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LII7
ROMAN JAKOBSON
SELECTED WRITINGS
II
ydf
F=Fr=3
J.
IT
1971
MOUTON
THE HAGUE
PARIS
71707-66
COPYRIGHT RESERVED
No part
of this book may be translated or reproduced in any form, by print, photoprint, microfilm, or any other means,
without written permission.
Ed.
Psych.
Library
HAGUE
Library
AI
For assistance
to
in the
my
friends
and to those
was conborrowed
The
me
the
It is in his
"Detached Ideas on
leai.
:
ng what
is
known" were
The proximity
at
to Massachusetts Institute of
Re-
Studies widened
my
of linguistic science.
For the
initial
owe my deepest
gratitude to the
school which captivated the beginner throughout his student years and
in their
As was written
still
my
studies,
unpublished,
The Moscow linguistic school, faithful to the precepts of its founder, Filipp Fedorovi Fortunatov, has been destined to elucidate, substantiate, and develop his view that language is not a mere "external cover in regard to the phenomena of thought" and not only a "means for the expression of ready-made ideas" but first and foremost it is "an implement for thinking". Or, according to his boldly deepened formulation, "in a certain respect, the phenomena of language themselves appertain to the phenomena of thought"; and "language as such, when our thoughts are expressed in speech, has its being precisely because it exists itself in our thinking". The pervasive thesis of Fortunatov's General
Course
in Linguistics
is
1890169
VI
of
human
language
in its history".
chapter entitled "The signification of sound shape in language", it is necessary "to realize that not only language depends on thinking but thinking, in turn,
depends on language."
We
are
summoned
to realize that
word sounds as signs, "signs of something that could not be conceived of by our mind without their mediation". - More than ever before one submits to the wise simplicity of those weighty, enchantingly angular lines which do equal justice both to language and to thought in their manifold interwovenness.
Beside the far-reaching theoretical and above
tions raised
all
vital
boon
in the legacy
was
their
in
my
recollections merges
is
received
by the
that 1
initiate
from the
"Go
there -
don't
know
where, bring
don't
the birth
I still feel
A
the
intellectual groups".
Re-
egged on,
since
and
have
draws
in
and blazes
still
new
trails
in the science
area of semiotic.
me an
invaluable asset
In particular,
both
We
and to their author were the first and most powerful spur to my pondering on the complex anatomy of the word (slovo takovoe). Another example of my indebtedness to poets was a message from Jaroslav Durych, a prominent
to the poetic experiments of Velimir Xlebnikov
Czech writer of
and
remarks on the makeup of native poetry and prose. After having reviewed
my book on The Foundations of Czech Verse (Prague, 1926), Durych wrote me that in studying the sound texture of native poetry he was able
to apply the current phonetic arrangements of vowels but
complained
VII
no
and
there-
fore besought
me
and
press-
ings
raised by the
still
me
to a persistent
was
my
have accompanied
me
through
all
my
wanderings.
Young unorthodox linguists heeded the rallying slogans of the avantgarde poets, and we were at one with the brave and moving call jointly launched by Xlebnikov, Kruenyx, Burljuk, and Majakovskij "To stand on the boulder of the word WE amid a high sea of catcalls and hatred".
:
Indeed
all
When, a few
of his
poem "Home" opened with the line "I want to be understood by my country", any inventive man of science from our two circles - earlier
or later - must have shared also the tragic doubt uttered in the further
lines
deliberately
ambiguous
simile.*
None of
despair hidden in the suppression of this entire stanza by the poet himself: "I
Hence
all
my volume
is
dedicated to the
us
memory
those no longer
science.
among
is
who championed
and
The book
addressed to the
critical attention
of anyone -
young or old - who zealously confronts the entangled problems of word and language.
Within each section papers are published
their composition.
in the chronological order of
III
Only the
articles
of the section
- Toward a
historical
order of the events discussed. This section might carry Saussure's note
:
, ,] .
-
la
[variant:
VIII
linguistique,
inutile
il
serait
de
le
que
le
lien
qu'on
les
dterminer."
till
I
table of contents.
Among
shall
name
mea
culpa,
remained unwritten,
Annual Meeting of the Linguistic Society of and promised for Language; the inaugural paper of the International Conference on Semiotic, Warsaw, September 12, 1965 - "Signatum and Designatum" - promised for the publication
at the
Problem" - given
America, December
27, 1956,
Forum
"Meaning and
and promised for the collection of the Forum Lectures, Substance and Structure of Language, ed. by Jaan Puhvel (University of California Press, 1969); and finally, the report in the Paris
Institute, July 6,
1966,
the patron-
14,
1968
and promised
the kernel of
symposium.
however,
my Masaryk
University, Columbia,
I
on
historical
morphology where
and
was about to merge with morphophonemics. Fortunatov's and Baudouin de Courtenay's warnings against any forcible imposition of morphological
features
in their present stage (see below, p. 399)
and divisions of yore upon the analysis of the "same" languages was to be supplemented by an
Perhaps,
old debts.
if
time
is
granted,
I'll
manage
to
pay off at
least
some of these
Georgia
Ossabaw
Island,
February, 1971
CONTENTS
A.
MORPHOLOGICAL STUDIES
3
16
zur
allgemeinen
Kasuslehre:
Gesamtbedeutungen der
23
72
russischen Kasus
Notes on Gilyak
1.
Introduction, 72.
2.
Consonantal Interchange:
Its
Origin, 85.
Texte guilyak
98
in their
103
Comparative Slavic
Grammar
115 119
Russian Conjugation
Fundamental Notions, 119. - Types of Full-Stems, 121. - General Rules,
122.
- Exceptions,
128.
Shifters,
....
\J_30,
1. Shifters and Other Duplex Structures, 130. - 2. Attempt to Classify Verbal Categories, 133. - 3. The Grammatical Concepts of the Russian Verb, 136. - 4. The Grammatical Processes of the Russian Verb, 143.
Nouns
148
CONTENTS
I.
IV
(,
154
1958),
54. -
II.
184
187
On
the
Rumanian Neuter
/
XVII
190
198
.
203
.
Signe zro
Das Nullzeichen
Pattern in Linguistics (Contribution to Debates with Anthropologists)
220
223
229 239
The
II.
Language, 241. - III. Similarity Disorder, 244. - IV. Contiguity Disorder, 250. - V. The Metaphoric and Metonymie Poles, 254.
On
260
267
272 280
285 289
and Wholes
in
Language
....
.
Toward a
First
Dichotomy: Encoding (Combination, Contiguity) Disorders versus Decoding (Selection, Similarity) Disorders, 292. - Second Dichotomy: Limitation versus Disintegration, 297. - Third Dichotomy: Sequence (Successivity) versus Concurrence (Simultaneity), 299. - Conclusion, 300. -
Summary,
304.
CONTENTS
Linguistic Types of Aphasia
XI
307
334
On
338
345
360
. TOWARD
One
An Old
Russian Treatise
Human Word
:
369
375
389
Its
394
429
Polish-Russian Cooperation
in the
Science of Language
.
451
456
468 477 489 497
501
..
Franz Boas' Approach to Language
Boas' View of Grammatical
.
Meaning
Antoine Meillet
zum Gedchtnis
August
28,
1884-November
7,
1955
517
in Interwar
Continental Linguistics
522
An Example
Fiftieth
(On
the
Anniversary of the
Moscow
Linguistic Circle)
527
539
La Scuola
Linguistica di Praga
XII
CONTENTS
547
551
554
Introduction to the
Its
Symposium on
the Structure of
Mathematical Aspects
Linguistics
D.
PHILOLOGICAL GLEANINGS
Die Reimwrter
ech-Lech
Tempus
- Rotatio ->
Adulterium
E.
INTERDISCIPLINARY OUTLOOKS
Other Sciences
655. II.
Linguistics in Relation to
I.
The Place of Linguistics among the Sciences of Man, and Natural Sciences, 672. - III. Sources Cited, 691.
Linguistics
Language
in Relation to
Retrospect
Index of
Names
Index of Subjects
739
MORPHOLOGICAL STUDIES
Merkmal,
das zweite -
als
merkmallos
(s.
N. Trubetzkoy
Dieselbe Definition kann zur Grundlage der Charakteristik der morphologischen Korrelationen dienen. Die Frage der Bedeutung einzelner
Wie
von der Voraussetzung aus, diese beiden Kategorien seien gleichberechtigt, und jede besitze ihre eigene positive Bedeutung: die Kategorie I bezeichne A, die Kategorie II bezeichne B. Oder mindestens
:
bezeichne A,
II
von A. In Wirklichkeit
sein
allgemeinen Bedeutungen
I
das Vorhanden-
von
von A ankndigt, so kndigt die Kategorie II das Vorhandensein A nicht an, d.h. sie besagt nicht, ob A anwesend ist oder nicht. Die
im Vergleich zu
Falls in
II
Im
folgenden Beitrage skizziere ich nur vorlufig und konspektiv eine der Kapitel
Den Wesenskern dieses Beitrages bildet die Analyse des Imperativs - einer Kategorie, die nur mit Rcksicht auf die Verschiedenartigkeit
der Sprachfunktionen begriffen werden kann.
4
sein
MORPHOLOGICAL STUDIES
von A ankndigt, so ist es bloss eine der Anwendungen der gegebenen Kategorie: die Bedeutung wird hier durch die Situation bedingt, und wenn es sogar die gelufigste Funktion dieser Kategorie ist, darf dennoch der Forscher nicht die statistisch vorherrschende Bedeutung der Kategorie
mit ihrer allgemeinen Bedeutung gleichsetzen. Eine solche Identifizierung fhrt zum Missbrauche des Begriffes Transposition! Die Transposition
einer Kategorie findet nur dort statt,
wo
die
empfunden wird
vom
Stand-
Wort olica" Eselin" punkte kndigt das weibliche Geschlecht des Tieres an, wogegen die allgemeine Bedeutung des Wortes osl "Esel" keine Ankndigung des Geschlechtes des gemeinten Tieres enthlt. Wenn ich osl sage, bestimme ich nicht, ob es sich um ein Mnnchen oder um ein Weibchen handelt, aber fragt man mich "to oslicdV und ich antworte "net, osl", so wird hier das mnnliche Geschlecht angekndigt - das Wort ist in verengter Bedeutung
der synchronischen Linguistik).
Das
russische
angewandt. Soll
man
Wortes osl
als erweitert
Weise wie die Redensarten eg stryj drg keine Metaphern sind. tovri Nina oder ta dvuka
die Bedeutungsbertragung
ist
Aber
Anwendung
der
1.
Pers.Plur.
im
Sinne der
2. Pers. Sing.,
Mann
als
und ebenso wird dura "Nrrin" in Bezug auf einen Metapher empfunden, die die affektive Frbung erhht.
haben den wesentlichen Unterschied zwischen der allgemeinen und der gelegentlichen Bedeutung einer Kategorie richtig eingeschtzt. Schon
K. Aksakov unterscheidet streng den durch die grammatische Form
ausgedrckten Begriff
einerseits,
und den
1875, 414
vom
Sinne und
vom Ton
Form und im Kontext erhalten kann. Den Zusammenhang zwischen der Form und der Bedeutung definiert er im ersten Falle als tatschlich, im zweiten als mglich. Indem die Grammatiken das, was in der Sprache bloss die Geltung eines mglichen Zusammenhangs hat, als einen tatschlichen Zusammenhang
auffassen, gelangen sie zur Aufstellung
einer
ff.,
Unmenge
115
ff.
u.
Aus den
fest-
Merkmal ankndigt,
Diese Beobachtung
unangekndigt
bleibt.
rus.
slov.
AN,
1899),
A. axmatov
II.
T.,
1927),
A. Pekovskij (Russkij
S.
sintaksis,
III.
ganz
ist
voll
von
im
Zusammenhang auch
feststellt,
f.).
Nun
chronie,
Diese beiden Linguisten, vorzgliche Erforscher der russischen sprachlichen Synwurden von den einseitig historisch eingestellten Gelehrten natrlicherweise unterschtzt. Z.B. E. Karskij in seinem Oerk naunoj razrabotki russkogo jazyka (1926) schweigt ber Nekrasov und widmet Aksakovs Schriften bloss einige inhaltslose Vorwrfe. [Schon Baudouin de Courtenay warnte in seiner einleitenden Petersburger Vorlesung, Herbst 1900:
, . , , , , , , ,
(.,
1865)
"
..
, .
Denken
ist
I,
.,
schwer und ge-
fhrlich!
, !" ( ,
1963, 363).]
MORPHOLOGICAL STUDIES
Schritt
gemacht werden; der Begriff der morphologischen Korrelationen soll, entsprechend Trubetzkoys Auffassung der phonologischen Korrelationen, zur Grundlage der Analyse des gramma-
tischen
dem
Gesichtspunkte dieses
fhren. Die Feststellung dieser Korrelationen bildet den Inhalt der fol-
genden Bemerkungen. Dabei operieren wir meistens mit den traditionellen grammatischen Termini, obgleich wir uns ihrer Inexaktheit
bewusst sind.
Verba
und zweier "Genus verbi-Korrelationen" gebildet. Die allgemeine Aspektkorrelation: "Perfektiva" (merkmalhaltig) ~
"Imperfektiva" (merkmallos). Die Merkmallosigkeit der Imperfektiva
ist
fektive
Aspekt eine gewhnliche, unqualifizierte Handlung" ( 540). Schon Vostokov: "Der perfektive Aspekt zeigt die Handlung mit der
Bezeichnung, dass
fektive
ihrer
wogegen der imperAspekt "die Handlung ohne Bezeichnung ihres Anfangs und
sie
ist",
Perfektiva
Vollendung zeigt" ( 59). Exakter knnte man definieren, dass die im Gegensatze zu den Imperfektiva die absolute Grenze der
Handlung ankndigen. Wir betonen "absolute", weil die Verba, die wiederholte Anfnge oder Vollendungen mehrmaliger Handlungen
bezeichnen, imperfektiv bleiben (zaxival). 2 Die Definition der Sprachforscher, welche die Funktion der Perfektiva auf die Bezeichnung der
Ungedehntheit der Handlung beschrnken, scheint uns allzueng solche Perfektiva wie ponastri, povytlkiva, nagulj sja,
vgl.
wo die Vollen-
ist,
~ Formen ohne
alle
Aspektkorrelation
Korrelation bloss
2
dem
Imperfektiv bleiben auch diejenige Verba, bei denen der absolute Charakter der Handlungsgrenze fakultativ ist (d.h. er ist nicht grammatisch angekndigt, sondern nur durch die Situation gegeben). Vgl. vt n vyxdit und n asto vyxdit.
Die allgemeine
Formen,
Handlung ankndigen (merkmalhaltig) ohne solche Anknim breiten Sinne des Wortes. Die Auffassung der
als
~ Formen
Aktiva
ist
gegeben (1153
"Passiva" (merkmalhaltig)
"Reflexiva".
vom
Subjekt hervor-
gebracht wird, sondern auf dasselbe von aussen bergeht. In der Wort-
signalisiert
das
Form prodajiesja
ankndigt;
vgl.
unterstellen,
die
Kontext
alle
sie
{bojsja usw.)
"Communia" oder "Reflexiva tantum" einverleibt werden sollten. Unter dem Gesichtspunkte der
IV
lasse ich
morphologischen Verbumsystems.
Der "Infinitiv" wird von Karcevskij in Bezug auf den "syntaktischen" Wert als eine Nullform des Verbums charakterisiert, es handelt sich um
"l'expression d'un procs en dehors de tout rapport syntagmatique" (18,
158).
zum
"finite"
Formen. axma-
( 536).
als
MORPHOLOGICAL^STUDIES
Die finiten
Indikativ
Formen
wurde schon mehrmals als der negative Modus oder der Nullmodus definiert. "Es ist einfach eine Handlung, eine Handlung, die durch keine besondere modale Schattierung kompliziert ist, sowie der Nominativ einfach den Gegenstand bezeichnet ohne Schattierung der Kasualitt" (Pekovskij,
I,
126;
vgl.
Karcevskij.
141).
Dem
merkmallosen
Karcevskij,
Indikativ
ist
ein
eben
in dieser
Ankndigung
kann dem
sie
(vs govorjt, a
my
kann endlich
Aktion des Subjekts darstellen ("nejanno zagljon nem smr i podkos em ngi"). In den Wortverbindungen des letzten Typus sieht
nos
Nekrasov den Ausdruck der "Selbstttigkeit der Handlung" ("samolidejstvija"), was der meisterhaften allgemeinen Charakteristik, die
kommen
entspricht: "Es gibt in ihr selbst keinen wirklichen Zusammenhang zwischen der Handlung und der handelnden Person. *** Die sprechende Person verfgt sozusagen in diesem Falle ber die Handlung"
(105
ff.).
VI
Der Indikativ
haltig)
"Prteritum" (merkmal-
Das Prteritum kndigt an, dass die Handlung der Vergangenheit gehrt, whrend das Prsens an sich zeitlich unbestimmt ist und eine typische merkmallose Kategorie bildet. Bemerkenswert ist
"Prsens".
Aksakov vorgeschlagen und Nekrasov weiter entwickelt hat (306 ff.): diese Form drckt, im Grunde genommen, kerne Zeit aus, sondern nur den Bruch des unmittelbaren Zusammenhangs zwischen dem Subjekt und der Handlung - die Handlung verliert eigentlich den Charakter der Handlung und
(412
ff.)
wird einfach
zum Kennzeichen
des Subjekts.
ist
Persnliche
Form
fungiert die
sog.
Form
der
Form wird
dem
Die
dem
~ Form,
die die
Bezogenheit der
Handlung auf
Es
ist
die sog.
Form
Die allgemeine
Bedeutung
der russischen
Form
der
2.
Person wurde
von Pekovskij
(III,
429
ff.).
Der Kontext bestimmt, auf welche Person diese Form - ob auf eine beliebige (ume' poxornjat), auf die
,
Form vorwiegend im
dennoch
ist
Bedeutungen, und
in der
Frage nach der allgemeinen Bedeutung einer Form ist das statistische Kriterium unanwendbar - usuelle und allgemeine Bedeutung sind nicht
sich
im Russischen
die
Form
der
2.
Was den
verallgemeinernden Ge-
brauch der
Form
der
1.
Person
betrifft,
Wendung
(merkmalhaltig)
mallosen Kategorie begrenzt sich darauf, dass die Pluralitt nicht angekndigt wird. Das hat schon Aksakov erkannt: "Der Singular
gemeiner, unbestimmter, er enthlt sozusagen
ist all-
mehr Gattungscharakter; darum kann er eher in andere Verhltnisse bertragen werden whrend der Plural einen spezielleren Charakter hat" (569). Aber im Gegensatze
;
ist
im
ist
Kongruenzkorrelation, weil
jekts wiedergibt.
Zu
"Neu-
10
MORPHOLOGICAL STUDIES
trum *** bezeichnet *** etwas Negatives, weder Mnnliches, noch Weibliches" (Pekovskij,
I,
zum
Sexus;
Nomina
gegenber den Nicht-Neutra, die den Sexus bezeichnen knnen und somit keine "Asexualitt" ankndigen.
zwei korrelativen Reihen. Die
tige Kategorie,
2.
in
Nomina feminina
die
wogegen das Maskulinum grammatisch bloss besagt, dass Signalisierung des weiblichen Geschlechts nicht vorhanden ist (vgl.
osl, olica, usw.).
die
\ii
Im Gegensatz zum
Indikativ
ist
der
"Modus
der willkrhaften
Handlung"
stndige Zeit-
und Personkorrelationen, noch Kongruenzkorrelationen des Numerus und des Geschlechts. 3 Aber dieser Modus ist "zweiflchig"
:
einerseits gehrt er
samt
darstel-
lenden Sprache, anderseits - als eigentlicher "Imperativ Auslsungsfunktion, nach K. Bhlers Terminologie.
dient er der
steht;
ebenso
ist
der echte
Form
behandelt
Das Personalpronomen beim Imperativ (t id) ist seiner als Subjekt. Der Imperativ zeichnet sich
Stamm zu
redu-
G. Pavskij erkennt die Fehlerhaftigkeit der Tendenz, solche Formen wie sdlaj als Person Sing, zu deuten. Wenn auch diese Form "fter in der Bedeutung der 2. Pers.Sing. und dabei ohne Zusatz von ty gebraucht wird, berechtigt es noch gar nicht, sie unmittelbar als 2. Person zu benennen. Sie wird in der Bedeutung der 2. Person fter gebraucht, weil die 2. Person im Imperativ fter gefordert wird, als alle brige Personen" (Filologieskie nabljudenija, III. T., II. Ausg., 1850, 90). Gleicherweise F. Buslaev {Opyt istorieskoj grammatiki, T., 1858, 154). Den neueren Grammatiken ist das Verstndnis fr diese Tatsache mehrfach abhanden gekommen. 4 Schon Aksakov hat erkannt: "der Imperativ ist ein Ausruf; er entspricht dem Vokativ" (568).
2.
11
bekannt
(vgl.
Obnorskij in ZfslPh.,
I,
102
ff.).
Dasselbe kann
man auch am
rativform
stellt,
vom
Der Bau
dieser
Phoneme
statt (des
und betonten Vokals, des mouillierten und unmouillierten Konsonanten), so erscheint im Imperativ der merkmalhaltige Alternant: der unbetonte Vokal (xlopo), der mouillierte Konsonant (idi). - 2. Alternieren am Ende des Prsensstammes Konsonanten, so erscheint im Imperativ derjenige Konsonant, welcher in der 2. Person Prsens sich vorfindet (sud,
prost, ljubi); die einzige
Ausnahme
einen
peki, Ijg). -
3.
er unsil-
big, so
ben
(j).
Stamm
Ausnahme
die unbetonten
Karcevskij, 48
ff.),
erhalten
im
kommen ohne
Flickvokal aus
(stj, pj,
so zdj).
zeichnet:
Der Imperativ wird durch folgende besondere Korrelationen gekennI. "Die Mitbeteiligungskorrelation": Formen, die die Absicht des Sprechenden, an der Handlung teilzunehmen ankndigen (merkmalhaltig) ~ Formen ohne solche Ankndigung. In der Rolle der merkmalhaltigen Kategorie wird die umgedeutete
Form
der
1.
Person Plur.Prs.
verwendet (dvinem
dvirC).
II.
Mehrzahl
(dvte
dvin\ dvnemte
aufgeworfen,
warum
eigentlich
solche Ankndigung wurde mehrfach die Frage nicht der Modus der willkrhaften Handdvinem). Es
~ Formen ohne
Form
wo
es sich
um
Nach Mouillierung ist i im Russischen der gelufige Flickvokal. Denselben Flickvokal erhlt gewhnlich die Endung des Infinitivs, falls sein Stamm auf einen Konsonanten ausgeht (nesti). Vgl. das Erscheinen des Flickvokals a bei dem reflexiven Morphem s unter denselben Bedingungen (phonologisch transkribiert: jduVs p' lsa\). Ich erinnere, dass ich den Begriff "Flickvokal" vom synchroduls, fp'las - f nischen Standpunkte verwende.
12
MORPHOLOGICAL STUDIES
lsst sich
Frage
zum
die
Numeruskorrelation innerhalb
Glied einer selbstndigen Korrelation kann nicht in eine Kongruenzkorrelation bertragen werden. - III. Die "Intimittskorrelation" For:
men,
~ Formen ohne
dvr usw.).
Der Unterschied zwischen der Auslsungs- und der Darstellungsfunktion ussert sich im System des russischen Verbums nicht nur durch
die Liste der Korrelationen, sondern unmittelbar durch ihre Bildungs-
weise. 6 Die
Formen des Imperativs unterscheiden sich von den brigen Formen durch die Agglutinierung der Endungen: im Imperativ dient jede Endung zum Ausdruck nur je eines Korrelationsmerkmals, bei Anhufung der Merkmale wird eine Endung an die andere angehngt.
verbalen
Nullendung
korrelation,
=
/s/
//
Merkmal der
Beteiligungskorrelation, /Vi/
u.a.
Morpheme bewahren
tivs
Enklitika behandelt.
An
der
Gruppe
-
V-\-s unverndert,
t/V-Ys in
Infinitiv
Plur.Prs.
3. Person Plur.Prs.
berhaupt erscheinen im Imperativ mouillierte Vorders, was sonst innerhalb des Wortes nicht geschieht: /den'sa, asa, kras 's/. Vor den Lingualen figurieren im
linguale vor unmouilliertem
die
13
/gatof/ (neben
erhalten, die
/gatof/).
Im Imperativ wird
die
Verbindung zweier
vgl.
sonst
im Wortinnern zu xk werden:
Imperativ
//
- Adjektiv
/m'axk/.
Die russische Grammatik deutete den Imperativ sozusagen metaphorisch: seine Elemente und deren Funktionen wurden, auf Grund der
usserlichen Teilhnlichkeit, mit den Elementen
anderen Formen
identifiziert.
So
z.B.
wurde
seine enklitikartigen
Endungen anderseits mechanisch der Kategorie der Daher konnte selbstverstndlich die Eigenart
VIII
Formen,
ankndigen (merkmalhaltig)
~ Formen
Den
passi-
tomm somnniem,
somnniem, skitetsja
passiven
Im Gegensatz zum
und
dem
ven Partizipia kennen zwar diese Korrelation doch die passiven Partizi;
vollkommen
und
selbst
den aktiven attributiven Partizipia wird teweise eine Grenzverwischung zwischen den beiden zeitlichen Kategorien beobachtet (vgl. N.
Kaganovi
in
14
MORPHOLOGICAL STUDIES
IX
wir fest, dass es sich gewhnlich um eine Anwendung der merkmallosen auf Kosten der entsprechenden merkmalhaltigen Formen handelt (z.B. die Substitution der finiten Formen durch den
stellen
Infinitiv,
des Prteritums durch das Prsens, der ersten Person durch die
zweite, der passiven Partizipia durch die reflexiven, des Plurals Imp.
durch dessen Singular), wogegen die umgekehrten Substitutionen natrlicherweise nur seltene
fasst
Ausnahmen sind und als figrliche Rede aufgeForm fungiert im sprachlichen Denken als Reprsentant des Korrelationspaares; darum werden als gewissermassen primre Formen empfunden: die Imperfektiva gegenber den Perfekwerden. Die merkmallose
Nicht-Reflexiva gegenber den Reflexiva, der Singular gegenber
tiva, die
dem
gegenber
dem
Prteritum, die
ist
attributiven
Partizipia gegenber
Infinitiv
von uns
als
"Lexikonform"
eingeschtz wird.
merkmalhaltigen Kate-
gorien eher als die merkmallosen eingebsst werden (z.B., die finiten
Formen eher
als
ersten zwei Personen eher als die dritte, usw.). Ich habe halb-scherzhafte,
halb-affektive Familien-argots beobachtet, die die Konjugation aufge-
hoben haben
die persnlichen
Formen wurden
hier
Erscheinung
aus der
die
Verwendung der
Ijbite, usw.).
b hat im Russis
(t
Form
der
3.
Person Singular
Formen
aller
s;
takov
s).
Wir akzeptieren vollkommen die These Karcevskijs: der asymmetrische Bau des sprachlichen Zeichens ist eine wesentliche Voraussetzung der Sprachvernderungen (TCLP, I, 88 ff.). In dieser Skizze mchten wir auf zwei von den vielfltigen Antinomien hinweisen, die die Grundlage
der Sprachstruktur bilden.
15
als
Antinomie der Signalisierung von A und der Nicht-Signalisierung von A charakterisiert werden. Zwei Zeichen knnen sich auf dieselbe gegenstndliche Gegebenheit beziehen, aber
die
fixiert ein
gewisses
Merkmal (A)
dieser
mal unerwhnt lsst. Beispiel: eine Eselin kann sowohl mit dem Worte olica als auch mit dem Worte osl bezeichnet werden. Es wird derselbe Gegenstand gemeint, nur ist im zweiten Falle die Bedeutung unvollstndiger und weniger przisiert.
korrelativen
Formen
folgt
eine
weitere
und der
partiellen
Antinomie der NichtSignalisierung von A und der Signalisierung von Nicht-A. Ein und dasselbe Zeichen kann zwei verschiedene Bedeutungen besitzen: in dem einen Falle bleibt ein gewisses Merkmal (A) der
mallosen Form, oder mit anderen Worten, die
Vorhandendas Fehlen
tritt
dieses
Merkmals hervor.
das
Wort
osl
ohne Rcksicht auf den Sexus oder bloss das Mnnchen bezeichnen. Diese Widersprche bilden die Triebkraft der grammatischen Mutationen.
Le slave
commun
mots enclitiques
la
flchis. Il
la
europen
rgle de Wackernagel.
le fait
M.
que
pour
cette rgle.
Chaque mot de
Il
la
un dterminant sans
est
tre
un dtermin.
ne
mot ne dpend de
L'ordre des mots
lui
nuances de rapil
mot
ne
oppositions significatives
du mot
le
acces-
dans
la phrase.
Mais pourquoi
ce
mot ne
se place-t-il pas
tel
simplement aprs
mot
qu'il
l'individualit
U
Toutes
les
la phrase. Si
mot
la
c'est
17
dans
la phrase, ce
mot tend
tre
pos
la
immdiatement devant
la particule.
commencement de
pratifla
ment
tabli
la
la
tendance des
di-
dsinences de l'im-
La
du
ceux qui
il
s'adresse.
russe qui parmi les langues slaves tend traiter les dsinences de l'impratif
comme
et
mules
chacune d'entre
Umoemtes' ka
(lavons-nous),
quatre
dont
la
premire
annonce que
le sujet
affective.
Ce sont
les rgles
dusandhi externe
le t
pratif ce
lure des
groupe
reste
en polonais
traits
et,
comme
dmontr M. Bubrix,
l'accent en
la
cachoube sont
faon qu'
la
mme
la limite et
non pas
III
les
Chacune de
ces langues
comprend deux
les
pronominales, personnelles
auxiliaire.
et rflchies; 2)
Parmi
langues
dans ce
groupe.
M. Berneker y
et
faisait rentrer
galement
le
bulgare, mais
MM.
Havrnek, Seliev
18
la
MORPHOLOGICAL STUDIES
langue bulgare,
la rgle
les
flchis atones.
