined “academic” language modeled on monolingual English (Reference MacSwanMcSwan 2018) affects minority and bilingual learners who are also learning English in school. As we discuss in Section 15.4, an example of how this view of L1 learning negatively affects bilingual learners who enter the school system can be observed in the case of HL speakers. These learners grew up learning their HL at home while being exposed to the dominant language (in the United States, English) in the broader society. When they start school in the majority language, they are often categorized as “English Language Learners” (ELL) for their inability to engage in monolingual language practices (e.g., the use of “academic monolingual English”) or simply because they speak a language other than English (regardless of their English proficiency) and thus are assigned to take remedial courses.
The emphasis on academic language in the United State was underscored with the promulgation of the No Child Left Behind law in 2001 that further strengthened the monolingual paradigm in language policy and contributed to widening the literacy gap (Reference Wiley and RolstadWiley and Rolstad 2014), rather than narrowing it. These language policies for education affect not only what is taught, but also what is assessed and how. As an example, ELLs face numerous difficulties when trying to place out of remedial courses (Reference Lillie, Markos, Arias and WileyLillie et al. 2012; Reference SlamaSlama 2012) because the language tests to assess their progress are also based on a monolingual academic language.
Language policies, including goals and standardized curricula and assessment, and the informal context of use of a given language, influence which L1 is learned and, in the case of formal learning contexts, how it is taught and assessed, creating issues yet to be resolved. In the next section, we discuss the multiple ways in which context affects L2 learning, teaching, and assessment, highlighting the societal factors that have shaped the field.
15.3 The Contexts of L2 Learning, Teaching, and Assessment
A child can learn two or more languages simultaneously or sequentially, one after the other. Many societies promote bilingualism, and sometimes multilingualism, to enhance intercultural communication and preserve other languages, such as indigenous languages, to some extent. Here we examine the historical and societal events that, throughout the years, informed L2 teaching and learning and L2 assessment in the context of formal education; that is, in institutional settings, such as the classroom, with defined, predetermined goals.
15.3.1 Historical and Societal Contexts of L2 Teaching and Learning
The history of L2 teaching and learning approaches and methods is often linked to societal events and scholarly works of broad impact: The popularity of different teaching methods reflects contextual trends of the times while also responding to the limitations of preceding ones. It should be noted, however, that although each new teaching method or approach reacted against some of the principles of prior methods, they still incorporated some elements of previous ones. Here, we review some of the major trends in L2 teaching that characterize the last 100 years as we establish connections among them and with societal and scholarly trends. We also consider the ways in which the view of L2 and L2 learning has changed, specifically regarding the way in which context has figured into the conceptualization of what a language is, as reflected in teaching and assessment practices.
Since medieval times in the Western world, the formal teaching of Latin and ancient Greek motivated the application of the Grammar Translation Method (GTM) to the teaching of other L2s. The GTM was employed to teach these classical languages and their grammars so that clerics could learn to read religious and classical texts; thus, when other languages began to be taught in school, the same method was applied. Classes were conducted in the students’ L1 and learning activities included the memorization of declensions and conjugations, grammatical rules that were presented deductively (i.e., explained by the teacher, memorized, and then applied to complete other activities), vocabulary lists, and translations of sentences from one language to the other. No attention was devoted to speaking and listening skills, as the main goal (that is, what learning an L2 meant at the time) was to be able to read literature in the target language and translate a text from the source language into the target language, or vice versa.
The rise of natural methods in L2 teaching, including the Direct MethodFootnote 5 (DM) during the early 1900s, was linked to studies of L1 development in children, which in turn led scholars to claim the superiority of the spoken language over its written form and to argue for an orally delivered teaching method for L2s. This method prioritized speaking but also promoted a focus on everyday vocabulary and an exclusive use of the target language in class. Typical class activities included highly scripted dialogues that moved beyond the focus on single sentences, seen in the GTM. This method was very popular in Europe until the 1920s, but not as much in the United States, where a focus on reading was preferred (Reference ColemanColeman 1929).
The increased mobility and ease of communication among people in the mid-nineteenth century led to more travel to other countries and an interest in speaking other languages, thus paving the way to further developments in L2 teaching. World War II also had a large impact that favored the Audio-Lingual Method (ALM), in answer to a need for military personnel to acquire a native-like pronunciation in the target L2. The ALM was strongly influenced by structuralism, a movement that conceived of language learning as the learning of the structural properties of a given language, and by the behaviorist theory of learning that emphasized the formation of habits through repetition and practice, thus distancing itself from the previous focus on grammar and translation in the GTM.
The rise of the Cognitive Code (CC) approach in the 1960s was a response to Chomsky’s Transformational Generative Grammar model and a growing attention to the brain and psycholinguistic processes in language learning, while also reacting against behaviorist trends (e.g., habit formation and repetition in the ALM) that were popular at the time. Reference ChomskyChomsky (1959) emphasized that language derives from an innate capacity of the human mind and is rule-governed, rather than based on the formation of habits. Under the CC approach, language learners were encouraged to work out grammar rules for themselves, following an inductive learning process (as opposed to a deductive approach followed under the GTM).
While during most of the past century L2 pedagogy was dominated by cognitive views of language, understood as a structured, mental system, the last four decades beginning in the 1980s saw increased attention to social views of language as a semiotic and social communication system. This change of orientation first became evident with the rise of the Communicative Approach (CA) to language teaching, possibly the most influential one of the last century. This approach was based on Krashen’s and Terrell’s work on the Natural Approach, which prioritized vocabulary learning in a naturalistic language acquisition process (Reference Krashen and TerrellKrashen and Terrell 1983), derived from Krashen’s Monitor Model. This approach emerged as a criticism of the ALM in the United States, and in response to Chomsky’s “competence” and “performance” notions. That is, while Chomsky viewed knowing a language as competence, thus abstracted from its context of use, the CA focused on language learning that emphasized linguistic performance, or the actual use of language in a given communicative context. For the first time, language teaching put principles and concepts of sociolinguistics and pragmatics at the forefront, while syntax and phonology (the teaching of grammar and pronunciation) became relegated to a secondary role. In contrast to previous methods and approaches, the CA is an umbrella term that encompasses different sub-approaches and methods that have evolved through the years. Common to all is the idea that the goal of language teaching should be language use, so classroom activities try to expose learners to authentic materials and input as a means to prepare them for using the L2 in real life.
The notional-functional and pragmatic approach that took hold in the 1970s and 1980s (Reference Trim, Richterich, van Ek and WilkinsTrim et al. 1973) focused on language functions and the realization of speech acts to accomplish concrete actions (e.g., in order to take a trip, one must be able to ask for information, express their needs, complain, etc.). This early CA approach was influenced by research in the linguistic field of pragmatics and the works of Reference AustinAustin (1962) and Reference SearleSearle (1969) on speech acts. It was promoted in Europe as scholars and language experts recognized the need for a common frame of reference for L2 teaching that could promote cooperation and mobility among Europeans. This project is the basis for the development of the standards found in the Threshold Level (Reference van Ek and AlexanderVan Ek and Alexander 1980) and its later development into the Common European Framework of Reference (CEFR; Council of Europe 2001, 2020).
The 1980s gave way to the Intercultural Approach (IA, Reference ByramByram 1997, Reference Byram2021), influenced by research in sociolinguistics as well as social anthropology and ethnography, and promoted within the context of the European Union project to foster communication among people from different countries. The IA is based on a view of language as a way to communicate with people who live in a different country, speak a different language, and belong to a different culture. This approach saw an increased interest toward the communicative needs of a group within a given sociocultural context, which translated in the L2 classroom as a focus on the cognitive, affective, and interactional dimensions of communication (see Reference DeardorffDeardorff 2006, Reference Deardorff2009).
The 1990s were dominated by Task-Based Instruction (TBI) or Task-Based Language Teaching (TBLT) (Reference Liddicoat and ScarinoLiddicoat and Scarino 2013; Reference LongLong 2016), still popular today (see Reference NorrisNorris 2021), which emphasized the use of language to accomplish tasks in real life, and the integration of linguistic, cultural, and strategic content in the L2 classroom through a sequence of pedagogical tasks. TBLT originated in the work of Reference PrabhuPrabhu (1987) with the Bangalore Project, which challenged the idea that L2 learning should be based on direct instruction as in the ALM and aimed at meeting students’ expectations of an authentic, real-life learning experience. The international success of this approach was also supported by research in discourse analysis, which considered communication as the interpretation of meaning based on text but also the interlocutor’s prior knowledge of the world and the context in which communication takes place.
The turn of the century saw two more variations of the CA that emerged in part from an increased focus on the psychology of language learning: the Competence-Based Language Teaching (CBLT) approach and the Strategic Approach (SA). CBLT was influenced by behaviorism and was initially employed to teach survival language skills to immigrants. Following this approach, L2 learners were taught the necessary skills to be able to use the language in real-life situations (see Reference Pérez-CañadoPérez-Cañado 2013, for CBLT in higher education). SA was based on the work of Oxford and colleagues (Reference OxfordOxford 1991; Reference Chamot, Barnhardt, El-Dinary and RobbinsChamot et al. 1999) and the concept of strategic competence as a component of communicative competence (Reference Canale and SwainCanale and Swain 1980). It was influenced by studies on individual variation in L2 acquisition. This approach emphasized teaching not only how to use the L2 in context, but also the resources that learners need to learn the language and communicate in a variety of situations.
The latest iteration of the CA is the Sociocultural Approach (SCA), informed by the work of Reference VygotskyVygotsky (1978), who believed that all learning (not just L2 learning) depends on interaction with other people. Reference Frawley and LantolfFrawley and Lantolf (1985) were among the first to apply Vygotsky’s work to L2 teaching, promoting a shift toward a more social and interactional view of L2 learning (but also note Reference Hatch and HatchHatch’s [1978] earlier work proposing a discourse approach to L2 learning). One example of how the SCA translated into the classroom is the Presentation, Attention, Co-construction, and Extension (PACE) model (Reference Donato, Adair-Hauck, Shrum and GlisanDonato and Adair-Hauck 2016), which stressed the role of conceptual thinking, interaction, and dynamic assessment for L2 teaching.
Finally, in the last few years there has been a rise in popularity and scholarly interest in a new proposal (not limited to, nor initially developed for L2 teaching) that stems from the work of the New London Group (NLG 1996). The NLG’s pedagogy for multiliteracies considers teaching and educating as political acts (i.e., in the case of L2 learning, the variety of a language that instructors or institutions decide to teach, the texts and authors they use, the cultural perspectives they offer, etc.), and is grounded in critical pedagogy to foster social change through principles of representation, access, and equity (Reference FreireFreire 1970). In this view, texts are the key elements through which teaching and learning take place in a process of textual thinking that considers genres, agents, audience, as well as the sociohistorical context in which those texts were produced, the perspectives they offer, and the ideologies they reflect, among other elements. This model was brought about, in part, by the ubiquity of technology in the modern world and the increasing technological gap between generations and groups of people from different socioeconomic backgrounds. This focus on technology-mediated communication and language use also caused a more conscious effort to work with multimodal texts in L2 teaching, since the focus is gradually shifting from a linguocentric approach (Reference Erickson, LeVine and ScollonErickson 2004) that prioritized verbal language, like nearly all previous L2 teaching approaches and methods, to multimodal communication; thus, including gestures, images, and other semiotic resources that people can mobilize to communicate.
As shown through this brief historical overview, the role of context in relation to L2 teaching developments can be seen as twofold, attending to external or internal context with respect to the language classroom and approaches to learning. On the one hand, each language teaching approach or method was influenced by larger societal events, research trends, and prior approaches and methods, in a dynamic and nonlinear progression.Footnote 6 On the other hand, the ways in which language was conceptualized within each approach also evolved in a more linear fashion, beginning with more decontextualized views that prioritized work with single sentences or even words, and did not consider where, by whom, or why those sentences would be used. Not until multimodal and socially situated approaches to L2 learning arose, in which language and context are treated as inseparable and context is understood broadly, did we see approaches that encompassed political, social, and historical uses of the language. The field of L2 teaching and learning gradually moved from a linguocentric approach aimed at studying forms and did not consider the context beyond the sentence level (e.g., in the GTM), to approaches that place the sociocultural context of language use at the forefront (e.g., in the SCA) and consider the multiple modalities and multiliteracies people employ to communicate (see Reference YoungYoung 2009, for a discussion on contexts of learning). This shift affected assessment as well, as the field gradually moved from emphasizing accuracy (as in the GTM) to acknowledging and assessing students’ engagement with the community (community-based service courses), and the ability to reflect critically and draw connections and comparisons across cultures (sociocultural approach, critical pedagogy).
15.3.2 L2 Assessment and Context
As described in the previous section, L2 assessment methods and instruments developed concurrently with the emergence of various L2 teaching approaches and the role of context in the conceptualization of what constitutes language in the L2 classroom. Regarding assessment in the GTM, for example, greater emphasis was placed on accuracy while other important contextual aspects, such as who the speaker/writer and the intended audience are, when the sentence was produced and for what purpose, etc., were not considered. Methods and approaches that emphasized communication, such as the CA discussed earlier, introduced the use of question-answer-elaboration oral interactions in the target language and, with them, a broader vision of language that emphasized its use in real-life situations. Thus, assessment could incorporate elements of the real world, such as objects and artifacts that learners could refer to and manipulate, and opportunities were created for learners to express their own thoughts through the target language. With the Natural Method, the emphasis shifted from grammar and writing to speaking, but still with relatively little consideration of the communicative context in which language is used.
With the ALM, students’ mastery of the L2 was assessed on the basis of their ability to reproduce sentences following a model provided by the instructor or to respond in the target language based on the input received. As these sentences occurred in artificial dialogues, little consideration was paid to contextual factors such as audience or media, since the emphasis was still placed on form and not meaning. The rise of the Cognitive Code approach shifted the focus of instruction once again toward the mastery of grammar rules and metalinguistic knowledge, leaving no room for learners to focus on the communicative context in which language is used, since Chomsky’s linguistic theory on which it was based was not concerned with linguistic performance but rather linguistic competence. Assessment once again focused on learners’ ability to transform sentences or short texts – for example, from one tense to another – in order to demonstrate their mastery of a given grammatical element. While sentences were often presented within short texts and thus their use was indeed contextualized in a given communicative situation, the communicative context was typically not relevant for the tasks learners were required to perform.
With the CA model, assessments changed drastically as the communicative context in which language was used became key and, at times, even more important than accuracy. In fact, the CA was later criticized for not fostering the development of real-life communicative skills (Reference KumaravadiveluKumaravadivelu 2006b), not accounting for and so unable to fit different cultural contexts (e.g., Reference KumaravadiveluKumaravadivelu 2006b; Reference LittlewoodLittlewood 2007), as well as for teaching skills and concepts that are actually unnecessary because they could be transferred from the L1 (e.g., Reference SwanSwan 1985a, Reference Swan1985b). Students were no longer required simply to produce grammatically accurate sentences in the target language, but rather intelligible utterances that were appropriate in a given situation (i.e., considering the audience and their communicative purpose). Assessments also featured a prominent oral communication component in the form of role-plays and interviews, and L2 teachers employed more holistic rubrics to assess a wider set of features not limited to (and sometimes not including) grammatical accuracy. With the CA, for example, L2 learners could be required to produce extensive portfolios documenting their communicative abilities in the target language across skills, texts, audiences, and media.
The last major change surfaced only recently with a pedagogy for multiliteracies, as teachers and learners were asked to pay attention not only to the immediate communicative context in which the language is used (which, within the CA, was sometimes socially de-contextualized and limited to a set of practical communicative situations), but also to sociocultural and political factors that affect language use, such as the coexistence of Spanish and English in the United States and the ways in which language is used in the public space to define the identity of a neighborhood or community. Working with texts as the main units of meaning (as opposed to sentences in the GTM or question-answer dialogues in the DM) also reflects the way learners are assessed. A sample instrument is seen in Integrated Performance Assessments (IPAs), which are holistic instruments that integrate principles of dynamic assessment (Reference Adair‐Hauck, Glisan, Koda, Swender and SandrockAdair-Hauck et al. 2006) and emphasize the teaching and formative value of assessment. IPAs are employed not only to determine whether students have met the requirements of a course or unit, but also to help them move forward in their learning in a dialogic and reflective process together with the instructor and other students. IPAs include cultural comparisons and reflections on the inferential meaning of utterances, among other elements. Another example is the development of digital storytelling projects, in which learners can rely on a variety of modes and media to create meaning in the target language.
As a review of the main points discussed in Section 15.3, Table 15.1 summarizes the main societal events or trends (column 1) that led to the development of a given method or approach for L2 teaching (column 2), together with sample assessment instruments and foci (column 3), and a brief summary of the role of context in language teaching, learning and assessment (column 4), such as the use of decontextualized written sentences, scripted dialogues, etc. Table 15.1, thus, can be seen horizontally, from the societal context and events to the development of a certain method or approach and their characteristics, or vertically, to show how each category (societal context, SLA methods and approaches, etc.) changed over time.
Table 15.1 Historical overview of the relationship between context and L2 learning
Up to this point in this chapter, we have reviewed L1 and L2 learning, teaching, and assessment in contexts of informal and formal instruction from a historical perspective, showing how approaches and practices have changed over the years along with societal and historical developments. We now present in Section 15.4 a unique example of how context has shaped language learning, teaching, and assessment in a very different way, which is the case of heritage language learners.
15.4 The Contexts of Heritage Language Maintenance and Assessment
To illustrate another example of how context shapes language teaching, learning, and assessment, we introduce the case of HL learners, which was briefly mentioned in Section 15.2 as an example of how linguistic policies shape the teaching and learning of English in the school system. In broad terms, an HL is a minority language that is learned and spoken mostly in the familial context and coexists with a majority language used for schooling and in other public contexts. It is important to consider that the learning of an HL generally occurs before puberty, when the child has not yet reached what many consider to be the “critical period” of language learning, discussed earlier. In the case of HL speakers of Spanish in the United States, for example, Spanish is the minority language learned at home and usually it is not employed in as many contexts as the majority language, English, which HL speakers learn at school and use when speaking and writing in public spaces in the larger society. Owing to this division of functions of the two languages, and what the HL speakers themselves may perceive as linguistic inadequacies, they may suffer from anxieties and feelings of insecurity when using their HL with Spanish native speakers and even L2 learners of the same language, because their language practices are criticized by native speakers or because they are intimidated by the metalinguistic knowledge of L2 learners (Reference Lynch and PotowskiLynch 2018).
The different definitions of an HL and HL speakers that are used today (e.g., Reference Silva-CorvalánSilva-Corvalán 1996; Reference Fishman, Peyton, Ranard and McGinnisFishman 2001; Reference Peyton, Ranard and McGinnisPeyton et al. 2001; Reference Valdés, Peyton, Ranard and McGinnisValdés 2001; Reference Extra and YagmurExtra and Yagmur 2002; Reference Van Deusen-SchollVan Deusen-Scholl 2003; Reference Duff, Brinton, Kagan and BauckusDuff 2008) attempt to capture the complex dynamics and the social and political contexts that characterize HLs and their speakers. While some of these definitions focus on the linguistic abilities of HL speakers and their bilingual status (the so-called “narrow” definitions), others emphasize the personal connection of the individual with the heritage culture or ethnic group and thus include those HL speakers with limited or no practical knowledge of the language (receptive learners or speakers, emergent bilinguals). In the United States, which is the context with which we the authors are most familiar, Spanish is one of the most important HLs due to the large numbers of Latinos/asFootnote 7 in the country and the growing populations of HL learners in the public school system. Spanish heritage learners (SHL) form an important, expanding constituency and the issue of context is a critical factor in their language maintenance. The contexts that form the backdrop of this learner population are discussed in the next section.