Que
langues slaves de
M.
Berneker.
En quoi
les
langues slaves de
l'est et la
pouvons donc
tablir que,
tensit libre, la
En premier lieu par l'accent d'intensit libre. Nous dans les langues slaves accent d'inrgle de Wackernagel ne s'tend pas aux
non seulement synchronique mais
aussi
mots enclitiques
flchis.
diachronique. Les
minales enclitiques de
aire, et
nous
prouvent qu' l'origine ces deux langues possdaient des formes prono-
mme
auxili-
que
la position
la rgle
russe et
le
dit, elles
Mais
la
Quel
est
donc
le lien
deux phnomnes?
la diffrence essentielle
entre la structure
du vers russe
et
j'ai
syntagmes
qui ont
le
vers russe et
celui des
mots joue un
que
pour
le vers
mots
dans
vers serbo-
croate,
le
M. A.
Schmitt,
beaucoup plus
beaucoup
plus, C'est
pour
cette
libre,
la fois sur
un
certain
mot
tout en tant
IV
Essayons d'envisager le sort rserv aux enclitiques flchies dans les langues
slaves
rgle de
Wackernagel
deux
ce point de vue
19
le
dans
le
bulgare et
le
dialecte
ukrainien de sud-ouest,
ukrainiens,
le
blanc-russe et
grand-russe.
Le groupe sud-ouest
moins marquante.
essentielle
est caractris
cette diffrence
de caractre morphonologique
la
les
mot accessoire
se place
mot. Ainsi ce ne sont plus des enclitiques, mais des mots atones pouvant
s'employer aussi bien
que
comme
proclitiques. Cette
due au hasard: si un mot de ce genre employ exclusivement en qualit d'enclitique, cela pousserait fortel'univerbation.
Il
ment
moyen
mots
des
comme
l'a
bien
fait ressortir
M. Mathesius, un
du mot.
Le groupe nord-est
1)
devenue un
avec
le
simple affixe.
La fusion du pronom
ukrainiens
du
nord
bulg.
3
de
l'est
xo (je marche) - xdi' (tu marches), ukr. du xod - xdy, d'autre part ukr. du sud-ouest xdu - xdy,
xdja - xdi.
faut ajouter qu'en bulgare et dans l'ukrainien
du sud-ouest on met aussi parfois mots accessoires titre de variante stylistique ou expressive la seconde place dans la phrase. Ces idiomes forment, ce point de vue, une zone intermdiaire entre le groupe nord -est, ou les mots accessoires flchis n'existent plus, et le groupe de langues slaves sans accent d'intensit libre pour lesquelles la rgle de Wackernagel reste compltement intacte. Dans le cadre de ce dernier groupe, on pourrait de mme dlimiter une zone intermdiaire, notamment le secteur nord-est du groupe, c'est--dire le polonais, le serbe de Lusace et le dialecte slovaque de l'est. Ces idiomes suivent en principe
II
les
la rgle
ils
rattachent
le
mot accessoire,
titre
de variante
stylistique,
immdiatement au mot dtermin. Au point de vue prosodique, ces langues forment un ensemble spcial: elles ne possdent ni l'accent phonologique du mot, ni
l'opposition des voyelles longues et brves.
20
MORPHOLOGICAL STUDIES
et
nord
de
l'est
en
est
un exemple typique.
le
Un
bation nous
nien de
2)
l'est
futur
compos du blanc
{bratymu, bratyme).
flchis sont
l'aoriste
du verbe
auxiliaire
by
employ dans
cadre du conditionnel
particule, by.
compos perd
sa conjugaison et devient
le
une simple
Un
L o
les
tre employes, la
tomber
Ainsi
et
grand-russe,
le
du nord
de
et
l'est
by
pronoms
personnels.
mots enclitiques
flchis
dans
les
langues du groupe
VI
La
Nous
by
(tre)
forme
enclitique, en leur
forme tantt
en
forme orthotonique.
La perte des formes du prsent du verbe auxiliare a provoqu la disparition des formes du prsent du verbe-copule. Compare aux formes du pass et du futur, l'absence de la forme du prsent a t interprte par la conscience linguistique
comme
xoro
M.
(la rcolte
c'est--dire
la rcolte est
bonne). Le
mme
les
systme a t tendu la
by
(tre, exister).
Ce changement a
deux
le
russe a perdu
propositions nonciatives
la variante
je noc -
nox
est) et la variante
En
comme une
21
La
esi),
du prsent du verbe
auxiliaire et
telles
du verbe-copule
que dal
(<
dal
mal {<mal es) un pronom personnel pour exprimer le sujet (ty dal - tu as donn, on mal - il est petit). Cette construction a t gnralise. D'aprs le type ty dal on a normalis le type ty das' (tu donnes). Du point de vue de la norme linguistique du russe moderne, les propositions
pronom sont des variantes elliptiques. La norme en question ne connat donc plus de propositions personnelles sans sujet. Les propositions impersonnelles ont un sujet-zro. En rsum: la norme linguistique du russe a perdu les propositions enonciatives un terme.
un terme dpourvues de
Le
dans
l'volution de la langue.
M. G.
que
S.
langues slaves
et a tabli
celui-ci est
une marque
stylistique
du grand
que peu
que dans
les autres
langues slaves ce
phnomne
il
n'est
dans
les
est
tonn de
mme
si
que dans
la
archaque. Mais
traitement des
comme
logiques et persuasifs.
VII
Nous n'avons
jusqu'ici
examin que
le
les enclitiques
qui dterminaient la
la
seconde
Mais ct
commun
et
d possder
tels
noms
du
et
qui occupaient la
groupe nominal.
(fils
fils)
ct de syn starika
que
prcisment
la
*go qui
des
pronoms
nence. Pour la
mme
et
forme nominale
du
employ comme
enclitique) tendait se
le substantif,
M.
Meillet
22
le
MORPHOLOGICAL STUDIES
premier de deux adjectifs coordonns.
et
De mme
l'enclitique *to,
en
du grand-russe, occupe la seconde place dans les groupes nominaux. Exemple russe: zlaja-ta ena, ena-ta zaja. L'univerbation du groupe "adjectif suivi du pronom enclitique *je" put tre ralise ds le slave commun, vu qu'il ne s'opposait ce groupe
bulgare
dans
les parlers
le
pronom orthotonique
un pendant
*je suivi
d'un
adjectif.
Mais
les
la signification
dmonstrative du
zena o
le
pronom
que
ta
il
ta
pronom
deux variantes
le
groupe
ena
le
mot
ta
garde sa qualit de
dans
les dialectes
zlaja-ta ena
empchent
la fusion
complte
dans
dans
mot auquel elle s'attache. Ainsi c'est prcisment langues accent d'intensit libre qu'a persist la classe
le
nom
(l'article
en bulgare
et
du grand russe
rflchi
et le datif possessif
nels et
du pronom
en bulgare).
vin
La
lois du groupement du groupement des phonmes ne reprsentent pas une agglomration mcanique de rgles parses mais un systme cohrent. C'est la fois un tout et une partie du systme linguistique global. Le lien troit subsistant entre les diffrentes tranches de cet
mme
que
les principes
ensemble apparat de plus en plus nettement dans l'volution d'un systme linguistique.
et
on
phonolo-
Linguistes,
Rome, 25.X.1933,
in
Roma
il
Die Frage der Gesamtbedeutungen der grammatischen Formen bildet naturgem die Grundlage der Lehre von dem grammatischen System der Sprache. Die Wichtigkeit dieser Frage war grundstzlich jenem linguistischen
Denken klar, das mit den ganzheitlichen philosophischen Strmungen der ersten Hlfte des vorigen Jahrhunderts verknpft ist,
und Verfeinerung der linguistischen Methodologie unmglich. Doch die nchste Etappe der Forschung schob eher im Gegenteil das genannte Problem zur Seite; die mechanistisch eingestellte Sprachwissenschaft setzte die Gesamtbedeutungen auf den Index. Die Geschichte der Frage gehrt nicht zu meiner Aufgabe und daher beschrnke ich mich auf
einige erluternde Beispiele.
Der bekannte
von einer grammatischen Gesamtbedeutung als einer Substanz, aus der die Sonderbedeutungen als Akzidenzen hervorgehen, und behauptet,
da
die
"Gesamtbedeutung"
Weder
die Sprache
Form
besitze in der
Mal ist es eine andere Form". Die einzelnen Verwendungen des Wortes betrachtet Potebjna einfach als "gleichklingende Worte ein und derselben Familie" und alle ihre Bedeutungen "als gleich partiell und gleich wesentlich" (33 f.). Die Leugnung der Gesamtbedeutungen
grenzten
heiten.
ist
hier bis zu
bis
zu einer unbe-
24
MORPHOLOGICAL STUDIES
Es werden natrlich Versuche unternommen, den EinheitsbegrifT einer retten, einen Begriff, ohne den die Formlehre
grammatischen Form zu
eigentlich zerfllt.
die Einheit einer
und
speziell
ihres
ff.,
Funke
57).
ins-
und
es entstehen solche
eine Morphologie, welche auf die Formbedeutungen ganz und gar keine
Rcksicht nimmt.
Ein hervorragender Linguist der Fortunatovschen Schule, Pekovskij,
versuchte die semantische Charakteristik der grammatischen
aufrechtzuerhalten,
Formen
indem
er die
These
aufstellte, die
Vereinigung der
Formen
lichen
seitens der
Bedeutung knne
sich nicht
Formen
in gleicher
ff.).
So erweisen sich
zum
der
Raum- und
Bedeutungen "sich innerhalb jeder Form wieEndung des Instrumentals zur Wieder-
aller seiner Bedeutungen dienen kann. Diese Behauptung ist ungenau jede Endung des Instrumentals Sing. masc. fllt bei den russischen
gabe
:
zusammen
(zlym, boz'im);
Endung
fllt bei
Endung
-
zusammen
(zloj-zloj,
staryj-staroj, tixij
graphischen Unterscheidungen
und nichtsdestoweniger ist die Getrenntheit der grammatischen Kategorien in jedem dieser Flle auer Zweifel. Das sind blo Paare homonymer Formen, und wenn die Einzelbedeutungen eines Kasus wirklich "nichts Gemeinsames miteinander htten", so wre auch der Kasus unvermeidlich in mehrere homonyme, miteinander nicht verknpfte Formen zerfallen. Aber das objektive Vorhandensein der Kasus
sind knstlich),
25
art ihrer
Gliederung in Einzelbedeutungen
allzu klar.
Pekovskij selbst
mu
derselben
Form
festzustellen
und dann
diese
Bedeutungen
ist
in Schattie-
eine
ungemein
Wenn
es,
von
einer
ihrer objektiven
uerung,
von der
lautlich verwirklichten
man
von der
zum
Wurde
in
Furcht des atomistischen Denkens vor der Problematik des Ganzen und
der Teile die Frage der Gesamtbedeutungen der grammatischen
Formen
wenigstens angedeutet, so lag es viel schlimmer mit der Frage der Kasus-
ist
in
ihr eigenes
Denken zur Kontrolle heranziehen. Deshalb wurde die Frage Wesen solch einer vermeintlich nutzlosen Kategorie wie ein ber das
Kasus meistenteils durch mechanisches Verzeichnen
Einzelbedeutungen
ersetzt.
seiner verschiedenen
Durch
Aber
die Aspekte
und manche
und die brigen slavischen Sprachen, um den miglckten Bestimmungen westlichen Ursprungs den Eintritt in die slavische SprachAnders verhlt
es sich mit der Kasuslehre,
wissenschaft zu gewhren.
wo Muster
fr die
Deutung und
den westlichen Sprachen verhltnismig fremd ist, spiegelte sich entsprechenden Lnder ab, und der Einflu der
Kasusproblematik der slavischen Wissenschaft,
26
MORPHOLOGICAL STUDIES
fhrenden
Anwendung fremdartiger
russischen
Sprache,
wo
ich die
men
als die
zum Gegenstand
Am
(s.
internationalen Linguistenkongre in
Rom
1933 hielt
M. Deutsch-
Grundbedeutungen
ohne dabei
tragen. Die
in
vollem
Mae
Kasussystem der gegebenen Sprache bedingt" und kann nur durch die Untersuchung der Struktur dieses Systems festgesetzt werden, und Thesen
von allgemeiner Tragweite nur durch vergleichende Analyse und Typologie einzelner Sprachstrukturen. Man kann nicht universal und allezeit
gltige
stze
Atti, 146).
dem Wege
zur wissenschaftL.
Hjelmslev
La
Der
weitsichtige
bis Pedersen,
welche die
Notwendigkeit einer breitangelegten vergleichenden Erforschung der verschiedenen grammatischen Systeme herausstellen, der grozgige
Kampf
und
27
ber-
lung
liegt die
an die groartige Arbeit Wllners an, die ihr Zeitalter weit berholt hat
"Die Grammatik
ist
sie
gebildeten Systeme,
und
um
ihre
Aufgabe zu
lsen,
mu
sie
dieser
Bestimmung
klargestellt:
"Ein Kasus wie eine Sprachform berhaupt bedeutet nicht einige verschiedene Dinge; er bedeutet ein einziges Ding, er trgt einen einzigen
abstrakten Begriff, aus
kann"
(85). Ich
dem man die konkreten Verwendungen ableiten nehme Ansto nur an dem Terminus Grundbedeutung
,
(signification
fondamentale)
nung Hauptbedeutung {signification principale) identifiziert werden kann, whrend der Verfasser richtig denjenigen Begriff im Auge hat, den
der Terminus
dergibt.
Gesamtbedeutung
{signification generale)
genauer wie-
d.h. eines
immanen-
was vom sprachlichen Standpunkt zusammengehrt, loszutrennen, sondern man darf auch nicht das, was vom sprachlichen Standpunkt getrennt ist, knstlich vereinigen. Nicht nur zwei grammatische
unterschied.
sich
Das Wort
ist
in der
Form
des Wortes
Man
kann
vom
Richtigkeit der
mme
Sohn liebt den Vater". Die Inversion ist zulssig: syna ljubit otec "den Sohn liebt der Vater"; "ida naduet grek, a greka armjanin" "den Juden wird der Grieche betrgen, und den
den Sohn"; syn
ljubit
otca "der
28
MORPHOLOGICAL STUDIES
Griechen der Armenier". Eine derartige Inversion besagt, da das Objekt der Ausgangspunkt der Aussage ist und das Subjekt ihr Richtungspunkt.
sein
entweder
als
dem vorangehen-
ist,
Anfang an darum, die Aufmerksamkeit auf den Gegenstand zu lenken. Wie dem auch sei, es wird dabei das bliche Zusammenfallen des Mittelpunktes der Aussage, d.h. des Subjekts, mit ihrem Ausgangspunkt verletzt. Wenn aber in einem derartigen Wortgefge die Endungen der
Kasus nicht anzeigen, darf die normale Wortfolge ljubit doC "die Mutter liebt die Tochter" nicht verletzt werden. Z.B. "die Tochter liebt die Mutter" oder im Gedichte "strax ljubit
beiden
Nomina
ihre
ma
do
ma
gonit styd, styd gonit strax" "die Angst jagt die Schande, die
jagt die
Schande
im zweiten
ihre
Schande
als
ljubit
Nomina durch
ist
die Kasus-
form unklar
(ma
do), wird
die
ist es,
Doch
kann blo
die syntaktische
ist.
keinesfalls dasselbe
Brondal hat
da
die
Kasus mor-
zwischen einer Kasusfunktion und Satzfunktion; Kasuslehre und Morphologie sind nicht Syntax" (Atti, 146). Die bertragung der Frage der
kasuellen Gesamtbedeutungen aus der Morphologie in die Syntax konnte
nur unter
dem Drucke
eines sprachlichen
die
Kasus
als
prpositionalen Fgungen
erwhnten Kategorien besitzen, erstens die syntaktischen Verwendungen eines Kasus mit Prposition und ohne solche (mittelbare - unmittelbare
Verbindung) einander entgegensetzen, und zweitens die Bedeutung der
bemerkenswert, da in den Fllen, wo die Kasusform der Nomina unklar ist, auch dann, wenn das syntaktische Verhltnis aus den reellen Wortbedeutungen sichtbar ist, z.B. kann man sagen syna rodila prolm letom "den Sohn hat die Mutter vorigen Sommer geboren", aber keinesfalls geboren", sondern blo do' rodila "die Tochter hat die Mutter
2
Es
ist
ma ma
rodila
do'
ma
geboren".
29
als
und
Kasus fordern. Der sogenannte bergang einer Sprache vom flektierenden Bau zum analytischen ist in der Tat ein bergang vom gleichzeitigen Bestand eines flektierenden und eines analytischen Systems zur Monopolstellung des letzteren. In einer Sprache, welche ein System der pr-
positionalen
vereinigt,
dem
Sinne,
da
in der prpositionalen
genommen wird,
Fgung die Beziehung an sich in den whrend sie im prpositionslosen Gefge etwa zu
Blick
einer
"Dem
zum
atomistischen Verfahren
mu man
schreibt
zutreffend
erfllt
Hjelmslev,
noch
bei
weitem nicht
und deshalb
wurde
noch nicht verwirklicht" (86 f.). Die Erfahrung, da die Versuche, die einzelnen Kasus isoliert zu bestimmen vergeblich sind, und da es unumgnglich ist, vom Gesamtsystem der
die Kasustheorie bisher
Kasusgegenstze auszugehen,
eines
ist
immanenten Verfahrens gegenber der sprachlichen Empirie, welcher der Begriff einer isolierten und unabhngig vom System der sprachlichen Gegenstze bestimmbaren Form vollkommen fremd ist. Die Abhandlung ber die allgemeine Struktur des Kasussystems, die das lehrreiche Buch Hjelmslevs schliet, und die ich nach dem Erscheinen des angekndigten zweiten Bandes eingehender zu besprechen hoffe, versucht die Gesamtbedeutungen des Kasus im Lichte des Kasussystems als einer
Ganzheit zu errtern. Auch in diesem Falle knnte
man
Kasus
und vor allem: worin unterscheiden sich ihre Gesamtbedeutungen? In den Charisteria schrieb ich: "Indem der Forin der Sprache,
geht er oft von der Voraussetzung aus, diese beiden Kategorien seien
gleichberechtigt,
und jede
Bedeutung: die
:
Kategorie
I.
bezeichne
a, die
Kategorie
II.
bezeichne
oder mindestens
30
I.
MORPHOLOGICAL STUDIES
bezeichne
a. II.
a. In
lativen
Kategorien anders:
falls
die
Kategorie
II.
l.
das Vorhandensein
ob a anwesend ist oder nicht. Die allgemeine Bedeutung der Kategorie II. im Vergleich zu der Kategorie I. beschrnkt sich auf den Mangel der "a-Signalisierung" (74). [S. oben, S. 3.] Dieser Grundsatz wird von Hjelmslev anerkannt: "La structure du
systme linguistique n'est pas
tion entre
telle qu'il soit
un terme
positif et
un terme
dfini et
un terme
un terme indfini"
z.B.
Doch
in
derjenigen der
gotischen Substantive, weicht der Verfasser der Catgorie des cas von den
z.B. eine derartige Definition des
rapprochement, puisqu'il
il
'prdicat': mais
de
la
la
valeur de
'sujet'
prdomine. En outre
s'il
le
est
prend
le
rle
du
rapprochement
avec
infinitif;
mais l'accusatif
valeur
parce que
la
d"obje prvaut
indique
le
souvent
la seule envisage.
En
comme
laquelle
un fait est situ." (116 f.). Das Problem der Gesamtbedeutungen ist hier offenkundig einerseits durch die traditionelle Liste der Einzelbedeutungen verdrngt,
bzw. durch die Liste der syntaktischen Funktionen eines jeden der beiden
Kasus (z.B. Nominativ als Subjekts- und Prdikatskasus, als prdikatslose Form und als Anredeform), und anderseits durch die Feststellung der Hauptbedeutung jedes Kasus (beim Nominativ "herrscht der Wert des 'Subjekts' vor", beim Akkusativ hingegen "berwiegt der Wert des
'Objekts' und ist oft der einzig bercksichtigte"), obgleich der Forscher im Prinzip ein solches Verfahren verurteilt (6 u.a.). Die folgenden Skizzen versuchen die morphologischen Korrelationen, aus denen das System der modernen russischen Deklination
besteht, aufzudecken, die
31
definiert
man
hufig den ersten als Kasus, der das Subjekt einer Ttigkeit und den
zweiten als Kasus, der ihr Objekt bezeichnet. Eine derartige Bestimmung
ist im groen und ganzen richtig. Der Akkusativ besagt da irgend eine Handlung auf den bezeichneten Gegenstand gewissermaen gerichtet ist, an ihm sich uert, ihn ergreift. Es handelt sich also um einen "Bezugsgegenstand" nach der Terminologie Bh-
des Akkusativs
stets,
lers (250).
Der A, welchen Pekovskij als den "starkregierten" definiert, bezeichnet entweder ein inneres Objekt der Handlung, welches als ihr Ergebnis entsteht (pisa pismo "einen Brief schreiben"), oder ein ueres, das einer Wirkung von auen unterworfen ist, aber auch unabhngig von ihr bestanden hat (ita knigu "ein Buch lesen"; 2. Ein
1.
"schwachregierter" A bezeichnet einen Zeit- oder Raumabschnitt, der von der Handlung restlos umfat ist (i god "ein Jahr leben", idti verstu "eine Werst gehen") oder den objektivierten Inhalt einer uerung {gore
goreva "Leid
leiden", utki
"Geld kosten"). Der schwachregierte A unterscheidet sich vom starkregierten dadurch, da sein Inhalt ungengend vergegenstndlicht und nicht genug gegenber der Handlung verselbstndigt ist, soda er zwischen der Funktion eines Objektes und eines Umstandes der Handlung
(Adverbiale) schwankt, auch mit den sonst intransitiven Zeitwrtern ver-
einer
ist
Umwandlung
und innerhalb
einem starkregierten
muila ada
starkregierte
"den ganzen
Weg
whrend zwei
und unmittelbar mit der Handlung verbunden, da er ausschlielich von einem Zeitwort regiert werden kann und sein selbstndiger Gebrauch immer ein ausgelassenes und hinzugedachtes Zeitwort empfinden lt: karetu! "den Wagen!", nagradu
Die Bedeutung des A-s
so eng
Anreden wie Varku ! Lizu ! (ein Fernruf oder ein nachdrcklicher Anruf, welcher in den Volksmundarten verbreitet ist) oder in solchen Ausrufstzen wie nu ego
kutiti "soll er
trillert!", ist
[]
leemu!
"zum
pus
ego
[]
Stel-
32
MORPHOLOGICAL STUDIES
des Sprechenden, und zwar von Appell, von Ablehnung,
lungnahme
von Gewhrenlassen, von Bewunderung vorgestellt. Die Bedeutung der Gerichtetheit ist auch mit dem prpositionalen A verbunden. Vgl. solche Fgungen wie na stol "auf den Tisch" - na stole "auf dem Tische", pod stol "unter den Tisch" - pod stolom "unter dem Tische" u.a.
Ist die gelufige
richtig, so bleibt
handelnde Subjekt bezeichnet, eine Reihe von Anwendungen des N-s nicht einbegriffen. Im Satze vremja - dengi "Zeit ist Geld" ist weder der
Im
Satze
vom
Nominativgehalt
als ein
ankndigt, auf
Handlung gerichtet, wogegen der N an sich weder das Vorhandensein noch das Nichtvorhandensein eines Bezugs zu einer Handlung angibt. 3 Die Angabe des Vorhandenseins eines Bezugs ist also das Merkmal des A im Gegensatz zum N; es ist
den Gegenstand
sei
eine
als
als
das
merkmallose Glied einer Bezugskorrelation zu betrachten. Die Aufstellungen der indischen Grammatiker, der
die
da der
gilt also,
bezeich-
im Satze im Gegensatz zum N, der an sich keine syntagmatischen Beziehungen kennzeichnet. Der russische N wurde mehrmals richtig definiert als ein einfacher nackter Gegenstandsname ohne die Verwicklungen, die
3
Hjelmslev spricht,
der
N kann entweder
die eine oder die andere Funktion erfllen, d.h. mit anderen Worten, keine dieser
Funktionen ist fr seine Gesamtbedeutung spezifisch; dagegen kann der A die Funktionen des Objekts einer Handlung und des Subjekts einer Handlung vereinigen, z.B. in der Verbindung mit dem Infinitiv (hausidedup ina siukan = octov |a0EVY)Kvai - der Akkusativgegenstand ist hier zugleich Objekt des Erfahrens und Subjekt des Erkrankens), aber die Objektsbedeutung bleibt dabei stets ein unentbehrliches Merkmal des A-s, whrend seine Nebenrolle als Subjekt blo eine der syntaktischen Verwendungen dieses Kasus ist. Deshalb umfat die Definition des A als eines Kasus, der ein Handlungsobjekt bezeichnet, alle Sonderbedeutungen des A-s, und ntigt nicht zur unberechtigten Erklrung einzelner dieser Bedeutungen als metonymischer Kasusverwendungen.
7]"
33
durch die Formen der brigen Kasus hineingetragen werden (Pekovkij, 118), als cas zro (Karcevskij, Systme, 18), kurz gesagt als merkmallose Kasusform. Die Tatsache, da der
die
Selbstentfaltung des
bezeichneten
noch das unvollstndige Vorhandensein im Sachverhalt der Aussage Kasus von allen brigen wesentlich ab und macht
einzig mglichen Trger der
ihn
zum
nennt unmittelbar den Gegenstand, die brigen Formen sind nach der
Bestimmung des Aristoteles "keine Namen, sondern Kasus des Namens". Die Nennfunktion kann als einzige Funktion des ersten Kasus vorhanden sein: die Benennung wird einfach mit dem gegebenen oder
treffenden
vorgestellten
ist
und wahrgenommenen
verbljud, lev "Br,
Gegenstnde
(ein
medve,
Kamel, Lwe") und die eigenen Erlebnisse (xolod, toska "Klte, Schwermut") oder er ruft durch Namen imaginre Gegenstnde hervor (der
Dichter Bal'mont: "Veer.
Vzmofe. Vzdoxi
vetr "Abend.
Strand.
Seufzen des Windes"). Der Nominativ fungiert in allen diesen Fllen als
eine Art
von Prdikat im Verhltnis zur Gegebenheit, welche ob empiAussage gegenber auenliegend ist.
die
Der
N ist
fungiert aber auch als Bestandteil einer Aussage, welche den Gegenstand
Doch auch
in der
Rede bleibt die Nennfunktion des N-s stets mitbestimmend, ja magebend: der durch den N bezeichnete Gegenstand wird als der Gegenstand der Aussage hingestellt. Die unvolkommene Verschmeldarstellenden
in
am
einge-
Der
N kann zwar in ein und derselben darstellenden Aussage verschiesich diese verschiedenen Satzglieder
doch beziehen
notwendig auf
Gegenstand,
Blo mit dieser
ist.
sei
34
MORPHOLOGICAL STUDIES
denn sonst
jekt
ist weder der N der einzige Ausdruck des Subjekts (das Subkann auch durch den Genitiv ausgedrckt werden), noch das Subjekt
(vgl.
1.
"Onegin,
Nvy*
Der Subjektnomi-
und der des Prdikats im ersten Satz meinen einen und denselben
die Prdikation wird das Beziehen der Prdikatsbedeutung auf
Durch
im "doppelten
N"
Umgebung
und
vielfach, besonders in
dem
Subjekt
und dem nominalen Prdikat (bzw. Apposition) mehr oder weniger verwischt. So z.B. im Marsch von Majakovskij: "Na bog [P] beg [S].
Serdce [S] na baraban [P]" "Unser Gott - das Rennen. Das Herz - unsere Trommel". Durch die Sonderstellung des N-s entsteht eine eigenartige syntaktische
Perspektive: der Nominativgegenstand
nimmt
Aussage
ein, er
wird
vom Sprechenden
in Blick
genommen. Vergleichen
ist
mit Estland
ist
Falle
Der Sachverhalt der beiden Aussagen ist identisch, aber im ersten ist Lettland, im zweiten Estland der Held der Darstellung, von dem
Logischen
nie
man
genug
ist
ist
grer
als
und
stellt fest,
da
der Bedeutungen. Die Unterordnung der Akkusativbedeutung in der Abstufung der Bedeutungen einer Aussage bleibt auch in den subjektlosen Stzen in Kraft. Die Besonderheit dieser Stze liegt darin, da die Stelle des
durch die Hierarchie
sein,
vakant
bleibt.
Man
verwundet";
35
lodku [A] daleko otneslo "das Boot wurde weit abgetrieben". In den nach
ihrem Tatbestand identischen Stzen soldat [N] rann v bok; lodka [N] bezeichneten Gegenstnde die daleko otnesena erhalten die durch den
erste
fhrende
Stelle in der
an sich
etwas bergeordnet
ist,
d.h. er besagt
im Gegensatz zum
N das Vorhan-
densein einer Hierarchie der Bedeutungen. Metaphorisch gesprochen, der A signalisiert die Unterordnung eines Punktes, setzt also
irgendeinen anderen gegebenen oder blo vermeintlichen Punkt, der mit
voraus; der
Punkt
angibt.
Wenn
"du
mich"
die
Wendung
auf.
-ja [N]
gebraucht, so zeigt
er,
Die Frage der kasuellen Gesamtbedeutungen gehrt der Wortlehre und die ihrer Sonderbedeutungen der Wortverbindungslehre an, da die Ge-
samtbedeutung des Kasus von seiner Umgebung unabhngig ist, whrend seine einzelnen Sonderbedeutungen durch verschiedenartige Wortgefge, bzw. durch verschiedenartige, formelle
und reelle Bedeutungen der umgebenden Worte bestimmt werden es sind also sozusagen die kombinatorischen Varianten der Gesamtbedeutung. Es wre eine
unberechtigte Vereinfachung des Problems, die Untersuchung der Kasus-
bedeutungen auf die Feststellung einer Reihe von Sonderbedeutungen eines Kasus und seiner Gesamtbedeutung als ihres gemeinsamen Nenners
zu beschrnken. Die Sonderbedeutungen, die syntaktisch oder phraseologisch bedingt sind, bilden keine mechanische
gibt eine gesetzmige
Anhufung, sondern
es
Hierarchie der Sonderbedeutungen. Man die Frage der Gesamtbedeutung eines Kasus durch
Bedeutung oder seiner Hauptbedeutung
ist,
ersetzen
diese
Fragen verwechseln,
selbst der Hierarchie
Problem
deutung
ist
Gegebenheit.