15.4.1 Historical, Political, and Societal Contexts of Spanish as a Heritage Language in the United States
The Latino/a population in the United States is diverse, and the historical, political, and societal contexts of its people are equally as diverse. Some of the Latino/a communities spread across the country are rooted as indigenous societies (e.g., in the Southwest, discussed below), while most arrived and continue to come as immigrants from various Latin American countries. Most of the immigrant population in the United States over the last thirty years originate in Spanish-speaking countries (e.g., Mexico, Venezuela, Cuba, El Salvador, and the Dominican Republic), but this can vary greatly depending on the particular US region and the specific year. For example, in the Greater Washington area (District of Columbia, Maryland, and Virginia), a majority of Caribbean and Central Americans families can be found who emigrated from Central America in the 1980s and from the Caribbean in the 1950–1960s. On the other hand, in the southern US border area there has been marked immigration from Central American countries in 2021, mainly due to the factors of political, criminal, and economic strife, conflict, and violence that make life unbearable in their home countries.
To understand the relevance and the goals of HL teaching, we now look at the background of one specific example: the Southwestern US region. Much of this area was first claimed by Mexico as part of its territory, independent from Spain, in 1810. However, in 1848, Mexico ceded much of the land via the Treaty of Guadalupe Hidalgo after the Mexican-American war to the United States. What are now Texas and California were annexed around that time as well, and the people who lived in this vast part of the country were largely Spanish-speaking Latinos/as (along with some indigenous peoples as well) (Reference Silva-CorvalánSilva-Corvalán 2001). White settlers soon came to occupy these lands, and colonization began and continued at a rapid pace, often resulting in discrimination and injustices against the Latinos/as. This treatment continued in many areas into modern times until, during the 1960s and 1970s, existing issues of racial discrimination against people of color (i.e., all non-White people) finally surfaced in an expression of anger and rebellion against this treatment and the decades of inequalities of all forms; that is, economic, social, and educational disparities and blatant segregation. Many people of color organized themselves into groups and movements. Among the Latino/a communities, we find, for example, La Raza Unida party, the Chicano Power movement, and the Mexican American Legal Defense and Education Fund (MALDEF), all of which demanded sweeping societal changes (e.g., Reference Martínez and TrainMartínez and Train 2020).
It is against this backdrop of social and political upheaval that the push to rectify discrimination and segregation against Latinos/as in the Southwest, such as in the public school system, was born. Reference García and CastroGarcía and Castro (2011; as reported in Reference Martínez and TrainMartínez and Train 2020: 121–123) describe past efforts in this region to change the general high school curricula so that Latino/a students were no longer directed into mainly vocational tracks, to become blue collar workers, but instead were also prepared for higher education possibilities. With the hiring of more Latino/a teachers as well, the curriculum gradually changed to reflect more closely their needs and interests, consider their attitudes and experiences, and become aware of their lived experiences (Reference Martínez and TrainMartínez and Train 2020). These contexts can shed light on why many SHL in the Southwest may suffer from anxiety and insecurity, especially when confronting situations in which native Spanish speakers from outside their community may use a more prestigious, monolingual variety of Spanish, even though they may not explicitly criticize their language. And these demands for change by the Latinos/as may clarify a crucial difference between the SHL in the American Southwest as opposed to those in other parts of the country, or in other places such as Europe, where the historical context of heritage speakers has been different, usually driven by immigration alone. Efforts made to establish educational programs addressing issues facing the SHL population are described in the next section.
15.4.2 Spanish as a Heritage Language in Instructional Contexts in the United States
Here we describe the instructional contexts that have been created to foster the maintenance and expansion of SHL in the United States. The background factors and developments described in Section 15.4.1 form the backdrop for schools to implement language programs that could be successful in teaching SHL learners, who have different characteristics from L2 learners. Their familial ties to the language, cultures, and communities, their historical background, the decades of prejudice, segregation, and insistence on assimilation into the larger American society and learning the English language (see Section 15.2 on the monolingual paradigm), not to mention the criticism of the Spanish variety they speak, have all had a great effect on whether or not SHL speakers maintain their HL, especially as there is greater assimilation into the general English-speaking society as time goes on (e.g., Reference Zyzik, Fairclough, Beaudrie, Roca and ValdésZyzik 2016).
The Pew Research Center reported that in 2015, 13.5 percent of US Latinos/as were born in the United States, a number with important ramifications for the maintenance of Spanish (Reference Potowski, Carreira and PotowskiPotowski and Carreira 2010). That is, often as the generations move from the first to the second and so on over time, fewer Latinos/as speak Spanish at home and encourage their children to speak it, so by the third generation, the number of Latinos/as who speak Spanish is much smaller, pointing to Spanish language loss. Between 2006 and 2015, the use of Spanish was reported to have declined (Reference Krogstad and LópezKrogstad and López 2017), partly due to the societal challenges that US Latinos/as regularly face, and the fact that most of the US Latino/a population does not believe that speaking Spanish is a key part of their identity; that is, it is not necessary to speak Spanish to consider oneself Latino/a (Pew Research Center 2015). At the same time, the census numbers also indicate that the population of Latino/a students in the school system is growing, and separate linguistic needs related to Spanish must be addressed, such as placement tests, communicating with parents to foster maintenance of the home language, school counseling, types of language courses offered, teacher preparation, and measures to ensure HL learners are not placed in L2 courses by default.
Nevertheless, improvements have been made regarding Spanish language education for SHL, which are described next. Considering the contexts that shape the life of SHL speakers and their educational experiences in the United States, several recommendations for teaching SHL have been proposed, initially as a set of five core goals for HL teaching (Reference ValdésValdés 1995) and later expanded to reflect advances in the field (Reference Martínez, Fairclough and BeaudrieMartínez 2016; Reference Valdés and SandstedtValdés 2000). These recommendations, and the contextual motivations behind each one, are summarized as follows:
(a) Because the home language tends to be used orally and for the domain of the home and intimate relationships, if at all, language use for other domains (e.g., academics, work) and language skills (writing, reading) develop in English. This usage indicates a need for work in contexts of more formal genres and in the reading and writing modalities in Spanish (Reference Zyzik, Fairclough, Beaudrie, Roca and ValdésZyzik 2016; Reference Shively and PotowskiShively 2018).
(b) Owing to the linguistic insecurities and issues of identity and ideologies that many SHL face when learning their heritage language, these should be addressed in the curriculum. At the same time, the wide range of ideologies, communities, and cultural connections with Hispanic roots that are present in the SHL population need to be recognized and fostered (e.g., Reference Fairclough, Beaudrie, Fairclough and RocaFairclough 2016; Reference Showstack and PotowskiShowstack 2017).
(c) Because SHL learners’ proficiency in Spanish as a group varies greatly, their differences (strengths and weaknesses) need to be acknowledged and considered when designing a language course curriculum. Some SHL learners can speak and write in Spanish, while others display various degrees of bilingualism, with some able to understand only a few words and phrases of given speech registers as receptive bilinguals (e.g., Reference Belpoliti, Gironzetti, Muñoz-Basols, Gironzetti and LacorteBelpoliti and Gironzetti 2018).
In terms of approaches to teaching and assessment, the field of HL teaching has undergone a movement parallel to that described for L2 teaching (Reference Gironzetti and BelpolitiGironzetti and Belpoliti 2018). In its beginnings, it was characterized by a strong focus on grammatical accuracy as well as reading and writing, due to the influence of established practices in L2 pedagogy. The goal was to focus on linguistic information with which HL learners are usually unfamiliar, such as conventions of Spanish orthography, given their experiences with the oral and aural modalities. More recently, scholarly work and pedagogical efforts began to consider and give a more prominent role to affective, identity, cultural, and community-related factors and their relevance for language maintenance and expansion. HLs are valued and recognized in the classroom not only as communicative tools, but also for their ties to the family, community, and culture.
Considering this recent shift, researchers argue that an effective HL program requires several important aspects that impact teaching practices as well as assessment goals and instruments. For example, Reference Belpoliti, Gironzetti, Muñoz-Basols, Gironzetti and LacorteBelpoliti and Gironzetti (2018) propose fostering a connection with the Spanish heritage community, addressing issues of identity, understanding language ideologies (e.g., Reference Leeman, Beaudrie and FaircloughLeeman 2012), expanding knowledge of Spanish registers and dialects (e.g., Reference Fairclough, Beaudrie, Fairclough and RocaFairclough 2016), and promoting literacy and knowledge of various discourse genres (e.g., argumentative texts). However, HL programs and instructors often struggle to find a balance between a narrower, linguocentric view of SHL, and a broader, multimodal, and humanistic one. A good example that strives to integrate both views in a meaningful way is the Sabine Ulibarrí SHL program at the University of New Mexico, which is one of the largest and most enduring in the country. The introductory courses in this program prioritize learners’ identity and their affective connections with Spanish, focusing on building their confidence and recognizing the value of the language and cultures associated with it, rather than centering exclusively on language accuracy or linguistic skills. Subsequent courses introduce more linguistic- and accuracy-oriented goals toward the expansion of learners’ repertoire as well as continue to foster the development of their critical skills and an appreciation of their identity.
15.5 Future Trends and Implications
In this chapter, we have shown relationships that exist between contextual factors and events, and language learning and assessment in L1, L2, and HL learning, teaching, and assessment. We have shown that, at least in the United States, L1 (language arts) teaching and assessment policies are largely determined at local, regional, and national levels, while in the case of L2 and HL language learning, teaching, and assessment, there has been a plethora of language theories, policies, approaches, and methods that aim at teaching the language according to each institution’s program and goals. Numerous changes have occurred over time regarding which and how languages are taught and assessed.
The profile of L1 learners is changing due to globalization, increased mobility, and the ubiquity of technology. Instructors of L1 at the elementary and secondary level are now teaching a more diverse student body that comprises not only monolingual L1 speakers, but also multilingual speakers who may not share the same L1 but are, nonetheless, learning the dominant language in school. The case of HL speakers in the United States is a clear example, but this situation is also a pressing reality in other countries (e.g., on Spanish as a minority or heritage language outside of the United States, see chapters 30 to 36 in Reference PotowskiPotowski 2018). We expect this trend will not stop and will eventually shape not only the teaching practices at the classroom level, but also, in a bottom-up fashion, institutional guidelines and language teaching policies at the state level. If L1 teaching is to serve the needs of our students, then L1 policies need not be modeled after a monolingual and ill-defined academic register but rather consider the richness of the multilingual practices students bring to the classroom.
As societal trends and events and scholarly research continue to have an impact on the field, we also witness changes in how language is conceptualized. In the last decades, we have seen a gradual move toward a more humanistic, interdisciplinary, and less cognitive-focused approach to language teaching and assessment that places more emphasis on social, political, and affective factors of language use. At the same time, there is a growing interest in the different modalities and media that humans rely upon for communication, in part due to globalization and the impact of technology. From this perspective, then, language is seen as a complex dynamic system of conventions that transcend verbal language to include other semiotic resources that people mobilize to create meaning, such as facial expressions or gestures. This broader conceptualization of language is having an impact on language teaching and assessment, and current proposals such as multimodal and multiliteracies approaches stress that language learning should be fostered by all these elements.
Just as history has shaped our language teaching and assessment practices over time, we are witnessing at this moment how the use of technology has affected our teaching and assessment practices, especially with regard to languages. Owing to the COVID-19 pandemic, the need to use technological innovations to connect with learners at a distance, and to adapt our practices, materials, and syllabi to this mode of delivery, have greatly affected the field. While the pedagogical approaches to teach L2s may not necessarily have changed notably due to the use of online tools, many instructors and students faced new challenges with regard to equity and access to education, assessment, and learners’ agency. Online teaching has the potential of reaching a wider student population, including those who live in rural areas or far away from schools. At the same time, it has also brought attention to the existing technology gap, as many students still do not have reliable internet capabilities at home or access to a computer to attend online classes. Similarly, assessment instruments have had to transform to allow for online communication (e.g., storytelling projects, blogs), often assuming students and teachers already possess technology literacy instead of recognizing the need for a multiliteracies-oriented pedagogy. Finally, students’ motivation, affect, and self-regulation assume even greater importance in the success of an online language program (Reference MercerMercer 2011), as individual learners’ agency is key in a context in which instructors and students do not share a physical space or students may have to work independently more often. The fields of language teaching and assessment await new contexts in the future.
16.1 Introduction
Humor depends entirely on context; without it, humor could not exist. In order to get a joke, a wisecrack or an internet meme, we need to understand its frame of reference because both in its creation and in its reception, humor is inextricably linked to its setting. Incongruity, an essential feature of humor, consists in the inappropriateness of what we expect to be said, see, or hear in a certain situation. From the person who slips on the unseen banana skin to the clown who receives a custard pie in the face, a defeat in our expectations may spark a humorous response, so it is essential that we know what those given expectations are. This chapter will focus on spoken and written banana skins and custard pies, namely verbally expressed humor, that is to say, instances of humor that pivot mainly, although not necessarily exclusively, on humor that occurs either in speech or in writing. Although in a sense, the fact that verbally expressed humor deals with words may appear manifest, occurrences of humor in speech and writing rarely stand alone. A humorous trope, such as a joke, that is delivered orally is likely to be accompanied by significant facial expressions, body movement, gesture, and a judicious use of timing. Instances of humor in written form may occur in prose or online within an internet meme or in a text message accompanied by an emoji or a gif. The specificity of the term verbally expressed humor (VEH) allows us to select and center on the spoken and written aspects of humor even if it takes place within a wider setting. Having established this, however, as with all manifestations of language, VEH (Reference ChiaroChiaro 2005) does not occur in a void and both its making and its response will rely on a wider setting, in other words, on context.
Humor is a fuzzy concept. Although we all know what it is, it is an extremely complex notion that is everything but easy to define. Numerous philosophers and intellectuals from Ancient Greece to the present day have endeavored to define humor, so I shall certainly not attempt to do so. For the purposes of this chapter, my use of the term will rest on my favorite and somewhat jolly definition provided by linguist Wallace Chafe, namely “that feeling of non-seriousness” (2007). While I am uneasy about defining something by what it is not, rather than what it is, I would rather employ this simple definition than get involved in designations that are entangled in humor’s cognitive, psychological, and sociological underpinnings, not to mention its close connection with such disparate emotions as happiness and disgust. Furthermore, it would be easy to become ensnared by the notion of sense of humor which, for those who possess it, is considered a positive personality trait. If humor is indeed “that feeling of non-seriousness”; having a sense of humor (SOH) may well be a virtue. SOH plays an important role in the felicitous outcome of interactions involving VEH but, to complicate matters further, we can never be quite sure whether an unresponsive recipient of VEH does not have a particularly strong SOH or whether they are simply unamused. As SOH depends on a combination of both state and trait, you might certainly have a great SOH under normal circumstances but not if you have just been through a traumatic experience (for an extensive discussion of SOH, see Reference Martin and RuchMartin 1998; Reference Ruch and RuchRuch 1998). Finally, and possibly most importantly, humor involves moral proximity and/or distance between the humorous content conveyed by the speaker and received by the listener. Humor and its sister, laughter, have to do with comity, since both act as a social glue but can also be divisive depending, for example, on our closeness to a mocked target or our sensitivity to an object of ridicule. What I am getting at is that it is all very well to take a joke, a funny story, or an internet meme and parse it, link it to a number of well-known theories that range from incongruity and superiority to purely linguistic models, by depriving humor of its context; we are only up to speed with half the story. Without knowing who made the humorous remark, where, when, and to whom, we cannot become familiar with its whys and its wherefores, and we may well find ourselves, as has often been said of humor research, dissecting a frog.
According to Reference PinkerPinker (2011), one of the reasons humans understand language better than computers lies in the difficulty of programming machines with all the knowledge we have. He argues that comedies often use robots’ lack of such extensive knowledge as a source of humor. A running joke in the sixties’ sitcom Get Smart, featuring Maxwell Smart and a robot called Hymie, consists of Maxwell asking the android to “Give me a hand.” Whenever Hymie hears this utterance, he will physically break off his hand and pass it over to Maxwell. Of course, Hymie does not understand that in context “give me a hand” is a request for help and not a literal call for him to detach his hand and deliver it to the speaker. It is the lack of pragmatic knowledge that is responsible for the misunderstanding and that in turn triggers the joke. VEH is very much about this kind of (mis)understanding of contextual knowledge. Although Reference Attardo and RaskinAttardo and Raskin’s (1991) linguistic theory of humor is one of abstract competence unaffected by context, providing us with a hypothesis that pivots upon linguistic ambiguity, incongruity, and the notion of opposing and overlapping scripts, their perspective, and several more, can be appreciated in terms of misplaced context.
Context is of course an enormous topic, and I propose to limit my examination to linguistic play that relies for its ambiguity on context, and a selection of humorous phenomena that depend on context in interesting ways. In fact, humor and context concern a vast area of scholarship that touches several disciplines – if we consider linguistics alone, it involves at the very least semantics, pragmatics, sociolinguistics, psycholinguistics, and translation studies. This chapter can therefore provide only a short overview of where the two meet (see Reference AttardoAttardo 2020 for an exhaustive discussion). Following an outline of the variety of linguistic resourcefulness required in its creation – brief owing to the breadth of such a huge topic – I will explore the intersection of linguistic and sociocultural competences necessary in order to understand VEH and the impact of context in both its construction and its reception. Backed up by examples, I will argue that the creation of VEH mirrors unintentional slips of the tongue, as both display an identical breach of the indistinctness that is present in and across all formal aspects of language. Following an overview of some of the linguistic technicalities involved in creating VEH, I will examine how the lack of conversational cooperation can also create humor, briefly touching on tropes such as irony and sarcasm. I will conclude this overview with a discussion of the role that context and moral distance between the object of humor and its recipient play in humorous discourse and survey whether it is acceptable to make fun of delicate issues, and if so, where, when, and with whom it might be appropriate to be funny about taboo subjects.
16.2 Humor and Linguistic Creativity
All languages when used for specific purposes display a series of distinct characteristics. Legalese will differ from the language of science and technology, academic discourse will be quite diverse from journalistic genres and the language of knitting is likely to be different from that of dressmaking. These genres, whether scientific, academic, or within the realm of everyday reality, exemplify a sort of baseline of serious discourse in the sense that none is designed to amuse the recipient but to inform, explain, instruct, and so forth. On the contrary, humorous discourse, which aims to amuse, is strikingly different from such “serious” varieties owing to its extreme intricacy on numerous linguistic levels. This is not to say that serious discourse cannot be intricate, but I emphasize the word extreme. While the intricacy of legalese or a knitting pattern are due to the presence of highly context-specific lexis and syntactic structures, unlike humorous discourse they are devoid of occurrences of linguistic manipulation or distortion. Whether we are looking at a joke, a single comic utterance or a lengthy funny story, when it comes to VEH, we are dealing with exemplars of a special kind of linguistic inventiveness in which the speaker stretches and twists language rules, and at the same time, if the humorous utterance occurs in conversation, may intentionally and legitimately flout maxims. The creation of VEH is not simply a matter of adopting specific lexis, register, or convention, as in more serious genres. In order to create VEH, linguistic norms require distortion and the recipient, at least for part of the content of the incoming message, needs to be deceived through that very same manipulation. In fact, the effort involved in the construction of VEH is such that it led Charles Reference HockettHockett (1977) to define the joke form in terms of “layman’s poetry,” arguing that, like traditional verse, it is founded on the extreme exploitation of language to create the desired effect, which, in the case of the joke, is to amuse. Where traditional poetry exploits features of a language, such as rhyme, assonance, and rhythm, jokes – and by extension all VEH in general – capitalize on the ambiguity present at all levels of language from its sounds and its syntactic and grammatical structures, all the way up to its semantic properties and pragmatic functions, to create a humorous outcome. In addition, Hockett argues that the joke, like poetry, is arguably untranslatable, in the sense that, owing to the fact that no two languages possess identical formal features, upon which poetry heavily depends, much will be lost in translation. Luckily, for those who do not speak several foreign languages, poetry is indeed translated, but by default, the translated versions will differ to a certain extent from the target texts. Certainly, more is lost in the translation of poetry (and by extension literature tout court) than, say, a paper on mathematics. Jokes, for the same reason, are equally untranslatable. For an extensive discussion of the complexity involved in translating humor and the strategies employed to overcome them, see Reference Chiaro and RaskinChiaro (2008, Reference Chiaro2017).
In his reflections on puns, the eighteenth-century essayist Joseph Addison went as far as to claim that if you cannot translate a “Piece of Wit,” it consequently must be a pun:
a conceit arising from the use of two words that agree in the Sound, but differ in the Sense. The only way therefore to try a Piece of Wit, is to translate it into a different language: If it bears the Test, you may pronounce it true; but if it vanishes in the Experiment, you may conclude it to have been a Punn.
The punster thus engages in creativity at all levels of language by manipulating sounds, words, and syntax to generate something that is likely to lose its humorous function if translated into another language. Let us consider the following example that pivots, among other things, on the exploitation of the complexity of English phonology and its writing system:
Q. How do you make a cat drink?
A. Easy. Put it in a liquidizer and you get a cat drink.
This rather cruel and politically incorrect riddle shows that in the phrase “cat drink,” by placing stress on the term drink (i.e., cat DRINK) and giving it phonological prominence, the speaker is leading their recipient up a garden path by having them believe that they are being questioned on ways of quenching a feline’s thirst. The desired response, instead, is determined by a shift in prominence in what would otherwise seem to be an identical question. However, the question is different once contextualized by the answer. To justify the answer, prominence that had previously fallen on drink now falls on the term cat (i.e. CAT drink). In other words, noun + verb becomes and is to be understood as a compound noun. If someone reads the riddle, rather than hearing it, a similar reaction occurs when they see the answer that will make them double back on their first reading in search of a hidden script. In fact, the riddle is an instance of what Reference Attardo and RaskinAttardo and Raskin (1991), in their General Theory of Verbal Humor (GTVH), explain as a single script that contains two opposing yet perfectly overlapping scripts – one script involving cat nutrition and another script about a horrible cocktail. Both orally and graphically, the deceit is equally palpable because the two versions are flagrantly manipulating a verbal phrase by transforming it into a noun phrase. English does not make use of many diacritics, so the joke is likewise deceptive in its written version. According to Joel Sherzer, what has occurred in such a riddle is an “axial” clash. In order to be interpreted correctly “cat drink” needs to be understood as a single item, a compound noun, therefore according to the version of utterance Q that we wish to accept, the two items, in becoming a single item, will occupy different slots along the syntagmatic axis. If, intentionally or otherwise, as in the “cat drink” example, the wrong filler occupies the wrong slot along the language axes, the paradigmatic axis invades the syntagmatic leading Sherzer to define such wordplay as “a projection of the paradigmatic onto the syntagmatic … precisely the Jakobsonian definition of poetry” (1978: 341). We have thus come full circle and we return to Hockett’s notion of layperson’s poetry.
Your Wit Is My Command is the title of a book by Tony Veale. From the title, knowing that the correct expression is “your wish is my command,” one is likely to deduce that the title contains a typo. One might even think that the book might be about a witty genie because the “correct” or more natural phrase is commonly attributed to Aladdin’s genie who utters it each time he is summoned from a magic lamp to grant wishes. The book in question is actually about humor and artificial intelligence, and its title makes use of allusive or distant homophony known as alliteratio a trope that exploits the beginning or the end of two words that sound the same – wit /wɪt/ and wish /wɪʃ/ begin with the same /wɪ / sound. The book’s subtitle, Building Ais with a Sense of Humor, makes contextual sense of the replacement of a /ʃ/ with a /t/ to turn the word wish into the term wit and place it within the setting of the term command, in the sense of a directive to a computer program that will make it perform a specific task. The subtitle leads us away from the genie script and toward the intended computer script. However, there is no escaping the feeling that the title contains an intentional “mistake.” In fact, much humor is created unintentionally, and when it does, just like in cases of deliberate VEH, context is key because the mistake will clash with the situation at hand and amuse those who come across it.
16.3 Unintentional Verbally Expressed Humor
Freudian slips (or parapraxis) cause laughter because they accidentally occur where and when they should not, namely in the wrong context. One of the sources Freud used to talk about the language of the psyche was jokes. The other, of course, was dreams. Freud sees these two sources of data as tapping unconscious desires. From his patients’ verbal blunders, Freud developed his well-known personality theory that he related to their feelings of shame and primal desires, the point being that these slips of the tongue revealed new contexts that made sense. In other words, although we may laugh at the person who has made the verbal blunder for a number of reasons, the verbal faux pas usually creates perfect cohesion, albeit in the wrong context, which is precisely why it is amusing. What results from the mistake is cohesive and at the same time, ironic. Therefore, yes, the perpetrator has misplaced a sound, a word, or a phrase, but it is the accurate coherence in the wrong context that causes the humor. We laugh at people’s accidental mistakes all the time, so much so that many people pretend to make verbal blunders to show that they are clever and funny. Following an article on politicians’ slips of the tongue that appeared in the Guardian newspaper (Reference ParkinsonParkinson 2021), a reader added an example of a similar mistake:
At my wedding a very long time ago, a friend made us a generous present of a kitchen appliance that he nervously described to the assembled guests as a perky copulator.
A wedding guest who presents a “perky copulator” (instead of a coffee percolator), the word copulator is technically a homeoteleuton, a word/words in which the substitution of one or two syllables occurs, tells an especially good and funny story precisely because of the context in which it was narrated. A wedding is traditionally followed by a honeymoon during which the newly-weds are expected to engage in plentiful sexual activity. A guest who makes a wedding speech in which they talk about having given the couple a percolator that accidentally (or otherwise, the story might be an urban legend) becomes a “copulator” is, under the circumstances, semantically appropriate yet, at the same time, funny because sex is one of those taboos people laugh about. The addition of the adjective perky, which has the meaning ‘frisky’ and ‘saucy’ among others, adds to the comic effect. Such accidental, or accidentally on purpose instances of wordplay are precisely those upon which “original” jokes, quips, funny remarks and the like are shaped.
A Freudian slip is saying one thing when you mean your mother.
This one-liner that plays on the likeness between “your mother” and “another” – it is formally a combination of alliteratio and homeoteleuton – also exemplifies how the deliberate manipulation of language can closely resemble a fortuitous slip of the tongue. We can imagine the person uttering the quip in a deadpan manner and seemingly above comic suspicion, as though they truly did not purposefully deliver the line with humorous intent. Nevertheless, we suspect that the remark was intentional because contextually the notion of mothers primes so well with Freud’s work and his well-known Oedipus complex metaphor. Yet the one-liner resembles a slip of the tongue. Once more context is key, misplacing “another” with “your mother,” a word that sounds the same, has the same number of syllables, and also happens to rhyme, lodges well with Freud’s theory.
Verbal blunders such as spoonerisms (or distant metathesis), malapropisms, and misplaced words are all accidental instances of VEH that are a source of enjoyment and that are often reported to others in order to amuse. We laugh at the person who makes the verbal faux pas and with the person who tells us about it. Homophones, homonyms, and homographs can also lead to misunderstanding and amusement when their ambiguity leads them away from the context at hand.
Reference SherzerSherzer (1978) reports a poet ending her lecture by saying “There are some things that only happen to a woman. Period.” The American poet used the term period in the sense of “end of story” in order to emphasize what she had said in her lecture, namely that there was nothing more to add on the matter. Nevertheless, if we consider other possible senses of period, among which we find “menstruation,” we see how the poet’s choice of word was unfortunate because she adopts a homonym that also happens to denote some thing that only happens to women, that is, menstruation. So in order to determine what speakers mean (as opposed to what their words mean), listeners and readers need to assign sense to the words they hear and see. As we have seen, a very straightforward process such as assigning sense to words can cause problems if homonyms such as period, which can mean both ‘full stop’/’menstruation,’ are involved.
An American package of a make of contraceptive pill containing two months’ supply is labeled “Twin Pack” (The Telegraph n.d.). Whoever was responsible for the wording on the packaging in question was linguistically careless. It is unlikely that they purposely went for the expression “Twin Pack” to cause hilarity, yet a joke has occurred precisely because of the use of the term twin to signal a package containing two cartons of the contraceptive pill whose aim it is to avoid pregnancy. Twin, which suggests a multiple birth, is an inappropriate choice of lexis within the context of contraception, which is precisely why it is a source of amusement. In addition, this mistake, which results in cohesive irony, was reported in a newspaper column and is a retelling in the writer’s own words of the incongruity they had spotted. The writer’s intention is that readers will laugh with them, and at the pharmaceutical company that made the verbal blunder.
16.4 The Treachery of Language
Intentional VEH often mirrors slips of the tongue. In Blame It on the Bellboy, a filmic comedy set in Venice directed by Mark Herman (1992), Maurice Horton, an elderly, overweight, and unattractive Englishman, has been misled to believe that he is on a date with the young and beautiful Caroline Wright. In effect, Wright is not on a date with Horton; she is an estate agent who thinks that she is about to sell him a villa overlooking the Lagoon. Even without considering the dialogues, the plot contains all the necessary elements for a farce; however, linguistic ambiguity adds to the comic confusion. As Wright shows her client around the house saying, “Would you prefer to start inside?” “Shall we go upstairs,” and “Do you like what you see?” her utterances take on two different meanings. Wright thinks her client is there for a viewing of the villa that he intends to purchase, but Horton, who thinks he is in the company of an escort, makes very different contextual sense of what she is saying:
Wright: Don’t you think we ought to get down to the nitty gritty?
Horton: I’m sorry! We’ve only just met, I don’t want you to think I’m an old fuddy-duddy or anything, it’s just that … don’t you think it’s a bit early in the day for that sort of talk?
Wright: Well, I suppose so …
Horton; Well, I suppose you young people do things differently nowadays. I didn’t mean to rush you, but that’s what we’re here for isn’t it?
Wright: Yes, yes, absolutely!
The two characters are speaking within two distinct and unconnected contexts. For Wright, who is trying to sell a house, getting down to the “nitty gritty” means making decisions such as bargaining on the price, finalizing the sale, and nothing more. On the other hand, Horton is looking for a sexual encounter, and so for him, that same phrase is an invitation to just that. The ambiguity of “nitty gritty” generates a dialogue in which the two speakers interact at cross-purposes because each interlocutor is speaking within opposing contexts. Interpreting Wright’s utterance as a solicitation to engage in sex, at first Horton acts shocked and embarrassed about “That sort of talk” but soon doubles back with “but that’s what we’re here for isn’t it?” For Wright, the deictic “that” refers to negotiating about the sale of the villa, but Horton understands that same “that” to mean sexual intercourse. The fact that the two are thinking in two very diverse contexts triggers amusement, and the inclusion of sex gives the humor extra vivacity. In a later scene, over a meal in which Wright is convinced that she has sold the villa, the farcical, cross-purpose conversation continues:
Wright: Some people do it over the phone.
Horton: Sounds as if you’re not new at this game.
Wright: No, I’ve been doing it for years.
Wright is still uniquely talking about the sale of the house, stating that negotiations can take place over the phone. However, Horton, who is still fixated on the idea of engaging in sex with Wright, has no idea that she is trying to sell him a house and misunderstands the idiom “doing it.” In British English, “it” is a euphemism, in which do acts as a pro-form standing in for an activity that combined with the pronoun it takes on the meaning of ‘engaging in sexual intercourse.’ Fresh from the earlier conversation about the “nitty gritty,” Horton takes Wright’s utterance out of her intended context and into his own. In addition, Horton is especially content to see that she is not a novice at this “game,” a word which according to the context in which Wright is operating means working in real estate, but Horton understands that she has been on the game “for years,” in other words that she is someone experienced in having sex for money.
These instances of incorrect assignment of sense are down to homonymy, words and expressions that have different meanings, but the same problem can also occur because of homophony, two words or expressions that sound the same. Reference ThomasThomas (1995: 25) provides an example from the minutes of a management meeting at the BBC:
The solicitor reported that the BBC was being sued in Ireland by a man who thought he had been described as having herpes. The BBC’s defence was that it had accused him of having a hairpiece.
The issue arose because the newsreader in question spoke in a Northern Irish accent in which the term herpes is pronounced in the same way as the word hairpiece, i.e., /ˈhɜː(r)piːz/. The exact same ambiguity is exploited, this time deliberately, in the script of the film An Everlasting Peace (directed by Barry Levinson, 2000) about two men, a Catholic and a Protestant, selling wigs (hairpieces) during the Troubles in Northern Ireland. The title of the film itself intentionally plays on the homophony of the word peace that, during the 1970s and 1980s when the film was set, was a much sought after condition in Northern Ireland, and, as it is also a homophone of piece we therefore have an appropriate title for a film revolving around the IRA and wigs. The term is contextualized twice over in terms of its “war/wig” scripts. The likeness of the terms hairpiece/herpes, uttered in a Northern Irish accent, generated a dialogue in the film in which a customer allocates the wrong sense to the term and takes offense at the implication that he might have herpes:
Mr. Black: [angry] Look, I told you: I don’t know who you’ve been talking to but he’s a fucking liar! You’ll find no herpes here!
Colm: [surprised] Herpes?
Mr. Black: That’s what you said.
George: No sir. [points to his head] Hair pieces.
Mr. Black: Oh. I thought you said “herpes.”
Ambiguity does not stop short at lexis, structural uncertainty can also be the source of humor:
Oozing across the floor, Marvin watched the salad dressing.
The hearer has to decide whether it is Marvin or the salad dressing that is flowing, and although common sense points to the latter, the speaker has omitted the subject of the opening clause, creating doubt. Basic world knowledge leads the hearer to understand that it is unlikely that Marvin is “oozing” therefore leading to a humorous effect. Similarly, the traditional church hall notice “Ladies, please rinse out your teapots and stand upside down in sink” plays on the same ambiguity of the dangling participle caused by a missing subject and object in the second imperative (see Reference ChiaroChiaro 1992: 42). Like these slips of the tongue, deliberate VEH often has an accidental-but-on-purpose feel about it. This is because the same linguistic mechanisms involved in unintended verbal gaffes are adopted in the intentional creation of VEH.
Uncooperative conversational behavior represents another significant base for VEH. A panhandler who asks a passerby for a cigarette with, “Have you got a cigarette?” does not receive the cigarette they had asked for, but instead, the person they had asked just answers “Yes” and walks away. Likewise, a passerby could ask another “Have you got the time?” to which the respondent does not inform them of the time of day but just says “Yes” and walks off. In both situations the passerby’s uncooperative behavior flouts Grice’s maxim of relevance, and is indulging in what Reference Mizzau, Stati, Weigand and HundsnurscherMizzau (1991) has labeled sciopero bianco delle parole or ‘words working to rule’ (my translation). Words go on strike and work to rule when a respondent reacts to the literal sense of an utterance directed at them and not to the intention or the force of the speech act. Strictly speaking, the speaker simply makes the minimum effort to understand the speech act behind the utterance and takes it at face value. By doing this, the speaker contravenes the basic conversational principle of cooperation. In these examples, the requests for an object, a cigarette, or for the time of day are deliberately interpreted respectively as appeals to find out whether the respondent is carrying a cigarette and knows the time, and not whether they are willing to offer the ciggie or tell them the time. In terms of humor, the respondent is punching down at the person making the request.
The kind of humor conveyed to audiences by Sheldon, a character in the sitcom The Big Bang Theory, works on this type of uncooperative conversational style. Sheldon is a very intelligent nuclear physicist who repeatedly makes words work to rule and accordingly obtains a comic effect. In a scene that takes place at a diner, a friend, directing his gaze at a bottle of ketchup close to Sheldon, politely asks, “Sheldon is that ketchup on that table?” Instead of responding to his friend’s request by fetching the ketchup, Sheldon answers, “Yes it is,” and launches into a lengthy and complex tirade about the ingredients of the sauce. When Sheldon has finished speaking, his friend gets up and says “I’ll get it,” causing further comedy. This kind of non-cooperation does not rely solely on the recipient of an utterance but can also be triggered by the initiator of an exchange. Catch riddles such as the notorious “Why did the chicken cross the road?” trick the recipient into thinking they are being asked to solve a conundrum and that a far-fetched and ingenious answer is expected of them (see seminal work on riddles by folklorists Reference Opie and OpieOpie and Opie 1959: 73–86). Instead, the answer is not a complex play on words but a straightforward truth, in the case of the peripatetic chicken, the traditional response is “to get to the other side.”
Constantinople is a very long word. How do you spell it?
Where did King John sign the Magna Carta? At the bottom.
These examples of deliberate playground humor work in exactly the same way as the riddle about the rambling chicken. The riddler, who provides both question and answer, is being uncooperative by providing solutions that are both evident and uninformative. The notorious “Constantinople” riddle is a verbal ambush that has been delighting children for decades, the answer is, of course “it.” However, regarding the riddle about the Magna Carta, if a teacher were to ask a class that same question, a child who answers “at the bottom” would be judged as having given an inappropriate answer that is likely to be taken as sarcasm, especially if uttered by the class clown. This is because the teacher is not operating within a play frame and is not riddling but testing the class. A timely example of this kind of behavior is a schoolchild’s answer in a gap-filling exercise to the question “Who killed Goliath?” The answer sheet provides a blank space preceding the letters VID (i.e. “… VID”), to which one member of the class inserted the letters “CO” to create the word covid. Whether the child was deliberately trying to be funny we do not know, but the teacher took the response as sarcasm, as is clear from her response “See me after class” at the bottom of the page.