Wir
stellen fest,
da zwei Kasus
Gesamtbe-
gegenstndlichen
dieses
Merkmals uner-
36
MORPHOLOGICAL STUDIES
lt.
letzteren
Im ersten Falle sprechen wir von einer merkmalhaltigen, im von einer merkmallosen Kategorie. Aus der Tatsache, da die beiden Kategorien einander entgegengesetzt sind, ergibt sich, da zur spezifischen Bedeutung eines merkmallosen Kasus die Bezeichnung des
whnt
Nichtvorhandenseins des Merkmals wird.
des N-s im Gegensatz
irgendeiner
gibt die
Wenn
die
Gesamtbedeutung
zum A
nicht angibt,
ist
Handlung unterworfen
Kasus an, da die Aussage von (Signalisierung wei von Nicht-a; vgl. Handlung nichts einer solchen Charisteria, 84). Diese Bedeutung hat auch der N im selbstndigen Gebrauch. Dagegen in den Fllen, wo die Wortumgebung ankndigt, da der Nominativgegenstand einer Handlung unterworfen ist (die Signalisierung von a), wird diese kombinatorische Bedeutung des N, die mit der Akkusativbedeutung zusammenfllt, als eine "uneigentliche" Bedeutung gewertet. Diejenige spezifische Bedeutung des N-s, die der des korrelativen Kasus direkt entgegengesetzt ist, also die Bedeutung des handelnden Subjekts, oder, noch zugespitzter, die Bedeutung des Subjekts einer
spezifische
dieses
Bedeutung
transitiven
Handlung,
gilt als
die nominativische
Hauptbedeutung.
Kasus
als
der
man
ist!";
"was
fr eine
man kann
jagody "die Kinder suchten Beeren", nikto [N] ne pel "niemand sang" - und keineswegs detej sobiralo jagody, nikogo ne plo.
Der syntaktische Gebrauch des N-s, der diese Bedeutung zur uerung im Gegensatze zu demjenigen, der den Bedeutungsunterschied des N-s vom A aufhebt, naturgem als merkmallos empfunden. Darum sind solche aktive Fgungen wie pisateli piut knigi "die Schriftbringt, wird
steller
schreiben Bcher"
tava' "
werden von
ist
von Pukin geschrieben". Die geeignetste Vorstellung des handelnden Subjekts und insbesondere des Subjekts der transitiven Handlung ist das belebte Wesen und die
des Objekts der
unbelebte Gegenstand
ev. als
Eine Rollen-
als
Subjektnominativ,
Wesen
"der Lastwagen ttete ein Kind"; fabrika kalech ljudej "die Fabrik
verkrppelt die Menschen",
schlingt viel Kohlen".
pe'
poiraet
mnogo
uglja "der
Ofen
ver-
Thomson, der
seman-
37
dem
kam zum
folgenden Ergebnis
Verben
ist
und
die
'
bei
den transitiven
ist
Objekt,
305).
leicht,
(XXIV,
hemmen,
vom
N unterscheidet.
Vgl. das
dem
"was macht" im
Gegensatz zu kto delaet "wer macht" auf das Objekt, keinesfalls auf das
Subjekt.
Es gibt Sprachen
und
die nordkaukasischen),
wo
Kasus wird. Das und merkmalhaltigen Kasus ist hier im Vergleich mit dem Russischen (und mit den brigen Nominativ-Akkueiner transitiven Handlung, zur einzigen Funktion des
Kasus, da der Gegenstand einer Handlung unterworfen wird, sondern im Gegenteil, da er etwas einer Handlung unterwirft, wogegen der merkmallose Kasus das Vorhandensein einer derartigen Handlung nicht kennzeichnet. Uhlenbeck bezeichnet den ersten alsTransitivus, den zweiten als Intransitivus (eine interessante bersicht der Frage bei Kacnel'son, 56 ff.). Der erste fungiert als Subjekt bei transitiven Zeitwrtern, wogegen der merkmallose Intransitiv naturgem verschiedene syntaktische Funktionen ausben kann, nmlich die des Objekts bei den transitiven Zeit-
wrtern und die des Subjekts bei den intransitiven. Die Vergleichung der
Gegenstzen der genera verbi deckt die enge Verwandtschaft dieser nominalen und verbalen Korrelationen auf. Das Paar Transitiv
und neutro-passiven Genus gedeutet; es wre angebracht, das Verhltnis des N und A entsprechend als einen Gegensatz des neutro-aktiven und passiven Genus zu
-Intransitiv wird richtig als ein Gegensatz des aktiven
betrachten.
IV
An
Genitivs erwies
sich
sich
38
MORPHOLOGICAL STUDIES
Stamm
da der
erste einen
die
Handlung
wie die polemische Auslegung der alten rechtglubigen und der neuen
Lehre in einer Schrift der Altglubigen: einerseits begaj bluda [G] "weiche
der Unzucht aus", anderseits elaj bluda [G] "wnsche Unzucht". In der
Wirklichkeit sind derartige Bedeutungen wie "die Richtung von" oder
"die Richtung zu" in die Aussage durch die reelle Bedeutung des Zeit-
"von (Abend-)rte bis (Morgen-)rte" durch die Bedeutung der Prpositionen. Schon die Mglichkeit einer Verknpfung mit dem G zweier entgegengesetzter Richtungsbedeutungen bezeugt, da der Bedeutung des G-s an sich der Begriff der einen oder der anderen Richtung fremd bleibt. Aus dem Vergleiche des G-s mit dem N und dem A ergibt es sich, da
der
genstandes
Grenze der Teilnahme des bezeichneten GeSachverhalte der Aussage ankndigt. Es wird auf diese Weise der Umfang des Gegenstandes in den Blick genommen und
stets
die
am
wir knnen dementsprechend den Gegensatz des G-s, der die Umfangsverhltnisse anzeigt,
nisse anzeigen
Umfangskorrelation bezeichnen. Auch diesen nominalen Gegensatz knnte man mit der verbalen Aspektskorrelation vergleichen, deren Merkmal in der Ankndigung der
(N, A), als eine
Was den
Handlung
betrifft,
ist
im
aufgehoben,
Kasus kann ebensogut einen von einer Handlung betroffenen wie einen unabhngigen Gegenstand bezeichnen. Der G an sich besagt nur, da der Umfang der Teilnahme des Gegenstandes
ist.
am
Umfang
In welchem
bestimmt der sprachliche oder der auersprachliche Kontext. Der Genitivgegenstand kann im Sachverhalt der Aussage 1. teilweise oder 2.
negativ
vertreten sein.
Im
stellt
39
Grenze
gibt, als
fest.
Im
verhaltes der Aussage, wobei der Kontext entweder nichts anderes an-
Halt macht
da der Sachverhalt der Aussage an der Grenze des Gegenstandes ("G des Randes oder der Grenze"), oder es wird nebenbei
zum
bezeichneten Gegenstand
(G
ihm
entfernt
(G der Tren-
(G
in Nominalstzen:
1.
Anzahl
die Angelegenheiten";
kakogo del!
von) Gurken!"; 2. "vody, vody! [G] podval" (Pukin) " 'Wasser, Wasser'
.
no ja naprasno strdal'
. .
vodu
[]
dem
(Esenin)
"gute Nacht! euch allen gute Nacht!"; "limonika by!" (A. Belyj) "wenn
ein Zitronchen!"; "ni golosa" (Majakovskij) "keine Stimme". In allen
ihm stehen
G besagt,
da der Gegenstand
in
nommenen Ausma
Welche
ent-
Subjektgenitiv:
1.
haben
sich Leute
angesam-
melt" -
ljudi
Menge
ist
nicht angedeutet);
2.
hlzer ntig" - nuzny spieki [N] (ohne Einstellung auf ihren tatschlichen
ist
unheimlich vor
ersten
smer
gativer
[N] "unheimlich
ist
der
Tod" (im
stran
ein ne-
dem Tod
zurckschrekist)
;
whrend im zweiten
Falle der
Tod
Den
hufigen Mangel an einer deutlichen Grenze zwischen den einzelnen syntakTrvnek bercksichtigt {Studie, 70). axmatov ( 47) hegt Zweifel ber den Ursprung der letzten Wendung, doch hat
to zvuku!''''
den partitiven
richtig
40
otveta [G] ne pilo "es
MORPHOLOGICAL STUDIES
kam
dem
Handlung
1.
Adverbaler G:
der partitive Objektgenitiv
kommt
emu
"die
Flamme
in der
Lampe
kadm dn'm
jedem Tage
ihr
gibt
man
weniger Brot"
da
Handlung kennzeichnet
[pf.]
(s.
z.B. poel
"nahm Geld", nadlal [pf.] dolgov [G] - dlai [impf.] dolgi [A] "machte Schulden", kupi [pf.] baranok [G] - pokupa [impf.] baranki [A] "Kringel kaufen", daj [pf.] mne tvoego noza [G] "gib mir (ein
[impf.] derfgi [A]
dem
um
dem partitiven G verbinden lassen, kommt, wenn nicht die Einschrnkung des Gegenstandes ausgesagt wird, eine Fgung mit dem A zustande {nakupil ujmu "kaufte eine Unmenge ein"; nagovoril kuu komplimentov "sagte einen Haufen Komplimente"). Auch dem schwachregierten A
entspricht ein
to proizolo
"'man
hat Scherze gescherzt'"; poezdka stoit boVix deneg "die Reise kostet
viel
2.
Geld".
G der Grenze: "Odnoj nogoj kasajas' pola" (Pukin) "mit einem Fue
Macht
erreicht";
er,
burV
(Lermontov) "und
6
brigens
ist
am
Sach-
im Verschwinden
begriffener Archaismus.
Z.B. das Krylov'sche "dostali not, basa, aVta [G]" "verschafften sich (zeitweilig) Noten, einen Kontraba, eine Altgeige" wird heutzutage meistens miverstanden. So nach axmatov bedeutet hier der G "eine Gesamtheit oder eine unbestimmte Menge von gleichartigen Gegenstnden" ( 425). Thomson behauptet, ein solcher G der Zeiteinschrnkung sei "in der huslichen Sprache vieler Gebildeten noch heute
fr
die
allerdings nicht.
41
dem
mne
ty
pesen
Gegenwart
die Lieder des traurigen Georgiens", ne itaju gazet "ich lese keine Zei-
kennzeichnet
Gegenstandes im Sachver-
und im Gegenteil das Vorhandensein des Gegenstandes in der Wortumgebung oder in der auersprachlichen Situation, die der Aussage vorangeht, angezeigt ist, wird der G nach Aktiva vom A verdrngt; prosi deneg [G] "um Geld bitten", prosi dertgi [A] "um das Geld bitten" (um welches es sich schon gehandelt hat - Beispiel von Pekovskij);"ya
gelegt wird
cef svoju dostig" (Lermontov) "ich habe mein Ziel erreicht". Der externe
ist
hier nicht
von
ersten
erreicht"
und
nicht
poljus [A];ja ne slchal toj sonaty [G] "ich habe diese Sonate nicht
fehlt
und der
Umstand, da
nicht imstande
dem
bei Adjektiven:
1.
polnyj mysljami
[I],
wo
die quantitative,
kennung"
Abart des G-s der Grenze), slae jada "ser als Gift", ugovor doroze deneg "das Abkommen ist teurer als Geld" (eine Abart
(eine
des G-s der Trennung: die hhere Stufe drngt die niedrigere zurck).
G bei
tiv).
Frwrtern
(die
Bedeutung
ist parti-
dem
den Gegenstand, sondern auf den angrenzenden Inhalt oder auf einen
Teil des
Gegenstandes zeugt vom metonymischen Wesen des G-s oder im Falle des partitiven G-s von einer besonderen Spielart der
42
MORPHOLOGICAL STUDIES
erweist sich besonders deutlich gerade beim adnominalen G, was meistens aber in der Fachliteratur sonderbarerweise bersehen wird,
z.B.
Delbrck, 307
f.).
der
abhngt, den
Umfang
des Genitivgegenstandes
Glas Wasser",
as
doma
vom Gegenstande
uerungen
(raz-
grom
ihr
Nomen
abstrahiert
(dva krasoty
entfaltet
am vollkommsten und
ist
deutlichsten
G-s und es
kennzeichnend, da er
Bedeutungsnuance
freies
uerung
dieses
Diesem rein adnominalen Monopolgebrauch des G-s ist sein ad verbaler Gebrauch als der Punkt der maximalen Kasusunterscheidung entgegengestellt. Dem A ist lediglich der G bei Verba aktiva direkt entgegengesetzt, da der starkregierte A stets ein Aktivum voraussetzt.
vom
Genitivgegenu.a.),
knnen
im
Schriftrussischen) mit
weil der Gegenstand, der die Abstossung hervorruft, als ein ttiger Faktor
Handlungsobjekt gewertet wird. Das Zeitwort lia den Patiens, der beraubt wird, dem Gegenstand, um welchen der erstere beraubt wird, oder mit anderen Worten, dem Gegenstand, der aus dem Sachverhalt der Aussage ausgeschloen ist, gegenber
und nicht
als ein
"berauben"
setzt
der erste fungiert naturgem als Akkusativobjekt, der zweite als Genitivobjekt, die
ist
dem
da auch
in
43
ma [A] doce [G] "beraubte den Vater um den Sohn und die
Tochter". Wie Pekovskij richtig vermerkt (265
f.),
Mutter
um die
neigen
die G-e der Negation, des Zieles (und auch der Grenzen) zur Verwechse-
lung mit
verwischt.
dem A, und die Deutlichkeit des Gegensatzes wird nicht selten Den allergrten unterscheidenden Wert hat der Gegensatz des partitiven G-s gegenber dem A (vypil vina [G] 'trank etwas Wein aus" vypil vino [A] "trank
in
Ausnahmsfllen
als partitiver
"kostete
vom Huhn"), deshalb ist der Gegensatz des A-s und G-s bei den Nomina, die belebte Wesen bezeichnen, wenig belangvoll und ist in den meisten Paradigmen aufgelst bei den Namen der belebten Wesen erhlt
:
der
die
Form
Aufhebung
einer Bedeutungsunter-
scheidung: den Aussagen kupil kartiny [A] "kaufte Bilder" und kupil
kartin [G] "kaufte (eine Anzahl) Bilder" entspricht, falls das Objekt ein
belebtes
Wesen
ist,
Pferde". 7
dem
ist
(vgl.
ma
Im
russischen Deklinationssy-
wenn
Unbelebtheit angibt, so das Gegenteil durch das entgegengesetzte Kennzeichen nicht eindeutig angekndigt wird:
im
dungen des
zigen
sog.
Neutrums
wesen" kndigen ihre Belebtheit unmittelbar durch den Stamm an), whrend die brigen Nominativendungen gleicherweise in den Bezeich-
nungen belebter Wesen und unbelebter Gegenstnde vorkommen; das Vorhandensein zweier Genitiv- oder zweier Lokalformen kennzeichnet
die Unbelebtheit des Gegenstandes,
wogegen das Nichtvorhandensein einer derartigen Spaltung nichts besagt (s. Kap. VII). hnlich steht es mit dem Gegensatz der Genera bei den Hauptwrtern die meisten Kasus besitzen je eine Endung, die die Angehrigkeit des Wortes zu den Mask,
:
ankndigt
(z.B.
7 Im Polnischen fiel der A Plur. mit dem G blo bei den Personenbezeichnungen zusammen, soda die Bedeutungsunterscheidung beinahe intakt bleibt, da der Gegensatz des A-s und des partitiven G-s bei dieser Namengattung nur in geringem Mae
vorkommen knnte.
44
MORPHOLOGICAL STUDIES
dieser
-/',
Endungen
(z.B.
Kasus
-e
die Zugehrigkeit zu
-/,
Sg.
oder
I -oju,
Plur.
-/,
G -ej oder
Null-Endung).
Eindeutig sind die Hauptwrter der beiden Genera durch die Genus-
Sg.
bei-
merkmalhalbezeich-
Mann
ob
es sich
um
einen
Mann
oder
um
eine
Frau handelt
(sog.
Mask.);
vgl.
I.
vra
[Mask.] "Genossin
Der prpositionale
nach von dem brigen Genitivgebrauch. Auch hier werden durch die
Ausschaltung eines Teiles oder des ganzen Gegenstandes die Grenzen
dieses Gegenstandes seiner
in
kurzen
iz
nekotorye
nas
dem Flusse" der Grenze); do reki zum (G "bis Flusse", dljaslavy "zwecks des Ruhmes" (G des Zieles); iz ruz'a (aus der Flinte), ot reki "vom Flusse"(G der Trennung), bez zabot "ohne Sorgen", krom zimy "auer dem Winter"
von uns"
(partitiver
G);
2. u,
45
Weder der Instrumental noch der Dativ kennzeichnen Umfangsverhltnisse. Diese Kasus sind nicht mit dem G, sondern mit dem N und dem A in Korrelationsbeziehung. Wie der A so gibt auch der D die Betroffenheit des bezeichneten Gegenstandes von einer Handlung an, wogegen der I gleich dem N nichts darber besagt, ob der Gegenstand von einer Handlung betroffen ist oder nicht, noch ob er selbst eine
Ttigkeit ausbt, bzw. an einer Ttigkeit beteiligt
ist
[I]
[I]
wurden vom Kinde begegnet" - oni vstreali ego rebnkom [I] "sie hatten ihn als Kind begegnet". Wie der A so fungiert auch der D folglich als der merkmalhaltige Kasus der Bezugskorrelation (die Bezugskasus) im Gegensatz zu den merkmal"sie
losen
und
v,
I.
Gerichtetheit
zum Gegenstand
po pojas
;
zum
Grtel"
k,
dem
wo
Gefge sich nicht auf ein Zeitwort, sondern auf ein Substantiv bezieht vxod v dorn "Eingang ins Haus", doroga v Rim "Weg nach Rom",
klju
die allgemeine
Bedeutung des
ob der bezeichnete Gegenstand von einer Handlung betroffen wird, so deutet die spezifische Bedeutung des N-s an, da die Aussage von einer solchen Ttigkeit nichts wei, und besonders deutlich uert sich das Nominativwesen, wenn der Gegenstand als an einer Handlung
nicht angibt,
Bettigter dargestellt wird. Dasselbe gilt
namentlich dieHauptbedeutungdesIhat axmatov im Auge, wenn er den wesentlichen Unterschied des I-s vom D darin sieht, da der erstere "eine vom Zeitwort unabhngige Vorstellung bezeichnet und
nicht ein Objekt, welches der
setzt ist,
Merkmals verhilft und seine uerung ndert oder bestimmt" ( 444). Worin liegt denn der Unterschied des I und D vom N und A? Zwei
Menschen ankndigen, stets durch die Form des Nomens die Mehrzahl besagt wird: dvoe, pjatero druzej "zwei, fnf Freunde"; dvoix, pjateryx druzej [G]; dvoim, pjaterym
drufjam [D] usw.
46
MORPHOLOGICAL STUDIES
Termini von Pongs paraphrasierend (245), bezeichne ich den I und D als Randkasus und den N und A als Vollkasus, und fr den Gegensatz der
beiden Gattungen verwende ich im folgenden die Benennung Stellungs-
korrelation. Der
Randkasus
gibt an,
gesamten Bedeutungsgehalte der Aussage eine periphere Stellung einnimmt, wogegen ein Voll kas u s nicht angibt, um welche Stellung es
Zentrum voraus, ein Randkasus setzt das Vorhandensein eines zentralen Inhaltes in der Aussage voraus, welchen der Randkasus mitbestimmt. Dabei mu dieser Zentralsich handelt. Eine Peripherie setzt ein
Ognem
[I]
"Mit Feuer und Schwert", / zolotom [L] molotom "Mit Gold und Hammer" setzen eine Handlung voraus, mit Hinblick
[I] / [1]
/
meom
aufweiche
durch den
berschrift Ivanu Ixanovicu Ivanovu [D] setzt etwas voraus, was fr die
ist
und
dieses Etwas,
obwohl
es nicht ausgedrckt
in der
da
sie
peripher werten
auch der
ist
dem anderen
den
sie
ohne
Randkasus der
Fall
ist.
Das Zeitwort
delaet
Antworten auf die Fragen kto "wer" und to "was", bzw. ne delaet
des
"macht nicht" Antworten auf die Fragen kto und ego [G]. Das Fehlen N und des A (bzw. des G) verleiht hier der Aussage einen elliptischen
Charakter.
nicht
Doch die Fragen em [I] delaet, komu [D] delaet entspringen dem Wesen der Aussage selbst, und sind mit ihrem Kerne nicht
gemacht". - Die Frage nach
dem
was
Agens (kern
[I]) ist
to mog
dat' "er
gab
alles,
Lcke empfunden. Der Sachverhalt solcher Aussagen wie teenie [N] otneslo lodku "die Strmung trieb das Boot ab" olenja ranila stela [N] "den Hirsch ver;
wundete ein
paxnet seno [N] "es riecht das Heu" auf der einen und teeniem [I] Seite otneslo lodku; olenja ranilo streloj [I]; paxnet senom
Pfeil"
;
[I]
ist
47
das Subjekt,
die Instru-
im
mentalform schreibt dem Gegenstande eine Nebenstellung zu, wobei die Fgung des Zeitwortes mit dem I an sich nicht besagt, ob diese Nebenstellung
ist,
perom [I] "die Zeichnung ist mit der Feder skizziert" - risunok nabrosan xudonikom [I] "die Zeichnung ist vom Maler skizziert" im ersten Falle bedeutet der I ein bloes Hilfsmittel, nmlich ein Werkzeug, im zweiten Falle den Urheber des Werkes, der aber im Vergleich mit dem Werke in
:
Aussage verdrngt
ist
und sozusagen
als eine
Voraus-
gengt
es,
dem
einen
stand erhlt einen objektiven Hilfscharakter. Die Randstellung des Gegenstandes uert sich hier als Gegensatz von Mittel
[N] ranil olenja streloj
Pfeil"; saraj [N]
[I]
paxnet senom
Im Rahmen
an. Dieser I
der
Modus
(idti vojnoj
Wald
Nacht reisen"). Solche Dubletten wie vyrja kamnjami [I] - vyrja kamni [A] "Steine werfen" hlt Pekovskij fehlerhaft fr "stilistische Synonyme"
"in der
(269).
noju
auf den Gegenstand. Hier macht sich also der Gegensatz des Mittels und
Darum
die
sagen wir:
und des selbstgengsamen Objektes toby probi stenu, oni vyrjali v ne kamnjami
sie
"um
48
vyrjal
MORPHOLOGICAL STUDIES
kamni
ist
[A]
Noch
govori rezkimi slovami "in rezkie slova "scharfe Worte govori sprechen" scharfen Worten sprechen": im ersten Falle wird vom Sprechenden der Redeinhalt, in letzterem die Rede an sich bercksichtigt. Der tautologische "I der Verdeutlicher
ist
kria
"'mit Geschrei
schreien'"),
ihrer
whrend der tautologische A Benennung sozusagen herausschlt {kli klika " 'einen Ruf rufen' ").
Der
dachtes Zeitwort {knutom ego! "mit der Peitsche auf ihn!") oder auf ein
Nomen
Sport", udar
"Weg
zung dieses
I-s
durch einen
N bedeutet eine
Ab-
Hand von der Schulter ausholend" "komsomolec - nog noga [N] / Fu an Fu! Schulter an pleo [N] pleu! mari" (Majakovskij) "
der
;
Schulter!
2. I
Marsch!"
der Einschrnkung begrenzt "das Gebiet der Anwendung des Merkmals", welches im Prdikat bzw. im Attribut, auf welches sich dieser
Kasus
bezieht, ausgedrckt ist:
pomolode
mog primiri-
"im Geist
zum
relevanteren Allgemeinen.
Der
und
sage
besagt,
um
um
Der I wird dem Prdikat an- oder eingefgt. On suej "er fungiert hier als Richter", budet suej "wird Richter sein", stal sud'j "wurde Richter", 10 on izbran suej "er ist zum Richter erwhlt", ego naznaili suej "man hat ihn zum Richter ernannt", znavali ego suej "wir haben ihn als Richter gekannt", suej on poetil
Eigenschaft handelt.
zds'
lica [G]
takim ozabo-
10 In solchen Fgungen wie stal suej ist die Randstellung blo semantisch, nicht [I] unaber syntaktisch fundiert: bei der Aussage on stal ist die Frage kern,
em
entbehrlich.
49
cennym
[I]
"ich sah nie ihr Gesicht so besorgt". Falls aber eine stndige,
tatarinom [I] "sei Tatare" empfinden Sohn war ein Narr". Den Satz Ruf zur tatarischen nationalen Selbstbekennung, whrend "bu tatarin [N]" im Pukinschen Epigramm bedeutet: falls du ein geborener Tatare bist, bleibt dir deine nationale Zugehrigkeit und es ist daran wir als
nicht zu rtteln. In den Scherzversen "on byl tituljarnyj sovetnik [N], ona
bu
general'skaja
"er
do\
on robko
ubvi
ej priznalsja,
war
Rang
Umrah-
mung
das,
was ihm voranging, und das, was folgte, wird absichtlich im Dunkeln gelassen. Aber on byl tituljarnym, potom nadvornym sovetnikom [1] "er war Titular-, spter Hofrat". Falls die Aufmerksamkeit des Sprechenden
auf einen Zeitabschnitt konzentriert ist und dementsprechend die Aussage
statisch eingestellt
ist,
weicht der
dem N.
In ihrer
und
vermerkt E. Haertel, "es gebe eine groe Anzahl derartiger Stze, in steht, z.B. solche mit togda, denen an Stelle des zu erwartenden I der
svoe vremja, also mit einer zeitlichen Bestimmung, oder mit sonstigen
verweisen" (106). Aber auch diese Belege zeugen von einer feinen, bedeutungsvollen Unterscheidung der beiden Kasus bei
Ja,
svoe vremja
dann enthalten
byli togda
rebnok [N]" "Sie waren damals ein Kind", "v svo vremja siVnyj byl
latinis\ "war seiner Zeit ein tchtiger Lateiner".
Beispiele: on vernulsja boVnoj [N] "er kehrte
boVnym
[I]
"er kehrte
krank (erkrankt) zurck" ja uvidl dom, zapuennyj i opustelyj [N] "ich sah ein Haus, vernachlssigt und verwstet" -ja uvidl dom zapuennym
i
opustelym
[I]
und
die
lich
Tajanoj [I] zum AusNamengebung die Kasusform im zweiten Fall kommt in der druck, im ersten nur die Namengegebenheit; wir wrden sagen: sestra
.
. .
einem anderen, frheren Zustande entgegengestellt. TaiJana [N] " (Pukin) "ihre Schwester hie Tatjana" -
"
50
zvalas' Tanej
[I],
MORPHOLOGICAL STUDIES
a kogda podrosa, Tajanoj
[1]
Tan'ja,
[A] zvali
und als sie herangewachsen war, Tatjana genannt". Vgl. sestru Tajanoj [I] "man nannte die Schwester Tatjana" oder mit Zer-
zvali
(:)
einem Satz
bei
cerkov
[N] sv.
man
Magdalene".
begrenz-
axmatov
ten, also
A"
( 430).
ber seiner eigentlichen Bedeutung bei der Konstruktion mit dem I des Vergleichs, dessen innere Verwandtschaft mit dem I der Bettigung
schon Miklosich richtig eingesehen hat (735): u nego grud' kolesom "seine
Rad" (ist muskelig), kazak bujnym sokoom rinulsja na vraga "der Kosak strzte sich wie ein ungestmer Falke auf den Feind". Sobald die bildliche Bedeutung als mit dem Gegenstande untrennbar
Brust
ist
wie ein
Feind".
se-
Fgungen wie sidnem sidel 'sa als (wie) ein Sitzender' (Stubenhocker)" do lil livnem "der Regen go wie (als) ein Regengu" (in Strmen) mit krikom kria u.a. zeigt, da in den beiden Fllen der I das Prdikat verstrkt, indem er seinen Inhalt loslst, aber im letzteren Falle wird dieser losgelste Inhalt als Modus des Prdikats, im ersten aber als eine eng
oder mit
"
dem
Wendungen wie on
ist
ostalsja
durak
"roi''
durakom "'er
les
blieb
Narr wie
(als)
lesom" (axmatov,
Sint.,
Wald wie
ein
Wald'" (ist ein wirklicher Wald) steigert das tautologische Gefge von N und I die besagte Eigenschaft, indem es sie gleichzeitig als Substanz (N) und als Akzidenz (I) oder als Identifizierung (N) und als Vergleich (I)
darbietet. Pekovskij (244) findet sich nicht imstande, die tautologischen
no pora
ist
es Zeit
51
die
Aber gerade in diesen produktiven Fgungen uert sich anschaulich Gesamtbedeutung des I-s: der Gegenstand, der soeben durch den N
I-s
ihm
eingerumt.
[I]"
Im Sprichworte "druba
[N] druboj
verdrngen einander die beiden Gegenstnde in die Peripherie des Sachverhaltes der Aussage.
Wie wir uns aus den besprochenen Gebrauchsarten des I-s berzeugen konnten, kennzeichnet der I an sich nichts mehr als die bloe Randstellung; er nimmt zwischen den Randkasus dieselbe Stelle der merkmallosen Kategorie ein, die dem N zwischen den Vollkasus zukommt.
Dementsprechend neigt der
Randstellung ankndigende
bei
I
S.
axmatov (478)
opromeju
Kehle" usw.