16.5 Encyclopedic Knowledge
Whether creating or receiving an instance of VEH, not only is it essential that interactants share the language in which it is delivered, but awareness of a number of circumstantial features is also indispensable. An important contextual wall that VEH hits is that of encyclopedic knowledge, a concept that in itself is extremely complex because it does not stop short at the sentience of a standard set of facts that vaguely go by the name of culture. The kind of knowledge required to get humor clearly stretches way beyond knowing the answers to a standard pub quiz, as it often includes information shared only by a restricted group of people, and here we see the concept of proximity/distance raising its head. So far, in most of the examples we have examined the ambiguity that triggered the VEH hinged on basic world knowledge, with the exception of the one-liner about the Freudian slip that a person unfamiliar with the psychoanalyst’s work would not get.
I shall begin by stating the obvious, namely that in order for VEH to work, the language in which a witty quip, remark, or even full-blown joke is couched has to be shared by the interactants. VEH is created through the exploitation of linguistic features present in a given language in order to create the opposition and overlap first proposed in Raskin’s Semantic Script Theory (1984) and later expanded by Reference Attardo and RaskinAttardo and Raskin in the GTVH (1991). Attardo and Raskin argue that a humorous script must essentially consist of two overlapping scripts, one of which is obvious but that simultaneously shields another, less noticeable, script that is not immediately apparent. These two scripts must be in opposition to each other in order for humor to result.
Why did the window box?
Because it saw the garden fence.
To native speakers of English, this classic children’s riddle is evident. The opposing “gardening” script (window box and garden fence) versus the “sport” script (boxing and fencing) overlap to perfection rendering the riddle both ambiguous in its contrasts but at the same time unique in its words’ ability to conceal the two meanings. In translation the riddle just does not work – unless, of course, we find a language in which the words for both box and fence contain the same homonymic sense as English. However, let us move on to instances of VEH where all interactants speak the same language.
According to the Roman orator Cicero, who among other things was notorious for his verbal wit, “a witty saying has its point sometimes in facts, sometimes in words, though people are most particularly amused whenever laughter is excited by the union of the two” (II, LXI, 248) (1965: 383). Specifically, according to Cicero, the best witty remarks, jokes, etc. combine language and world knowledge. Over and above proficiency in English, only those familiar with the Plastic Ono Band will appreciate that a vegetarian is someone who gives peas a chance and a minimum knowledge of English and French history is required to realize that Richard Coeur de Lion was the first heart transplant. For such VEH to travel successfully from initiator to recipient, two types of expertise are indispensable, linguistic expertise and encyclopedic or sociocultural knowledge, because, as emerges from the examples, these two competences may intersect. Expressly, you cannot do much if you just have awareness of one and not the other. These remarks exploit the options of English and general knowledge, too, and so far so good. However, as mentioned earlier, sociocultural knowledge is not as straightforward as one might think. Things get more complicated when knowledge becomes more specialized.
Like everything else in life, humor changes in time. Rather, humor based upon situations that were once timely are unlikely to be funny today, simply because the relevant context is lost. In the 1950s, folklorists Reference Opie and OpieOpie and Opie (1959: 106) report the following playground joke:
Do you know a teddy boy’s just been drowned – in his drainpipe trousers?
It is questionable that schoolchildren today will be familiar with teddy boys, a British youth subculture of the 1950s, and the type of high-waisted “drainpipe” trousers they wore. We need not go back so far in time to find that jokes and witty remarks soon go stale owing to their invisible sell-by date that anchors them to a particular moment in time. The scandal involving Bill Clinton and Monica Lewinsky in the 1990s spawned countless jokes, and it is implausible that the average millennial will see two opposing and overlapping scripts in the claim that what Clinton found attractive in Lewinsky was “the prettiest smile he had ever come across” – but a Boomer is liable to see both. Whether anyone finds the quip funny or not is another matter and involves sense of humor and issues connected to good and bad taste that are beyond the scope of this chapter.
Apart from temporal context, most individuals’ encyclopedias are bound to be limited to their world and to their interests – we do not live in a world of polymaths. I had no idea that engineers confuse Halloween and Christmas because Oct. 31 = Dec. 25. According to two numerical systems known as Octal (which can be abbreviated to Oct.) and Decimal (or Dec.), Octal 31 is equal to Decimal 25. At this point linguistic knowledge enters the equation (pun intended) as both look like month abbreviations and therefore we have a joke whose understanding is limited only to those familiar with the two numerical bases. I could go on providing data of VEH that is restricted to people with extremely specialized knowledge of specific topics, which could require knowing about practically anything from medicine to football, but I think that I have made my point: overlap and oppositeness involve language and world knowledge.
Owing to its inherent linguacultural ambiguity, VEH is by default cryptic. As we have seen, it is about playful deceit, and sometimes, as in the case of sarcasm, somewhat cruel deception. Our immediate response to the query “What comes steaming out of cows backwards?” would be dung, although the right answer would be the Isle of Wight ferry – Cowes, a homophone of cows, is the island’s main seaport. Contexts shift. Both dung and ferries may steam, but in order to solicit laughter or a smile the contexts must seamlessly overlap. For the creator of VEH, linguistic competence and encyclopedic competence are, however, not enough. The creator also needs comic competence to be able to spot linguacultural duplicity and partake in Sontag’s notion of “partial knowing” (2004). According to Sontag “the theory of knowing that is relevant to the comic is essentially a theory of non-knowing, or pretending not to know, or partial knowing” –the creator of VEH must pretend not to know, they must pretend to be slipping up.
16.6 In and Out of the Play Frame
Having examined the significance of linguistic and sociocultural context in VEH, I shall now look at situational context. Where and when it is acceptable to joke and engage in banter varies across cultures. Although I have no hard data to back this up, VEH is extremely pervasive among native speakers of English, or to quote anthropologist Kate Fox “The important ‘rule’ about English humour is its dominance and pervasiveness. Humour rules. Humour governs. Humour is omnipresent and omnipotent” (2017: 61). While in many cultures there is a special time and place for humor, for the English there appears to be a permanent and ubiquitous undercurrent in all spoken interactions. Even phatic communion about the weather might include the ironic “Nice weather for ducks” if it happens to be a rainy day, while a response to “How are you?” could well be “How long have you got?” if the speaker does not want to provide the standard cooperative reply “Fine thanks.” The English are also renowned for understatement, as illustrated in this brief exchange between P.G. Wodehouse’s Bertie Wooster and his valet Jeeves:
“Have you seen Mr Fink-Nottle Jeeves?”
“No Sir.”
“I am going to murder him.”
“Very good, Sir.”
Tropes like irony, hyperbole, and understatement, all of which violate the conversational maxim of quality and that are highly context dependent play an important part in the creation of satire (for an exhaustive discussion of satire, see Reference SimpsonSimpson 2003). Satirical magazines and TV shows rely, among other things, on highlighting the incongruity of newsworthy stories. In October 2021, the cover of the satirical news magazine Private Eye (Issue 1557) shows former UK Prime Minister Boris Johnson in the company of Jeff Bezos, founder and chairman of Amazon. The speech bubble coming out of Johnson’s mouth reads, “That’s amazing, you actually deliver goods!” Once more, we are looking at two contexts, Bezos’ successful online marketplace and Johnson’s frequent inability to “come up with the goods” or to furnish the nation with what is expected of him, politically and socially, and therein lies the irony. Another cover of Private Eye in the same month (1159), in tune with United Nation’s Climate Change Conference held in Glasgow, shows Russian Prime Minister Vladimir Putin shaking hands with Chinese President Xi Jinping. Putin is saying, “We’ve saved a lot of energy” and Xi Jinping ironically replies, “By not going to COP26.”
Have I Got News for You (HIGNFY) is a BBC satirical television panel show in which panelists answer questions on various news stories of the week prior to each episode. In an episode of October 2021, the compere reports how “Jack the Chipper,” a fish and chip shop in London, had been criticized over its name. Owing to the play on words recalling the terrible murderer Jack the Ripper, the owner was accused of both supporting violence and hating women. In response, and presumably unaware of the irony he was about to create, the owner decided to hold a “ladies’ night” when women could buy fish and chips at half price.Footnote 1 In another episode, audiences learn that the Kunsten Museum of Modern Art in Aalborg, Denmark had given the artist Jens Haaning £65,000 with which to create a framed display that would represent the average wage of people in Denmark and Austria. Instead of framing banknotes, as requested by the museum, Haaning produced a blank canvas entitled “Take the Money and Run.” As though the tongue-in-cheek title of the opus was not ironic enough, in his defense the artist said, “The work is what I have taken the money for.” To add to the causticness, the quiz commentator jested that soon to appear at the gallery was a painting entitled “Artist with Broken Legs” by Frankie the Knuckle.Footnote 2
Finally, several topics that are often the subject of humor are considered delicate and therefore not always appropriate to joke about. These subjects include taboo areas such as death, race, religion, sex, and bodily functions. Such humor that is in bad taste is likely to offend, yet the fact that it exists shows that it must appeal to some people. Traditionally disasters such as 9/11 and the death of Diana Spencer would trigger cycles of oral jokes (see, for example, the work of Reference DundesDundes 1987; Reference Davies and WalterDavies 1999; Reference KuipersKuipers 2015), at the time of writing similar tragedies are more likely to prompt cycles of internet memes disseminated via smartphones. Whether passed round orally or via phones, these cycles display people’s humorous creativity. Furthermore, whether it is right or wrong to joke about such matters is a Sisyphean debate which, at the end of the day, boils down to context. Presumably, a person who sends a distasteful meme will do so only to someone who shares a similar sense of (bad) taste. However, social media platforms are dangerous ground for sharing icky jokes and memes because of a huge and variegated audience whose tastes in humor the person posting is unlikely to know. Moreover, the closer a person is to the target of a potentially offensive joke, the less likely they are to appreciate it. Collecting data on joke evaluation, I once asked respondents “Why is the Tory party known as the cream of society?” Before hearing the answer, “Because they’re rich and thick and full of clots,” one person remarked, “I don’t think I’m going to like this,” thus revealing her sympathies with the Conservatives. She knew the joke would punch up at the Tories with whom she shared her political views. The morally closer we are to the target of a joke, the more likely we are not to respond positively to ridicule about them.
An example of the fine line between serious and non-serious discourse, and above all, moral proximity to a target of humor, can be exemplified by an incident that occurred in 2012 during a live performance in which stand-up comedian Daniel Tosh told a rape joke. Whether or not the joke was in good or bad taste is not at issue, but what is at issue is the comedian’s response to a woman in the audience who heckled him and shouted out that rape is never funny. To this, Tosh replied, “Wouldn’t it be funny if that girl got raped by, like, five guys right now? Like right now?” Clearly, Tosh tried to humiliate the woman by asserting his power, as stand-up comedians will do when heckled. However, his comment caused much controversy on social media and soon led to his having to apologize. Tosh’s initial joke may have been in bad taste, yet people do joke about everything and anything. The problem with Tosh’s response to his heckler was that it sounded like an invitation to rape and a celebration of a violent crime. In addition, and this is likely to have been the issue, he had stepped outside the play frame for his riposte. Although he was standing on stage, and in a comedy club, and the rape joke disputed by the heckler had taken place within a play frame, context matters. Tosh was knowingly or unknowingly approving and giving authenticity to a felony by stepping out of the play frame.
16.7 Closing Remarks
Both creating and transmitting VEH successfully is heavily dependent on context – without context humor could not exist. Whoever creates VEH must possess linguistic competence, sociocultural competence, and, of course, comic competence in their ability to use the abstruseness present in language and culture to make it work as a comic device. The joker must be able to exploit the wide range of linguistic options available in the language to create a script, whether that script is in the form of a joke, a one-liner, or a meme as long as it contains a trope that displays VEH. The humorous script should contain two scripts, although the receiver will only see one – unless they have heard the joke before – resulting in a double-faced trap enticing the recipient to fall and then find comic relief. In addition, the joker must also pretend not to know that they are playing with two scripts in one. Comic competence ideally also comprises an awareness of the receiver’s sensitivities. In the case of sensitive subjects, the closer the receiver is to the target of the witty remark, and the more physical and moral elements are being shared with the target, the more likely it is that the receiver will be offended by a remark that punches down. Rather than take offense, on the contrary, the receiver can respond with equally creative banter, as did Obama when asked by comedian Zach Galifianakis on a spoof celebrity interview what it was like to be the last black President. Obama, noticing the ambiguity in the term last, creatively twists it away from Galifianakis’ pseudo-racist remark and answers, “Seriously? What’s it like for this to be the last time you ever talk to a President?” illustrating his skill in lingua-comic competence (ABC News 2014). Or, for example, when the Rolling Stones’ front man Mick Jagger uses irony in response to a journalist criticizing Bob Dylan’s voice. Dodging the journalist’s denigration of Dylan, Jagger ironically replies “Dylan has never been one of the great tenors of our time” impeccably displaying low-key comic competence.Footnote 3 Context in humor is all-encompassing and this chapter has simply touched the tip of the iceberg.
17.1 Introduction
Popular perceptions of translation and interpreting assume that these forms of interlingual and intercultural mediation are based on an essential determinacy of meaning. This lay understanding of the written and oral modes of interlingual transposition that translation and interpreting entail is largely informed by a conception of original texts as “entit[ies] with a stable, definable meaning” that translated texts should aim to deliver in the target language (Reference MasonMason 2006: 359). This view prevailed also in early translation scholarship published between the late 1940s, when translation emerged as an academic discipline (Reference Tymoczko and ChapelleTymoczko 2013), and the late 1980s. During this period translation was regarded as a subfield of linguistics, with theorization on translation initially revolving around a rigid understanding of textual equivalence as a form of identity rather than similarity (Reference Tymoczko and ChapelleTymoczko 2013). These early views were gradually superseded by other perspectives that placed less emphasis on referential or denotative equivalence, acknowledging instead the role that a range of linguistic units and ranks, text-normative constraints, and textual effects played in the production of equivalent translated texts (Reference Kenny and BakerKenny 1998: 96). The premise that translators and interpreters operate in a complex and often sensitive cross-linguistic and cross-cultural environment that calls for the exercise of professional judgment in context is now firmly entrenched in disciplinary discourses. However, the construct of context has not been the subject of systematic theorization on translation and interpreting until relatively recently.
This chapter sets out to explore how scholarly thinking on context has informed research in translation and interpreting studies since the early 1990s. It begins with a historical overview of the contribution that linguistics has made to the emergence, development, and consolidation of translation and interpreting studies as a self-standing discipline. It then proceeds to critique a range of perspectives on context in translation scholarship. These range from cognitive approaches exploring how participants in each communicative encounter come to share and make use of a given set of contextual assumptions, to conceptions of context as a field of power play where identities are dynamically negotiated. This exploration is illustrated with examples from different domains of translation and interpreting research to foreground the breadth of theoretical and methodological orientations that converge within the discipline.
17.2 Linguistic Approaches to Translation
Recognition of translation and interpreting as social phenomena, and of translators and interpreters as agents who contribute to the stability or subversion of social structures, constitutes a recent development in the evolution of translation studies as a disciplinary domain. During the late 1940s, early scholars of translation chose to align themselves with linguistics – at a time when the latter was emerging as a “scientific” discipline “with a highly formalized and rigorous machinery for describing languages” – in a bid to secure academic recognition (Reference Baker, Kittel, Frank, Greiner, Hermans, Koller, Lambert and PaulBaker 2005: 287). Between the 1950s and the late 1970s, translation scholars thus set out to formalize processes of lexical and syntactic transfer across languages as a basis for the elaboration of taxonomies of translation strategies, often for pedagogical purposes, informed by transformational grammar and the concept of deep structure (Reference Saldanha, Baker and SaldanhaSaldanha 2009).
Early conceptualizations of translation were considerably influenced by the notion of equivalence, understood as the replacement of textual material in the source language with written or spoken utterances in the target language that may or may not fully map onto the same aspect(s) of the extralinguistic world. Initially, equivalence was understood as a semantic category. From this perspective, translating involved finding utterances or sentences in the target language that referred to the same “slice of reality” (Reference Rabin and SmithRabin 1958: 123) as its source language counterpart, irrespective of the specific constraints at play in the communicative situation. Over the next few decades, the treatment of equivalence by translation scholars incorporated additional dimensions beyond semantics. In this revised approach, translations were regarded as equivalent if they managed to reproduce the “same effect” that their respective source texts had on their readers (Reference NidaNida 1964; Reference Nida and TaberNida and Taber 1969), or to match the main “textual function” or communicative purpose of the original text (Reference ReissReiss 1971; Reference HouseHouse 1977/1981).
As the disciplined developed, the emphasis placed by these early theories on formal linguistic analysis – rather than on translation as a social, professional, or political phenomenon – and on the sentence as the uppermost unit of analysis came to be perceived as unnecessarily mechanistic. By the mid-1980s, a growing consensus emerged, particularly among German scholars, about the difficulty of measuring the effect of translated texts on their readers (Reference Vermeer and ChestermanVermeer 1989; Reference NordNord 1991). The focus was therefore shifted to the fact that translated texts often need to serve a different function from the one that motivated the production of the original text in the first place. For proponents of functionalist perspectives, including skopos theory, “adequacy” is achieved when translations successfully comply with the commissioner’s requirements (Reference Vermeer and ChestermanVermeer 1989), thereby acquiring a function of their own within the target sociocultural context (Reference NordNord 1991).
With the influence of linguistics gradually eroding, the contribution of other disciplines in the humanities to translation studies, most notably cultural studies and literary theory, gained growing recognition. This alternative orientation, often referred to as the “cultural turn,” represented a shift from the positivism fostered by linguistic approaches to a more relativist stance on the study of translation (Reference Marinetti, Gambier and van DorsaalerMarinetti 2011), ultimately informed by the premise that the meaning of a text is unstable and culturally constructed. By highlighting the impact of sociocultural constraints on the translational activity (Reference HermansHermans 1985, Reference Hermans1996; Reference VenutiVenuti 1995), the new approach challenged “long-held tenets of translation such as the very notion of S[ource] T[ext]-T[arget] T[ext] equivalence” (Reference Munday and MundayMunday 2009: 11) and paved the way for the politicization of translation studies.
The epistemological challenge that cultural approaches to translation studies ushered in, combined with developments in various strands of linguistic research, widened the range of theoretical frameworks available to translation scholars with an interest in textual analysis. House’s translation quality assessment model (1997), for example, elaborated on her earlier application of Reference HouseHallidayan linguistics (1977/1981) to examine how translation is influenced by register, which encapsulates the connection between texts and their situational micro-contexts in each communicative encounter, and genre, namely the ritualized conventions of the culture in which texts are used to serve specific purposes. Also drawing on the Hallidayan tradition, Reference Hatim and MasonHatim and Mason (1990) explored how discourse and genre – conceptualized in their work as social planes that capture the ritualized linguistic expressions of sociocultural attitudes and the culturally recognized verbal means through which speakers pursue social goals, respectively – find expression in texts.
Reference Hatim and MasonHatim and Mason’s (1997) understanding of translation as a form of mediation across these semiotic dimensions and their emphasis on the mutually shaping relationship between translation and the social situations where it is embedded brought into sharp relief the influence of ideology and power on translators’ and interpreters’ behavior. The contribution of translators’ decisions to reinforcing or countering the use of language as an instrument of ideological control in original texts emerged as a distinct object of inquiry in studies informed by critical discourse analyses of texts in political, institutional, and journalistic settings (Reference Schäffner and Calzada PérezSchäffner 2003, Reference Schäffner2012; Reference Calzada-PérezCalzada Pérez 2007; Reference KangKang 2007). Reference BakerBaker’s (2006a) application of socio-narrative theory in translation studies provided scholars in the field with a framework to account for translators’ and interpreters’ behavior in terms of the alignment or clash between the narratives or views of the world that they subscribe to and the narratives that circulate in their environment, including those inscribed in the texts they translate. Baker’s original conceptualization of narratives and the revised typologies proposed by subsequent scholars (Reference BoériBoéri 2008; Reference BakerBaker 2010; Reference HardingHarding 2012; Reference BassiBassi 2015) have revealed how the intersection between personal, public, conceptual, and meta-narratives can influence translators’ and interpreters’ interventions in the target language and “re-narrate” the texts they work with. For translators, re-narrating a text – for example, as a form of resistance against narratives that create the conditions for the emergence or perpetuation of moral or armed conflict – involves exercising agency and discharging their moral duty to decide whether “to reproduce existing ideologies as encoded in the narrative elaborated in the text or utterance, or to dissociate themselves from those ideologies, if necessary by refusing to translate the text or interpret in a particular context at all” (Reference BakerBaker 2006a: 105).
As the theoretical foundations of the discipline have broadened, the range of models and methods used in translation and interpreting research are no longer limited to those originally borrowed from literary criticism and contrastive linguistics. While translation studies continues to rely mainly on qualitative methods of textual analysis (Reference Chesterman and OlohanChesterman 2000), there is a growing trend to make use of interviews (Reference DirikerDiriker 2004; Reference TorikaiTorikai 2009; Reference SapiroSapiro 2014; Reference Marín Lacarta, Baker and SaldanhaMarín Lacarta 2020; Reference Zwischenberger, Baker and SaldanhaZwishchenberger 2020) and ethnographic methods (Reference KoskinenKoskinen 2008; Reference TesseurTesseur 2014; Reference YuYu 2017). Process-oriented research, on the other hand, has drawn on and adapted methods from the field of cognitive psychology to empirically test the processes of cognitive management that interpreters activate under stress conditions, access translators’ and interpreters’ thought processes through think-aloud protocols, and monitor other process-related decisions through eye-tracking (Reference FonsecaFonseca 2015; Reference Hvelplund, Schwieter and FerreiraHvelplund 2017; Reference Lacruz, Schwieter and FerreiraLacruz 2017) or keystroke logging devices (Reference LörscherLörscher 1991; Reference JääskeläinenJääskeläinen 1999; Reference Jakobsen, Kirk, Sullivan and LindgrenJakobsen 2006, Reference Halverson, de Sutter, Lefer and DelaereHalverson 2017; Reference Rodríguez-Inés, Schwieter and FerreiraRodríguez-Inés 2017).
Corpus linguistics has also made an important contribution to translation and interpreting studies since the 1990s (Reference LaviosaLaviosa 2002). Parallel corpora consist of computer-held sets of texts in the source language and their target language versions in one or more languages, whereas comparable corpora are collections of texts written in the same language that share certain features or selection criteria (e.g., period of publication, topic, genre) (Reference Kenny, Baker and SaldanhaKenny 2009). The use of corpora in translation studies research is driven by the premise that translational activities are bound to leave traces in the target text (Reference Baker, Baker, Francis and Tognini–BonelliBaker 2003). Using concordancing software, corpus-based translation studies have focused on the distinctive patterns of language use observed in translated language, also referred to as “typical features of translation” (Reference OlohanOlohan 2004), including the tendency of translated texts to be more explicit and use more conventional grammar and lexis than texts originally written in either the source or target languages. The compilation and study of corpora continue to serve as a robust methodology in advancing applied (Reference Ferraresi, Bernardini, Picci, Baroni and XiaoFerraresi et al. 2010; Reference Kübler, Volanschi, Boulton, Carter-Thomas and Rowley-JolivetKübler and Volanschi 2012; Reference Tagnin and TeixeiraTagnin and Teixeira 2012; Reference López-RodríguezLópez-Rodríguez 2016; Reference Rodríguez-Inés, Schwieter and FerreiraRodríguez-Inés 2017) and theoretical research agendas, including but not limited to the study of creative language (Reference DirdalDirdal 2014; Reference Saldanha, Berman and PorterSaldanha 2014), multimodal texts (Reference Bernardini, Ferraresi, Russo, Collard, Defrancq, Russo, Bendazzoli and DefrancqBernardini et al. 2018; Reference Soffritti and Pérez-GonzálezSoffritti 2019), or translation processes as part of mixed-methods approaches (Reference Halverson, de Sutter, Lefer and DelaereHalverson 2017 and Reference SzymorSzymor 2017).
As this historical overview shows, early linguistic approaches to translation focused on systemic differences between languages and developed semantic notions of equivalence to formalize internal mechanisms of textual transfer at sentence level. As the positivist epistemological orientation underpinning this body of scholarship began to lose its explanatory power, various disciplines in the humanities shifted the analytical lens onto more relativistic dimensions of translation – including the role of communicative situation, culture, and power. Since the 1990s, these aspects located at the interface between language and context have become more salient also in research work undertaken by linguists capitalizing on the affordances of new qualitative and quantitative research methods.
17.3 Translation and Context
Baker’s insight that the notion of context “is hardly ever subjected to scrutiny in its own right,” despite “being routinely invoked in much of the literature on translation and interpreting” (Reference Baker2006b: 322), drives her critique of three conceptualizations of context developed by scholars in the fields of pragmatics and linguistic anthropology that have the potential to facilitate new developments in translation studies. This section examines how each of these approaches to the study of context has been applied in translation research, drawing on examples from various areas within the discipline.
17.3.1 Social versus Cognitive Approaches
The first perspective is articulated around the distinction between social and cognitive approaches to context. In social approaches to context, the translation activity is examined against the sets of preexisting situational parameters and entities that mold real-world communicative encounters. Social perspectives on context in the field of translation studies, Reference BakerBaker (2006b) argues, are ultimately fashioned after Reference Hymes and GiglioliHymes’ (1964) Speaking model and its constitutive dimensions: Setting, pertaining to specific physical circumstances and the wider culture that encounters are embedded in; Participants, including members acting as overhearers or bystanders; Ends, understood as sets of outcomes and goals that may be individually or collectively pursued; Act sequence, pertaining to the way in which a text unfolds; Key, referring to the mood or tone of the communicative encounter; Instrumentalities, as in channels and forms of speech; Norms, or socially agreed forms of behavior or performance expected in any given setting; and Genre, which designates conventionalized types of communicative encounters. Context, as realized through this set of parameters, assists text producers and receivers in assigning meaning to linguistic form, particularly when “the linguistic form on its own supports a whole range of meanings,” some of which can then be “eliminated or downplayed” (Reference BakerBaker 2006b: 323).
As noted in Section 17.2, explorations of the impact of situational and cultural parameters on translational decisions have been informed primarily by applications of key Hallidayan concepts, notably register and genre, in translation studies (Reference HouseHouse 1977/1981; Reference Hatim and MasonHatim and Mason 1990, Reference Hatim and Mason1997; Reference BellBell 1991). But as sociological approaches to translation have gained recognition in recent years, a growing body of researchers have turned their attention to new aspects of the relationships between translators and other actors (Reference Chesterman, Ferreira Duarte, Assis Rosa and SeruyaChesterman 2006). Reference Gambier, Ferreira Duarte, Assis Rosa and SeruyaGambier (2006), who advocates a differentiation between the sociology of translations and of their translators, makes a strong case to explore translators’ life stories, professional status, career paths, or working conditions under the widening remit of translation studies.
This call has been heeded, among others, by scholars working on translation in digital culture. Technological advances have enabled the creation of networked communities of participatory translation, often consisting of individuals without formal training in interlingual and intercultural mediation (Reference Pérez-González and Susam-SaraevaPérez-González and Susam-Saraeva 2012). With translation, whether crowdsourced or unsolicited, emerging as a form of immaterial labor that enables the flow of translated content outside traditional publishing and media industry circles, it has become ever more important to understand the motivations of these individuals (Participants) to become involved in the translation of digital commodities as members of wider assemblages of affective production (Setting). Drawing on surveys as her core research method, Reference McDonough DolmayaMcdonough Dolmaya (2012) investigates whether and why Wikipedia volunteer English translators donate their labor for a range of other crowdsourced translation projects. The information these individuals provide on their previous translation experience and current occupation allows Mcdonough Dolmaya to identify a number of “intrinsic” and “extrinsic” motivations to translate. These reveal their personal perceptions of translation (Norms) and signal their willingness to translate for other crowdsourced translation projects (e.g., “cause-driven” vis-à-vis “product-driven” or “outsourcing-driven” initiatives) (Genres). Other studies (Reference McDonough DolmayaMcdonough Dolmaya 2011) focusing on blogs run by translation scholars and practitioners identify personal circumstances and the content of posts (Key) as explanatory parameters of bloggers’ attitudes toward translation, as well as the technological and ethical challenges associated with certain practices – thus opening new perspectives on the sociological dimensions of translation.
But social perspectives on context also drive research on more traditional areas of inquiry in translation studies. Placing the concept of retranslation at the center of his study, Reference JonesJones (2019) harnesses the power of corpora to scrutinize two language versions of Thucydides’ History of the Peloponnesian War, separated by more than one and a half centuries (Reference BloomfieldBloomfield 1829; Reference LattimoreLattimore 1998), and unveil how the ordinary population of Thucydides’ Greece (referred to in the Greek original by a range of expressions, including but not limited to “the common people”) is characterized in two different periods of modern English history. Bloomfield’s version published in the first half of the nineteenth century, on the one hand, shows a preference for “the multitude” – a derogatory expression signaling a certain degree of contempt for the lower social classes in early modern England. By contrast, Lattimore tends to favor phrases like “common people” or “the majority” with more positive connotations. While Bloomfield’s characterization of the ordinary population in Thucydides’ time foregrounds the heterogeneity and the competing desires of the group, Lattimore’s emphasizes solidarity and a sense of unity of will. Jones’ analysis explores a number of situational perspectives – including the translators’ political views at different points in history – to account for these choices:
The extent to which these choices are the result of deliberate, conscious strategies on the part of Lattimore or Bloomfield is of course extremely difficult if not impossible to assess. … [M]any forces are at play in the retranslation process and the differences observed must consequently be explained with reference not only to each translator’s personal politics, but also to broader trends of linguistic and ideological change within society at large. … Thucydides himself was a member of the Athenian aristocracy and it is now widely accepted that he was rather ambivalent in his opinion of democracy, remaining undecided in his assessment of the suitability of the ordinary Athenians to hold political power … [I]t is in my view likely that the patterns discussed above can be attributed at least in part to the radically diverging sets of stereotypical knowledge that have formed the schemata of interpretation for each translator’s representation of the non-elite members of the ancient Greek societies described.
The context (conceptualized as Setting in Hymes’ model) in which the two translators worked is bound to have provided Bloomfield and Lattimore with diverging experiences and social role knowledge of the ordinary class in their respective communities, thus filtering their personal interpretations of the way in which “the common people” behaved and acted in Thucydides’ History of the Peloponnesian War. In this case, studying translation from a situational perspective helps us to understand how different translators retrieved different meanings from the same linguistic expressions, based on the impact that the social structures they were embedded in had on their interpretation of Thucydides’ discourse.
Cognitive perspectives, on the other hand, regard context as a psychological construct. Under this approach, translational decisions are to be accounted in terms of the translator’s assumptions about who the target readers or viewers of a translated text are. Cognitive perspectives of context – as elaborated in the field of discourse studies by Reference Van DijkVan Dijk (2001a, Reference Van Dijk2001b) – have informed the work of researchers interested in pragmatic aspects of the translation activity. Reference LeppihalmeLeppihalme (1997), for example, examines whether Finnish readers are able to access the implicated premises that allusive passages in the original English texts were able to evoke in their original readership. As the English and Finnish versions are bound by their own genre conventions and influenced by their respective cultural traditions and intertextual networks, readers’ comprehension of implicatures in the target language may be facilitated or hampered by translators – specifically, by their assumptions about Finnish readers’ capacity to bring relevant contextual information to the text.
The extent to which meaning can be inferred from the interaction between a text and its context has also been examined in the context of Bible translation. Reference HillHill (2007) draws on the relevance-theoretic premise that readers expect texts to be as easily comprehensible as possible, thus following the “path of least interpretive effort” in processing said texts (Reference Wilson, Sperber, Horn and WardWilson and Sperber 2004: 613–614). More pointedly, Hill’s study focuses on the potential mismatch between the implicatures – namely the contextual assumptions or implications (Reference Sperber and WilsonSperber and Wilson 1995: 194–195) – that the original text evoked among its readers and those that can be realistically retrieved by a contemporary target audience. Hill argues that only by striking an optional “effort–benefit” balance can translators draw safe assumptions as to whether the audience of the translated text may be able to infer the intended meaning. Following Reference GuttGutt (2000), Reference HillHill (2007: 56–46) suggests that one way of tackling problems arising from the differences between the cognitive environments of source- and target-language readers is to “explicitate” the relevant implicated premises. This “contextual adjustment” or “contextual bridge” can be achieved both within the text, i.e., with the insertion of an explanatory word or a lengthier linguistic expression, or outside the text, e.g., by means of a footnote (pp. 45, 82–85). The relevance of specific sets of assumptions to understand how translated allusive texts are comprehended would have been unverifiable, were it not for the methodological innovations that translation studies has witnessed in recent decades. The reception studies undertaken by Leppihalme and Hills drew on interviews to establish whether readers had managed to work out intended implicated premises. Experimental reception studies have also been carried out by other researchers exploring how translators and their readers negotiate the interface between their respective cognitive environments (Reference DesillaDesilla 2012, Reference Desilla2014) – i.e., the set of assumptions that they share, as opposed to those that translators assume are shared (Reference HillHill 2007: 14).
More recently, cognitive perspectives on context have informed scholarly research on and professional practices in audio description. In this form of intersemiotic mediation, visual aspects of an audiovisual text that play an important role in driving the plot forward are “described” in spoken form for the benefit of visually impaired viewers during stretches of the film that feature no dialogue. Early scholarship on audio description therefore assumed that describers fashion their narration by drawing on their professional judgment and deciding how much and what type of information viewers need at any given point (Reference OreroOrero 2008). Translational decisions made by practitioners were thus held to be motivated by their impressions as to which elements of the visual context had to be encoded in spoken form to assist viewers in their comprehension of the film.
The arbitrariness stemming from the fact that the describers’ assumptions were unverifiable went unchallenged during the formative years of audio description studies. Relying on practitioners’ assumptions as a product of their own cognitive processes was acceptable because “[e]ven after watching the same film different people have different recollections and interpretations, and in some cases some details are observed by some while going unnoticed by others” (Reference Orero and VilaróOrero and Vilaró 2012: 297–298). But methodological advances enabled by technological developments have sought to address the arbitrariness that lies at the heart of cognitive perspectives on context. Eye-tracking analyses have been undertaken to gain a more systematic understanding of the reasons why viewers’ attention tends to be drawn to certain visual elements and the reasons why that is so. The premise underpinning this research strand is that, by establishing which visual components are more prominent for sighted viewers, researchers will be able to understand the role they play in facilitating the viewers’ comprehension of multimodal texts. By transferring these evidence-based insights to audio description practice through a set of empirically derived guidelines, audio describers should be able to “re-narrativize film more effectively for blind viewers” (Reference KrugerKruger 2012: 69). Research produced to date indicates that, based on their assumptions about the needs of sight impaired viewers, describers’ narrations have tended to prioritize visually salient elements. This was the case even when visually prominent elements did not have high “narrative saliency” – a distinction that audio description scholars have only recently become aware of, following the deployment of eye-tracking studies to complement and verify cognitively grounded assumptions (Reference Fryer and Pérez-GonzálezFryer 2019).
Social and cognitive approaches to the study on context in translation studies are not mutually excluding. Indeed, in trying to elucidate the type and scope of contextual information that their readers would be able to bring to the text, Bible translators like the ones placed at the center of Hills’ study will have drawn on their cognitive insights. Their understanding and perception of the situational context in which their contemporary readership is embedded will have acted as a lens, refracting their interlingual and intercultural mediation of the actors and events narrated in the source text.
17.3.2 Static versus Dynamic Approaches
For decades, translation scholars have tended to approach contextual variables as static parameters. From this standpoint, communicative encounters and the settings in which they are embedded tend to be theorized as stable environments “which the analyst can simply document and use to generate an analysis of events and behaviour” (Reference BakerBaker 2006b: 325). By focusing on ritualized conventions of culture and situational aspects of register as determinants of translational behavior, linguistic approaches to translation have prioritized the analysis of translation products, to the detriment of the process that led to their production. In the case of interpreter-mediated communication, for example, it was widely assumed by scholars endorsing static approaches that the role, status, or identities of the interactants could not shift in unforeseen ways during the encounters they were party to. From their perspective, interpreters could only aim to put foreign defendants “on an equal footing” with native speakers of the language spoken by the court, in line with professional conduct guidelines. Under these ethical codes of practice, interpreters should not attempt to explicate or elucidate elements which barristers or attorneys may have chosen to formulate in ambiguous, implicit, or unclear terms (Reference Schweda Nicholson, Martinsen, Carr, Roberts, Dufour and SteynSchweda-Nicholson and Martinsen 1997; Reference MorrisMorris 1999). Under the influence of early conceptualizations of context in the field of sociopragmatics, this early body of research on courtroom interpreting sought to understand “how activities make up patterns of activity and how, through their interrelation, they produce and reproduce the activities they compose” (Reference Sharrock, Anderson, Button and LeeSharrock and Anderson 1986: 293). However, in doing so, they took for granted the interactants’ tacit knowledge of and orientation to contextually appropriate behavior. Ultimately, this meant that early courtroom interpreting studies expected interpreters to show awareness of institutional conventions and be a “pane of glass, through which light passes without alteration or distortion” (Reference Schweda Nicholson and HammondSchweda-Nicholson 1994: 82).