Alles auer der Randstellung wird bei den Einzelverwendungen des
I-s
durch die
reelle
legt
v
Buchstaben und Zahlen schwimme wie ein Fisch im Wasser" morem ein
I
der Bedingung (namentlich des Weges) und ryboj ein I des Vergleiches
Der Anschlu dieses Randkasus an den Aussagekern ist ein derartig da wir ohne die reellen und formellen Bedeutungen der umgebenden Worte nicht imstande wren, festzustellen, worauf und auf welche Weise sich der I andarmom in den folgenden Stzen bezieht: ona znavala ego andarmom "sie kannte ihn als Gendarm", on znaxal andarmom "er, als Gendarm, kannte sie", on naletl andarmom na detvoru "er strzte wie ein Gendarm auf die Kinder", on prigrozil andarmom brodjage "er drohte dem Landstreicher mit Eingreifen eines Gendarms", on byl naznaen andarmom "er wurde zum Gendarm ernannt", on byl ubit andarmom "er wurde von einem Gendarm gettet". Bezeichnende
ist.
loser,
an (506):
einerseits
vtroe,
devkoju "sie
flicht die
em
Zpfe
[I],
als
Mdel anders
als als
krasuetsja kosoju
52
baboju[
als
I]
MORPHOLOGICAL STUDIES
ne svtit volosom
sie nicht
[I]
"als
Mdel prangt
sie
mit
dem
Zopf, aber
Frau glnzt
mit
dem Haar".
I-s.
Diese lose Art des Anschlusses uert sich ausdrcklich auch beim
prpositionalen Gebrauch des
welches Hjelmslev (129) als relation sans contact bezeichnet, also der
prpositionale I bedeutet keine Berhrung mit
dem Gegenstande
(s,
nad,
Kugeln").
Die
ist
und
die Betroffenheit
wie der A. Deshalb wird der Dativ als der Kasus des indirekten Objekts
definiert.
solch eine
vom
Handlung des Zeitwortes gerichtet ist, ohne diese Vorstellung zu umfassen ... und ohne sie unmittelbar zu berhren" ( 435). Pekovskij lehrt, der Dativ gebe nur den Adressaten an, er besage die bloe Gerichtetheit der Handlung ohne Berhrung des Gegenstandes (267 f.). Die geringere Innigkeit der Verbindung des Dativobjekts mit der ihm geltenden Handlung, im Vergleich mit dem Akkusativobjekt uert sich vor allem darin, da der D die von der Handlung unabhngige Existenz des Gegenstandes ankndigt, whrend der A darber nichts besagt und ebenso gut ein ueres wie ein inneres Objekt bezeichnen kann. Skalick schreibt in seinem Buche, welches
viele interessante
Anregungen fr die allgemeine Grammatik enthlt: "man kann nicht annehmen, da z.B. zwischen den Verhltnissen der Zeitwrter zu den Substantiven in den Fllen wie ech. uiti se nemu und studovati nco
ein grndlicher Unterschied bestehe. Hier fhlt
man schon
eine gewisse
uiti se
nemu
oder uiti se
nco
dem
gebraucht, so fhlt
im
Stil:
mit
ist
nahen
uisja
und
ui
"lernen" mit
unterschieden.
lerne die
Man
iwus'
unabhngig
53
Aufgabe", da meine Aufgabe ohne Verhltnis zu meinem Lernen berhaupt nicht vorhanden ist. Auch in solch einem prpositionalen D wie
to vedt ego
gibeli [D] "dies fhrt ihn
anstatt
vyzyvaet ego gibeV [A] "ruft sein Verderben hervor", wird das Dativobjekt als eine leise
Wendung
wird hier
als
ego
als
Metapher empfunden, hnlich wie dasselbe Wort in der wartet das Verderben" das Verderben
:
dem
und welches
als
soll.
Im
Satze ja prepodaju rebjatam [D] istoriju [A] "ich lehre den Kindern
als direktes Objekt, die
Kinder
als
uu
Objekt meiner
whrend
ist.
Manchmal
und
indirekte Objekt
und
pot upodobil devuku [A] roze [D] "der Dichter hat das Mdchen mit der Rose verglichen" - ... rozu [A] devuke [D] "... die
;
Rose mit dem Mdchen" on predpoitaet brata [A] seste [D] "er zieht die Schwester sestru [A] bratu [D] ". den Bruder der Schwester vor" . . . . .
dem Bruder"
Handlung (Vorziehen) meint den Akkusativgegenstand, aber auch der Dativgegenstand ist von ihr betroffen, da sie im Hinblick
:
die
auf ihn geschieht. In seltenen Fllen wird ein Zeitwort sowohl mit einem
A, wie auch mit einem
tes
:
em [I] -
als direktes Objekt der Handlung wird im im zweiten das Geschenk geschildert: derjenige, dem es bestimmt ist, wird dabei zum bloen Adressaten, whrend das Geschenk aus einem Werkzeug zu einem selbstgengenden Ge-
Gre
zitiert, illustriert
li'
"nedarimenja
ty zlatom, podari
mne
sebja"
(155) "beschenke mich nicht mit Gold, sondern schenke mir dich selbst".
Hier wird das Gold entwertet und das ihm entgegengesetzte Geschenk
ein Vollbild hervorgehoben.
als
"Der
(s.
Nilov 143)
ist
Agens
hier als
ein
Emp-
54
MORPHOLOGICAL STUDIES
fnger des Geschehens empfunden wird: eine Handlung, genauer unabhngig von der Aktivitt des Erlebenden erlebt (vgl. boVnomu [D] polegalo "dem Kranken wurde leichter" - boVnoj pouvstvoval sebja lue "der Kranke fhlte sich besser"; mne [D] ne spitsja - ja ne spVju "ich schlafe nicht", ja ne mogu spa "ich kann nicht schlafen"; ego mne [D] choetsja - ego ja chou "was will ich"), oder
ein Zustand, wird als
stimmt, von vornherein vorgeschrieben oder abgelehnt geschildert, und der Dativgegenstand wird entsprechend als der Empfnger des Befehls
oder des Verbots, oder der Warnung des Schicksals aufgefat (ein Sprich-
wort
"by byku
sollt
am
Strick-
Tamary,
salsgabe
schildert
Tamara zu
kann dabei als Wunsch oder Befrchtung des Sprechenden gewerden: vernusja by emu [D] zdorovym "es sei ihm gegnnt,
sei
uns womglich
mehr Geld beschieden" (die Handlung bleibt hier unausgedrckt); ne popas by emu [D] v zapadnju "da er nur nicht in die Falle kommt". Der sogenannte Dativus ethicus bestimmt ausdrcklich dem Empfnger der Aussage deren Inhalt - der Hrer wird so aufgefat, als ob er
von
ihrer
als
ob
sie
ihn stattgefunden htte: piel on tebe [D] domoj, vse dveri nase'
er dir
fing
"kam
nach Haus,
Tren auf"
tut
vam
Der
ein solches
einbegreift.
I, im prpositionslosen Gebrauch nur Wort bestimmen, welches die Bedeutung des Geschehens Deshalb knnen sie ein Substantiv nur dann bestimmen, 1.
wenn es ein Ttigkeitswort ist (otvet kritiku "Antwort einem Kritiker", podarok synu "Geschenk dem Sohn", ugroza miru "Drohung dem Frieden", torgovlja lesom "Handel mit Holz" u.a. - s. oben); 2. wenn es als
Prdikat verwendet wird, welches notwendig die Bedeutung des Fungierens enthlt (russkaja pesnja - vsem pesnjam [D]pesnja "das russische Lied
ist
ist
allen Liedern
- Lied,
1
nam [D]
ne
suja "er
ist
3.
(Seins,
[D] pesnja, neslas' nad rekoj "das russische Lied, ein Lied, das alle Lieder
55
dvux devic, vnuek Mixailu schwebte ber dem Flu", Makaroviu [D] u "die Mutter zweier Mdchen, die dem Michail Makarovi Enkelinnen waren" (das Verwandtsein wird im russischen sprachlichen Denken als eine Art Fungierens gedeutet, vgl. obe prixodjatsja emu [D] vnukami [I]; oxotnik, rostom bogatyr\ vyel na medvedja "der Jger, ein Recke von Wuchs, ging auf den Bren los"); endlich 4. wenn
es als eingliedriger
ma
auersprachlichen Situation
alle
ist)
Lieder bertrifft",
kuma mne
Worten ausgedrckt - ta enina prixoditsja mne kumoj; bogaty rostom "(das ist) ein Recke von Wuchs", "Captin poarnym" "Chaplin als Feuerwehrmann". Aber der D oder der I kann nicht in derartigen Fllen ein Subjekt bzw. ein Objekt bestimmen. Man kann z.B. nicht sagen vsem pesnjam pesnja nesla" nad rekoj oder prodolzaet
vllig in
vosxia
nas "
bogaty
"),
pes
ist.
in
den Fgungen mit der Prposition geltend. Vgl. solche Gegenstze wie lesu "zum Wald" - v les "in den Wald" mit dem, was oben ber den
prpositionalen Instrumentalgebrauch gesagt wurde. hnlich streVba po
streVba v ut ok [A].
utkam [D] "das Schieen auf Enten" zeugt vom Treffen weniger als Man kann sagen oplakiva pokojnika [A] "den
Verstorbenen beweinen" und oplakiva poterju [A] "den Verlust bewei-
plaka po potere
dem
[D]. 12 Die
Fgungen der
vieldeutigen
Prposition po mit
Handlung
streift:
gerichtet
welches
sie
blo gleitend
"schlug ihn
freundschaftlich auf die Schulter"; vyxou na pole "ich gehe aufs Feld" idu
seits
11
po polju "ich gehe lngs des Feldes". Die letztere Aussage ist anderentgegengesetzt einer solchen wie idu polem "ich gehe durch das
Dieses Beispiel aus Dostoevskij wird von Pekovskij zitiert (290). Der Lokal nach po bei den Verben des Trauerns, den die Schulgrammatiken empfehlen, ist ein lebloser Archaismus.
12
56
Feld",
ein
MORPHOLOGICAL STUDIES
wo der I kein Handlungsobjekt, sondern beinahe ein Hilfsmittel, Medium des Ganges, seine Einzeletappe auf dem Wege zu etwas
ist.
anderem
Vgl. idu
polem
v derevnju "ich
i
dem
dann durch Wald und Wiese". Man kann nicht sagen vozduxom [I] letit ptica, sondern nur po vozduxu [D] - "in der Luft fliegt ein Vogel", da er
auerhalb der Luft nicht
baut, jeder je eine Htte".
jekt uert
fliegt.
PogoreVcy
kadyj po izbe [D] "die Abgebrannten haben eine neue Siedlung aufge-
Gang und
infolgedessen erkannte ich den Menschen, was auch das Wichtigste war.
Ja po rassejannosti [D] zaper dvef [A] "aus Zerstreutheit schlo ich die Tr" - auch hier zerlegt sich meine Ttigkeit in zwei uerungen: ich
bekundete eine Zerstreutheit und infolgedessen, hier
kommen
wir
zum
Kern der Aussage, schlo ich die Tr. Es knnen dabei auch die Urheber der beiden uerungen verschieden sein po ego prikazaniju [D]ja pokinul komnatu [A] "auf seinen Befehl verliess ich das Zimmer". Dem oben
:
besprochenen Gegensatz uus' francuzskomu jazyku spricht der Unterschied zwischen otmetka
uu
urok ent-
"Zensurnummer
Kasus
Handlung fungieren
als
Wesen und
I ist
in der
am
schrfsten entgegengestellt.
vom
Subjekt der
vom
knnen
alle
(z.B.
"der Br
ist
vom
li
drug na druga vojnoj [I] "die Nachbarn zogen in den Krieg gegeneinander" " -> veli drug s drugom vojnu [A] fhrten Krieg miteinander";
sluzil
soldatom
[I]
[I]
PI.]; letit
I
sokoom
letit
57
des Werkzeugs durch einen anderen Kasus blo mittels einer scharf
um
seine
werden kann ja piu pis'mo perom [I] "ich schreibe den Brief mit einer Feder" - pero [N]piet pis' "meine Feder schreibt den Brief". Der Ides Werkzeugs bei transitiven Zeitwrtern bezeichnet in der Regel einen unbelebten
Gegenstand.
Aus
allen
ist
der
entgegengesetzt,
Kasus bedeutungsmig und bis auf wenige Ausnahmen kann seine Bedeutung durch andere Kasus nicht wiedergegeben werden (da knigu bratu "das Buch dem Bruder geben", pisa pis' mo drugu "einen Brief dem Freunde schreiben", go vori derzosti sosedu "Frechheiten dem Nachbarn sagen");
tiven Zeitwrtern
am
vgl. vernul
dem Sohne zurck" oder "dem Vater den Sohn" oder syna
(z.B.
whrend
die
ja udivilsja tvoemu pis'mu [D] "ich staunte ber deinen Brief" -> ja byl
udivln tvoim pis'
[I]
itaju rozu rezed [D] "ich ziehe die Rose der Reseda vor" -> okazyvaju
[I]
Vorzug" ;ja
belebtes
Wesen (vgl. Delbrck, 185, Atti, 144) und als derjenige des A-s ein unbelebter Gegenstand, besonders wenn es sich um den A des inneren Objekts handelt, und gerade dieser A ist dem D am schrfsten
entgegengesetzt, weil der
stande
ist
(ein belebtes
Wesen
ist
eine seltene
Ausnahme: bog sozdal eloveka "Gott schuf den Menschen"; ona zaala,
rodila
Wenn
Tendenz zu einer geradezu entgegengesetzten Verteilung des Belebten und Unbelebten zwischen den einzelnen Vollkasus einerseits und den Randkasus anderseits:
N
I
13
belebt
unbelebt
A D
unbelebt
belebt
parallelen Gegensatze
N-I
des Mittelpunktes der Aussage. Sie Prdikatrolle der mit dem I konkurriert.
ist die Hauptbedeutung des A-s; aus dem Hauptbedeutung des N-s als die Bedeutung wird im Satzsubjekte verwirklicht, wogegen in der
58
MORPHOLOGICAL STUDIES
Bezeichnend fr die Verankerung dieser Verteilung im sprachlichen Denken ist das System der enthllenden "schulgrammatischen Fragen" kto
:
[N] delaet,
to
[A] dehet,
em
[I]
delaet,
komu
womit,
wem
macht".
VI
Im Lokal gleich wie im G ist im Unterschied zum D und A der Bezugsgegensatz aufgehoben. Gleich dem G kann der L einen Gegenstand, der von einer Handlung betroffen ist, bezeichnen (vgl. priznajus' v
oibke [L] "ich bekenne mich
zum
weise aber einen Gegenstand, ber dessen Betroffenheit von einer Hand-
Moskau"; udovie trx golovax [L] "das dreiudovie s trem'a golovami [I] "das Ungeheuer mit
Mond" und
ist
da zwei Gegenstnde im Spiele sind, und zwar der Mond und eine Aussage ber ihn, wobei in erster Linie und unmittelbar diese Aussage, und erst indirekt als Randgehalt der Mond gemeint wird. Dasselbe
findet statt,
wenn man hrt oder liest - na lune [L] "auf dem Mond": es werden zwei Gegenstnde gemeint - der Mond und etwas, was sich auf dem Monde befindet oder vorgeht, wobei das zweite sozusagen den Kern
der Aussage ausmacht, und der
gehalt behauptet.
Mond
an sich
Rand-
dem
da
Es
ist richtig,
Die Frwrter, die im Gegensatz zu den anderen Redeteilen durch ihre Wurzelkeine reellen, sondern formelle Bedeutungen ausdrcken, besagen fters mittels verschiedener Wurzelmorpheme solche Bedeutungsunterschiede, die sonst durch Gegenstze der morphologischen oder syntaktischen Form wiedergegeben werden: das sind einerseits die Kategorien der Belebtheit und Unbelebtheit (Gegensatz der Wurzelmorpheme - : kto "wer" - to "was", kogo - ego usw.), der Person (ja "ich", ty "du", on "er") und anderseits absonderlicherweise der Gegensatz der AngehrigkeitundNichtangehrigkeit zu einer prpositionalen Fgung, die beiden Frwrtern der dritten Person durch den Unterschied der Wurzelmorpheme r und j folgerichtig ausgedrckt wird (nego-ego, nemu-emu, ne-e usw.).
morpheme
59
Zusammenhang
Gres
"allerschwchsten,
Doch
ist
die
Fgung mit
L im
Gegensatz
zum A, G, I und
keiten,
dem
Die Bedeu-
Bedeutungen der
und
D betrifft, so kennzeich-
dem Regens unabhngig davon, ob sie mit oder ohne Prposition verwendet werden). Der L kndigt seine eigene Randstellung gegenber dem ausgedrckten oder hinzugedachten
nen
sie die
Randstellung gegenber
"geringere Objektivisierung"
des Lokalgegenstandes
in
Umfange
vertreten, der
ist
also
Umfangskasus. Er unterscheidet sich allerdings vom Umfang und zwar den vollen Umfang des Regensgehaltes angibt und sich somit als Randkasus auswirkt. Rasskazy o vojn [L] "die Erzhlungen ber den Krieg, vom Krieg, aus dem Krieg", rasskazyvajut o vojne "man erzhlt ber den Krieg, vom Krieg" ist angegeben der Rahmen der Erzhlungen bzw. des Erzhlens,
dem
G ein
ist
Umfang der Insel ist durch die AusUmfang des Flusses. Poduka leit na auf dem Sofa" es ist das ganze Kissen, aber
:
der
ist
in der
Aussage
vjaike
bumagi zaperty
jaik
sie
schlossen worden":
Gegenstand
ist
hier
also zeitlich nicht vllig umgrenzt. Grenik raskajalsja v svoej ini [L]
"der Snder bereute sein Leben": das Leben des Snders erschpft den
Inhalt der Reue, nicht aber die
dem L
oder die
60
MORPHOLOGICAL STUDIES
stattfindet: sluil pri dvore
am
ist
gorode sloboda "die Stadt hat einen Vorort", skaza pri ene "sagte
Gegenwart
(in
(vgl.
esti
[I]
Merkmale
ist
fr
den Regens
trx nokax
dom
Der L
ist
also gegenber
dem N,
als
gegenber
dem N,
und
onale und der stets prpositionslose Kasus erweisen sich als diametral entgegengesetzt. Es ist bemerkenswert, da die russische grammatische Tradition von jeher (schon Meletij Smotrickij im XVII.
Jhd.) die Deklinations-Paradigmata, die
gen,
N anfanG
mit
dem L
schloss.
Wundt,II, 62, 74
f.).
VII
Namen von
unbelebten Gegenstnden
glie-
dern sich
G und
L in je
Genitive - den
den
derselben,
teils
G I,
G II, der auf ein betontes oder unbetontes -u endet; eine Anzahl teils
verschiedener
Namen
scheidet zweierlei
Wechsellaut endet,
Lokale - den L I, der auf -e oder seinen unbetonten und den L II, der auf ein betontes -u endet. Auch ein
-i,
den
I,
Null-Endung des N-s unterscheidet und den L II, der auf ein betontes -i
endet.
Es wurde oftmals versucht, die Funktionen der beiden Abarten des G und des L zu bestimmen, doch umfassen diese Bestimmungen meistens
nur einen Teil ihrer Bedeutungsbereiche. So
setzt
Bogorodickij (115)
iz lesu
"aus
61
tmnogo
lesa
"aus
wo
Ausganges
dem dunklen Walde" verin den Fgungen aka um Tee" ist, und warum in den
Auch Durnovo
fhrt
an,
und des L
indem
er vermerkt,
da
Quantitt bezeichnen,
einen Lokal (na
am
hufigsten
ist,
unterscheidet, der
und na
in rein lokaler
und
zeitlicher
Bedeu-
tung" (247
ff)
verwendet wird.
ff.):
"wenn
die
Masse
statt -a
gebraucht,
wenn
den
solche
"statt
Der Forscher vergleicht in diesem Fgungen wie kupi syru [G II] "kaufe Kse" II]
"eine Flasche
Met" -
prigotovlenie m'da
[G
Wald" - granica
nicht zhlbaren
axmatov (Oerk, 100 ff., 122 f.). Er stellt fest, da die G-e auf -u von Worten mit einer Stoff-, Kollektiv- und Abstraktbedeutung gebildet werden und da "die Individualisierung oder Konkretisierung der Stoff begriffe" die
fhrt Listen der
Worte
-i
vor, die
Endung -a mit sich bringt; der Forscher im L nach den Prpositionen v und na
und
seine Bedeu-
G der Ab-
15
Die Frage wird auch im jngsterschienenen stoffreichen Buche von Unbegaun zur Geschichte der russischen Deklination berhrt; der Verfasser folgt dabei im Wesentlichen den Schlssen axmatovs und erklrt durch die Tendenz "vers l'adverbialisation" diejenigen
Anwendungen
des
einer individualisierenden
Bedeutung betrachtete
62
MORPHOLOGICAL STUDIES
Welche
ist
Gesamtbedeutung der sichtlich gleichlaufenden und L I-L II? Die Nomina, welche den G II bzw. den L II besitzen, besitzen notwendigerweise auch den G I bzw. den L I. Der G II und der L II sind im Verhltnisse zu G I und zu LI merkmalhaltige Kategorien. Sie besagen im Gegensatze zu den merkmallosen
also die
Gegenstze
-G
II
und L I, da der bezeichnete Gegenstand nicht als Gestalt, sondern etwas Gestaltendes oder zu Gestaltendes im Sachverhalte der Aussage fungiert. Man kann dementsprechend den G II und den L II als Gestaltungskasus und ihr Verhltnis zum G I und L I als Gestaltungskorrelation bezeichnen. Ein Massenobjekt oder das ihm grundstzlich verwandte Abstraktum, 16 von dem eine bestimmte (loka peru "ein Lffel Pfeffer",// goroxu "ein Pfund Erbsen", mnogo smexu "viel Lachen") oder unbestimmte Dosis {aj! "(etwas) Tee!", smexu bylo "es gab Lachen") oder ein
I
als
Nulldosis (net aj "es ist kein Tee da", bez peru "ohne Pfeffer", bez smexu "ohne Lachen") im Sachverhalte der Aussage beteiligt ist, wird erst durch die grenzverleihende Funktion der Aussage positiv oder
negativ gestaltet.
sondern
II,
der
seinem Wesen nach von der Dinglichkeit des Bezeichneten absieht, seine
Berechtigung.
rjumka korjaku [G
",
napilsja
'
II]
blieb kein
." - zapax
korjaka [G
1]
"der
kepe korjaka
im
ljubiju
C",
"man
berhrte
"von C".
Freilich gibt es
an der Grenze der beiden Kasusformen Schwankungsflle, doch fters werden auch diese Grenzvariationen semasiologisiert, z.B. ne pil korjaka
[G
I]
"trank keinen
."
Getrnk
[G
II] ist
Gegenstand nicht werten will; koliestvo korjaka [G I] "die Quantitt von die Quantitt erhlt hier die semantische Schattierung einer Eigenschaft des Gegenstandes - koliestvo korjaku [G II] besagt nur das
":
ber
s.
Braun.
63
in
Wenn
wird,
ist
ein
das
Nomen
-Mehrzahl
tritt
in seine
Rechte (razlinye
aber
ai
"verschiedenartige Tees",
II verliert seine
Be-
aj [G
II],
aja [G
I]
"es
zapaxu [G
sladkogo
ili
II]
im Verkauf weder China-, noch Ceylontee" cvety bez "Blumen ohne Geruch" - v bukete ne bylo cvetov bez gofkogo zapaxa [G I] "im Strausse gab es keine Blumen
ist
bitteren
Gesamttendenzen anzudeuten.
Ein Gegenstand in der Eigenschaft eines Behlters, einer Anbringungs-
Maes umgrenzt und gestaltet hiermit den Sachverhalt der Aussage. Im prpositionalen Gebrauch besagen der G II und der L II, da diese Funktion des Behlters oder Maes die magebende, oder sogar die einzig in Frage kommende Eigenschaft des Gegenflche oder eines
standes
ist.
o,
pri
ist
der
II nicht vereinbar
(govori
nicht der
Blut sprechen",
"ein Huschen
am
II
[G
I]
"beim
Im
(v
II
v,
na vereinigen
kov "im
ebenfalls der
iz,
Behlters, Befindungsortes,
Maes
ist
Gebrauch beschrnkt sich auf einige erstarrte Gefge wie z.B. iz lesu "aus dem Walde", iz domu "aus dem Hause", spolu "vom Boden", s vozu "vom Wagen", besonders in den Mabezeichnungen: s asu "von ein Uhr", bez godu "um ein Jahr weniger"; im Gegenteil ist der L II in der entsprechenden Bedeutung eine gelufige Form.
Bildung,
sein Falls der
und
v nicht
Dinge
v lesu
in Betracht zieht,
II
naturgem nicht
am
Platze. Vgl.
skoVko krasoty
im Walde gibt", skoVko krasoty v lese [L I] "welche Schnheit dem Walde eigen ist"; v step [L II] menja razdraaet mokara "in der Steppe rgern mich die Mcken" - v stpi [L I]
[L
II]
"wieviel Schnes es
64
MORPHOLOGICAL STUDIES
mera razdraaet odnoobrazie "die Steppe rgert mich mit ihrer Einfrmigkeit" no i v ten [L II] putnik ne nael spasenija "aber auch im Schatten
;
als Be-
v tni
[L
I]
auch der Schatten brachte dem Wanderer keine Erlsung" (der Schatten
als evt.
Trger der Erlsung); v grjaz [L II] mono najti almaz "auch im Schmutz kann man einen Diamant finden" (der Schmutz umhllt den Diamant) - i v grjzi [L I] mono najti svoeobraznuju preles "auch am
/
Schmutz kann man einen eigentmlichen Reiz finden" (das heit der eigentmliche Reiz knne die Eigenschaft des Schmutzes sein). Wird das Enthaltene als eine Akzidenz des Enthaltenden gewertet und
wird gerade das letztere in Blick genommen, so wird der
lassen. Vgl.
II nicht
zuge-
polout "auf dem Teiche splen die Weiber Wsche", na prudu lodki "auf dem Teiche sind Boote" - sad
na prud [L
II]
baby
zapuen, na prude [L
I]
ist
verdet, auf
dem
Teiche
ist
Wassermoos"; ona
elke [L
I]
pojavilas'' v elk
[L
II]
pojavilas'
jes bumanye
na mede [L
Ist die
I]
volokna "in der Seide sind Baumwollfden vorhanden"; lepeki ispeeny na [L II] "die Fladen sind auf Honig gebacken" -
med
zeigte sich
Schimmel".
ist,
fr den
am
Sachver-
Aussage sich fr uns kaum auf eine Rolle des einfachen Behlder
II nicht
angelese
les [L
II] leit
liegt ein
Nebel" - na
tuman "auf dem Walde liegt ein Nebel"; v grob [L II] mertvec "im Sarg ist eine Leiche" - na grobe [L I] venok "auf dem Sarg ist ein Kranz", v [L II] "im Kbel" - na cane [L I] "auf dem Kbel", v
[L
I] leit
an
grjaz [L II]
"im Schmutz" - na grjzi [L I] tonkij sloj snegu "auf dem Schmutz hegt eine dnne Schichte von Schnee" idit voron na dub [L II] "ein Rabe sitzt auf der Eiche" - otverstie v dube [L I] "eine Hhlung in
;
der Eiche"; na
val [L
II] nali
dem
Erdwall fand
man
[L
I]
man - -".
es,
da
damit der
Auch
I],
II
der
(bzw.
anstatt des
G II der G
[L
v
nom grobe
V grob [L II]
65
;
II]
"im Sande" v
zolotom pesk [L
I]
"im Goldsande"
I]
na
voz
[L
II]
"auf
eloveeskoj krvi [L
lebnojgrjzi [LI] "der
"die
v ce-
Kranke badet im 'heilsamen Schmutz' (Schlamm)"; iz tmnogo lesa [G I] "aus dem dunklen Walde". Je ungewohnter das Attribut ist, desto mehr hebt es den Gegenstand hervor und desto eher tritt der L II dem L I seine Stelle ab. Vgl. v rodnom kraj [L II] "im Heimatland" - v ekzoieskom kraje [L I] "im exotischen Land".
z lesu
[G
II]
"aus
dem Walde" -
VIII
Gegensatzes der
:
(N
66
MORPHOLOGICAL STUDIES
(und zwar den Punkt der Projektion des Gegenstandes in die Aussage) angibt. Gleichartig ist das Verhltnis zwischen dem D und dem I, aber
beide unterscheiden sich
vom
Rand-
auf einem
oder
Segment
dargestellt werden,
wobei beim
Hhe)
eigentlich nicht
setzt
das
einerseits der
Punkt der
Projektion des gemeinten Gegenstandes auf den Plan der Aussage, anderseits die
knnen
wir den
als
wagerechten
Abschnittes
schematisch darstellen.
und der L
mit
II
unterscheiden sich
Segment eingetragen wird, damit die zum Ausdruck kommt. Der G II vom G I und L dadurch, da nicht der
I
Gegenstand
als solcher
dem
Sachverhalte der Aussage. Einer von beiden wird erst durch den
dem
wieder und
beim
G I und
der Fall war. Welche von den beiden Einheiten - der bezeichnete
als gestaltend
Gegenstand oder der Sachverhalt der Aussage als gestaltet fungiert, ist
und welche
gehrt not-
beim
II nicht
besagt; beim
II
hier
Gl
GII
LI
LH
67
IX
Kein einziges der deklinierbaren Worte verwertet durch seine Kasusendungen das ganze System der russischen Kasusgegenstze. Bezeichnend sind die verschiedenartigen uerungen des Kasussynkretismus (vgl.
Durnovo, 247
Travaux),
leibt
:
ff.).
Eine gewisse
Asymmetrie,
schon
dem Gesamtsystem
als die
Der Gestaltungsgegensatz
ist
meistens vermieden (oder historisch gesehen - hat nur ein geringer Teil
in zwei
Kasus durchgein
ist
ebensogut
dem
dem
entsprechen kann
(es kniga [N] "das Buch ist da" - net knigi [G] "das Buch ist nicht da" ; vizu knigu [A] "ich sehe das Buch" - ne vizu knigi [G] "ich sehe das Buch
nicht"). Diese
Asymmetrie im Systembau wird durch den asymmeergnzt und auf die ganze
trischen
im synchro-
synkretismus erreicht.
Sind in einem Paradigma die Gestaltungsgegenstze oder mindestens
einer
von ihnen (G I-G II oder L I-L II) vorhanden, so Bezugsgegenstze und zwar der des N und A aufgehoben.
ist
einer der
sneg
68
MORPHOLOGICAL STUDIES
die beiden Unterschiede zugleich aufgehoben, so verschmelzen
Werden
und
die
Asymmetrie des Systems wird hier - ein einziger 17 sischen Schriftsprache - einigermassen berwunden.
ty
tebja
69
der
aller drei
und der meisten fem. Frwrter statt, da in der Volksprache die Instrumentalendung -oju vollkommen durch -oj ersetzt ist. Alle Randkasus sind hier zusammengefallen und Stellungslichen Deklination der Adjektiva
ta
tu
toj
slepaja slepuj u
slepoj
Die Verschmelzung der merkmalhaltigen Glieder einerseits und der merkmallosen Glieder
einfachste
aller drei
bildet das
sorok
ptora
sta
soroka
19
polutora
Im
alle
Serbischen haben alle Randkasus des Plurals eine gemeinsame Form, whrend Unterschiede der Vollkasus beibehalten bleiben.
udari
udare
udara
udarima
Im echischen
gibt es im Gegenteil Plural-Paradigmata, die alle Unterschiede der Vollkasus abbauen, aber alle Unterschiede der Randkasus bestehen lassen.
znamenmi
znamenm
znamench
im Giljakischen
Diese Besonderheit eines echischen Einzelparadigmas wiederholt sich beispielweise als Eigenschaft des gesamten Kasussystems
:
1.
taf
3.
[Haus]
4.
2. tafkir
tsftox
tavux
sischen entspricht; 2. I;
und dem prpositionslosen G des Rusim Wesentlichen dem russischen D entspricht; 4. "lokativisch-elativer Kasus, der dem L und dem prpositionalen G des Russischen entspricht.) Im Plural ist dasselbe Verhltnis, doch besteht hier die Tendenz, anstatt der Randkasus den absoluten Kasus zu gebrauchen (s. Jazyki i pis'(1.
dem N, dem
/??ew/o.s/'
197).
im echischen Paradigma pan "Frau" zu beobachten: im Plural herrscht die oben angefhrte Verteilung, whrend im Singular die Kasusunterschiede vollkommen aufgehoben sind.
ist
70
MORPHOLOGICAL STUDIES
Fr die scharfe Gegenstzlichkeit des N-s (bzw. des A-s, soweit er mit dem ersten zusammenfllt) gegenber den Rand- und Umfangskasus
zeugen neben den angefhrten Paradigmen folgende Erscheinungen:
1.
defektive Frwrter
und zwar
einerseits isolierte
Nominativformen
[D] u. s.w.)
{nkomu
[D],
[I],
nemu
und das
zeichnet
2.
reflexive
[D], soboju
besitzen
Polivanov, 87);
N
;
ein anderes
Wurzelmorphem hat
als die
my
Nominalstamm sich vom Stamme der brigen Kasusformen durch das Fehlen des "Verbindungmorphems" (s. Trubetzkoy, 14) unterscheidet: vrema [N-A] "Zeit" - vremeni [G-D-L]
Substantiva, deren
u.s.w.
4.
;
im
in
den brigen
Kasus
fllt:
gvozdjm [D]
Kasusformen mit
leistet
Hilfe der
um
alte
am
voll-
stndigsten
knnen
die
Entwickelung durch folgerichtige Vergleichung einiger verwandten Systeme in Bewegung, ihrer Konvergenzen und Divergenzen, erlutert
werden.
Steigen wir von der sprachlichen Synchronie zur vergleichend-historischen Kasuslehre
empor oder versuchen wir das skizzierte Schema des modernen russischen Kasussystems und dasjenige des verbalen Baues in
die zeitgemsse
und
ihrer
nach den Grundstzen einer Typologie der Kasussysteme, die trotz ihrer
Vielheit so auffallende
bereinstimmungen
um
Unterscheidung
der
verschiedenen
Grade der
71
sprachlichen Teilganzen, insbesondere zweier Stufen, nmlich des Wortes und Wortgefges. Es ist ein unbestreitbares und dauerndes
Verdienst Brondals, diesen grundstzlichen Unterschied nachdrcklich
stndigen Gebrauches fhig ist, und beispielsweise die meisten Kasus, von der Wortumgebung abstrahiert, seien nichts als "toter Stoff", hat mehrere morphologische Probleme entwertet und entstellt. Einige Fragen der Kasuslehre von dieser irrefhrenden Voraussetzung zu befreien wurde in dieser Studie versucht. Dem Problem des Bedeutens, welches
schon auch in die Lautlehre rechtmssig eingedrungen
ist,
mu
in der
-.
- S. Kacnel'son,
"Zur Struktur des russischen Verbums", 74ff.). genezisu nominativnogo predloenija (1936). - S. Karcevskij, Sy-
stme du verbe russe (1927). - S. Karcevskij, "Du dualisme aymtrique du signe linguistique", TCLP, I, 88 ff. - A. Marty, Zur Sprachphilosophie. Die "logische", "loka-
und andere Kasustheorien {\9\0) -F Miklosich, Vergleichende Grammatik IV (1883). - I. Nilov, Russkij pade (1930). - H. Pedersen, "Neues und nachtrgliches", KZ, XL, 129ff. - A. Pekovskij, Russkij sintaksis v naunom osveenii (1934 4 ). - E. Polivanov, Russkaja grammatika v sopostavlenii s uzbekskim jazykom (1934). - H. Pongs, Das Bild in der Dichtung (1927). - A. Potebnja, Iz zapisok po russkoj grammatike, I II (1888 2 ). - A. Puchmayer, Lehrgebude der Russischen Sprache (1820). - V. Skalick, Zur ungarischen Grammatik (1935). - M. Smotrickij, Grammatiki slavenskija pravilnoe sintagma (1618). - A. axmatov, Sintaksis russkogo jazyka, I (1925). - A. axmatov, Oerk sovremennogo russkogo literaturnogo jazyka (1925). - A. Thomson, "Beitrge zur Kasuslehre", IF, XXIV, 293 ff.; XXVH.I, 107 ff.; XXIX, 249 ff.; XXX, 65 ff. - F. Trvnek, Studie o eskm vidu slovesnm (1923). - F. Trvnek, Neslovesn vty v etin, II: Vty nominln (1931). - N. Trubetzkoy, Das morphonologische System der russischen Sprache (= TCLP V/2). - C. Uhlenbeck, "Zur casuslehre", CZ, XXXIX, 600 ff. Unbegaun, La langue russe au XVIe sicle, I: La flexion des noms (1935). - F. Wllner, Die Bedeutung der sprachlichen Casus und Modi (1827). - W. Wundt, Vlkerpsychologie, II Die Sprache (1922 4 ).
listische"
NOTES ON GILYAK
1.
INTRODUCTION
1.1
Sources.
^
and
Yuan dynasty
C/i-lieh-mi.
(
There
is
K ai-yiian hsin
.
D.
tungp
I.
Ju. Moskvitin, V.
Pole,
Duyk,
Adam KamieskiAmur
A map
l
.
of Siberia
made
in
Tobolsk
in
on the Gilyaks in his diary. 4 1672 was perhaps the first to take
Cf. Sei
Wada, "The Natives of the Lower Reaches of the Amur River as RepreMemoirs of the Research Department of the Toyo Bunko,
No. 10 (Tokyo, 1938); Moritaka Takahashi, "Historical Sketch of the Gilyaks from
Chinese Sources" (prepared for publication). 2 See P. Popov, "O Tyrskix pamjatnikax," Zapiski Vostonogo Otdelenija I. Rus. Nait, Dokushi Zroku (Tokyo, Arxeologieskogo Obestva, Vol. XVI (1906);
1929);
751.
3
Oerki
M.
I.
istorii
vv., Part I
(Moscow,
1953), p.
Cf.
Belov, Russkie
Ledovitom
1951),
p. 51 ff.;
Aktam istorieskim, Vol. Ill (Moscow, 1848), documents Nos. 12, 100, 102; N. P. ulkov, "Erofej Pavlov Xabarov, dobytik pribyl'scik XVII veka," istorii russkoj Russkij Arxiv, XXXVI (1898), p. 178ff.; M. O. Kosven, "Materily
Dopolnenija
etnografii
4
tnografija, 1955,
No.
1,
p.
136 ff.
i
miejsc," Warta,
NOTES ON GILYAK
account of the Gilyak people (giljanskie
skaja zemlja). 5
Ijudi)
73
and their territory (giljanon Asian geography by N. G. Spafarij-Melesku, after his diplomatic journey to China in 1675-1678, pay attention both to the continental (Amur) Gilyaks and to their insular
The remarkable
writings
(Sakhalin) fellows. 6
first
books by
Chine
Moscow
China,
account of his
trip,
German, English, and French. He notes the location of the Amur Gilyaks, and the Populi Giliaki figure on his map. From the seventeenth century, Japanese documents mention the Gilyaks, and, according to M. Takahashi, the first Japanese publication to cite the Gilyaks was a geography of Hokfirst in
Dutch (Amsterdam,
1704), then in
in
Gilyak
is
Pallas'
Linguarum
comparativa (SPb. 1787-1789). G. W. Steller's Beschreibung von dem Lande Kamtschatka (Frankfurt-Leipzig, 1774), p. 57, states that one shore of the lower Amur "von einer besonderen Nation bewohnet ist, die
Giljacken genennet werden, und *** in sinesischem Gehorsam leben".
in 1785-1788,
Voyage autour
from the Ainu natives. The same inadvertence W. R. Broughton's Voyage of Discovery to the North
in the
Pacific
Years 1795,
6, 7,
8 (London, 1804).
his
The
navigator to present
many
life
way of
his travelogue
See A. Titov, Sibi' v XVII veke (Moscow, 1890), p. 41 ff. D. M. Lebedev, Geografija XVII veka (Moscow, 1949), p. 25 ff. 6 "Skazanie o reke Amure," in A. Titov, Sibi' v XVII v., pp. 105-1 1 3 Ju. V. Arsen'ev, "O proisxodenii Skazanija o velikoj reke Amure," Izvestija I. Rus. Geogr. Obestva, Vol. XVIII, No. 4 (1882); N. G. Spafarij, Opisanie pervyja asti vselennyja, imenuemoj Azii, v nej e sostoit Kitajskoe gosudarstvo s procitni ego gorody i provincii (Kazan',
;
Rossii
1910).
7
74
first in
MORPHOLOGICAL STUDIES
Russian 8 and then in numerous translations - German, Swedish,
Italian,
Dutch, English,
and French.
Almost
at the
same
time, the
Mamiya wrote
Amur and
travelers,
this area
A Voyage
down
York,
the
Amoor
with a
Siberia
and Incidental
by Perry
New McDonough Collins, the commercial agent of the Amur River, at the same time as Kita-Ezo-Yoshi, a
by the writer and traveler
Tartarie Orientale (Paris,
U Archipel
Japonais
et
la
name of these
natives, the
later students
J.
M. Tronson,
Amur
written
some trace of a language amongst the Ghiliacks", recorded "some words in the
vain efforts "to discover
many
Kam-
(London,
Gilyak voca-
bulary at
all,
but a
list
Kansuke Okamoto, published Kita-Ezo-Shinshi, a description of the North Sakhalin aborigines, with more than a hundred Gilyak words
recorded in the "kana" syllabary.
first
Furet's
and Okamoto's
lists
are the
I.
Maksi-
I.
4,
1806 godax, 3
vols. (St.
Petersburg, 1810-1814).
9
Rinz, Kita-Ezo-Zusetsu, an account of a trip to Sakhalin in 1808, pubabout an expedition to eastern Siberia, in particular to the Amur region, also printed in 1855. 10 Cf. Polevoj, "tnografceskie nabljudenija G. I. Nevel'skogo (1849 god)," Sovetskaja tnografija, 1955, No. 4; A. Smoljak, "kspedicija Nevel'skogo 1850-1854
lished in 1855; idem, T-Tatsu-Kik, a report
Mamiya
gg.
XIX
v.
v Priamur'e, Primor'e
na Saxaline,"
ibidem, 1954,
No.
3.
NOTES ON GILYAK
75
at the
member of Kruzenstern's
party, Lieutenant
G.
I.
Davydov,
the
first
and grammatical
forms, and of the lexical differences between the continental and insular
dialects,
draw
reliable conclusions
first
surrounding languages.
material to point out the structural connection of Gilyak with the UralAltaic type of languages,
some morphological
ties
ties
briefly,
most of the
The
primarily,
good recorded
texts.
performed by two
cf.
See I. S. Vdovin, htorija izuenija paleoaziatskix jazykov (Leningrad, 1954), p. 163; Dvukratnoe puteestvie v Ameriku morskix oficerov Xvostova i Davydova, 2 parts (St.
Petersburg, 1810-1812).
12
N. L. Zland, "Zametka o giljackom jazyke," Trudy Etnografieskogo Otdela Obestva Ljubitelej Estestvoznanija, Antropologii i Etnografii pri Moskovskom
Universitete, Vol. VII (1886), p. 185ff.
13
L. v. Schrenck, Reisen
III in 3 parts:
Peoples of the
und Forschungen im Amur-Lande in den Jahren 1854-56, Vol. Amur Region (St. Petersburg, 1881-1895); supplement to
1
:
Vol. HI:
W. Grube,
Giljakisches Wrterverzeichniss
nebst grammatischen
Bemerkungen (St. Petersburg, 1892). 14 P. G. von Moellendorf, "The Ghilyak Language," The China Review, Vol. XXI (Hongkong, 1894), pp. 141-146. These questions were recently taken up again and
in a stimulating
paralleli,"
developed jazykovye
paper by E. A. Krejnovi, "Giljacko-tunguso-man'czurskie Doklady i soobenija Instituta Jazykoznanija, Vol. VIII (1955),
pp. 135-167.
76
only the
first
MORPHOLOGICAL STUDIES
part of the
first
far,
15
while a
grammatical notes,
still
await publication. 16
17
critical edition
of Piin the
was prepared
field
new
Amur
first
linguistically exact
and
reliable records;
publication
an urgent
mono-
graph on
pattern,
19
as well as his
and
by
step,
Krejnovi overcame
thirties,
his
methodological
and
theoretical incertitude,
Marr's bias diverted him from a thorough structural analysis and espe15
(St.
Petersburg, 1908);
I.
fol'klora," Izvestija
po izueniju giljackogo jazyka i foiklora, Vol. 1, Part I "Obrazcy materialov po izueniju giljackogo jazyka Akademii Nauk, Vol. XIII (1900), pp. 387-434. Valuable lexical
cf.
also his
data are scattered throughout Sternberg's ethnographic studies; for a list of his Gilyak studies consult: R. Jakobson, G. Httl-Worth, and J. F. Beebe, Paleosiberian Peoples 2:163-2:176. and Languages: A Bibliographical Guide (New Haven, Conn., 1957),
See Pamjati L. JA. temberga (Leningrad, 1930): p. 18. 17 Cf. Pisudski, "Poezya Giliakw," Lud, Vol. XVII (1911), pp. 95-123 idem, " The Gilyaks and Their Songs," Folk-lore, Vol. XXIV (1913), pp. 477-490. One Gilyak song, written down by Pisudski, appeared in H. Hawes's book, In the Uttermost East (New York, 1904), p. 260 f. 18 E. A. Krejnovi, "Nivxskij (giljackij) jazyk," Jazyki i pis' mennos narodov Severa, Part III=Institut Narodov Severa, Trudy po Lingvistike, Vol. Ill (Leningrad, 1934),
16
pp. 181-222.
tive description of
Fonetika nivxskogo jazyka = same series, Vol. V (Leningrad, 1937). With an instrucGilyak speech sounds, prepared in the Laboratory of Experimental Phonetics at Leningrad University by L. R. Zinder and M. I. Matusevi under L. V. Scerba's guidance (pp. 105-130). 80 Giljackie cislitel'nye (Leningrad, 1932). Cf. also V. Z. PanhTov, Nivxskie koliestvennye cislitel'nye, published by the Institut Jazykoznanija (Leningrad, 1953). 21 For a list of Krejnovic's textbooks for Gilyak primary schools and his studies on 2:73-2:88. Krejnovic's the Gilyak language and customs see our Bibliography, ethnographic papers are rich in lexical data, much more precise in the studies after his expedition to the Amur Gilyaks in 1931-32. "Oxota na beluxu u giljakov derevni Puir," Sovetskaja tnografija, 1935, No. 2, contains revealing information about the role of taboo in hunters' language.
19
77
from a sound
which he himself
had so
skillfully discerned.
Amur
is
most
it is
and reinterpreted
in
my
study.
particularly obvious
when compared
the noted
are quite
made by
22
who
pauses
(cf.
Krej-
Neither the
sound pattern nor the grammatical system could be grasped under such
conditions.
last
outline
vocabulary;
lexical
and a large Gilyak- Japanese and Japanese-Gilyak Takeshi Hattori, expert in Gilyak folklore and in such
and honorific expressions, contributed a summarizing synopsis of Gilyak to the Japanese Introduction to the Languages of the Worlds In the post-war development of Russian linguistics, an emphasis on
the analysis of the Gilyak grammatical pattern
specify the Gilyak type of incorporation in
may be
noted. Efforts to
See V. Bogoraz, tnografija, Vol. Ill (1927), p. 277. Akira Nakanome, Grammatik der Nikbun Sprache (des Giljakischen) =.Kesea/'c/i Review of the Osaka Asiatic Society, Vol. V (1927). 24 Takahashi Moritaka, Giriyku bump (Tokyo, 1941): Cf. the list of his Gilyak
2:185-2:189.
An
2:41-2:47. of his studies see our Bibliography, jazyke (1936), Obee jazykoznanie (1940), leny predloenija i asti (1945), Glagol (1948); G. M. Korsakov, "Inkorporirovanie v paleoaziatskix i severo-amerikanskix indejskix jazykax," Sovestkij Sever, IV (1939); K. A. Novikova and V. N. Savel'eva, voprosu o jazykax korennyx narodnostej
list
ei
"
78
MORPHOLOGICAL STUDIES
The American Anthropologist, XII (191 1) of the different kinds and degrees of incorporating processes. Attempts at a more accurate and comprehen27 sive description of the morphological pattern are being undertaken.
It is
descriptive
and genetic
Grammatical
Essentials.
an intonational
name,
o-ra/
(1)
/i pav
2nd and
ORla
o-ra/
Morphemes,
be
classified
may
section.
in
an
initial
position
initially (roots)
initial
position
29
and
non-initial
[= non-pronominal] roots).
Uenye
(1953); V. Z. Panfilov,
Zapiski Leningradskogo Gosudarstvennogo Universiteta, No. 157 "K voprosu ob inkorporirovanii," Voprosy jazykoznanija, 1954,
No.
27
6.
I
had no access to Savel'eva's outlines: "Linye i vozvratnye mestoimenija v nivxskom (giljackom) jazyke," Vestnik Leningradskogo Universiteta, 1948, No. 7; "Sklonenie imen suscestvitel'nyx v nivxskom jazyke," Leningradskij Gosudarstvennyj
Pedagogieskij Institut imeni A.
Severa,
I.
Gercena,
Uenye
No. 101 (1954); also Krejnovi and Savel'eva, "Ob imeni prilagatel'nom v nivxskom jazyke," V pomo' uitelju kol Krajnego Severa, No. 6 (Leningrad, 1956). 28 Cf. R. Jakobson, "Langues palosibriennes," Les Langues du Monde (Paris, 1952),
a few Gilyak sentences (p. 423 ff.) [see below, pp. 98-102]: R. Austerlitz, "Gilyak Nursery Words," Word, Vol. XII (1956). 29 The morphemes /-fi-/ ~ /-si-/ 'to put, to place', and /-p'i-/ ~ /-fi-/ 'to reside, to be placed' occupy an intermediate place between verbalizing suffixes and verbal roots they
in particular a scrutiny of
:
occur only after a nominal stem, just as suffixes do, but, on the other hand, they present si-/ 'to put under initial fortes, just as roots do /tsf fi-/ 'to put in the house', /no-vsj the barn' (/-vsj-/ 'under' is a nominal thematic suffix), /taf p'i-/ 'to be in the house', /huru fi-/ 'to be in the brush-wood', /pal-erq n p'i/ 'to be beside the mountain'. 80 For grammatical roots used as prefixes, see below, 2.4.
:
NOTES ON GILYAK
79
On
non-
morphemes) and,
among
thematic morphemes,
from those which may occur both in final and non-final position (nominal thematic morphemes). 32 By combining the two criteria and taking into
account both the beginning and the end of the syntactic section, the
suffixes
may
suffixes.
The
latter
Furtherlexical
more, both nominal and verbal roots are divided into two types:
Examples of different types of roots 1) lexical nominal root /mu/ 'boat', 'we', 3) lexical verbal root /-/ 'to 2) grammatical nominal root teach', and 4) grammatical verbal root /ha-/ 'to do it'. The distributional
:
//
rules
which determine
morphemes.
With a preceding morpheme:
morpheme:
1)
/mu/ 'boat'
/sz
/mu /mu
2)
'/
/pil
/arj
'boat plank'
mu/ 'master's boat' karmu/ 'very large boat' mu/ 'whose boat'
se-u-/ 'to
-ja/ 'teach our asq younger brother' /arj tau nivx/ 'whose teacher'
31
The
sentences
rare use of the predicative desinence /ta/ ~ /ra/ after a case desinence in elliptic is the only exception from the absolutely final position of desinences in the
(/-/ is the Ablative desinence). 'From whom did you take it? It's from 32 The relationship between two thematic suffixes in SE Gilyak, the nasal verbal suffix, and the nominal suffix /-rj/, which designates animate beings, remains an open question. 33 The verbal roots are divided into two subclasses verbal roots proper and adjective /piu-/ '(to be) black'. These two subclasses, the roots. Cf. /tau-/ 'to get accustomed' verbal roots proper and the adjective roots, the latter occurring only before thematic morphemes (specifically adjective suffixes /pui-la-/ 'black', /pil-jo-/ 'larger', /pil-kar-/
:
'.
(\'i
-ux-ta./
'being blue';
/tsi-
-pos/ [taibos]
'blue stuff',
/tai-
-t/
[tsidl
paper.
80
MORPHOLOGICAL STUDIES
section,
more than
called a stem
all
tial), if
any,
is
called a word.
section,
and a polythematic
journey'
more than
is
For example,
/vi- n -ku-ina-
soon as one
start
of a
thematic suffixes:
/- -/>
and the
mu men vo nivx/
rudder /men-/ ol a flying
man
boat /mu/'.
A word may
figure either as a
of a polythematic section. 34
is
/psi-/
is
and
/vo-/
of /nivx/, /men/
/men/. 35
Finally, the
literally
is
and /mu/ an
attributive object of
'grandmother-fish' /rjafq
of the
sea', literally
as an apposition so/ vax/ 'stone used to measure the depths 'friend-stone'; /anx q'otrV 'female-bear'.
:
/atik
'crucian',
Since in Gilyak the subject precedes the predicate, they naturally cannot
o-ra/
is
word
is
ke-/
p.
199).
The conjunction
is
Gilyak.
immediately
Phonemic
is
Essentials.
NW dialect
34
Gilyaks, concentrated for the most part around the lower reaches of the
In this paper a hyphen
is
Only the grammatical verbal root presents an exception from this rule: cf. a SE Gilyak sample (Krejnovi, Fonetika, p. 30) /hu-n tleu-la-n t'ir'/ 'this white hill'.
81
Amur
River,
and by
SE
dialect.
In this study,
NW
The phonemic
in the
transcription used here utilizes mostly the Latin characters adapted for
and publications
until the
end of the
thirties.
For the
/r/
the symbol r
is
p\
etc.,
and
since
both the aspiration of these plosives and the voicelessness of the corresponding constrictives implement one and the same relevant feature, their
fortis character,
manifested, as erba and his disciples, Zinder and Matusevi, disclosed in their phonetic investigations of Gilyak, by a more
The componential analysis of Gilyak phonemes enables us them into the following bundles of distinctive features. 37
to resolve
t'
vocalic
v.
non-vocalic
compact
nasal
vs.
vs.
diffuse
oral
flat vs.
plain
vs.
strong
weak
v.
continuant
strident v.
abrupt
mellow
vocalic
vs.
non-vocalic
compact
nasal
vs.
v.
diffuse
oral
flat vs.
plain
v.
strong
weak
v.
continuant
strident v.
abrupt
mellow
82
MORPHOLOGICAL STUDIES
i
(w)
+
I
+
+
--
compact
nasal
vs.
flat v.
vs.
diffuse
oral
plain
mellow
only in the
(cf.
The phoneme /w/ is put into parentheses, because at present it exists dialect /w/ has merged with /v/ SE dialect, whereas in the
NW
2.8).
Gilyak phonemes with the vocalic feature and without the consonantal
feature
may
/j/.
Consonants
vocalic feature
and
phonemes with the consonantal feature and without the are divided into nasals and orals or obstruents. Vowels transitional types obstruents present the maximum contrast
;
all
(genetically forward-flanged)
and
is either compact or diffuse, and any diffuse vowel or consonant compact counterpart. The division of vowels into compact (wide) and diffuse (narrow) is morphophonemically supported by the unproductive, but distinct, principle of vowel harmony, dividing all vowels into two corresponding and mutually alternating series /o/,/a/,/e/ and /u/,/a/,/i/. Both the grave (genetically peripheral) and the acute (genetically medial)
The
series
palatal stops
/t/,
7 and
what hushing" constrictives /z/ and /s/ (see Zinder and Matusevi, pp. 116, 118f.). The acute diffuse consonants are represented by the dentals /t/, //, /n/ and the corresponding constrictives, optionally flaps, the voiced lenis /r/ and the voiceless fortis /r /. The opposition strong vs. weak is implemented in vocalic phonemes as
c
NOTES ON GILYAK
syllabic
/i/
83
(cf. /qlai-/ 'to
and SE
(cf.
/j/
and SE /w/
speak'
non-
aspirated lenes
'whale',
/p'u-/ 'to
go out'
/ex/
'forehead'
/tax/ 'grip',
'/
'fish'
erj/
'sun'
/ken/
and
in
(cf.
/fi-/
'shore'),
vs.
voiced lenes
bore'
put on'
This opposition of
strong and
word.
is
phoneme of the
'birch-bark'
is
position
and zero
/if/
'he')
no
/h/,
As
to the voice-
and voiced
and voiced
plank', /tsv
'to
'house', /taf
'/
tat-/ 'to
make
a house', /tav
1
/
c
'house
alx-/
different forms of
Rus. /as/ 'hour',
rise',
<
Gold /exan/
'cow', /{as/
<
Loc.
plosive
is
-ux/).
Only when the constrictive is preceded by the initial there some fluctuation. In this position, compact constrictives
[xa-]
'top',
When
its
]
i/
loses
Cf. [qaR
]
dog
1
in the
bear
festival'
[tVaR
'to
'spear'
But
diffuse (dental
and
pronouns
offer
some
'grip'
and voiceless: cf. [sx] 'forehead' [rax] 'your grip', [p'aR'] 'window'
[ffaR
/q/
and
/r/
from
/k/
and
/y/.
For
and Matusevi (pp. 115, 121). The two and the markedly fricative /r/, with their typical, snoring rattle, are strident in contrast to the mellow /k/ and /y/. Uvulars occur only in a syllable with a compact vowel (/o/, /a/, /e/). The imme-
84
MORPHOLOGICAL STUDIES
tion are always uvular ([q'a], [R'a], [q'o], [r'o]), while the
weak velars are usually uvular. Only a few "words *** of foreign origin, ceremonial, or
an
initial [k]
and
its
alternant [y]
'steel'
(< Gold
Gold /kas/ 'straight'), /kok/ 'an idol of the god protecting twins' or 'the knob on the lid of a pot', /kon/ 'an animal with unusually long hair'. Thus the phonemic opposition strident vs. mellow is repreforward'
(cf.
sented only by the pair /q/-/k/ and their constrictive alternants /R/-/y/:
/qa-/ 'to drift with the stream'
/ka/
'steel'.
/takrV
'in
which
/loyi-/ 'slightly
1
open'
(Austerlitz, p. 263).
The
uvular contrictive [r
c
and the
corresponding
fortis aspirated
l
uvular plosive [q ] in such instances as the [-q'a-] 'to shoot' are simply contextual variants
/x/
(allophones) of the
phonemes
and
]
/k'/.
[r<]
and
[q']
'epidemic' or [asq
[r]
'younger sibling'
phonemes
],
and
[q],
because in non-
or [q
and /ask/
in
After nasals,
prevocalic position.
Matusevi, pp.
nasal.
When
one-phoneme morpheme)
is lost,
following
morpheme becomes
and
non-aspirates,
phoneme
is
actually pronounced,
becomes phonemically relevant when there is no other vestige of the nasal phoneme. This relevant signal may be transcribed as / n-/: /eRa/ 'cow' /eRa a-/ [eRad'a-] 'to \u-/ [eRadu] 'to wash the cow', /eRa
11
38
/1/
an
cf.
/qvalx-/ 'to drag', /qves/ 'pole', /qlai-/ 'to talk', /qlaj/ 'trap',
and
/kvar'/ 'intestine',
NOTES ON GILYAK
85
roast the cow', /qan-ku n -tox/ [qangudox] 'to the dogs', /vi- n -t/ [vid] the
'to go'.
As a matter of fact,
it is
voiceless
Only when
n / -/ is
its
tif/
2.
CONSONANTAL INTERCHANGE:
Plosives
AND ORIGIN
2.1 Gilyak
and Their
Constrictive
Aspirated
and non-
// ~ /*/, /t/ ~ /r/. /p'/ ~ /f/, /p/ ~ /v/. Compact acute alternants // ~ /s/, /\/ ~ /z/. Compact grave alternants /k / ~ /x/, /k/ ~ /y/.
Diffuse acute alternants
:
:
In view of the existence of assimilated loanwords with [ka] instead of the usual Gilyak [qa], an opposition of initial mellow /k/ and strident /q/
and of
and
/r/
is
to be distinguished.