Notions like “frame” and “footing” (Reference GoffmanGoffman 1974, Reference Goffman1981) and Gumperz’ notion of “contextualization cues” (Reference Gumperz, Duranti and Goodwin1992) served to “advance and develop a more complex and dynamic analysis of the ‘context’ of interaction” (Reference Drew, Heritage, Drew and HeritageDrew and Heritage 1992: 9). This dynamic perspective acknowledged the participants’ capacity to steer the unfolding of a speech encounter, based on the ongoing realignment of the speakers’ talk to ratify, contest, or ignore the trajectory of the interaction. This shift from context to contextualization in sociopragmatic scholarship drew a significant amount of scholarly attention to the study of “interaction-cum-interpretation.” This label encompasses “what is variously referred to in English as Community, Public Service, Liaison, Ad Hoc or Bilateral Interpreting” (Reference MasonMason 1999: 147) and typically takes the form of “triadic exchanges” (Reference Mason and MasonMason 2001) or “three-way interactions.” Reference Mason, Stewart and MasonMason and Stewart’s (2001) work on this interpreting mode is informed by applications of Reference GoffmanGoffman’s (1981) “participation framework” in interpreting studies (Reference WadensjöWadensjö 1998; Reference RoyRoy 2000). In their capacity as gatekeepers between institutional representatives and ordinary people, interpreters emerge “as speaking agents who are critically engaged in the process of making meaningful utterances that elicit the intended response from, or have the intended effect upon, the hearer” (Reference DavidsonDavidson 2002: 1275). Central to the participatory role that interpreters claim for themselves is their
perceived ownership of the meanings attaching to an interpreter’s output. In sites of linguistic and cultural difference – but even more so in sites of linguistic, cultural or situational inequality – the ability of each participant to control/preserve his/her own identity will be affected in a number of complex and interesting ways.
Acknowledging the potential for ongoing recontextualization – often in the form of interpreter-initiated turns, to ensure that the trajectory of the interaction is not unduly influenced by the bilingual dimension of the encounter – brings into sharp relief the involvement of interpreters in the co-construction of interpersonal meaning. Indeed, interpreters’ (inadvertent) decisions have been shown to alter the interactional expectations that lawyers attempt to set by choosing a specific type of question. Reference Pérez-GonzálezPérez-González (2006) focuses on lawyers’ use of nonrestrictive relative clauses as a noncoercive examination strategy to invite the defendant to elaborate freely on a previous response. As illustrated in Example (1), the nonrestrictive relative clause deployed in the lawyer’s question (Turn 5) is rendered by the interpreter as a restrictive polar interrogative in the defendant’s language (Turn 6):
(1) (Reference Pérez-GonzálezPérez-González 2006: 403)
[Participants: (S1) lawyer; (S2) defendant; (I) interpreter] 1 (S1) La vez anterior ya le había dicho dónde estaba la llave de la puerta del> e:::h del garaje de Las Matas, ¿no? [The previous time [she] had already told you where the key of the door of the garage in Las Matas was, right?] 2 (I) But she had already told you in your last visit where the key of the garage in Las Matas was, didn’t she? 3 (S2) She had told the three of us. [She had told us three.] 4 (I) Nos lo había dicho a las tres. 5 (S1) La cual seguramente sería demasiado pesada para abrirla con una mano en caso de necesidad. [Which would probably be too heavy to open with one had if it were necessary for you to do so.] 6 (I) And do you think you would manage to open it with only one hand, if you had to? 7 (S2) I shouldn’t think so. [I don’t think so.] 8 (I) No creo. 9 (S1) Ah> Así que ya la había abierto antes, ¿no? [Oh> so you had opened it before, right?]
As Pérez-González’s analysis shows, the interpreter’s version does not represent a major interpersonal shift – in terms of coerciveness, for example. However, it “modifies the pragmatic force of the original elicitation by substantially restricting the responder’s degree of freedom to design their own contribution” (Reference Pérez-González2006: 404). By eliciting a much more compact reply, the interpreters’ rendition disrupts the trajectory that the lawyer had envisaged for the parties’ negotiation of their interactional common ground; in particular, it alters the interactional frame against which the laywer (and the jury) assess the defendant’s eventual response.
Amid the ongoing shift from context to contextualization, the current groundswell of interest in nonverbal behavior is yielding new insights into the range of multimodal practices used to co-construct interactional meaning in interpreter-mediated encounters. The analysis of doctor–patient interviews, for example, has revealed how interpreters often deploy mediation strategies involving a “co-ordinated manipulation of several semiotic resources” (Reference PasquandreaPasquandrea 2011: 477), whose relevance has been attested to also in other settings, including but not limited to business meetings (Reference Bao-RozéeBao-Rozée 2016) and group-work sessions involving deaf and hearing students (Reference Slettebakk BergeSlettebakk Berge 2018). In a similar development, the study of interactional recontextualization in immigration hearings (Reference Mason, Baraldi and GavioliMason 2012) and pedagogical settings (Reference DavittiDavitti 2012) has revealed that all participants in triadic interaction make use of gaze shifts to manage turn-taking and signal (dis)engagement from other interactants. The combined deployment of gaze, body position, proxemics, object manipulation, and other gestures (Reference Davitti and PöchhackerDavitti 2015) are therefore being construed as instrumental to set up new participation frameworks at different points in the conversation (Reference Davitti and PasquandreaDavitti and Pasquandrea 2017: 105).
While not engaging explicitly with context, a growing body of studies informed by the notion of paratext is heightening awareness of the extent to which translators’ interventions can bring about a recontextualization of written texts. Reference GenetteGenette (1987, Reference Genette1997) elaborated the concept of paratext outside the field of translation studies to designate any element that delivers authorial commentary on a text or influences its reception. His typology of paratextual elements ranges from material elements, including typesetting and binding, to more discursive elements, such as prefaces, reviews, or interviews. When developing this typology of paratexts, Genette had in mind the reception of texts within the same community where they had been published. However, translation scholars have extended its domain of application to explore how it can inform studies on the reception of texts traveling across languages and cultures. As far as their recontextualizing role is concerned, paratexts have been shown to influence the perception and image of individual authors or entire countries by target cultures. Reference WattsWatts (2005) and Reference Kung, Fawcett, Guadarrama García and Hyde ParkerKung (2010), for example, have shown how Western publishers produce promotional blurbs and choose covers for translated novels with a view to enhance the “otherness” of the source culture or accentuate stereotypical representations of foreignness that target readers subscribe to. Although translators are not directly involved in the choice of paratextual elements at play in these examples, other studies show that translators can be directly involved in making paratextual choices. Reference AlkroudAlkroud (2018), for example, addresses the political, linguistic, and cultural conflict between Arab hegemony and Berber counter-hegemony in Morocco and Algeria. Gaining independence from France allowed both countries to assert themselves as Arab nation-states, deploying a homogenization strategy to promote Arabization and eradicate ethnic and cultural diversity within their territories. Marginalized within the newly created states, the Berbers disagreed on whether and how to negotiate the relationship between their culture and their own language (Tamazight), on the one hand, and the majority Arab identity, on the other hand. The range of perspectives participating in these debates is paratextually reflected in the publication of various translations of the Holy Quran into Tamazight between 1999 and 2017. Translators chose to signal their political stance through their choice of script for the Tamazight versions of the Quran. The Arabic script was chosen by the translator seeking to present the Berber identity as constitutive of the Arab culture and to foreground the religious significance of the text. Tifinagh, the Berber script, was favored by the translator wishing to celebrate the ancient indigenous Berber civilization and lay a claim to ethnic idiosyncrasy. By contrast, the Latin script was used by the translator aiming to anchor the new Berber identity in a context of modernity and technological innovation.
As Reference BatchelorBatchelor (2018) suggests, the notion of paratext as a recontextualizing device has attracted particular attention from literary translation scholars – in particular, those working with texts that have been subjected to censorship, inscribe contentious historical narratives, or focus on gender struggles, as they often make the mediation of the translator more visible to the reader’s eye. Recent publications (Reference Batchelor and BielsaBatchelor 2022, Reference QiQi 2021) are widening the scope of paratext-based research to the fields of audiovisual and news translation, including the participatory networks of text production and translation at the heart of digital media culture.
17.3.3 Neutral versus Power-Sensitive Approaches
The third and final perspective contrasts neutral with power-sensitive approaches to the study of context. This final strand of the interface between translation and context is inextricably interlinked with my earlier critique of static and dynamic approaches to context. Most traditional conceptualizations of context in translation studies – whether they treat it as a static set of constraints on how communication should unfold or contemplate the possibility that translators and interpreters may activate dynamic processes of contextualization at any given point – “often grant [it] an inert neutrality” (Reference Lindstrom, Duranti and GoodwinLindstrom 1992: 103, quoted in Reference BakerBaker 2006b: 329). Under both approaches, “context is a neutral field for the play of speech events, or is the cumulation of cognitive schemata that are cued to foreground past understanding” (Lindstrom, quoted in Reference BakerBaker 2006b: 329). But even when translators and interpreters deploy contextualizing strategies to address communication challenges following their professional judgment, rather than their audience’s or readership’s expectations, the participation framework that they set up may not be necessarily ratified by other actors in the spoken or written communicative encounter.
One of the most important challenges to the centrality of neutral perspectives on context is Reference BakerBaker’s (2006a) application of socio-narrative theories in translation studies. Narrative theory challenges entrenched assumptions in the discipline that translators are bridges enabling dialogue between cultures. In Baker’s view, this stance overlooks the extent to which translation, particularly when it is carried out in sites of conflict, is enmeshed in the negotiation of political and moral issues. The widely held view among translation scholars that translators and interpreters are neutral enablers overlooks the fact that, in their everyday work, all translators are either upholding or resisting the narratives that circulate in their environment, including those “that create the intellectual and moral environment for violent conflict” (Reference Baker2006a: 2). Should they choose to exercise their agency by dissociating themselves from the narratives that the text subscribes to, a “re-narration” of the original text will obtain. Re-narrations are often motivated by activist or ethical considerations (Reference Baker and Pérez-GonzálezBaker 2019) and involve challenging powerful political or institutional actors. Translators’ decisions to intervene and reconfigure the narratives inscribed in the original text, however, may also aim to pander to commercial interests for a variety of reasons.
The latter form of re-narration can be illustrated by the canonization of “life writing” works by Central American women located in the “periphery of world literature” (Reference CasanovaCasanova 2004). Through their translation into English, these revolutionary writings featuring ethnic female protagonists have managed to access the curriculum in Anglo-American universities, the US literary market and, more widely, the world literature canon. Reference De Inés AntónDe Inés Antón’s (2017) narrative analysis shows how the consecration of these revolutionary writings, translated from a “semi-peripheral” language (Spanish) to a “hyper-central” one (English), involves a significant reframing of the narratives underpinning the original Latin American works located at the periphery of world literature. The narratives of political radicalism and women’s agency inscribed in the source texts are re-narrated so that they can better resonate with mainstream narratives circulating in US universities and the publishing industry shaping world literature.
For example, Gioconda Belli’s memoir El país bajo mi piel. Memorias de amor y guerra (Reference Belli2001) is a love story narrated against the backdrop of an exotic and romanticized revolution – i.e., the Sandinista movement that Belli was involved in. Among other distinctive features, Belli places female subjectivity at the center of her memoir, writing openly about aspects of women’s intimate lives, including menstruation, birth, eroticism, and sex. De Inés Antón’s analysis shows how the translation published for the US market (The Country under My Skin, 2002) re-narrates Belli’s narratives of motherhood and female subjectivity, aligning them with conventional public narratives of Western feminism. Of particular note is the fact that, while political and sexual radicalism were inextricably interwoven in the original text, the English translation disentangles these narratives and presents them as two separate radicalisms. On the whole, this instance of re-narration shows how recent Central American “literary discourse has been disempowered politically, while paradoxically, being empowered as a commodity by globalising trends” (Reference AriasArias 2007: 25). The fact that Belli herself was involved in the production of the English translation is of particular interest here.
Within translation studies, neutral and power-sensitive perspectives on context have tended to foreground the extent to which institutional, political, and corporate commissioners have curtailed translators’ exercise of their professional judgment and focused on the impact that such restrictive or homogenizing codes of professional practice have had on the textual fabric of translated works (Reference Baker, Pérez-González and SimpsonBaker and Pérez-González 2011). However, the advent of digitization and the emergence of virtual communities of participatory translation have mounted an important challenge to the centrality of equivalence in translation studies and, more specifically, to the premise that translations should ultimately aim to convey approximate linguistic representations of the verbally encoded meanings or communicative intentions inscribed in the source text. This shift is particularly evident in subtitling, one of the most salient forms of translation in digital culture. In this site of media content production and consumption, subtitling is increasingly carried out by activist, fandom, or crowdsourcing communities of like-minded individuals (Reference Pérez-GonzálezPérez-González 2014), who become involved in subtitling to advance a cause, support idols, or assist in the development of commercial products. Significantly, in these networks of collaborative translation affectivity emerges as a powerful nonrepresentational variable. Rather than aiming to deliver an equivalent (understood as “accurate” or “faithful”) version of the source dialogue or narration, subtitles seek to intervene performatively in the reception of audiovisual content, “forging mutual recognition and social bonds between subtitlers and receivers” (Reference LeeLee 2021: 6). In order to attend to their audiences’ expectations, these communities of participatory translation challenge the profit-oriented logic of the market economy and the legal apparatus that props up sanctions for copyright infringement – an offense that lies at the very heart of unsolicited translation. Although the media industry has by and large opted to take legal action against these networks, communities of participatory subtitling continue to challenge the subservience of translators to the dictates of economic and political power and corporate regulation during the era of patronage-driven translation.
17.4 Conclusion
In keeping with the overarching theme of this volume, this chapter has surveyed key developments on the role that context has performed and will continue to play in driving translation studies forward, against the shift in scholarly discourses on context in the language sciences – away from static perspectives toward the socially constituted processes of negotiation captured by the notion of contextualization.
Structured around three perspectives on the study of context, each of which has been conceptualized as a cline between a pair of polarities, this chapter has shown how the discipline of translation studies has been considerably enriched through its more intense and sustained engagement with dynamic and power-sensitive understandings of context. As the transition from the twentieth-century electronic culture to the twenty-first-century digital culture continues to unfold and translation studies becomes fully emancipated from linguistics, scholars in the discipline are increasingly aligning themselves with dynamic conceptualizations of context. While power asymmetries and their concomitant sociocultural constraints on the production and reception of translated texts cannot be overlooked, translations are increasingly construed and investigated as sites of negotiation between actors furthering their own agendas and capitalizing on more democratic access to technologies of text production and distribution. Against this backdrop, the emergence of ever more complex forms of translation authorship and agency is exposing the limitations of traditional disciplinary discourses on translator agency and translation ethics. More importantly, this development is also raising new questions about how translation studies can engage with fast-evolving forms of digital literacy in the predominantly multimodal textual genres that underpin processes of political deliberation and affective sociality in the information and knowledge society.
18.1 Introduction
Clinical linguistics is the branch of linguistics that characterizes and attempts to explain the many ways in which language may be impaired. It is a foundational discipline of study for those who seek to practice the profession of speech-language pathology (in the US) or speech and language therapy (in the UK). Yet, not much is known or written about the different ways in which clinical linguistics, and the language disorders it studies, intersects with context, a core concept in the study of language. In this chapter, I plan to put clinical linguistic applications of context center stage. In an important sense, this is long overdue. While disciplines like pragmatics and sociolinguistics have always explicitly examined context, the concept has been somewhat hidden in the background of work in clinical linguistics. And yet no language disorder can be adequately characterized, assessed, or treated apart from a range of contexts. The language-impaired child who talks to a parent at home encounters contextual variables in this setting that are quite different from those that he/she must navigate when communicating with a teacher at school or with a friend in the playground. Context weaves its way through each of these spoken interactions, making some aspects of communication challenging while facilitating other aspects. The clinical linguist can no more afford to shun context than the sociolinguist can afford to overlook the influence of social class, gender, and age on language. This will be my starting point in the discussion to follow.
The chapter will unfold along the following lines. In Section 18.2, we examine the scope of clinical linguistics and consider its relationship to the related profession of speech-language pathology. This section will also examine language disorders, a prominent category of communication disorders, as well as other main categories of communication disorder that can be found in children and adults.
In Section 18.3, the concept of context is explored as it relates to clinical linguistics and speech-language pathology. Five themes are introduced to facilitate the discussion. Children and adults with language disorder can make nonnormative use of context, with implications for both their interpretation and their expression of language. We examine some populations of language-disordered children and adults where this is most evident (theme 1). Some individuals with language disorder can usefully exploit context to compensate for their impaired language skills, while for others context overwhelms their language processing abilities, leading to characteristic anomalies in their use of language. We consider these opposing responses to context in people with language disorder (theme 2). The language disorders clinic is the context in which language skills are most often evaluated and treated. And yet this environment does not represent how children and adults use language across educational, social, and work contexts in their everyday lives (I refer to this as the “clinic paradox”). We consider the limitations inherent in using a clinical setting to understand something as dynamic as language disorder (theme 3). To address the clinic paradox, speech-language pathologists must consider the ecological validity of the instruments they use to assess language skills (theme 4) and how intervention can be tailored to contexts that are salient in the lives of clients (theme 5). The chapter concludes in Section 18.4 with some reflections on how clinical linguists and speech-language pathologists may integrate context more fully into their work.
18.2 The Scope of Clinical Linguistics
Many of the “prefixed” disciplines in linguistics (e.g., sociolinguistics, psycholinguistics, and neurolinguistics) have arisen as it became apparent to linguists that new terms and concepts were needed to characterize certain linguistic phenomena. The same is true of clinical linguistics. It is difficult to mark the exact starting point of any linguistic discipline. But we can do no better than look to the work of British linguist David Crystal for the first book bearing the title of this new field of linguistic study (Reference Cummings and AronoffCummings 2014a). Published in 1981, Crystal’s book defined clinical linguistics as “the application of linguistic science to the study of communication disability, as encountered in clinical situations” (1981: 1). Crystal’s definition made it clear that clinical linguistics was not a purely academic discipline, and that the purpose of the field was to understand “communication disability … in clinical situations.” From this early starting point, the connection between clinical linguistics and individuals with communication disability in speech therapy clinics was explicitly forged. This connection remains as strong today. But before we examine this relationship in more detail, it is worth considering what else Crystal has said about clinical linguistics. In a later definition, he teases apart the linguistic aspects of the discipline. Clinical linguistics is “the application of linguistic theories and methods to the analysis of disorders of spoken, written, or signed language” (Reference CrystalCrystal 1997: 418). This definition helpfully moves us beyond the common misconception that all language disorders involve spoken language. They do not. When an adult develops aphasia (an acquired language disorder) as a result of a stroke or a cerebrovascular accident (to give it its medical term), the ability to produce and comprehend written language is as likely to be disrupted as the ability to produce and comprehend spoken language. If this same adult is a user of a signed language like American Sign Language prior to his or her stroke, the ability to produce and comprehend manual signs may also be impaired. Language disorders compromise the understanding (reception) and production (expression) of linguistic symbols in all modalities, spoken, written, and signed. Let us examine some of these disorders in more detail by considering three distinctions used by clinical linguists to classify language disorders.
The first distinction concerns the difference between a developmental and an acquired language disorder. For most children, the acquisition of language in the developmental period is a process that requires no effort or special instruction. However, for a sizable minority of children, first language acquisition is anything but straightforward or effortless, resulting in a developmental language disorder. These children may be born with a genetic syndrome and have intellectual disability that makes it difficult or, in severe cases, impossible to acquire language. Alternatively, children may be born with an anatomical defect of their articulators (e.g., cleft lip and palate) that results in deviant speech sound substitutions such as the replacement of oral stops with a glottal stop (e.g., cat /kæt/ → [ʔæt]). The collapse of distinction between the oral plosives – they cannot be distinguished when they are all realized as a glottal stop – leads to a phonological disorder, as important contrasts in the child’s sound system are lost. As a result, the child’s language disorder is developmental in nature as the acquisition of phonology is compromised.