Nominal Stem.
e.g.,
A) After a
final
of the
initial
/-ku/~/-yu/ (plural
'to
comb', /kip
/r'a/
/karj
/kip-yu/ 'handles'; /vaks-/ throw' vaks-/ throw the to angle' (one vaks-/ throw the handle' /k'erqo-/ 'xerqo/ stop) of the exceptional transitive verbs with an image'; 'image' /o catch a by angling'; verb), 'barn door'; 'door' /no frozen head'; /arj/ 'frozen head' yan 'white' /n(<ni) qan/ white dog of mine'; /kalmr'/ 'board' drink drink' /faj /qoj yalmrV 'larch board';
/e
'to
;
'to fish,
initial
'to
fish
/t'rjaj/
srjaj/
'fish
r*a/
torjR/
/rja
torjR/ 'otter's
sarj
'the
/ra-/ 'to
ra-/ 'to
tea'.
following
initial
e.g., /taf
naj/ 'house
image', /tav
'/
(2) in
the initial obstruents occur: e.g., /taf-ku/ 'houses', /tafpaks-/ 'to leave
the house'.
2.3
At the beginning
intransitive
unambiguously
word cannot be an
verb.
86
MORPHOLOGICAL STUDIES
Krejnovi was the
first
initial
nouns and
an
same
and
/paks-/
disappear';
/-/
'to
accustomed';
/r'a-/ 'to
-/
/
;
saw'
vs.
/r*af-/ 'to
hook'
vs.
/af/
'the
hook' /safq-/
;
'to
vs. /t'afq/
'chopsticks'
mation'; /fu-/
/rayr*-/ 'to
watch'
at the
/ru-/ 'to
'dogsledge';
/-/
'to
bend'
'ice-hole'
vs.
/a/
After a
is
form
'to
-/ ~
'to
'-/:
/rja
-/
'to
be with an
animal', /txaf
'-/
initial
consonant of the
:
verb
is
somewhat modified
else',
/iyra-/ 'to
be with someone
/-/
with oneself]',
i/
/-/
(<
'to
endows this
:
/p'ix-/
kill
oneself);
it is
/xaf/ 'bear'
/p'izyaf/ 'one's
The personal
ally (/nizyaf/
Pers. Sg.)\
and also autonomously (/ni ra-'H/ 'I drink', etc.), whereas the reflexive pronoun is mostly prepositive. The reflexive pronoun /p i-/ once was directly opposed to another prepositive pronoun /i-/~/e-/ 'someone (or something)'. Cf. the South Sakhalin Gilyak
'my
c
pronoun /i/~/e/
189).
it'
When
and the
cf.
/na
xu-/
k'u-/
the wolf,
/ix-/
(< */ixu-/)
'to kill
No.
5, p. 79.
NOTES ON GILYAK
87
pronoun
fight
each other'
each other
to
mu-/
'to
some-
thing',
After
all
nominal stem
cf.
and
1-/
precisely,
The
speak more
however, more
and thus becomes a kind Reflexes of this of prefix. fusion may be observed in the vowel pattern of all syntactic sections beginning with a pronoun. First, there is a tendency
firmly
to
and
compact
/e/
(<
allative /ki-rox/;
/pzu-/ 'to
wash me'
(/zu-/ 'to
wash, clean')
track'
wear'
/nzif/
<
*/ni
/ki
zif/
'my
(/{if/ 'track')
/ki
zif/
'footwear
track'; /nesnaj/
'my image'
(/frjaj/ 'image')
/ki
srjaj/ 'the
footwear
image'.
and
zfa-/ 'to
harness a
and
/izv9-/ 'to
touch (something)',
an
and /eyra/
'to
-/ smo-/
'
'to
rxop-/
fish'
xra-/ 'chisel
be with an
dried
'to like
and /ezmo-/
and
/iylu-/
by another con:
/
/mb$
'to
strictive or
cf.
spear a
fish'
on a bench', and /ir p/ 'to sit (on something)', and /esp-/ 'to spear (something)'; /eri '-/
'
sef-/
'to see
river'
and
While
mor-
pheme more
morpheme, so
in Gilyak,
that the
compound,
88
suffix.
MORPHOLOGICAL STUDIES
Therefore we use no hyphen to separate such pronominal prefixes
from the following morpheme. The final vowel of the prepositive pronoun
1) is
my
me');
2) /\ez
opu-/
becomes non-syllabic when there is no adjacent consonant (e.g., opu-/) 'to gather (some'to gather twigs' and /jopu-/ (< */i
West, /vopu-/
ai-/ 'to kill
thing)',
(<
/wopu-/
<
*/u
/p'ar'k
a dolphin' and
(someone)
/vai-/ 'to
meet (someone)',
heart to a friend'
East, /walx-/ 'to
'song'); /pivy
/vavi-/ 'to
open one's someone)', and open one's heart /valy have a heart-to-heart song'
/vor'-/ 'to
or*-/ 'to
meet a
/rjafq
alx-/ 'to
/jalx-/ 'to
(to
/valx-/,
talk',
lu/ 'love
(/lu/
avi-/ 'to
/javi-/ 'to
marry (someone)',
/par-/* 'to
marry each
other');
'my footwear',
feed me', /p'ar*-/ 'to feed oneself, /p'Ra-/ 'to shoot oneself).
third person,
/if/
in the
Amur
dialect
and
/jarj/ in
the Sakhalin dialect, are by their origin complexes with the prepositive
as their
first
absolutive case of the 3rd person pronoun, while in cases with a desinence,
is
simply
/i-/ (cf.
the
Allative /erx/,
The
unsuitability
It
many
analogues.
Amur
2.5
by
/eri/
(<
/er
i/,
probably 'running
The Evolution of Transitive Verbal Forms. The process of the /i-/ (or /e-/) and the verb can be clearly
xlu-/
as-/
traced
*/i
*/i
> /iylu-/ 'to fear something' > /jas-/ 'to call someone' */i hjm-/ > /J3jm-/ 'to know something' 40 */i zu-/ > /zu-/ 'to wash someone or something' */i let-/ > /-/ 'to do something'.
transitive verbs before this
object. If the object
was expressed by the pronoun /i-/. After the however, there arose the possibility of an objectless use of transinamed,
it
(/if/ 'he',
/stsk/ 'father')
and /vaq/
NOTES ON GILYAK
tive verbs, as, for instance, /tat-/.
89
Then
/i-/
in such
forms as
/iyra-/
ceased
as a prothetic vowel
which
tidy'
and nouns:
//
'one's
own
dish) /{vi-/
kill
'to
be ready';
/ix-/
(< */ixu-/)
a raven')
/rjaxu-/
'to
an animal', /ves
k'u-/
c
'to kill
head', later 'bullet' (cf. /k u-s/ with the instrumental suffix /-s/ 'arrow
shaft'); /je-/ 'to boil (something)'
/ur
/he-/ 'to
-/ 'to
be suitable';
up, to hunt'
/at/
'kind of duck'
(literally 'the
/jor'-/ 'to
hunted one');
/ar'/
meet'
/or
'flap'.
The
tive
if
phonemes
in the absolute
forms of transi-
and
the intransitive form begins with a cluster, the absolute form of the
strictly
synchronic terms, a
if
if
the
dropped;
if
phoneme
and
/lu/ 'song',
/-/ 'to pursue' and /rja/ 'animal', /mos-/ 'to grind' and /mos/ 'porridge'). On the other hand, the thematic suffiix /-U-/ is productive and widely
used either as the only sign of a transitive action (in such cases as /tark-u-/
'to float'
and
/tark-/ 'to
and
/t e-/ 'to
get dry').
This
suffix,
It is
from being a constant mark of transitive verbs. obvious that originally transitivity was compulsorily expressed by
however,
is
far
/i-/
'some-
lost
when followed by
this loss,
Mutatis mutandis a similar grammatical alternation of initial plosives and conwhich is likewise due to a phonetic loss of original prefixes, may be observed in some other languages. The Celtic analogue is discussed by Alf Sommerfeit, in Studies Presented to Yuen Ren Chao (see below, p. 97). Also some West Atlantic languages in Africa, particularly Biofada and Ful, present remarkable parallels to the
strictives,
90
opposition of
MORPHOLOGICAL STUDIES
initial plosives
and constrictives. A constrictive and the homorganic plosive were two contextual variants (allophones) of the same obstruent phoneme. Originally constrictives figured only after a
vowel, semi-vowel, or plosive of the same syntactic section:
roast
*/i
fish', /xaj
/o r'a-/ 'to
a rabbit', a
'to roast
a pigeon', /hjk
something'
but /ius
a/
pike',
/qan
e.g.,
The verbs borrowed from Gold were adapted Gold /sirjgara-/ 'to torture': Gilyak /rja
'to torture
an
animal', /sirjr-u-/
'to torture
l
(<
*/i
sirjr-u-/) 'to
firjr-u-/
a bear',
/firjr'-/ 'to
/\
Gold
(<
*/i
xorjguro-/) 'to
The pronoun
given verb
is
and that it has no prepositive substantive which would designate the goal of the action. This explains Krejnovic's example
transitive
'the
/za-/
Xor
nivx/
beat
za-/)
'the
man who
and
closed (or
c
;
closed by Xor'
/p'i iy- n
/p
xu
nivx/
house
man who
is
killing)
himself
o
c
by yourself.
plosive
all
three of
them present a
some
fish'
<
*/poti-a/
made
in a fish
Gilyak development:
A. Klingenheben, "Die Prfixklassen des Ful," Zeitschrift fr XIV (1923-24), and "Die Permutationen des Biafada und des Ful," ibidem, Vol. XV (1924-25). With a few minor deviations, Biafada offers the ~ h, and g ~ y. In same pairs of alternants as Gilyak: t ~ r, p ~ f, b ~ w, ~ s, ~ x, Ful the interchange is essentially identical: d ~ r, p ~ f, b ~ w, { ~ s, d ~ J. same pairs of alternants as Gilyak: t~r, p~f, b~w, ~s, k~h, and g~y. In Ful the interchange is essentially identical: d~r, p~f, b~w, t~s, d~j, k~x, g~y; only the fortis t has no constrictive alternant. According to Klingenheben, in these languages the plosive alternants of cinstrictives result from the phonetic influence of prefixes subsequently lost. Gilyak differs from the African patterns by confining the difference between opposite grammatical categories to the alternation of the initial phonemes, at least in a certain number of examples, whereas in Ful and Biafada, the alternation seems to be constantly accompanied by distinctive suffixes, e.g., in Ful, Personal Sg. /damu-d'o/ 'dwarf Plural /ramu-b'e/, /{us-d'o/ 'brave man' /sus-b'e/, etc.
cf.
Eingeborenen-Sprachen, Vol.
NOTES ON GILYAK
in order to string
it
91
on a
make'
was
'to
make
drying
2.
it'.
1
/kiur
-/ 'to
grass'
<
(
*/ki
ur-/
;
wear'.
3.
< */
qo-/:
meant 'to take on the hook for the net'. These complexes were also used for designating the
'fishhook', /kiurV 'grass for
tool: /k er qo-s/
padding footwear'. The composition of these was no longer realized, and, like many other Gilyak complexes, they changed into simple words. Subsequently they
e.g.,
/byi
/ki
'
lu-/
xeqo-/
grass',
'to
angle for
fish'
and even
yiur'-/ 'to
historical point
The
stop in the absolute form proves that the use of these comis
*/i
zu-/, */i
etc. as
vota-/, */i
yiurV and
The
three verbs in
initial
obstruent in the
is a near constant, and that this morphophonemic rule is no longer productive; whereas the constrictiveness of the
initial
cf.
/byi
vota-/
'to
dry a goby'.
The univerbation of such complexes as /' -v-/ 'to chop' (literally 'to keep the axe') from / / 'axe' and /ev-/ ~ /-vo-/ ~ /-po-/ 'to keep' must have occurred earlier, since the absolute form is /xav-/ < */i xsv/.
A similar alternation of
initial
and
words
(Amur
/tef/)
'house'
and
kinsman
*/i
after the
goes back to
43
raf/
replaced the
for the
Gilyaks.
42
pp. 761-776, with a reproduction of this funeral house, and E. Krejnovi, "Rodenie i smer eloveka po vozzrenijam giljakov," tnografija, Vol.
Vol.
Part
III,
p. 107.
No. 2
(1893), p. 24;
D. Zelenin, Tabu
slov
92
Possibly of the
constrictive in the
MORPHOLOGICAL STUDIES
same origin is the alternation of the initial plosive and nouns /k al/ 'clan' and /1/ 'the special ritual dish in
c
killed bear
is
is
festival'.
The
killing
of the bear
and
is
worshiped in
an amazing
role,
/1/
<
/
*/i
'someone's clan', since the Gilyaks avoid naming the bear. Cf.
vi-t als
p'e-ke uzi-mi-rox {
a bear)
lat-{-ra/
'while
we were
gathering
berries,
he
(=
made
p. 215).
(/ta-/,
To
/tu-/
and
/r'u-/
much
noun
/i-/
/r a/
l
<
*/i
a-/, etc.
We would
expect
//
as a plosive alter-
nant of
sentence
/r /
may
cf.
the lack of
/i-/
The
original prefixation of
in
is
demonstrative pronouns
interrogative
pronouns
Gilyak nouns designating direction and frequently occurring in adverbial use consist of
is
first
'up'
always expressed by a front vowel, 'down', by a back vowel. The second component is /-kr 1/ (after compact [wide] vowels usually /-qr'/) or /-mi/, which in separate use means 'inside, space.' The former indicates an immediately observable position while the latter designates a more remote location, inaccessible to immediate observation. If a form ending in /-kr*/ begins with a plosive, the corresponding form in /-mi/ changes this plosive into a constrictive. Cf. /qo-qr / 'the foot of a hill, seen from its top'
c
f.; J. G. Frazer, Aftermath (New York, 1937), p. 280ff.; idem, of the Soul (London, 1919), p. 349ff. Cf. the description of such dishes by V. Cincius in Jazyki i pis'mennost' narodov
Perils
Severa, Part III (Leningrad, 1934), pp. 184-186. 45 See A. Zolotarev, Pereitki totemizma narodov Sibii (Leningrad. 1934), p. 16,
L. Sternberg, Sem'ja
i
NOTES ON GILYAK
93
*/i
Ro-mi/)
its
'the foot
of a
hill
m general'; / 1c
;
'top,
'the direction
and
/r
/-k/ or
final /-mi/
names of two neighboring river villages on Sakhalin - /a wo/ 'the lower village' and /k e wo/ 'the upper village') /je-mi/ (< */i he-mi/) 'the direction from /he-qr7 'this, nearest shore' the sea toward the shore, from a lower place toward a higher one'.
'the
lower
2.8
Obstruent.
initial
obstruent
initial
plosive in
nouns borrowed from a Tungus language has become a Gilyak Gilyak: Gold /saman/ 'shaman', Gold /xala/
'/
Gilyak
borrowings /seta/
'sugar',
Gold
they
//.
nouns with an
initial constrictive,
As
classes
1)
results from a combination with a prepositive /1/, /yo-mi/; perhaps to the same class belong such kin/ruf/ ship terms as /r'arjq/ 'wife', /ranrV 'sister', and SE /ruvrj/, 'brother', used, as Sternberg asserts, autonomously side by side with the forms /tuvrj/, /tuf/, etc. (Sem'ja, pp. 68 f., 74 f.). As a rule such terms
NW
is
meant?' and the general concept was expressed with the help of an indefinite
pronominal object;
e.g., */i
ranr*/ 'someone's
f
sister'.
2)
/ral/
'frog' (cf.
'tomtit'
//
/tarkraR
common
c
in
Gilyak
cf.
'swan', /{axtax/
/
'capercailzie'.
3)
In
NW
Gilyak /w/
> /v/ and the initial /v/ of some nouns, intransi/w/ preserved in the Sakhalin
tive verbs,
and
94
dialect: 4) In
cf.
MORPHOLOGICAL STUDIES
NW
/vo/,
SE /wo/
'village';
NW
is
/vat/,
SE
/wat/ 'iron'.
constrictive
which
now
initial
seems to have
been originally preceded by a plosive; it is probable that /'/ 'door' < */' /, cf. Grube, p. 18, nx-kt 'Augen-Thr= Augenlid'; perhaps //
'ice'
< */ /,
{
cf.
xra-/ ~
/
k'ra-/
5)
The
initial constrictive is
tivized
NW
/xav-t/ [R'avd],
'to
SE
the
/xavnt/
cf.
sweep on snow',
is
SE
The
two nouns
between SE
'package'.
/rjavnt/ 'scrotum'
/rjaf-/ 'to
The conclusion
morpheme.
suggests
itself:
noun, was a plosive. Within a syntactic section the plosive changed into a
constrictive after the final vowel or plosive of the preceding
Krejnovi attempted to deduce both variants, the plosive and the constrictive, from an original affricate, but this arbitrary assumption is
contradicted by linguistic experience: the existence of affricates in a
phonemic pattern implies the presence of both stops and constrictives, while the presence of stops is a universal and implies neither affricates
nor
constrictives. 46
and constrictive phonemes, whereas the initial obstruents, both plosives and constrictives, in addition, appear in two phonemically distinct varieties - strong and weak: the strong and weak plosives are opposed to each other as aspirated fortes vs. non-aspirated lenes, and the
strong and
the rise
weak constrictives as voiceless fortes vs. voiced lenes. Before of a phonemic distinction between initial plosives and constricbe broken'
vs.
between
initial plosives
and
constrictives
'fish'
allophonic) variation,
cf.
'/
so/
/tu
ence between
'/
and lenes was a phonemic distinction, cf. 'fish' 'shore' and /tu so/ 'lake fish' /tuzo/ 'lake shore'. Inversely, the difference between non-initial plosives and constrictives in a
initial fortes
e.g.,
// 'cuckoo' //
'color',
while in
lenes:
no phonemic
and
Cf.
my
Selected Writings,
I,
p. 626.
NOTES ON GILYAK
voiced and voiceless constrictives
95
cf.
// and the
the
initial,
Allative
is
contextual;
/-/.
in
Briefly, within a
weak
position.
In each
Both
in
weak
Phoneme
Strong
strong /k
c
Positions
Weak
weak /kT~~~-.__
[k']
The
constrictive"
arises
whether
this distinction
Could
and
it
plosives
contrictives
non-initial obstruents?
plank', /atki
la/
~ /grkila/
wind', /atik/
~ /asik/
or
words
as
(cf.,
from /mxo
fo/),
one could
/-/
'to
do' and /br-/ 'to follow along' by deriving the latter from
*/b-ru-/.
/jor*-/ 'to
/paR-/ measure'
/jar'-/
/rjar'-/
Cf. R. Jakobson,
96
MORPHOLOGICAL STUDIES
2.10 The Initial Obstruent of Suffixes and the Difference between the
initial
fortes
and
~ /'/
autonomous nouns.
nominal thematic morpheme ends
in a
moris
nominal thematic
morpheme ends
now
exceptions and was formerly always plosive; (2) the initial obstruent of
the following suffix (whether thematic or desinential)
is
without exception
a plosive.
'to
~ /-rox/
/taf-tox/
the house', /qan-tox/ [qandox] 'to the dog', /mot-rox/ 'to the pillow',
sail',
~ /-yu/:
/tsf-ku/,
/qan-ku/ [qan-gu],
Whatever the
obstruents of the
phoneme of a verbal thematic morpheme, the initial following morpheme (whether a root or a suffix and
in predicative verbal
forms the
suffix /-ta/
from /-/ same predicative suffix is preceded by a nominal morpheme, the alternation of the initial plosive and constrictive becomes automatic: /mxo mu/ 'ten boats' /mxo mu-ra/ 'it's ten boats', /fi-ra/ 'it's you (2nd Pers.
Pers. Sg.
and
/ra-ra/
and /-./ for the 2nd and 3rd 'to drink'. But as soon as the
iyludra] 'he
is
/otR-ta/
'it's
muck';
/iv- n -ta
he
who
The
stole',
/nosk ur-la- n -
a good dog'.
simultaneity always has a plosive after verbal stems, but displays the
alternation /-ke/
to their final
~ /-ye/
modal
after
instrumental or
strictives
and the
locative suffix
/-f/
phoneme of the
c
verbal root
/puji-s/
'broom',
/unyur
nu-s/
'the tool to
cleft',
look at the
shadows mirror' /p
;
3t-f/ 'place
of splintering, a
NOTES ON GILYAK
traveling, haul', /br-f/ 'place to
9t-f/ 'the
97
is
morpheme
~ /p
Some suffixes, however, are separated from the preceding verbal morpheme by a special nasal suffix. In this case, the initial obstruent of the
subsequent
suffix is
all
consonant
omitted in
and only the voicing of the following plosive signals the nasal phoneme: /ra- n -ku-/ [ragu] 'to make someone drink', presence of a
of drinking', /ra- n -par/ [rabar] 'drank', /ra- n-ta/ [rada]
'as
'let's
drink',
morpheme always
morpheme,
their junction
is
nominal thematic
morpheme
(potentially final)
after a verbal root or suffix, the initial obstruent, just like non-initial
distinc-
and
nominal
morpheme,
suffixes.
and
its
/k'as/
'shaman's drum',
literally
'shooting tool,
bow':
The names of
its
;
the
bow and
components; "the shaman when praying points his drum, like a bow, at the roles of the drum and the bow in shaman performances are interchangeable; some ethnographers even assume that the drum was substituted for the original bow (see particularly L. Potapov, "Luk i stela v shamanstve u altajcev," Sovetskaja tnografija, 1934, No. 3, p. 64ff.; cf. E. Emsheimer, "Zur Ideologie der lappischen Zaubertrommel," Ethnos, 1944, No. 3-4. The present Gilyak name /pun-{/ [pund] 'bow' is apparently related to the root /vurj-/ which we find in the reduplicated nominalized form vungvunt 'aufspannen', noted by Grube, p. 106. The name /pun-t/ 'the bent one', with an assimilation of /n/ to /{/, seems to replace the tabooed name of the bow: the name of a weapon is usually taboo, and Gilyak very frequently resorts to the nominalized form of a verb to replace the prohibited noun. 49 In further studies on Gilyak, I hope to examine the morphophonemic laws of reduplication, the vowel alternations (wide ~ narrow and vowel ~ zero) with reference to the make-up of the numerals, the petrified complexes in the vocabulary as clues to the earlier structure of Gilyak, and the present phonemic and grammatical patterns.
drum and
This paper, begun in Bessernd, Norway, was first discussed in Alf Sommerfelt's Oslo seminar during the winter of 1939-40, elaborated in Stockholm, spring 1941, and on the
T. Cassirer,
way from Gteborg to New York, freighter "Remmaren", May 20- June 4, 1941 (see Aus meinem Leben mit Ernst Cassirer, New York, 1949, p. 261), resumed and completed in Skeikampen, Norway, August 1957; appeared in Studies Presented to Yuen Ren Chao=The Bulletin of the Institute of History and Philology, Academia
Sinica,
XXIX (November,
1957).
TEXTE GUILYAK
Commencement d'un
rl l -ge 2
nayr 13
vi*-ror
ib
rd ('-r 1
Rat
Iz^-d^-.^tjafq^- 11
dit:
(
nafq-!
n 12 -at 13
( la)
grenouille
(des) merises
vi-na-t 22 !".
nr a 17 -d 9-r ls
je vois.
l
pat 19
yr 20 -u 21 -t 7
Lendemain ensemble
oz 2i -nn 2b
faisant navigons!".
Ainsi tant
rai
m-yir 26
vi-d.
venant de se lever
vo 30 -ra 28
;
par bateau
rai
vont.
dvn-
mye 27 -r 28
rame,
klyel 32
tirer
nayr
men 29 -
Grenouille
tte
31
rat
gouvernail
tient;
grenouille (la)
rame
-nn 26
ha 33 -r<
hlqelq 36 -?***
brille-brille***
venant de
dos se trouvant
et le rat.
ventre
seul
"La grenouille
est
Aprs avoir
"Mon
venu dire
la grenouille:
camarade,
plein de merises.
partis de
lendemain
usuelle:
bonne heure
le
formule pique
sommeil) en bateau.
;
La
grenouille ramait,
le rat
maniait
le
le
gouvernail
voit
soudain
dos
1.
et
on ne
r est la constrictive
Suffixe
nonant
la
objets la
mme
i
ou occlusive
les suffixes
des sub-
V. Jazyki
pis'mennost' paleoaziatskix nazodov= Trudy po lingvistike naunoNarodov Severa, vol. III (1934), rdig par E.
Krejnovi,
p. 220.
TEXTE GUILYAK
stantifs
99
aprs constrictive par une ou nasale) par une occlusive
constrictive,
nom
tabou - "voyant"
dans
les
(cp.
"il").
La consonne
les syllabes
occlusives
"aller (surtout
en bateau ou en traneau)"
(remontant probable-
ment
5.
intransitifs.
L'une des
la
c
trois
(v.
note
7)
- forme expri-
me pour
pour
6.
deuxime
troisime personne
du
redouble -ror
le
1
(<
ro-ro
<
-jto-jto,
pour
et
la
pluriel par
-toi
(<
-to-to),
dnotant
<
le
-(v.
l'ide
d'antriorit.
"tablir-installer", et td-flta-f
"maison" dont
srie
spond
et
7.
la constrictive
16).
de la
mme
dans
p.
89
pour -/note
L'une des
trois
note
5)
exprime pour
dsinence
-r*
la
deuxime
et troisime
la
(<
ro <jto, j
le
<
i-,
v.
pour
la
pour
correspondante
(<
le
to,
ro-j-toet tant
"aider"); cette
suivie d'une
l'action
nonce
simple
ne signale que
fait
de la
pas qu'un autre verbe leur soit surordonn (formes cardinales), celles qui
l'exigent (formes
subordonnes
et celles
(formes neutres).
8.
comme
le
un complment
substantif de la
transitifs simples
mme
constrictive
on trouve
la constrictive et
gnralement aprs la
spond
la constrictive
Dans
consonne
initiale
a t prcde de
(v.
devant toute consonne prvocalique aprs avoir chang l'occlusive originaire en constrictive
(v.
note
14).
100
9.
MORPHOLOGICAL STUDIES
d (ou
/
la
signalant que
la
mot
subordonn
-nd dan:
comme forme
;
predicative cardinale
(v.
le
comme
sujet
ou comme complment -d
-n-
<
-n-t (cp.
-/
dialecte
du Sud-Est),
suffixe
thmatique verbal,
suffixe sub'
par gnralisation "compagnon, camarade" vocatif. du dsinence "moi" perd sa voyelle devant un postpos possdant tout au plu:
"beau-frre",
8).
l'intrieur
initiale
se
change
et
antpos
(v.
note
2), ici
de tout thme nomina ou tam "grand, nombreux" > ram aprs le compl
ment nominal
15.
-la-
"merisier".
suffixe signalant
que
le
thme
attributif dtermine
un obje
et
non une
action.
16. -/(ici
/7)
- suffixe de
lieu issu
probable
ment du verbe
l
il
La voyelle i- dans cette dernire forme est originellement ui pronom signifiant "quelqu'un d'autre"; mais ce pronom n'est plus sent comme composant autonome et l'intrieur du mot la constrictive sourdi
indd-.
prvocalique
est intolrable
elle se
ou d'une nasale
note
2).
18. -ta
(v.
note 28)
tant adjointe
un thme nominal
cas donn) elle
(ici la
comme
suffixes
dans
le
nominaux
que
le
constrictive r aprs
une occlusive;
la
v.
note 2
et signale
19.
prdicat.
phrase,
le
cas absoh
fonctionne
comme complment
circonstanciel; l
l'extraposition n'es
ex., loc. pdt-u:
"demain".
20.
ains
direct
autrement
note 17);
la
mme
TEXTE GUILYAK
;ien
101
ntrieur
I.
pronom rciproque) veut dire "tre l'un et l'autre ensemble"; du mot x se sonorise devant une constrictive (v. note 3).
suffixe
-u-
thmatique signalant
le
verbe
transitif.
-te
suffixe
:
complexe de
thmatique de
?ect ingressif
?.
<
- devant
5.
Forme
verbale
la
dsinence
-rjan
na
-;
c
--)
-yir* (v.
-/iyr
1.
(<
"ramer" peut-tre
trois
<
I.
L'une des
note 7)
la
pour
la
deuxime-troisime personne du
et
premire personne
pour le
pluriel et
nonant
ains
men "rame courte servant de gouvernail"; la sonante finale de noms a t probablement suivie autrefois d'une voyelle et dans
2
et 8)
on trouve
l'initiale
mante du postpos une constrictive, par ex. men "rame-gouvernail" meni?) - pluriel men-yu, men-vo- "rame-gouvernail tenir".
).
complment
direct,
autrement
ef-
<
e-vo-
o-.
On
pronominaux i-, u- (v. notes 17, 20) se changent dcouvre en guilyak de nombreuses traces de l'harmonie
est
les
luorawetlan
et
mim
guil.
fi
<
chiens"
nxuvi <
note
filets"
ni-
<
te-
"trois portions".
-rld-l-tld- (v.
8) "tirer"
(v.
1.
note
17).
que
les
langues luorawetlan
fait
un
usage de
p.
la rduplication; v.
K. Bouda
(Ungarische Jahrbcher,
les
langues ynis-
rmes.
3.
Racine anaphorique
(v.
102
34.
MORI*M()l.(K,ICAL STUDII
Thme
racine
mme
35.
la
"couleur";
le
qoR
"ventre" vraisemblablement
la
qo-R
leduplieation de
est
la
SOnorasation de
BUffixe
due
a la
>).
la
le
phonme
admis qu'a
l'initiale.
Supplment l'tude "1. alignes p.ilositx-riennes" pour /.es langues du monde (Paris, 52).
i
i
to
isolate
pho-
unfortunate", for
More than a
linguistic entities
"die
first
Wirk-
zu betrachten". At
glance our
may seem
to be self-contradictory.
its
Does
it
not
mean
that
elements was
made
impossible by the
it
neogrammarian tendency
not really a contradict io
analysis
is
to break
up language
in adjectol
Not
at all!
Because a structural
essentially different
takes into account neither the interrelation of the parts nor their relation
to the whole.
As modern
is
The ancient
"aliquid
pro aliquo"
still
valid
and
productive.
Thus
and of any
intel-
bipartite
one
sensible
ligible
or, in
signatum
(signifi).
linguistic sign
(and of
any sign
in general) necessarily presuppose and But as long as linguists consistently applied the isolating method pos-
tulated by the
linguistic
104
MORPH
the sensible
)l
OGK
\1
s|
|)ll
phenomena,
and the
intelligible,
as entirely independent
from
with
their
;
tfa
linguistics
as
become merely
linguistic
a branch of physiol-
strictly
problem of meaning
was
background 01
An
condition that
sensible aspect be
in
o\'
examined
in
the light of
its intell
I
the light
o\'
the signatum)
is
and
vice versa.
he
any
linguistic sien
day
linguistics in
its
stubborn struggle
tWO
both
in its turn,
sound form.
We
complex
constituent signs.
units,
We
general semiotic
analysis resolves
units
into
smaller
but
still
semiotic units.
Any
m \
he
minimum
sentence consists of words as its minimal actually separable components. The various borderline cases we hold
a sentence. with Sapir
this real
still
and tangible
entity.
t lie-
In breaking
further
we
arrive at
own meaning. For this ultimate meaningful unit I would like to use the term "morpheme" coined b) Baudouin de Courtenay and adopted in this sense by Slavic and many American linguists. However, in its modified French use "morpheme"
smallest linguistic unit charged with
in question,
namely
it
is
applied not only to simple but also to complex grammatical units: and
finally,
dif-
and terminologiI
an international forum.
ambiguous
grammatical units
105
(or
formal
minimums).
(in
Latin inflectional
is
preceding stem,
carries the
commutable with a
first
meaning of the
person as opposed to
the
meaning of
a
the plural in opposition to -o, that of the active as against -mur, etc.
is
of the same case in different declensions. This discrepancy between the formal units and the semantic
units, this
and signatum,
Indo-European
their semantic functions remains quite evident. The semantic minimums of a given language can be stated only with reference to their formal counterparts, and vice versa, the minimal formal units cannot
does not invalidate Buyssens' assertion that the "phonic content" of these
formal units
are distinct."
list
may be ignored: "It is enough that the phonic combinations To ascertain this distinctness is sufficient for making up a
and
their configurations.
conceptual
per definitionem twofold and since at the same time we define the
"formal
minimum"
its
What
is
own meaning. we
phoneme
to denote
its
minimum?
It is
no meaning of
own. The
is
semiotic function of a
phoneme
meaning than an equipollent unit which ceteris in the same position. turn the phoneme, like a chord in music, can be broken up into
phoneme
proposed
(see
my
p.
it,
231
if.)
to define the
phoneme
as a set (or as
Bloomfield formulates
106
MORFHO]
OOI(
U mi
i'ii.s
clments diffrentiels).
substituted (in
can be
Mich
etc.;
,i
of words as
/'i/,
nemes
/>,
v,
it
voiced
t
contrast to p, plosce
contrast
etc.
/>
we
linguistic content
voicing,
:n
All differences of
phonemes
anv Ian
be
Hence
all
phonemes
he patten) o\
phonemes
(or
i>f
la
it.
of primarv particles)
is
complete.
When
strictly
phoneme, we applv
is
Mio
in
envisaged
In this
relation to
jignatum.
in
wav improvement
the
science
i^\'
linguistic
it
signs as "mutuallv
is
but again.
mutatis mutandis,
matical meanings:
fitting to
setting
language the
be ignored.
phonemes may
meanings are distinct. word structure were confined, on one hand, to the inventory of grammatical meanings and. ^n the other, to the repertorv of phonemes and of underlying distinctive features, then we would be
to establish that these
o\~
enough
If
the study
language, the meanings as such o not matter, for only the fact that they
are distinct
is
pertinent.
And we would
be right
in
distinctly.
But these
we attempt
draw up
we must
word.
The combinations
internal
at the juncture
and the adjacent parts ot a word combinations, and also the laws of clustering
for
differ
at prefix
can be dissimilar (for instance, Russian admits a hiatus only at the juncture of a radical with a prefix or with another
suffix junctures
107
is conceived as a kind of compound). Functionally different formal units are often denoted by different pho-
a word
with a prefix
nemic configurations
distinguished
(in Slavic
from
radicals
by
radicals
of different parts of speech (for instance, of nouns and verbs, or of nouns and pronouns) can be differentiated by the length and composition of the
phoneme
Thus an
its
sequence. In Gilyak,
are usual in
common
words.
phoneme combinations
a fiction, because
every class of grammatical units and every position within these units has
is more or less applicable also phonemes and, lastly, even to distinctive features. The phonemes and their components are not distributed indifferently throughout the extent of a word (or of a smaller formal unit). Besides the word-dif-
own roster of phonemic combinations. What has been said of the combinations
to single
role, that
may
signal a
units) or,
on the contrary,
common and
Bohemian Czech, an opposition of voiced and unvoiced consonants is possible only within the word, and specifically only when a vowel, a liquid, a nasal, or a v follows. At the end of the word there are no significant oppositions of voiced and unvoiced consonants, regardless of what
follows.
liquid,
a nasal, or a
it is
we know
v),
is
not a
final.
In short,
vowel, liquid, or
voicing: lid-mi, ki-mo. But in the imperative, the final voiced consonant
this position:
ho-me
(from
ho
-it),
The verbs
t id-it
and
tus-it
form tus-me. The abolition of the voiced/voiceless opposition before the ending of the imperative denotes that in Czech (as well as in Polish and
Russian) the endings of the imperative are not suffixes but autonomous
enclitic particles before
On
the
other hand, the final consonant of prepositions follows in this respect the
laws of the word-interior, the only difference being that within a word an
latter
of its
{kei
at the
108
MORPHOLOGH
Mi
i'ils
sibilant
instance,
rencfa
ord
here
groups where
inadmissible).
liaison
is
obligator)
where
is
optional,
and
The
different
by a different utilization of phonemes and even of distinctive features. For instance, of the twenty-three consonants m spoken Czech oni) eight
phonemes
both of
suffixes.
is
in
verbal;
Qglisfa
pho-
nemes participate
in inflectional sullivcs:
//.
phonemes
r,
i/,
and
n.
these sutlixes
and the
and
-</
signals that
it
certain grammatical
the word-accent
farthest
accented
and an accent on
not a
finite verb.
is
southern
grammatical functions.
particularly of
Such
is
the
tendenc\
of Semitic languages,
for inflectional
lexical
Sudan
specially for
grammatical oppositions.
In
features are inherent only in the roots; for instance, in Turkic languages
vs.
rounded
vs.
unrounded) or
in
Tungus and
vs.
in
low.
(I
common and
must take
1
familiar).
In
109
autonomous, while
mere positional
specifi-
upon one
different
plane.
If different
differently selected
is
and used
in
grammatical categories,
this fact
in a careful study
of the pho-
nemic
structure.
to the
front,
same oprounded
unrounded, high
vs.
identical inventory of
low, and they can even present a completely vowel phonemes but the arrangement of these
;
of the listed discriminatory means in the languages of these two types are
essentially different if in
vs.
Any
The
is
more than
We
if
glide
And
conversely:
to determine the
we can
make up
phonic counterparts
the
distinctness.
nom.plur.
formal
trait
of these endings
the
fact that a
the characteristic
mark of
inflectional suffixes
suffixes
and from
radicals
which distinguishes them both from derivational in short, from formal units which can
never consist of one vowel. Independently of its individual, namely diminutive, meaning, the suffix -ok (/gr'ibok/) denotes
that
it
suffixes,
Of Russian
JO
MokMioi
\i
mi
DIEB
<-,
t-,
/;-.
->.
In tins
t
.|"
one
meaning is not lexical hut grammatical. In othet words, the affini ty of these tun categories also ill the semantic aspect is beyond doubt. Thus, as we progress from a mere catalogue of the grammatical me. til-
given language to an analysis of their arrangements ings which occur in and mutual connections, we must pa) still greater attention to the phonemic composition of the diverse formal units, and especially to the
repertories of
phonemic means
he boundary
o\'
As soon
as
the
terms
o\
de
Grool and
Reichling)
meaning"
to the
"form structure",- we
domain
<A'
morphophonemics, because
paradigms means
nothing other than the disclosure of the phonemic similarity and distinctness of different paradigms, their
we
our analysis
is
linguistic,
we
grammatical structures present simply two aspects of one and the same
indissoluble totality
And
let
us add with
4
many
striking
similarities.
Rhyme
is
rhyming elements are merely homophonous or whether they are grammatically identical
The rhyme technique of diverse poets and poetic schoolscan be grammatical or antigrammatical, but it cannot be agrammatical. This means that the relation between the phonemic and grammatical structure of the rhyme
2 8
4
Actes***, p. 22. Actes***, pp. 227, 249. Actes ***, p. 244 ff.
1 1
(e.g. in
always remains pertinent. In distichs built on grammatical parallelism the Karelian folk epos) besides a similarity in the grammatical and
partly lexical
in their syntactic
their
sound correon the contrary, a lack of sound correspondence). Again the solidarity of the grammatical and phonemic aspects is clearly manifest. Both rhyme and grammatical parallelism necessarily and simultaneously
is
important factor
spondence
(or,
rhyme
the
emphasis
is
in parallelism the
predominant
Rhyme
is
a grammatical device.
To sum up, neither does the autonomy of these two linguistic aspects mean independence, nor does their co-ordinate interdependence imply a
lack of autonomy.
these
means
is
This system
let
first
new
relations
obvious that there are sound changes which reshape the phonemic pattern
of a given language without regard to the grammatical pattern.
instance,
For
word; or a
may
disappear or yield
place to another
in all positions.
On the
may
concepts which affect their use only, but not the expression of these
concepts; and vice versa, there
may be
changes
in the expression
of
affect the
grammatical pattern
is
out of
and
languages, for
gen. ns-a.
Secondly, the difference between two forms can disappear, for instance between the second and third person singular of the Slavic aorist as a
6
Actes
* * *, p.
242
if.
112
result
pers.,
MORPHOLOGICAL
of the loss of
final
Sil DIls
consonants
in
primitive Slavic
i-s
the
2nd
and
-t in
the 3rd).
I).
to
may
be Utilized b) the
the
m a new fashion an actual grammatical opposition." "umlaut plurals" developed with particular consistenc) m Lithuan-
grammatical category;
a
for instance,
entity,
into
iilvak
new morphological
in this
the
form of
transitive
verbs.
Formerly
indefinite
pronoun
in
/.
here
iilvak.
except that
1
intervocalic
his
happened also
/'.
pronominal object
lost,
hen
found themselves
"'to
somebody" i-r,m- (r in ( nlvak is the constrictive corresponding to Thus there arose at the beginning of the word an opposition of /) > stops and constrictives, both became autonomous phonemes, and the initial constrictive of verbal forms came to signalize the objectless use of
teach
-.
transitive
verbs:
the
transitive
(r.nt-
"to teach")
p.
found
its
place
in
above,
85
If.)
Of
course, Hoenigswald
is
right
is
pho-
already
present.
upholding
Wilhelm Horn's
thesis. 9
its
The
topic which in
time
filled the
works of
the
neogrammarians
conceptions of
once again
ff.,
is
Two
this
260.
8 9
ff.,
247
f.,
249.
Actes***,
p.
250
ff.
113
grammatical analogy
is
an
irregularity,
sound laws. The opposite point of view, which found its pointed expression in Saussure's work, holds grammatical analogy to be a salutory
counterweight against the destructive force of blind and fortuitous sound
As a matter of fact, neither the sound changes nor the action of grammatical analogy can be conceived in terms of "burglary" (cambriolage). In the system of language we discern two levels: the grammatical
changes.
pattern of meaningful elements and the underlying phonemic pattern of
or, more broadly, the phonemic arrangements or rearrangements, are aimed at the pattern of
grammatical pattern
itself.
phonemic changes affecting not the general special sound pattern of certain grammatical
to the
wordpresent
may
phonemic treatment.
a,
Only
and
It is
nom. and
gen. /pol'-a/,
cf. /iPj-/,
/ustj-am/,
cf.
is /pjis/, etc.).
not obligatory for analogical levelling to intervene only after the completion of the
soft
consonants
is still
Moscow
change
in the
words the
(/dst/,
/-t'/
is
/idt/,
/dm/, /stalm/,
ending,
only a
else final
consonants
nouns with zero ending like /pu/, /los'/ and even the adverbialized form of the "reflexive" verb, e.g.,
114
/kapas'/).
MORPHOLOGICAL
For further examples
11
Sil DI I.s
Lejeune
10
Consequent^
problem of phonemic differentiation of diverse gramm the synchronic and diachronk aspects.
The grammatical and the phonemic structures mutualh readjust each other. The relative internal autonom) of both patterns ih.es nut exclude
their perpetual
interaction
and interdependent
id)
mentioned, the reshaping of the phonemic pattern ina> give neu stimuli
to the grammatical system u Inch the latter can either adopt or reject
in-
Kf.
non-
w-u
a a
being a
new
In
pair /tk-
/k'
,
tk'-OS
and introduces
neu pho1
u Inch foimerl) u as
~
as
/''
To
phoneme /k/.
-/
corresponding voiced
pairs,
such
phonemic pattern
b)
neu
in
the an-
tried
summary
tl
SUTVC)
ress.
Our
word-grammar,
to avoid as
phology"
criticism).
H.
Fres
Our
intention
was
much
as possible equivocal
and ambiguous terms, as well as terminological discussion, and to seek out the gist of the problem. Our answer has been: not h synchronic and
diachronic study show an intimate link of solidarit) and interdependence
the
phonemic and
the
gram-
The
recent progress of
in
phonemic
two
studies
of semantic research
matical form.
is
The
now
in the
10
11
Report to the Sixth International Congress of Linguists (Paris, July 1948), published Actes du Sixime Congrs International des Linguistes (Paris. 1949).
I (1937).
TCLP, VIII
(1939).
12
The autonomy of
and there
is
the
word and
the distinctness of
word boundaries
Slavic languages;
modern
on the
other.
The root
an
phonemes
means
which maintain
in their
word
alternations
all
Autonomous
and
e.g.,
Ukrai-
structure of
modern
Slavic languages.
Due
to various palatalization
Ace,
the genitive - the latter took over the ablative desinence for o-stems.
The use of m in the Instr. and Dat. desinences and Germanic area. The nominal declension
116
MORPHOl OGH
\l
Mi
Dli s
tenfrom the pronominal, an interaction of different paradigms, and dency to identify paradigms with genders. The impulse to unilv the
.t
declension continues
in
Ml
I
"t'
them tend
to
)at.
of destination
possessive
The
substitution
is
of the
possessive
Gen.
I
for
the
original
adjective
widespread.
Western and
a predicative Instrumental.
have
postpositive article.
in
Sorbian,
/ech.
UmgUS
Russian,
b)
and Loc
2)
negation peifectl)
I
tits
the general
meaning of the
is
he vocative form
preserved
in all Slavic
\ital
medieval world, died out but for Slovenian, Sorbian, and Residues
o\'
Slovincian.
after
the old
to
denote nouns
to 'tour' in
after all
the
Slavic substantives
and adjectives
and neuter
in the singular;
in
The
dif-
ference between the animate and inanimate started for the Ace. Sg.
in late Protoslavic
M.
and became generalized for some other cases in Western Slavic languages, and for the PI. in Russian. Bulgarian, Western Slavic languages (particularly Polish and Sorbian), and Ukrai-
definite
form which
more
In
and
forms
is
alternations; Bulgarian
definite form,
more or less preserved and marked by prosodie and Macedonian have reduced the use of the
whereas Byelorussian, Ukrainian, and Western Slavic languages tend to eliminate the indefinite doublet; Russian has changed it into a purely predicative, indeclinable form.
17
essentially
an IndoEuropean prototype the forms of the aorist are perceptibly refashioned, while the forms of the Slavic imperfect have nothing in common with the
closely continue
;
Indo-European stock. Neither the form nor the function of the IndoEuropean perfect find correspondence in the Slavic languages. Besides two sets of simple forms - the sequential past (the so-called 'aorist') and the
synchronic past (the so-called 'imperfect'), Slavic created new,
pasts
:
compound
perfect.
and the
compound
conditional.
The Indo-European
its
optative
pronoun which had been generalized for all persons; besides, a periphrastic passive was developing, with verbal adjectives changed into participles. The nominal forms of the verb, the infinitive and supine, are due to a convergent development in the Slavic and some other Indo-European dialects.
Partly paralleled by the Baltic languages, Protoslavic developed a system
The
and a verb
alternation
regular in their
desinence) - a feature which has persisted for the most part to the
present time.
This rich
set
of verbal forms
(in
compound
ones) persisted
Slavic
Later,
most of the
languages generalized the original 'perfect' as the only past; the imperfect
and the
have been kept only in Sorbian on the one hand, and in Bulgarian, Macedonian, and Serbocroatian on the other. These same Southern Slavic languages stabilized the use of the verb xbtti 'want'
aorist
for the
compound
future
and generalized
this
is
MORPH
OGICAl su dus
Sorbiao also does) the somewhat dampening Bulgarian ;md Macedonian have developed
and
indirect narration.
as-
he imand moods is preserved in all Slavic languages. kramian) a bare stem. becomes (cspeciallv in Russian and agglutinating autonomous sullixcs phoncmicallv treated as particles. he infinitive The supine remained only in Low Sorbian and Slovenian.
pects, voices,
perative
is lost in
to
Bulgarian and Macedonian. Participles tended do away with declension and to become gerunds
partlv also
at
an early dale
the
1
in lost
astern
and
the
pender and
number.
Enclitics traditionally followed the
first
in
lang
with free stress the inflected enclitics were attracted bv the govern
in the
whole
astern Slavic
Bl
pronoun
forms.
in
became an inseparable
the
other
pronominal
enclitic
were
verb as used
conditional by and
'perfect'
in
became mere
when used
tions
other func-
and
constructions the use of pronouns, which was pleonastic for the Slavic
pattern,
became normal and their omission, which was normal for the Slavic pattern, became elliptic. Word order underwent some alterations in the separate development
of the Slavic languages. Particularly the verb tends to a medial position
in the sentence
attributes
indefinite adjectives.
word order
one fun-
in Protoslavic: there is
stylistic value.
less
The
and
relative
The
last
Hunter,
NY, summer
chapter of a condensed survey Slavic Languages which was written in 1948, and published by Columbia University Press in 1949.
RUSSIAN CONJUGATION
We have seen
may
that
when forms
be a question as to which one we had better take as the underlying form, and that the structure of the language may decide this question for us, since, taking it one way,
we
it
get an unduly complicated description, and, taking the other way, a relatively simple one.
(L. Bloomfield, Language, 13.9)
0.1.
Our purpose
is
only simple verbs (with unprefixed one-root stems) are treated here;
2) the systematic analysis
is
and
(the finite
infinitive),
of the gerunds and the participles proper, as classes transitional to the adverbs and to the adjectives, is left for a future study. However, the
same
principles of classification
would apply
forms.
0.2. In
is
morpheme by
constituent
sign
denotes
alternation.
Throughout
italic type,
transcription
indicates that
affix
and roman
it is
type.
(') (')
on a bare
affix
may
As
to the
mark on bare
FUNDAMENTAL NOTIONS
1.1
Stem and
desinence. -
Any Russian
inflectional
form comprehends a
2.122).
(cf.
120
1.2.
MORPHOl OGH U mi
DIES
Components
suffixes.
oj the desinence.
A desinence ma)
consist of
one 01
more
According to
including
1.
final position.
Desinences
non-terminal
suffix
are
called
complex
according to their
nantal.
phoneme,
as eithei
The
/
I
alternation
vocalii
is
with a vowel
(ci'.
2.122).
"i
his
dichotomy
com
pattern.
Stem
variants
A Russian verbal stem ma> within one and the same parad
alternations.
present alternating
The following
a)
phonemes
i\\
2.2;
b)
c)
d)
before
vocalic
2.4-2.42).
(\\ 2.
e)
f)
Removal of the
(cf.
stress
to the
2.61-2)
stressed
and
unstressed vowels.
1.31. Full-stem
If
ditTers
is
from
called
termed full-stem.
Basicform of the full stem. In presenting and analysing full-stems. we use morphophonemic transcription. If certain phonemic constituents
alternants,
of the given full-stem as compared with cognate forms appear m different we take as basic 2 the alternant which appears in a position
See L. Bloomfield, Language 13.4. (New York, 1933). Cf. Bloomfield's stimulating remarks about the 'theoretical basic form' (or underlying form'), op. cit., 13.9.
2
'artificial
RUSSIAN CONJUGATION
121
smt i- -
two forms -
the variant
is
~ 2 Sg. 'look a
plk
~ M.
Sg.
it alone occurs under stress, the only position and a are phonemically 3 permitted. In the alternaPreterit p' k ~ F. Sg. Prt, l- (or 1 Sg. Pres.
ti), the basic vowel is to be looked for again in the stressed position. is not admitted between two soft consonants of a stem, whereas Furthermore, both and e occur between a soft and a hard consonant (cf. p'ok and s'k, M. Sg. 'chop') hence p'ok 'bake' is the full-stem. In the alternation Prt, from s'k ~ F. Sg. Prt, g l- (or 1 Sg. Pres. g ), of M. Sg. Prt, k (or Inf. 'burn', the zero-vowel is the basic alternant belonging to the full-stem g because a stem may either contain or lack vowels only before syllabic desinenl-a or u. As for the final consonant, it must be the voiced g ces, such as which appears before vowels or before /, in which position the unvoiced may
also occur.
In the alternation
Sg. Pres.
plk
2 Sg.
'roar'), whereas phonemically 4 admissible (cf. plk and ri from ri -. does not occur before the suffix In the alternation M. Prt, p'ok ~ F. plk l- (or v'd / ~ v'i l- from 'conduct'), the basic form of the stem is the unaccented one, because the v'od stress on the stem appears here only in the monosyllabic form where it is phonemically indispensable, whereas in F. Prt, both possibilities are given
u both
pl-,
the consonant
is
and
are
morpho-
(plk
l-
and strlg
l-a
from strlg
'shear').
1.33. Significance
upon
among
alternating desinences
fully
it
determined by the
in regard to
preceeding stem.
predict the exact
is
as a rule possible to
the stem, the desinence, and also the place of the stress.
TYPES OF FULL-STEMS
1.4.
Stem
2.22)
Finals.
phoneme (con-
The former
2.21).
and the
latter
open full-stems
(cf.
1.41.
where open full-stems undergo truncation, while the other type remains intact under at least some of the same conditions as the open full-stems. The first sub-class may be termed narrowly closed and the other, broadly
closed
8 4
(cf.
2.221-222).
According to Bloomfield's terminology, automatically, 13.4. According to Bloomfield's terminology, grammatically, 13.4.
122
1.42.
if
MORPHOLOOK
Full-stems arc called
toft if their last
DIES
consonant
is
soft*
and hard
/ero
latter
the last
1.5.
consonant
is
hard.
Number of syllables.
(cf.
may
(^\. 2. 42
,\
1.6.
When,
in
of the stem
never stressed
(c.\\
or
when
i^\~
we
I
label
(cf. 2
\s
ith a
bound
to the stein
2.4
).
Productivity.
in
eed to the
unproductive patterns
GIMR\I Kilts
2.1.
Distribution
Finite
all
the Present
The
Present
the Preterit
Only
do
is
narrowly closed
sonantal:
2.11.
(cf.
2.221) or ends
1;
m
is
a.
o,
u.
the desinence
con-
otherwise
it
vocalic:
on
in.
suffix
1-
-,
Masc.
The
suffix
1- before
/)
-i
becomes
because the
initial
o\'
any verbal
(cf. 2.122). Uter such consonants which stay intact before the preterite desinence the suffix 1- drops if not followed by a vowel {p' k ~ l-, ns - n'is4-d).
preceding consonant
2.112. Infinitive,
5
t'
. The
alternant
is
substituted
To
Russian
'soft'
consonants phonemically there belong the palatalized (e.g. /'. , palato-aKeolar S, i. and the palatal semiaj.
When
RUSSIAN CONJUGATION
for
123
this case is
1'
after a
stem ending in a
velar,
which in
dropped
(e.g.,
f
2.12.
p'k);
stems (see 2.62) t' when preceded by a consonant acquires an n'ist'i 'carry'); in all other positions there figures merely t'.
(e.g.,
VOCALIC DESINENCES.
2.121. Present.
The
first
either vowel, denotes the Present Tense; the second (free) suffix indicates the t'i) or the Person and the Number (1 Sg. -u, 1 PI. -m, 2 Sg. -, 2 PL
Person only (3 Pers. -t). Before the vocalic suffix -u the non-terminal single-vowel suffix cannot occur (likewise before the vocalic suffix -a or
the Present
Gerund
cf. 2.21).
Elsewhere the
first suffix
regularly appears.
specific In the 3 PI. (as well as in the Present Participle proper before its u ~ , and in all other Finite forms of the suffix --) the first suffix is
Present
The
numbers: only in the third person forms where it serves to distinguish the both mentioned, As 3 sg. p'jo-t, 3 PI. p'ju-t, from p'j 'drink'. Finite doublets of this tense suffix (that of the 3 PI. and that of the other
forms) are subject to alternations according to the accent. high vowel (thus with If unstressed, the Present desinences begin with a
i-
and with
-)
- and with
in soft
pli-t from plka 'weep' u-t, i-t from ui 'teach'; xran'-t, xrarC-t from xran'i 'keep'; v'iV-t, v'is'i-t taj-t, taj-t from v'is' 'hang'; mi-t, mi-t from mia 'moo'; 'give a push'; talkn from from taj 'conceal'; talkn-t, talkr-t 'forge'; kov from kuj-t -t, 'tear'; kuj rvu-U rv'o-t from rv 'gnaw'. grz from -t griz' griz-t,
plu-t,
3 Sg.
;
2.122. Imperative.
the
The Imperative Sg. has zero preceding consonant is soft (cf. 2.111). The
after a
alternating with
when
alternant
occurs after
(2.61-2).
two consonants or
and irremovable accent: tronu i after single consonant Examples without Examples with -i after two con'touch', Imp. trrC; plka- 'weep', pl. g,jz-i. Examples i; jzd'i 'drive, sonants: kr'iknu- 'shout',
with
after stems
krd
'steal',
krai,
cf. 1
bg.
question admits only high (diffuse), In unstressed, i.e. weak position, the suffix in rule of intensity attraction labeled'the statement may be i e. weakest vowels; hence this sharpened acuteness, and since a by characterized are consonants Since the soft grave, the formulated rule may be unrounded vowels versus rounded are acute versus
.
124
Pres.
MORPHOLOGY
\i
ST
f*t
i'iis
v+kra vi+sl
rM />/'
krad;
( SO)
/',
s'id'
'si,
*/</'
f,
cf.
rub
"cuf,
ruft'
f,
d
vi:
too,
the corresponding
i,
compound
verba with
the
prefix
vi
ruh'
>.
However, the
E.g. taj
jjroup
is
admitted onlv
poji
if
ji
stj; p'j
'conceal', 'drink',
taj
p'j.
/;
'give tu drink',
'st.md'.
The
Inclusive (hearer
I
IK U rmin.iu
to the
correspond-
The
consonants
'believe*)
'praise',
*' i
followed
show
.
.is
his
/
1
sulli\
by the
'reflexive
suffix
s
(
-sa
in
such forms
znakom
'take
\a
'make the
differing
acquaintance',
strikingly
nV
"use
above*,
:uh<>
i
care*,
oneself*,
ski
f*/-j 'scratch'.
"
2.21.
Ofhn
full-Stems.
Open
before a conso-
phoneme before
\
a vocalic desinence.
u-t
.
par
~
is
Mie',
'say',
gavar'i
l-a
pr'
l-a
u-t]
~
F.
Prt,
l'izu
1- -
N.
Pres.
Vii
dv'
poro
'rip',
dv'fnu
a-t.
1- *
u-t, govor'i
gavar*
This rule
which ends
vowel
(e.g.,
a suffix
beginning with a
drops
its
vowel before
remain
intact before a
vocalic desinence.
2.221.
in
drop their
the only
They are
stems which, while preserving the same number of syllables, are regularly
closed before vocalic and open before consonantal desinences.
E.g. d'laj 'do', 3 PI. Pres.
stn
u-t
st
l-a; iv
laju-t ~
'live', iv
F. Prt,
-t
lal-a; stn
'become',
l-.
9 That is, of any 'marked' (marque, merkmalhaltig) aspect. Cf. R. Jakobson. "Signe zro" (below, p. 21 1 ff.). 10 See R. Jakobson, "Zur Struktur des russischen Verbums" (above pp. 3flf.).
RUSSIAN CONJUGATION
125
2.222. Broadly closed full-stems. - All other closed full-stems (in k, g, t, d, s, z, b, r) stay intact both before vocalic desinences and before at least
The terminal
stems are dropped only before the Infinitive desinence; the terminal
dental stops only before the Preterit desinence; full-stems in
s
z b r are
never truncated.
p'; ~ p'ok, F.plk 'bake': M. ~ ; m'ot 'sweep': n ml ~ klas ; n'os kl kld 'pu: kl nls i; v'oz 'convey': Vs, viz vis ; r
E.g. p'ok
Prt.
l-
Inf.
str'ig
str'ik, str'ig
l-a
str'i
/,
l-
~
r,
mis
nls
/,
l-a
'carry':
n'as,
l-,
'rub':
i; r
'shear':
l-,
l-a
2.23.
Deeper truncation.
and
is
tariness
omitted in Preterit
forms.
E.g. gsnu
'be extinguished'
'disappear'
is, iz
~ M.
l-a;
ieznu
l-a.
Before
the group
'give'
:
v, if preceded
by
a, is
dv
l-a, Inf.
dv
Imp. davj
, 3 PI.
daj
-t
F. Prt.
2.24.
the group ov
s'tuj;
is
regularly
replaced by uj
to j
from
cf.
2.122).
E.g. s'tova
daruj
'forge'
kuj
, Imp.
, kuj;
pl'ova
'grant'
,
pVj.
the vowel
i.
in
mj
'wash'
'press'
F. Prt,
mi
l-a; p'j
'drink' ~ pi
l-.
is
replaced by
F. Prt,
l-a;
'reap' ~
in
F. Prt,
l-a.
closed full-stems.