For other children and adults, they can acquire language along normal lines, only for an illness, injury, or disease to lead to its impairment. This gives rise to an acquired language disorder. For example, the adult with previously normal language skills who has a stroke or develops a brain tumor and cannot form and understand questions has an acquired language disorder. Similarly, a 16-year-old child may sustain a head injury in a road traffic accident and lose the ability to produce well-formed, grammatical utterances. The impairment of grammar in this case, too, is an acquired language disorder even though the impairment occurs in a child. This is because the distinction between a developmental and an acquired language disorder rests ultimately on how much language has been acquired by the time an injury or illness occurs. In a 16-year-old child, many aspects of language acquisition, including the acquisition of phonology and grammar, are complete. In the same way that children can have acquired language disorders, adults may have developmental language disorders. For example, an individual who is born with a genetic syndrome like Down syndrome will continue to experience into adulthood the same impairment of language skills that arose in the developmental period as a result of intellectual disability. This individual has a developmental language disorder even as an adult.
Clinical linguists also draw a distinction between an expressive and a receptive language disorder. In an expressive language disorder, the ability to formulate a sentence or an utterance is compromised. For example, the child with intellectual disability who cannot form sentences containing a relative clause or a passive voice construction has an expressive language disorder. Similarly, the adult with Alzheimer’s dementia who cannot retrieve the words needed to produce a spoken utterance also has an expressive language disorder. Expressive language disorders often occur alongside deficits in receptive language. In a receptive language disorder, the ability to comprehend or understand language is compromised. For example, a child with intellectual disability may also be unable to understand utterances that contain a relative clause or a passive voice construction. Similarly, the comprehension of words and their meanings may be disrupted in an adult who sustains a stroke. It is important to recognize that the impairment of language comprehension is not related to a sensory deficit (e.g., hearing loss) – the child or adult with an expressive language disorder can adequately hear, for example, the spoken utterance but cannot decode its linguistic structure and interpret its meaning. In the same way, an impairment of expressive language is not related to a loss of movement of the speech articulators, although a speech disorder may also be present. Rather, it results from an inability to select and encode the linguistic structures that are required to express an utterance.
A third distinction that is acknowledged by clinical linguists is the distinction between a speech disorder and a language disorder. Speech and language are frequently treated as one and the same thing. However, for clinicians and clinical linguists, they represent quite separate components of communication. Speech production is a complex motor activity that requires the integration of several biophysical processes such as nerve impulse transmission and muscle contraction. If any part of this complex, highly integrated motor system is disrupted, a speaker can have a speech disorder such as dysarthria or apraxia of speech. For example, a child may be exposed to a viral infection in utero that damages the development of the motor centers in the brain, causing a condition called cerebral palsy. As well as impaired voluntary movement of the limbs, head, and torso, a child with cerebral palsy may experience impaired movement of the speech articulators, resulting in developmental dysarthria. The impairment of speech production may be mild, moderate, or severe, leading to varying levels of unintelligibility. But even in the child with cerebral palsy who has severe dysarthria, possibly necessitating the use of an alternative communication system, expressive and receptive language skills may nonetheless be intact. A quite different situation arises in the adult with non-fluent aphasia who may struggle to produce even one- or two-word utterances. For this adult, the problem with the production of spoken utterances relates solely to difficulty encoding language and is not in any way related to the production of speech. This adult has a language disorder in the absence of a speech disorder.
It can be seen from the above discussion that no account of language disorders is possible in the absence of the children and adults who have these disorders. To understand their impairments of language, we must know something of the developmental disorders and other conditions that are the aetiology of these impairments. This requires us to look beyond language and engage with medical and scientific disciplines that, like clinical linguistics, are also foundational to speech-language pathology. And indeed, what we find is that clinical linguistics is one of several disciplines that speech-language pathologists must study in order to assess and treat children and adults with language disorders (Reference CummingsCummings 2018). But speech-language pathology extends more widely than clinical linguistics in another important respect. For the clinicians who practice this profession are concerned with the assessment and treatment of all communication disorders, and not just disorders of language. Communication disorders include fluency disorders like stuttering, voice disorders like alaryngeal communication following laryngectomy (surgical removal of the larynx), and hearing disorders like conductive hearing loss. Communication disorders also include speech disorders such as dysarthria, which, as we have already seen in Section 18.2, are properly set apart from language disorders (see Figure 18.1).
Figure 18.1 Communication disorders
But even the broad grouping of communication disorders does not exhaust the scope of practice of speech-language pathology. For some years, the assessment and treatment of swallowing disorders (dysphagia) in children and adults have also been part of the professional remit of speech-language pathologists. It emerges that speech-language pathology is a broad, interdisciplinary area of clinical practice that draws on the concepts and theories of clinical linguistics in much the same way that it draws on disciplines like neurology, psychology, and anatomy. The mutual dependence of speech-language pathology and clinical linguistics will be integral to the discussion of context in the next section.
18.3 Context in Clinical Linguistics
It should be apparent by now to readers that when we discuss clinical linguistics, we must also consider the related profession of speech-language pathology. This will provide the backdrop for the discussion of the present section. Speech-language pathology weaves its way through each of the five themes that will be used to address context in clinical linguistics in this section.
The first theme concerns what is known about how children and adults with language disorders process context. This processing deviates markedly from normative uses of context, with terms such as “context insensitivity” used to capture clients’ difficulties. The second theme examines how for some children and adults with language disorder context can be a barrier to communication, while for others it can serve to facilitate communication. In the latter use, context can be a powerful strategy in the compensation of impaired receptive and expressive language skills. The third theme examines the role of context in the language disorders clinic. Clinics in speech-language pathology present something of a paradox. They aim to equip clients with language skills that will serve them in their daily lives, but they are constrained to do so from within a setting that is quite unlike most natural language contexts. We examine how clinicians attempt to resolve this paradox. The fourth theme examines context in relation to language assessment and considers how clinicians have increasingly moved beyond word- and sentence-testing formats to adopt assessments with greater ecological validity. The fifth theme considers context from the point of view of language intervention and considers how this concept is embedded in a client’s therapy goals, among other aspects of intervention.
18.3.1 Theme 1: Nonnormative Use of Context in Language Disorder
To the extent that there is a normative use of context, it may be characterized in the following terms. Context can be overwhelming for our cognitive and sensory resources. The reason it does not actually overwhelm our mental resources, even though it has the potential to do so, is that we are particularly adept at attending to certain aspects of context and suppressing other aspects. Our skill in navigating context often only becomes apparent when that ability momentarily breaks down and we misinterpret a written or spoken utterance. This happened to me recently when reading the following headline in an online news article:
Husband of teacher accused of having sex with pupil says they were trying for a baby
When I read this headline, I understood – or as it turned out, misunderstood – that it was the husband who was accused of having sex with the pupil. What led me to interpret the past participle clause <accused of having sex with pupil> as relating to the noun phrase husband instead of teacher? Maybe it was my background belief – or some might say my biased thinking – that men are more likely than women to engage in an illicit sexual relationship with a school pupil. I had possibly allowed this belief to have greater sway in my interpretation of the utterance than was strictly warranted. I had maybe also not attributed enough significance to the fact that the woman in this scenario was a teacher and, as such, was more likely than her husband to have contact with the pupil in question. If I had done so, I may have avoided my error of interpretation altogether. Whatever was the source of my error, it demonstrates very clearly the fine line that we tread with context during the interpretation of any utterance. The question now is whether children and adults with language disorder can tread this same line.
The difficulties that many children and adults have with context can be characterized in one of two ways. Firstly, children and adults may be unable to inhibit or suppress aspects of context so that a part of context that might not ordinarily be prominent comes to dominate interpretation. This is a more exaggerated form of the behavior that I displayed when one of my background beliefs became unduly salient, leading to an erroneous interpretation of a news headline. This lack of context inhibition is supported by clinical studies. For example, Reference Titone, Levy and HolzmanTitone et al. (2000) examined use of context during a semantic priming task in eighteen patients with schizophrenia and twenty-four non-psychiatric controls. When sentences moderately biased the subordinate (less common or nondominant) meanings of words (e.g., the animal enclosure meaning of pen), controls showed priming only of subordinate target meanings, while patients with schizophrenia showed priming of subordinate and dominant target meanings (in the case of pen, the writing implement meaning of the word). In other words, while controls were able to inhibit dominant target meanings, a similar inhibitory effect was not observed in patients with schizophrenia. Reference Wiener, Connor and OblerWiener et al. (2004) reported an impairment in inhibition at the lexical-semantic level of language processing in five individuals with Wernicke’s aphasia. This impairment correlated with significant reductions in auditory comprehension, revealing that a failure to inhibit automatically evoked, distracting stimuli was integral to the comprehension deficits of these aphasic individuals.
What might a failure to inhibit aspects of context look like in children and adults with language disorder? In terms of receptive language, we might expect to see a predominance of the dominant meanings of words during interpretation even when these meanings should be inhibited. This could see idioms, metaphors, and other figurative forms of language interpreted literally, as the literal meanings of the words in these expressions are typically their dominant meanings (Reference CummingsCummings, 2009, Reference Cummings2014b). For example, the English expression to kick the bucket means ‘to die or to pass away.’ The literal (dominant) meaning of bucket makes no contribution whatsoever to the meaning of this idiom. Yet, there are innumerable examples of children and adults with language disorder failing to inhibit the dominant meaning of words in idiomatic and metaphoric expressions and interpreting them in a literal fashion in consequence.
In the examples below, an adult with right-hemisphere damage (RHD) is explaining the meaning of figurative expressions in the Metaphors subtest in the RICE-3 (Reference Harper, Cherney and BurnsHarper et al. 2010). The speaker with RHD fails to inhibit the dominant meanings of the words in these figurative expressions, leading to a literal interpretation in each case:
A stitch in time saves nine.
“If you have a hole in your sock, sew it up before it gets to be a great big sock and one stitch will fix it early on but later it will take nine stitches.”
It takes two to tango.
“It takes two to dance, it’s not much fun if you’re just dancing by yourself, so it takes two to tango.”
When asked to explain the meaning of the metaphor in the utterance My friend’s mother-in-law is a witch, a male patient with RHD examined by Reference Abusamra, Côté, Joanette and FerreresAbusamra et al. (2009) replied as follows:
“It means being tied down to religious sects, to religions, to umbanda.”
Yet again, the failure to inhibit the dominant meaning of the word witch leads the speaker toward a literal interpretation of the meaning of this utterance.
In terms of expressive language, reduced inhibition of context might result in the intrusion of irrelevant information in response to questions. The following exchanges between a researcher (R) and a child participant (P) with autism spectrum disorder (ASD) were recorded as part of a study by Reference De Villiers, Myers, Stainton, Macaulay and Garcés-ConejosDe Villiers et al. (2012). In each exchange, the child with ASD is unable to suppress information that is not relevant to the researcher’s question. This occurs immediately after a response to a question has been given. It gives the appearance in each exchange that there is a highly activated wider context that the child is then unable to inhibit:
Exchange 1:
R: who’s in your family?
P: hm I don’t know.
R: are there five of you?
P: yes.
P: my cat.
Exchange 2:
R: Do you have a sister?
P: Yes and she won!
R: What did she win?
The failure to inhibit context is strikingly evident in the following response of an adult with schizophrenia to a question from a doctor (Reference Thomas, France and MuirThomas 1997). The extended reply addresses several irrelevant topics and suggests widespread activation of context that the adult is unable to inhibit:
Then I left San Francisco and moved to … where did you get that tie? It looks like it’s left over from the 1950s. I like the warm weather in San Diego. Is that a conch shell on your desk? Have you ever gone scuba diving?
Each of the above difficulties relates to a failure of contextual inhibition. Too much context is primed or salient, and the child or adult with language disorder is unable to suppress this activated information. It then intrudes into an individual’s responses to questions or leads to literal interpretation of figurative utterances.
But children and adults with language disorder make nonnormative use of context in a second way. This arises when context is insufficiently activated. Alternatively, context may be activated, but the child or adult with language disorder is unable to attend to it during their processing of utterances. There is also evidence from clinical studies that this type of context insensitivity pervades language processing in individuals with language disorder. To illustrate this point, we need only consider research on social cognition and theory of mind in ASD (Reference Cummings, Capone, Lo Piparo and CarapezzaCummings 2013, Reference Cummings and Cummings2014c, Reference Cummings, Poggi and Capone2017). Children and adults with ASD have a significant impairment of theory of mind (ToM). This manifests as a failure to attribute cognitive mental states like knowledge and beliefs and affective mental states like happiness and anger to the minds of others. The ToM deficit in ASD is vividly illustrated in a study by Reference Loukusa, Leinonen, Jussila, Mattila, Ryder, Ebeling and MoilanenLoukusa et al. (2007). These researchers read the following scenario to a 7-year-old boy with Asperger’s syndrome, a form of ASD. The boy was then asked a question:
The researcher shows a picture of a boy sitting on the branch of a tree, with a wolf underneath the boy at the bottom of the tree. The wolf is growling at the boy. A man with a gun is walking nearby. The researcher reads the following verbal scenario aloud and then asks a question: “The boy sits up in the tree and a wolf is at the bottom of the tree. How does the boy feel?”
Boy: Fun because he climbs up the tree. I always have fun when I climb up a tree.
The boy’s response reveals a deficit in affective ToM in that he is unable to detect the fear that the boy in the picture will experience in the presence of a wolf. This failure to perceive the mental state of the child in the picture is a type of context insensitivity that has implications for the interpretation of language. For if we cannot establish the mental states of a speaker, then we cannot establish the communicative intentions that motivate a speaker to produce utterances. As a result, many of the implicatures, speech acts, and other forms of language that we regularly encounter and take for granted cannot be adequately interpreted. By way of illustration, let us return to another example from Reference Loukusa, Leinonen, Jussila, Mattila, Ryder, Ebeling and MoilanenLoukusa et al. (2007). On this occasion, a 9-year-old boy with Asperger’s syndrome is presented with a scenario and asked a question:
The researcher shows the child a picture with a mother and a girl. The girl has a dress on and she is running. There are muddy puddles on the road. The girl has just stepped in the puddle and the picture shows the mud splashing. The researcher reads the following verbal scenario aloud and then asks a question: “The girl with her best clothes on is running on the dirty road. The mother shouts to the girl: ‘’Remember that you have your best clothes on!’’ What does the mother mean?”
Boy: You have your best clothes on.
Clearly, the mother is using her utterance to warn the girl to keep her clothes clean. This speech act is only understood when the communicative intention that motivated the mother to produce it is established. However, because of his ToM difficulties, the boy with Asperger’s syndrome cannot attribute this intention to the mother. Instead, he merely reasserts part of the mother’s utterance, with no appreciation of what it is intended to achieve. The mother’s mental states are part of the boy’s context for the interpretation of the utterance. However, this part remains inaccessible to him on account of his ToM difficulties.
This same insensitivity to context is also seen in children and adults with other clinical conditions (see, for example, Reference Champagne-Lavau, Cordonier, Bellmann and FossardChampagne-Lavau et al. (2018) for RHD and Reference Whiting, Copland and AngwinWhiting et al. (2005) for Parkinson’s disease). Reference Colle, Angeleri, Vallana, Sacco, Bara and BoscoColle et al. (2013) investigated the production and comprehension of a range of pragmatic aspects of language in seventeen adults with schizophrenia. Participants were required to process linguistic and nonlinguistic features of context to establish the meaning of utterances including direct and indirect speech acts and irony. One scenario used in the study is presented below:
The subject is shown a videotaped scenario in which a boy and a girl are eating a disgusting soup. The boy smacks his lips with a gesture meaning “It’s very good!”
Test question and subject’s response:
What did the boy mean by that? He meant to say that she cooked a delicious soup.
The boy is clearly being ironic – the soup is anything but delicious. However, the adult with schizophrenia in this scenario does not appreciate the irony in the boy’s statement. His failure is related to his apparent difficulty in attributing significance to the boy’s gesture alongside explicit information that the soup is delicious. One way to conceive of this difficulty is that the adult’s context for the interpretation of the boy’s utterance is not fully activated. Alternatively, the adult’s context may be fully activated, but he fails to attend adequately to it. Either way, it is the adult’s insensitivity to context that leads to his failure to interpret the irony of the boy’s statement.
18.3.2 Theme 2: Context as a Barrier to, and Facilitator of, Communication
We have already seen how context can be a barrier to communication when children and adults with language disorder fail to inhibit context or are insensitive to context. But we have not addressed the ways in which context can facilitate communication in individuals with language disorder. To illustrate what is at issue, let us consider how context normally facilitates the interpretation of utterances. I must draw on context to understand each of the following utterances:
(1) The body was discovered next to the bank.
(2) What a delightful child!
(3) We lived here 20 years ago.
The lexical ambiguity in (1) is resolved by means of context. I can use my knowledge of what has already been said in a conversation, my memory of a news report on the television, or a picture in the local newspaper to establish that the bank in utterance (1) is the bank of the local river and not the bank on the main street in the center of town. The irony of (2) is apparent to anyone who is present when the speaker produces the utterance and observes a boisterous child creating havoc and destruction. To interpret (3) requires that I know the referents of the deictic expressions we and here. Knowledge of the speaker of the utterance and other people present in a conversation might get me some of the way in identifying the referent of we, while I must know the speaker’s location to establish the referent of here.
Context weaves its way seamlessly through my interpretation of each of the above utterances. But imagine that I have language disorder and I can only understand part of the linguistic utterance that I hear. How does my relationship to context change under these circumstances? In the presence of a degraded linguistic code, I have no option but to rely more heavily on wider context to establish the meaning of the speaker’s utterance. On many occasions, my reliance on context pays off and I can establish what the speaker means – that the utterance in (2) is an example of irony based only on the speaker’s exasperated facial expression and the presence of a destructive child. On other occasions, my reliance on context lets me down and I misinterpret what the speaker is saying – that the speaker of the utterance in (1) uses bank to mean financial institution because I have just seen him exiting the bank in town. In each case, context is filling the void that has been created by my impaired receptive language skills. The role of context has moved beyond one of facilitation, typical of normal utterance interpretation, to become one of compensation. I can also use context to compensate for impaired expressive language skills, such as when I point to objects that I cannot name, or when I rely on my conversational partner to supplement my spoken message.
The use of context to compensate for impaired language skills is well attested in clinical research and practice. I investigate the impact of neurodegeneration on language in my research (Reference CummingsCummings 2020, Reference Cummings2021). I am repeatedly struck by how well my study participants appear to manage the demands of conversation, only for their linguistic performance to drop off markedly during structured tasks when they cannot draw on context so easily to compensate for their impaired language skills. Early studies in aphasiology also highlighted the role of context in compensating for impaired receptive language skills in people with aphasia (Reference Waller and DarleyWaller and Darley 1978; Reference Pierce and WagnerPierce and Wagner 1985; Reference Cannito, Jarecki and PierceCannito et al. 1986; Reference Hough, Pierce and CannitoHough et al. 1989). Linguistic and extralinguistic context has been shown, for example, to facilitate comprehension of specific lexical items and reversible passive sentences (e.g., The cat was chased by the mouse) in aphasic individuals with low comprehension skills on standard tests of auditory comprehension, but not in aphasic subjects with higher-level auditory comprehension skills (Reference Pierce and BeekmanPierce and Beekman 1985). The use of context to compensate for impaired receptive language has also been demonstrated in children with Down syndrome (Reference Levorato, Roch and BeltrameLevorato et al. 2009) and adults with schizophrenia (Reference Chakrabarty, Sarkar, Chatterjee, Ghosal, Guha and DeogaonkarChakrabarty et al. 2014).
The same compensation is evident during language expression. People with aphasia have been shown to use pantomime to compensate for information that they cannot convey in speech (Reference Van Nispen, Mieke, van de Sandt-Koenderman and Krahmervan Nispen et al. 2018). Young children with language delay have been found to make use of communicative gestures to compensate for their small oral expressive vocabulary (Reference Thal and TobiasThal and Tobias 1992).
Children’s reliance on context to compensate for impaired expressive language skills is vividly demonstrated in the following conversational exchange between a boy known as JB and an examiner (E) (Reference McCardle and WilsonMcCardle and Wilson 1993). JB has FG syndrome and agenesis of the corpus callosum (partial or complete absence of the nerve fibres that link the two cerebral hemispheres of the brain). He is developmentally delayed. JB sat at 15 months, walked at 26 months, and used phrases at 3 years (typically developing children start using phrases between 18 months and 2 years of age). He was 5 years and 7 months old at the time of the recording:
E: Tell me about your dog.
JB:
E: What’s your doggie’s name?
JB:
JB has very limited expressive language skills. He produces short utterances between one and four words in length. He omits the suffixes of verbs (e.g., go-es) and uses onomatopoeia (woof-woof) instead of lexical verbs (bark). His use of subject pronouns is inconsistent, with pronouns used on some occasions when they are needed (they go pee-pee), but not used on other occasions (smell). However, FB effectively compensates for these expressive language difficulties through use of pointing, manual gestures (holding his nose), and full body movements (kicking the air).
18.3.3 Theme 3: The Role of Context in the Language Disorders Clinic
Children and adults with language disorder are assessed and treated by speech-language pathologists in a range of different contexts. Typically, these contexts involve clinics in hospitals, schools, and residential care settings. Less commonly, clinicians visit clients in their own homes. Apart from home visits, the contexts in which most speech-language pathology takes place often deviate markedly from communication in the mundane contexts of daily life. A clinical encounter seldom involves the number and type of participants with whom we routinely communicate or reflects the social relationships that exist between speakers and hearers in work and leisure settings. These factors have a direct impact on the type of language that is used in clinics. For example, clients seldom feel empowered to pose questions in a clinical setting, let alone contest the validity of an assessment or intervention. Restricted use of these speech acts by clients in a language disorders clinic reflects the unequal power that exists between patients and clinicians in many medical and health interactions (Reference Nimmon and Stenfors-HayesNimmon and Stenfors-Hayes 2016). Speech-language pathologists must address a pressing “clinic paradox”: they are constrained to assess and treat children and adults with language disorders in a clinical context that bears little similarity to the real-life contexts in which most communication takes place. Some reflection on this paradox and its implications for the language disorders clinic is in order.
To help us conceive of the different ways in which context relates to the language disorders clinic, it is helpful to introduce a distinction between micro-context and macro-context. As these terms suggest, these different types of contexts relate largely to scale. A micro-context captures features of a task, exercise, or interaction that have the potential to influence how these activities are performed. A therapist’s question is a linguistic micro-context for a client’s answer in conversation. A picture is a visual micro-context for an auditory comprehension activity. A set of objects or toys is a physical micro-context for an instruction to put the spoon on top of the box. Micro-context operates alongside macro-context in the language disorders clinic. The latter type of context captures the setting in which an interaction between a therapist and a client takes place, the people who are present in an interaction (spouse or carer in addition to the therapist and client), the duration of an interaction, and the time of day that it takes place. Macro-context can extend more widely still to include a client’s social network, leisure activities, and occupational role. Features of macro-context can also influence how a client performs a range of activities. The presence of a spouse may facilitate or hinder conversation in a client with aphasia. A spouse can elicit target words with skilled use of cues or can create frustration and reduced conversational participation through use of sequences of test questions to which the answers are already known (Reference Beeke, Beckley, Best, Johnson, Edwards and MaximBeeke et al. 2013).
Speech-language pathologists are increasingly reflecting on the implications of both types of context for how they assess and treat clients with language disorders. Formal language tests were once the dominant approach to language assessment. These assessments adopt a tightly constrained micro-context consisting of instructions to point to objects or pictures that correspond to spoken words or sentences. If such a thing as “pure” linguistic competence exists, the scores on these tests are presumed to represent it. We will see below how speech-language pathologists have expanded the micro-context of language evaluation through use of techniques like conversation analysis and discourse analysis. Embedded within a conversation or a narrative, a client’s linguistic utterance relates to a much wider micro-context, consisting of the speaker’s and the hearer’s mutual expectations and shared knowledge about the world.
The macro-context in which speech-language pathology is practiced has also been substantially revised. Speech-language pathologists are now as likely to address in therapy reduced participation in activities outside of the home as they are a goal such as the ability to use three-word utterances to communicate daily needs in response to pictures with 75 percent accuracy. A significant driver of this change in speech-language pathology and other health disciplines has been the introduction of the International Classification of Functioning, Disability and Health (ICF; World Health Organization, 2001). The ICF framework and its impact on the macro-context of the language disorders clinic are discussed further below.
18.3.4 Theme 4: Context and the Assessment of Language in Speech-Language Pathology
Formal language tests have long been used by speech-language pathologists to assess language skills in children and adults. It is easy to see why this is the case. When they are standardized and norm-referenced, formal tests permit an objective assessment to be made of a person’s language skills at different points in time. This may be before and after an intervention has taken place so that we can measure the effects of treatment. Alternatively, formal testing can be conducted at different points in time in order to gauge a client’s language recovery following a stroke or traumatic brain injury, for example. Formal tests can also be used to compare a client’s language skills to those of a healthy population or a population of other people who have the same condition as the client (e.g., aphasia). The administration and scoring of formal tests and interpretation of their results are explicitly set out in instruction manuals and are not subject to individual judgments. Formal tests would appear to be an effective, accurate way in which to assess a client’s language skills. However, these advantages of formal tests are achieved at the expense of ecological validity. As defined by Reference Dawson and MarcotteDawson and Marcotte (2017), ecological validity refers to “generalisability (veridicality, or the extent to which assessment results relate to and/or predict behaviours outside the test environment) and representativeness (verisimilitude, or the degree to which assessments resemble everyday life contexts in which the behaviours will be needed)” (p. 617). There are many examples of the low generalizability and representativeness of formal language tests.
By way of illustration, consider how language skills are assessed in the Clinical Evaluation of Language Fundamentals – Fifth Edition Metalinguistics (CELF-5 Metalinguistics; Reference Wiig and SecordWiig and Secord 2014). This assessment is suitable for individuals aged 9;0 to 21;11 years who have adequate linguistic knowledge, can understand basic concepts, and can produce grammatically correct sentences, but who lack the higher-level linguistic skills that are needed to master grade-level curriculum for Grades 3 and up. There are five stand-alone tests: a Metalinguistics Profile; two tests of meta-pragmatic skills (Making Inferences and Conversation Skills); and two tests of meta-semantic skills (Multiple Meanings and Figurative Language). Let us examine how this assessment evaluates a client’s conversation skills, one of the tests of metapragmatic skills. The examiner presents a pictured scene that creates a conversational context and says two or three words to the student. The same words are printed above the scene. The student is required to formulate a sentence based on the picture, using the words in the exact form (tense, number, etc.) in which they appear above the picture.
How ecologically valid is this task? Does it reflect the conversation skills that speakers use in their daily lives? Clearly not. When we participate in conversation, we do not construct sentences based on a predetermined set of words and using a predetermined context. Rather, we actively construct context based on what has already been said in the conversation, what a hearer may reasonably be expected to know, and what purpose we want our utterance to fulfill in the exchange. The purpose of my utterance may be to persuade a friend not to buy a dress that is two sizes too small for her. I am aware of the potential of my utterance to upset my friend and am keen to avoid any threat to our friendship. And so, I decide that some form of indirect expression is required. I know my friend likes polka dots and that purple is her favorite color. I also know that we saw a dress that matched these requirements in Bella’s Boutique, a store we visited earlier in our shopping trip. I turn to my friend and say, “I think you will look stunning in that dress we saw in Bella’s Boutique.” My friend returns the small dress to its hanger and we both leave the shop still on good terms.
The active construction of context that I have just described is what actual conversation involves and what the CELF-5 subtest on Conversation Skills fails to assess. To address the issue of ecological validity, speech-language pathologists also use a range of informal assessments of language. These assessments, which include analysis of naturally occurring conversation and discourse, examine a broadly construed, authentic micro-context that is in stark contrast to the tightly constrained, artificial micro-context of formal language assessments. By viewing context as evolving over consecutive turns in a conversation or utterances in a story, speech-language pathologists can examine pronominal reference, topic management, and other dynamic aspects of conversation and discourse. By way of illustration, consider the following extract from the Cinderella narrative produced by a 51-year-old man with alcohol-related brain damage. The author and client jointly examined pictures in a wordless Cinderella picture book, whereupon the book was closed, and the client narrated the story from memory:
well she’s out (1:58) with a horse (.) and him (1:37) I feel so stupid so I do now, and ah (3:35) she wants to go to the ball she meets the old woman ends up the fairy godmother (1:09) sh, sh, she turns a pumpkin into a (0:93) a carriage (1:89) takes her to the ball and she has a lovely gets a lovely dress glass shoes […]
This client performs two illicit shifts in the reference of the pronoun she. The first three instances of the pronoun refer to Cinderella. However, the speaker then introduces the fairy godmother into the discourse context, so that there are now two potential referents of the pronoun she. In the absence of any attempt to make one of these referents salient, the speaker uses the pronoun she on a fourth occasion to refer to the fairy godmother (she turns a pumpkin into a carriage) and then on a fifth occasion to refer once again to Cinderella (she has a lovely gets a lovely dress). We can track these uses of pronominal reference across extended discourse and use these illicit shifts in reference to confirm our impression that this speaker is difficult to follow. But no sense can be made of this speaker’s use of reference if we do not engage fully with the broad, dynamic concept of context that is integral to our everyday communication.
18.3.5 Theme 5: Context and Intervention in Speech-Language Pathology
Speech-language pathologists must also attend to macro-context in their work with children and adults with language disorder. This requires clinicians to think about the setting of intervention, the participants in intervention, and the goals an intervention should strive to attain. Intervention in speech-language pathology has moved beyond its once exclusive focus on language impairments to include rehabilitation goals that address the impact of a language disorder on a client’s conversational participation and social integration. A key driver in this change of focus has been the World Health Organization’s (2001) ICF framework. This framework classifies functioning and disability associated with health conditions. It is intended to complement the ICD-11 (World Health Organization 2019), which is an aetiological framework for the classification of diseases, disorders, and other health conditions based on diagnosis.
The ICF framework has two main parts: Functioning and Disability and Contextual Factors. Under functioning and disability, the framework draws a distinction between Body Functions and Structures and Activity and Participation. Under contextual factors, Environmental Factors and Personal Factors are distinguished. To illustrate how these components of the ICF framework are interrelated, let us use the example of aphasia. An adult with stroke-induced aphasia has a neurological impairment (an impairment of body functions and structures). Aphasia may limit this adult’s ability to read novels for leisure or deliver scriptures in church (an activity limitation). Owing to his/her communication difficulties, the adult with aphasia may increasingly withdraw from social interaction with others. He/she may cease church attendance altogether, for example (a participation restriction). Factors that contribute positively to this client’s rehabilitation are his/her high level of motivation (a personal factor) and the support of his/her family and friends (an environmental factor), while right hemiparesis (weakness of the right arm and leg) and limited ambulance transport are personal and environmental factors, respectively, that might hinder rehabilitation. The professional body for speech-language pathologists in the United States – the American Speech-Language-Hearing Association (ASHA) – has used the ICF framework to set person-centered functional goals of intervention for aphasia and other communication disorders (ASHA 1997–2020).
One of the ways in which speech-language pathologists have enlarged the macro-context of intervention in the last twenty years is to engage partners of adults with conditions like aphasia and dementia directly in the therapeutic process. Partners may be familiar or unfamiliar to the person with a communication disorder and can include spouses, carers, and volunteers. Several conversation partner training programs exist, including Supporting Partners of People with Aphasia in Relationships and Conversation Analysis (Reference Lock, Wilkinson and BryanLock et al. 2001) and Supported Conversation for Adults with Aphasia (Reference KaganKagan 1998) for partners of clients with aphasia, and the Conversation Analysis Profile for People with Cognitive Impairments (Reference Perkins, Whitworth and LesserPerkins et al. 1997) for partners of clients with dementia (for a review of these programs for aphasia and dementia, respectively, the reader is referred to Reference Turner and WhitworthTurner and Whitworth 2006 and Reference Kindell, Keady, Sage and WilkinsonKindell et al. 2017). Notwithstanding differences of approach, these programs all share the same starting point, namely, that partners can be taught how to facilitate conversation with the person with aphasia or dementia, often through adjustments to their own style of communication. The need for such intervention can be vividly illustrated by the case of Harry, a 72-year-old man with progressive supranuclear palsy (PSP) and cognitive impairment who was studied by the author (Reference CummingsCummings 2021). Harry’s wife reported a complete lack of social participation by her husband:
Wife: what happens when we’re out with people for meals?
Harry: we’re out with people, yes, I just sit there, don’t engage in conversation or anything.
It was clear that, although Harry had cognitive and language problems related to his PSP, he had adequate language skills to participate in conversation. It was not long after meeting Harry and his wife that I discovered the source of his lack of social participation. Harry’s wife had a very dominant style of communication. She assumed total control during conversation, responding to questions that I directed to Harry and only permitting him entry to the conversation in a very regulated way. Harry was prompted by his wife to speak through her use of several utterance types:
(i) direct questions (e.g., What countries did we pass through?)
(ii) explicit commands (e.g., List the other places you went)
(iii) sound and syllable cues (e.g., mu, mu, Germany, Munich)
(iv) letter cues (e.g., Begins with an “R”)
(v) sentence completion prompts (e.g., From there you went to …)
In addition, when Harry did attempt to contribute to conversation, his wife explicitly corrected what he said on many occasions (e.g., Not the church choir). The combination of these conversational moves had disempowered Harry in conversation to the point where he had become passive and had all but completely “opted out” of social participation with others. Although I was not providing intervention to Harry and his wife, it was evident that this conversational dyad was not working well, and that Harry’s wife could benefit from conversation partner training. It is a feature of macro-context – the communication style of Harry’s wife – that was responsible for his lack of social participation with others. This same feature must be the starting point for any intervention in speech-language pathology.
18.4 Future Directions
This discussion has demonstrated the different ways in which context plays a role in people with language disorders, and how it permeates the work of speech-language pathologists. Not only must clinicians understand the nonnormative use of context by children and adults with language disorder, but they must also be attentive to the reach of context when they assess and treat clients in clinic. But is there something more that speech-language pathology can do to integrate context into its work? I believe that there is. In this section, I outline briefly what I think those future developments for the field should be.
The clinical education of speech-language pathologists must include an explicit focus on context. This central concept is left in the background of educational efforts as if it were simple and unproblematic and, hence, not worthy of discussion, or as if students could somehow naturally assimilate it. Neither of these scenarios is true. We all recognize the need to train students in phonetics, neurology, and child language development. We must now recognize the same need in relation to context. If students are encouraged to think about every interaction with clients in terms of context, this will provide an important impetus to the development of assessments and interventions that can reflect the actual communicative challenges and needs of clients. One context into which many clients with language and communication disorders are still not able to achieve successful (re)integration is the workplace (Reference Meulenbroek, Bowers and TurkstraMeulenbroek et al. 2016). As clinicians, we must design assessments and interventions that can address the unique challenges of this context. To a limited extent, some speech-language pathologists are already doing exactly that. For example, Reference Isaki and TurkstraIsaki and Turkstra (2000) have established that communication measures that use impairment- and disability-based tasks are better able to predict work reentry following traumatic brain injury than measures that use impairment-level tasks alone. Speech-language pathologists who have been directly trained to be aware of context and who are guided by it in their clinical practice are best placed to undertake these developments in the service of their clients.
Another future development relating to context concerns a greater focus on long-term outcomes in children and adults with language disorder. These outcomes are not realized immediately after an episode of therapy but often occur many years after language intervention has taken place. For a child with developmental language disorder, a long-term outcome may include an individual’s literacy and language skills, social networks, mental health, or vocational status as a young adult (Reference Whitehouse, Watt, Line and BishopWhitehouse et al. 2009a, Reference Whitehouse, Line, Watt and Bishop2009b). It is these outcomes that speech-language pathologists must increasingly use to demonstrate the effectiveness of their interventions to clients, their families, and the health providers who commission clinical language services. In most service delivery models, language intervention is delivered in one or two sessions per week, with an episode of therapy completed in a certain number of weeks. An intervention is judged to be effective if language performance, often measured in test scores, has improved by the end of an episode of care. But when the context of language intervention is expanded beyond the language disorders clinic to include a range of participants and settings, it also becomes necessary to use longer-term outcomes to assess the effectiveness of intervention. The use of long-term outcomes in language intervention research has been hampered by issues such as cost – it is expensive to follow clients over a long period of time – and small sample sizes, with many clients lost to follow-up. But these outcomes are a more reliable criterion against which to assess the impact of intervention on the lives of clients who receive speech-language pathology.
There is a final area in which I believe context can be more fully integrated into the work of speech-language pathology. Notwithstanding the significant societal costs of language disorder, there has been little effort to characterize language disorder as a public health issue (for further discussion, see section 1.6 in Reference CummingsCummings 2018). This is the case even though language disorder exerts the same population-level health and economic effects as many other conditions. There is lost productivity when people with language disorder are unable to participate in the workforce and family members must leave the workforce in order to support and care for them. Economically inactive people must be supported through the receipt of welfare benefits. There are also additional healthcare costs associated with language disorder (Reference Cronin, Reeve, McCabe, Viney and GoodallCronin et al. 2017). These costs are accrued through the provision of support services like speech-language pathology and the management of poor mental health associated with language difficulties. By conceiving of language disorder as a public health issue, there is also fresh impetus to investigate the epidemiology of language and communication disorders. There has been little discussion of, and a dearth of research into, the epidemiology of communication disorders (Reference BylesByles 2005; Reference Enderby and PickstoneEnderby and Pickstone 2005). This has resulted in a lack of knowledge of the prevalence and incidence of these disorders, which is essential for workforce planning in speech-language pathology. By using context to revise how we conceive of language disorder in the same way that we have used context to revise how we assess and treat children and adults with language disorder, substantial progress can also be made in the provision of clinical language services.