All terminal
dentals and labials of the broadly closed full-stems coalesce into s before
is
mis
no's
'carry'
tl, v'od
'conduct'
Inf.
rilstl, griz 'gnaw' ~ gris, m'ot 'sweep' ~ v4s tl, gr'ob 'row' ~ grls i.
2.4. Softness
end
in
any of the
and hardness of the last consonant. An open full-stem can five Russian vowel phonemes i, e, a, o, u, and they are
126
Moki'iioi
a vocalic desinence.
mi dus
The
last
dropped before
stem
is
consonant of
open
full-
i and
hard
.
Closed items
may end
E.g. TiSl
in
j,
otherwise onl>
hard consonants.
"deprive". \'er'i
'stab';
'belie\e'.
'hide*,
kie
Ida
"s\sarm".
el'e
"order"
gnu
'ben, kolo
'know', tr'as2.41.
pr'ata
Swt*,
itu
'knock';
maj
'shake*.
If
Soft full-stems.
ils
in
the full-stem
1
is
soft,
preserves
softness
is
hrongh
11
Sg. Pres.
'substitutive' las
8081
admits
it)
amy.
gd z
labial
a familiar
concept
\s
to
S,
>
zg zd
f v
any
m
Sg.
-t;
jj
jezd''hany': *fl *J f "buy': kupi'- .kp'- u-t gra ,graz' -/;kup'i '!' Vb* u-t; graf 'draw
u,
oneself':
mi
ms
IV s*i
PL m'ct'
'si:
u-t,
msti
ii
;/,
u,
fkt
a-t;
;
d-/;jezd*i
gro/'i
:
'
'drive*:
u-t;
v'is'e
'menace':
l' uhl'
lines':
^
a
1'ub'i - -'love'
//.
u-t;
,
stav
'i
'station':
stvV-
u, stav*
u-t;
Sum'
If
tum'
u-t.
2.42.
Hard full-stems.
in
the full-stem
is
hard,
it
becomes
A.
consonant followed bv
or
in
polvsvlhbie stem
is
is
i
'substitutive'
as
it).
pl; skaka i ,
etc.; etc.;
etc.
;
etc.;
'weep': Sg. Pres. pl , Sg. pl Imp. pl 'jump': ska sk skt \ka iska 'look Imp. ii; brzga 'sprinkle': , 'plow':/>a p etc; pr'atapr'ac- , gloda 'gnaw' gla p'i gl etc; pisa mza 'smear' mai mai sp pV , f ora 'plow': , kl* etc kolo
3
i-t,
PI.
u-t.
>-/,
u-t,
i;
for'
i-t,
u-t,
i-t,
i-t,
i-tt
'hide':
pr'a,
i-t,
'write':
:
, p'ii
i-t,
u,
i-t,
etc.
'scatter'
sp'
/-/,
ar'
/-/,
etc.;
'stab':
i-t,
.
11
u;
the velars,
however,
hard consonant becomes merely palatalized without other changes in its character, students of Russian call it 'neperexodnoe smjagcenie' hare softening), while a concomitant change in the basic place of articulation (shift from velar or dental to palatal) or a change of one phoneme into a cluster (epenthesis of a palatalized consonant) is labeled 'perexodnoe smjagenie' (substitutive softening). The following sets are found k (k') , sk (sk') , tk tk' , g (g') , zg (zg') ; t st I d d' , zd 3, s s' z z' , p p' pl', b b' bl', f fl\ v v' vi', m m' ml*, n n'
l
r r'
1'
RUSSIAN CONJUGATION
127
undergo 'bare' softening only before Imperative desinences and 'substitutive' softening elsewhere.
tn
/,
etc.
pas
-t, lg
u-t,
-t,
pas'
;
rva
-t, lg'
,
tari
i,
etc.
b'er'og
2.5.
'spare':
d Iga Full-stems in u tonu 'drown' tan Closed full-stems: pas pas pas' p'ok 'bake' p'ik p' i plk Vir' Vir' VW VW
'tear'
,
:
rv
, rv'
da
'wait':
-t,
-t,
-t, rv
-t, rv'
/,
etc.
'lie'
lg
etc.
, tri
i-t,
etc.
;
'tend':
-t,
;
-t,
-t, p'ik'
/,
etc.
ig
/'i
-t,
ig
-t,
ig'
etc.
Inserted vowels. -
vowel
is
r,
before any
k, F. g
l- Inf.
; r
'rub':
r,
r l-a'
In all Finite
syllable of the
forms and
on the same
accented full-stem, with the limitation that in open and broadly closed
full-stems the stress
moves from
which
in Finite
forms
:
is
E.g. saxar'i
F. saxar'i
sxar' 'sugar' Sg. Pres. sxar', sxar' M, PL saxar'i carpnu carpn , carpn 'order': carpnu carpnu carpnu krd krad krad kr sWig kr kr stg but on the (or only) syllable of narrowly closed stems the rug rugj , rugj remains irremovable: rugj d' d' d'en 'pu d'en , d'en rug rug
1
Prt,
/,
l-a,
/'-/;
'scratch':
u-t,
/,
l-a,
/'-/;
v'el'
v'il'
v'iV
-t,
/,
v'il'
/,
v'il'
l-a,
v'il'
/'-/;
'steal'
-t,
l-a,
/'-/;
'shear':
str'iz
-,
str'ik,
str'ig
l-a,
str'ig
/'-/;
final
stress
'scold':
u-t,
/,
/,
l-a,
/'-/;
u-t,
l-a,
d'l'-i.
2.62.
varieties:
A) verbs
with open polysyllabic full-stems stress either the simple desinence or the
preceding vowel
if
is
complex
(cf.
1.2);
stress their last (or only) accentable syllable, with the limitation that all
but the narrowly closed full-stems draw the stress back from the Neut.
(cf. 1.32).
morphophonemic
open polysyllabic full-stems: xoxota 'guffaw': Imp. xaxa, 1 Sg. Pres. xaxa ~ 2 Sg. xaxi-, 3 PL xaxu-t, and M. Prt, xaxatl, F. xaxatl-, PL xaxatl'-i\ var'i 'cook': var' i, var', vr'i-, var'u-t, var'i I, var'i l-a, var'i -i; 2) open monosyllabic full-stems: da
128
'wdii:
MORIMIOI
<n,\<.
\1
sil l.lls
,d, o-.s,
:J
-Uid
I
.
f,
'swim*: pv' dV-i\ narrowly closed stems: plis W, bul N. pli l -. PI plivu-t, pl- I, F. /'/'
/.
Neul /'
1
Id
-O,
1*1.
".
/'-/.
l
'eu
but
'"'
/'
/V
-/,
kVin,
kVir
-S,
in
u-r,
kV
/.
kVi
-.
A/'</
/-/
'
f,
1-.
/
/'-/; rj
MV
f-d, /r*
**'V
-/,
*4
"",
but /'//-a,
'conduct':
v'/
'shake':
fr'fr'
rr'ii
W,
ir'ii
Inf. fr*i
/.
r7; v*od
vi
i,
v* id
vU <'
**d
W,
/-.
-t,
',
/'-/,
visr'i: ber'og
'spare':
blig
1-.
h'ir'ii;
I-o, h'ir'n'
l'-i.br
MU).
2.7.
Productivity.
Productive
icf.
1.7) are
it
.ill
ends
high vowel
"mobile'
i
(i,
u) Of
in
(cf.
2.221
2.24).
'make a racket'; xalti "turn out potboilers*; buz'l maj *ea:3 PI. Pres. Sma) u-t~ F. Prt. Jima
bl'ofna
l'aj
'bhiff';
'waver*:
vlgiiVj
xatr
u-i
/igird
1-; xam*j
'become caddish*:
trust*:
\-a\ tr'est'Irova
'combine into a
tisiru)
u-t
l-u-
tam*4) ih ^ tr'ist'ira
l-a\ m'it'ingova
'assemble*: irilingul
unfit
2.8.
Conclusions.
in
boldface
could be presented
in a
If
the lullits
stem
is
not
listed,
up
basic
shape -
F. Prt,
and some
o\'
is
Sg. (the
most
Some
would be necessary
to
And
finally, a
small
number of
EXCEPTIONS
3.1.
xo
expected
b'e
of biz
kl'an
id
xa
'run',
'want'. 2
-,
1
xa
and
3 Sg.
-t).
Pres.
i-.
xi-t
-t,
(instead of the
Sg. Pres,
big
, 3 PI.
big
Imp. big'
/'(instead
, etc.).
'curse'. Inf.
/
'go', Inf.
kVs
(instead of kl"
).
RUSSIAN CONJUGATION
m'r
129
/'
iri ,p'ir' 1\ i 'push', (instead of m'r, p'r, r). Imp. sp\ kp' (instead osipV krp sp kp
'die', p'r
t'r
'rub', Inf.
1*
'scatter',
).
'trickle'
i,
3.2.
Discrepancy between the prevocalic and the preconsonantal stemalternation does not take place in four verbs:
shape.
'shout'
'groan'
ston
3 PI. Pres. ar
-t;
sos
'suck' sas
u-t.
(cf.
-t;
ston
u-t;
da
'thirst'
ad
2.41-2)
and of
-t
'laugh' sm'eja
regular
'sleep'
sp'
smlj-t-ca; r
'neigh'
from the
r'/v
;
-t; r'ov'
~
t
rz
'roar'
-t.
gives
in place of the
kl'ev'eta 'calumniate'
'grit'
rpu-t; skr'ezeta
tip^
u-t.
Two
'send'
sl
-t; jxa
'drive, go'
molo 'grind' ~ l-a; br'j 'shave' ~ bf1-a. m V'f u-t; poj 'sing' ~ F. Prt. ~ in four verbs zva 'call' appears zero' Irregular alternation 'vowel ~ zav -t; bra 'take' Vir -t; dra 'tear' ~ ir-t; tolok 'pound' ~ talk -t. Four verbs do not follow the usual stress pattern: rod'i 'bear' ~ F. V pr'ad Prt. raiV, N. ra i l-a, P. ra -i (Perfective Aspect); 'climb' 3 PI. l-, pl-a, pV-i (cf. 2.62); l'z 'spin' ~ (cf. 2.24). Pres. Vzu-t (cf. 2.61); dn'ova 'spend the day' - dn"ju-t
Irregular vowel alternation takes place in three verbs:
:
~ jd u-t.
gnal- the preconsonantal stem-shape: 3 PI. Pres, gon'u-t ~ F. Prt, siV1-a); regular 'drive'; sfVu-t ~ stlal- 'spread' (beside the
Vgu-t
Vigl-
'lie
down'
d u-t
~ s l-a
'eat'
'sit
bi1-
3.3.
'be'.
Anomalous
verbs.
Two verbsjs
Imp.
and
'give'
je m, j,
dast,
j; d m, d,
IV
(1948).
NY,
fall
1948,
and printed
in Word,
'bruise'
an open
full-stem (u)+ib'
AND
1.
SI
III
RS
\M> ol
its
is
Ml
PLEX STRUCT
1.1 its
A
its
message scut by
receiver.
Any message
encoded by
its
sender and
is
to be
decoded
by
addressee.
is the amount of information obtained. \ chicle Both the message (M) and the underlying code
I
linguistic
in a
duplex manner;
at).
they
referred to
pointed
Thus a
may impK
\Rin
'
a reference (renvoi)
accordingly four im
I
types must be
distinguished;
1)
uTerring to
|
message (M/M) and code referring to code overlapping - message referring to code
message (C/M).
1.2
two kinds
ol
(/)
M/M)
"REPORTED SPEECH
is
message within
it is
in his
and
stylistic
problem.
may
we are
by the
speaker himself.
We
we
of self-quotation, for
own former utterances, and some of our current experiences in the form instance by confronting them with statements by
that
it
someone
else:
say unto
you***" There
Andrejin), Kwakiutl
Hopi
(s.
SHIFTERS,
131
Whorf), use particular morphological devices to denote events known from the testimony of others. Thus in Tunica all
statements
of sentences
by the
C/C) proper names, treated in Gardiner's "controversial essay" as a very knotty problem of linguistic theory, take a particular place in our linguistic code: the general meaning of a proper name cannot be
1
.3
means a person named Jerry. The circularity is obvious: the name means anyone to whom this name is assigned. The appellative pup means a young dog, mongrel means a dog of mixed breed, hound is a dog used in hunting, while Fido means nothing more than a dog whose name is Fido. The general meaning of such words as pup, mongrel, or hound, could be
indicated by abstractions like puppihood, mongrelness, or houndness,
To
many dogs
do not share any property of "Fidoness". Also the indefinite pronoun corresponding to names such as Jean, Jan, Joan, June, etc. - the "what'sher-name" or "what-do-you-call-her" or "how-d'ye-call-her" - includes
a patent reference to the code.
1.4
/) A message
is
is
in logic
is
termed an auto-
The pup
a winsome animal or
in such sentences as
"Pup"
is
"Pup" means a young dog or "Pup" is a monosyllable, the word pup - one may state with Carnap - is used as its own designation. Any elucidating interpretation of words and sentences - whether intralingual
(circumlocutions, synonyms) or interlingual (translation) referring
is
a message
plays a
1.5
units
cannot be defined without a reference to the message. Their semiotic nature was discussed by Burks in his study on Peirces' classification of signs into symbols, indices, and icons. According to
132
Peirce, a
MORPHOl
symbol
(e.g. the
sn
dii s
is
the act ol
Shifters
in existential relation
it
represents.
SYMBOLS.
/
combine both functions and belong therefore to the cla>s of immxh U As a strikme example Burks cites the personal pronoun.
means
/.
cannot
represent
same meaning
its
is
assigned to
egO
ich,
ja etc.: COnsequentl)
/ is a
symbol.
On
is
in existential
word /designating
as an index
(cf.
Benveniste).
peculiarity
The
^ the
m
believed to consist
Husserl:
es tut
"Das Wort 'ich' nennt von kall /u all eine andere Person, und dies mittels immer neuer Bedeutung." kor this alleged multiplicity
in
1
however, possesses
\t>u,
its
own
general
means
it
the
addresser (and
the
belongs.
at a time.
common
H.g. the
conjunction but
and not the generic idea of contrariety. In fact, shifters are distinguished from all other constituents of the linguistic code solely by their compulsory reference to the given message.
The indexical symbols, and in particular the personal pronouns, which Humboldtian tradition conceives as the most elementary and primitive stratum of language, are, on the contrary, a complex category where
the
late
and
If
we
defining the
same
inter-
is
who
he
name
become accustomed
pronouns:
may be
called
you by
Sometimes he attempts to
SHIFTERS,
33
these appellations.
:
For
instance, he tries to
monopolize the
first
person
Or he
is
readily
names any person of his surroundings but own name: the name has for its little
Thus Guy de name sounded quite strange to him when
refusal to utter one's
This attitude
may
The
become a
Samoyede
for
its carrier.
.6
Jim
told
me
"flicks"
all
an event
2.
2.1
to be observed:
1)
speech
itself ( s ),
and
its
n
( );
and any of
former" or "undergoer".
2.11
Any verb is concerned with a narrated event. Verbal categories may be subdivided into those which do and those which do not involve the participants of the event. Categories involving the participants may
characterize either the participants themselves (P n) or their relation to
134
MoKi'iioi
\i
su nu
(
")
01
its
relation to another
narrated event
(E n
).
or
its
will
(I
"
(E n E n or P E")
item and
will be
termed
onnk
may
its
without or u
I
it
h reterenee
-i
its
participants
ks;
With
can be defined.
2.2
Pn
Among
event.
GENDER and
NUMBER
Characterize the
participants
qualities,
thcmscUcs
gender
and number
,g
in
whether the performer on the one hand, and the undergocr on the other,
are animate or inanimate (Bloomtield, 1946); and the singleness, duality,
is
expressed
in
Korsak
conjugation (Bogoraz).
2.21
person
signals the identity of a participant of the narrated event with the per-
former of the speech event, and the second person, the identity with the
actual or potential undergoer of the speech event.
2.3
involving
Status (in Whorf's terminology) defines the logical quality of the event.
E.g. in Gilyak, the affirmative, presumptive, negative, interrogative,
and
which
On
aspects which
SHIFTERS,
2.31
135
E n E s ) tense
speech event.
Thus the
is
P n E n ) voice
its
and
2.41
P n E n /P s ) mood
its
:
event and
event
in
Vinogradov's formulation,
view of the character of the connection between the action and the actor
or the goal".
2.5
no standardized name for this category; such labels one of its varieties. Bloomfield's (1946) term "order" or rather its Greek model "taxis" seems to be the most
is
E n E n ) There
narrated event and without reference to the speech event, thus Gilyak
distinguishes three kinds of independent taxis
- one
requires,
one admits,
taxis,
various relationships with the independent verb - simultaneity, anteriorinterruption, concessive connection, etc.
similar
Hopi pattern
is
described by Whorf.
2.51
E n E n8 /E s ) evidential
is
which takes into account three events - a narrated event, a speech event, and a narrated speech event (E ns ), namely the alleged source of information about the narrated event. The speaker reports an event on
the basis of
(quotative,
i.e.
hearsay evidence), of a
Bulgarian conjugation
:
dream
own
(E ns
previous experience
(memory
evidence).
sets
distinguishes
E 8)
vs.
(E ns
E s ). To our
question,
what
happened to the steamer Evdokija, a Bulgarian first answered: zaminala "it is claimed to have sailed", and then added: zamina "I bear witness;
it
H. G. Lunt on the systematic distinction made in the Macedonian verbal pattern between "vouched for" and "distanced"
sailed."
(Cf.
events.)
2.6
The
may
be illustrated
36
Mi KPI
>l
OGH M
SI
DU
SHIFTERS,
137
All verbal categories are dealt with except participles, a hybrid class
adjective.
P s)
vs.
vs.
impersonal;
b) within personal
first
second person
;
(signaling
c)
within
vs.
2nd person
an
indication).
3.21
Gender:
vs.
b) within subjective
is
not male)
vs.
masculine
soroka.
let
Number:
3.3
P n)
vs.
singular.
Tense: preterit
vs.
present.
3.31
Status
is
morphological level:
Ne
on...
Ne pojdet... On
li?
...
Pojdet
li?
Aspect:
vs.
a) perfective
imperfective (noncommital
cf.
completion):
impf,
impf,
pe
'to sing'
and
pf.
spef
'to
complete singing';
pf.
dopeva
'to
be in the
final stage
of singing' and
'to
dope
'to
complete the
final stage
be in the
initial
stage of singing'
and
pf.
zape
'to
complete the
initial stage
,
of singing'.
The
implies
no sequence; consequently a
is
completion
temporal sequence
To vystel razdavalsja
forms).
pletion
(impf.),
to
slysalis'
Only
is
if
is
ponagovoril
perfective
reformax; To vystel razdastsja, to kriki poslyatsja. The perfective preterit signals the temporal antecedence of E n (in relation to E 8 ) and its completion. The perfective present does
used
Inogda on pogovorit
138
MORPHOl OGK
it
\i
STUDIO
I
,
QUClear meaning,
and thus
to
its
envisaged completion
posterior to
e.g.
I.*:
futurity
is
meaning
i
withm
imperfective:
vs.
determinate
e.u.
(signaling
integrity,
un-
brokenness of EB)
indeterminate,
c) within imperfective
ly reiterated
former-
"i
iv.
Qon-iterative:
On
dance but
On
within
inceptive:
perfectivized
("future")
vs.
non-perfectivized.
periphrastic
by
forms
combining the
infinitive
form
is
-.
),
opposed
the imperfective
budu
etc.
Onikria
cry'.
Oni hudut
krna
is
'they are
expected to
The
two forms
[
similar to the
It
lu;s
been objected
(
mere
elliptical
constructions
Oni
in
"I
or naati
kria)
he
omitted
in
to
proverbs like Ljudi moloti, a on zamki koloti "People are about to thresh, while he is about to break locks'. Neither the restrictive references
to "a final position"
call in
and
take into account such current turns of speech as Ty filosof strova, da vs bez tolku 'You are about to philosophize, yet still it makes no
sense at
3.4
all'.]
Mood:
in the
indicative.
vv
Tf he
lived in freedom, he
ould
39
know no sorrow' and il on na vole, ne znal peali 'He lived in freedom and knew no sorrow'; i by emu na vole, ne zna by peali 'If he could live in freedom, he would know no sorrow' and i emu na vole, ne zna peali 'May he live in freedom and know no sorrow'; i by emu
na vole! 'May he
indicative.
live in
freedom!'
En
as
vs.
varieties
it is
it
figures as a
Two
for a
E n)
vs.
imperative.
The
latter calls
participation in the E n ,
perfective
forms while the other verbs use periphrastic forms to indicate the
clusive person.
E.g. in the hortative, the perfective verb
napisa and
the
corresponding
napiu-ka,
imperfective
pisa
present
the
paradigm:
pii-ka,
addresser
budu-ka
pisa,
addressee
napisi-ka,
addressees
budem-ka pisa,
offers
(attenuated appeal
same paradigm
is
ka and
Only the
The
declarative
distinctions of
may be
applied to each
in
both numbers.
When
used in a
means a counterfactual assumption of the speaker: emu by ne sdobrova 'Had he set out running (had
would have turned out badly for him'. In an independent means a compulsion upon the P n
:
assumed by the P 8
he has to
run'.
is
resting, while
performed by P n but so surprising for P 8 that it seems counterfactual; Vse otdyxajut, a on (ni s togo, ni s sego) pobegi 'Everybody is resting,
while he
injunctive
(all
is
of a sudden)
built
When
such a narrative
from imperfective
verbs,
it
resorts to a periphrastic
bea
140
MORPHOLOGICAL STUDIES
is
'Everyone
of a sudden)
its
is
running'.
Thus
the
imperative addressee
Only
the
when used
in
Voice: reflexive
vs.
non-reflexive.
The non-
transitive or intransitive.
The
transitive admits
subject
and a
direct object,
and the
'S. washed the dishes' and Sonja myla.s' washed herself or Posada mylas' 'The dishes were washed'. The
is
grammatical subject
intransitive verb.
As
form excludes
(cf.
is
Ja
tjaelo
dyu
difficult to
breathe);
sail
glimmers white
the door').
3.5
ring'
and zvonjus"
ring at
Evidential
is
level.
Cf.
such particles as de, mol, and the devices used by the various forms of
direct
and
indirect speech.
3.51
E n concomitant
with another,
principal E n ) vs.
itself as
independent.
it
a taxis:
E n and
not to the
vs. present is changed into an opposition definable Whorf's terms as sequential (signaling the temporal contact between the two E n ). Imperfective preterit gerund Vstreav v rannej molodosti. on snov uvidl erez dvadca let 'After having repeatedly met her in
The
relation preterit
in
he saw her again twenty years later'; Nikogda ne vstreav ego ran' se, ja vera poznakomilsja s nim 'Having never met him before,
his early youth,
yesterday
I made his acquaintance'. Imperfective present gerund: Vstreaja druzej, on radovalsja or raduetsja 'when meeting friends, he
was
(is)
delighted';
On umer
SHIFTERS,
141
and
It is
erez dvadca
saw her
let
'After having
he saw
her again twenty years later' or nikogda s nej boVe ne videlsja 'never
again'.
One can
'Having read the book, he lapsed into thought', but protja could not
be used in the sentence Proitav knigu, on vposledstvii asto govoril o nej
'When he read
ne
it'.
Examples of
pri tom)
I
vstretja vas,
ja (one
may add
povil
did not
want to
believe)
my
eyes':
simultaneous.
may express the resultant of the first of two closely contiguous events: On vnes predloenie, vstretja (pri tom) rjad vozraenij 'He introduced a
proposal which met with a number of objections'; Ona upala, povredja
sebe (pri tom) rebro 'She
fell
rib'.
and even
in their
paradigms there
in this
way
komnatu 'He up the room', but On zaigal piku, kadyj raz osveaja (and not osveav) na mig komnatu 'Each time he struck a match, he lighted up the room for a second'.
(substituted for osvetja)
lighted
In the
Moscow
is
split into
two
E n)
vs.
govori
nimi
'Since he had never met actors, he did not know how to approach them'; Nikogda prede ne vstreav akterov, on sluajno poznakomilsja s Kaalovym
Vstretivi
met him', Vstretiv Petra, on v skore stolknulsja ee s neskoVkimi znak ornym i 'Shortly after having met Peter, he ran into some other friends'. It is
forms
like vstretiv for
easier to substitute
versa.
forms like
vstretivi
than vice
One may
pouvstvoval pronifelt
zyvajuij xolod
cold'.
"When
(consequently)
a piercing
snjavi
my
coat, I sat
down
at the
142
table'.
MORPHOLOGICAL STUDIES
Thus the
all
actually invalid.
Among
verbal forms,
It
it
is
grammatical information.
Thus the
infinitive excludes
To
verbal
Gender and marked number (plural) are mutually Person and gender are mutually exclusive.
Person implies number.
exclusive.
Among marked
2) perfective,
aspects.
perfective,
determinate
and
llei
iterative
On beia and On
budet
bea.
Inceptive excludes
marked
tense (preterit),
marked (non-indicative)
present).
taxis (gerund).
moods and person are mutually exclusive. The appeal forms exclude the opposition
imply the opposition inclusive
vs.
personal
vs.
impersonal and
non-inclusive.
taxis (gerund) are
Marked
exclusive.
(non-indicative)
mutually
all
verbal
Among
and determinate
pair inceptive
vs.
indeterminate embrace
is
all
verbal categories.
The
non-inceptive
vs.
confined to the
My vali
'If
stolice
'We
are no longer
we used
on skoree privyk by
it
derevne
in the capital
as he used to,
would be
easier for
him
to get
accustomed to the
he could hardly
v
mog
svyknut'sja s provinciej
in the capital,
Emu
privelos'
iva podolgu
derevne
SHIFTERS,
143
'Only in the past he had occasion to spend long intervals in the country' ;
V etom
used
lot
to'
gorode
;
iva 'Nevermore are we to live in this city as we Na ubine ne iva - toski ne znava 'He who has not spent a
ne
reflexive v.
nam
nonthe
unmarked
aspect (imperfective).
4.
4.1
Any Russian
morpheme
by a
/vi+rv-a
A
/gris
stem
may
/rv-
/;
1-a-s/.
t,/,
or be unsuffixed,
e.g.
t,/.
verbal stem
may
the truncated stem, differing from the former ordinarily by the omission
of the
final
phoneme,
e.g. /znj
/:/zn
/rv
in a syllabic,
/,
/star,-j
/
/,
/,
which
is
suffix, e.g.
/rv-a
/-/
or /rv-a
/--s/, /rv,
o-m/ or
/rv,
o-m-sa/; a
f-jfi/.
"final suffix"
suffix,
e.g.
/rv,
-m-sa/, /rv-
is
may
be added to a
If
final
a desinence con-
of one
/.
suffix,
the latter
at
once
initial
and
u/,
/griz,
The desinences
consist of
The consonantal desinences begin with a consonant /griz-l-a/ or one consonant /zn f/. The vocalic desinences begin with a
vowel
/griz,
-/ or consist
u/ or of a zero
alter-
#/:/griz,
make
verbal
categories
use
of unsimilar
grammatical
4.2
number employ
is
When
person
is
numbers and
suffixes at
between the
first
144
MORPHOl OGH m su
is
DIES
final,
rendered b) the
.
and
its
number
by
gar, -t
This
is
used
in
and
/vi/),
With this separate expression o\ number compare the pronominal pattern: while SUppletlOO ja and mi /ti/ the pronouns of the first and second person the "third person" is expressed by the root and the difference
i
#/, /an
:
To
consonantal
ones
lor
:
the
r\-a
preterit,
/,-i
.
/naj
/na
/-..
/naj
/zn//; from
/rv,
d-m
Vocalic
desinences
distinguish
the
he latter uses
a vowel
4.31
/na
t.
n.is
t.i
},
in
the
stem (stemdeterminate
flic pair
i'
indeterminate
is
two unprelixed
ending
stem.
opposed
is
to a closed full-stem
or an
unsuffixed stem
I.
opposed
to a
suffixed
/b,i-/n,s
/:/nas-
form,
b,g-aj
/.
it.-,
l.it-j /,
o\'
kat.-i /:/kat-j /,
the pair iterative
.
/,
-ivaj
/:/p,is-
/zna-vj /:/znaj
or /-vj
/,
/t-ivaj
/:/it-j
in the
If a prefix
added
to an iterative
vs.
non-iterative
or determinate
vs.
members changes
into the
imperfective.
become
perfective
and imperfective
into imperfective
/pr,i+nas,-
/;
/v-f p,is-a
/:/vi+p,s-ivaj
is
/:
/,
/-j
/,
e.g.
.
/na+p,is-/:/p,is- /,
/at-f- r,z-a
/:/at+
/r,i- /:/r,i-j /,
/p,ix-n /:/p,ix-j
vs.
r,iz-j
/.
If
im-
open stems, the stem-suffix /-nu /, /-n / signals /:/kr,i- /, /max-n /:/max- /.
The
inceptive aspect combines the infinitive of the given verb with the
perfective
145
the connectors, the non-shifters are expressed by means of The marked voice joins a postfix to the final desinential suffix of the corresponding unmarked voice; the reflexive adds the postfix /-s/ or its automatic variants /-sa/, /-s/ and /-ca/, e.g. /fstr, u-s/, /fstr,t, i--sa/, /fstr,t, i-t-ca/. The correlative form of the preterit
postfixes.
Among
/-i/
f/.
namely
in the preterit
gerund of
is
abolished
the form
/fstr,t,-i
f-i-s/ is
Hence of two successive postfixes the antecedent is redundant. The shifters pertaining to the class of connectors, namely the moods,
use enclitic particles, "annexes", in Whorf's terminology, instead of
desinential suffixes
and
postfixes.
governed by the
/p,t,/,
/f,t,/,
/p,s/, /f,s/,
/s,s/,
/p,k/,
/f,k/,
/m,s/:/ms/,
#- t,i/ and /pa+jd, -m- t,i/, Cf. /pa+znakm, /pa+znakm, #- sa/ and /pra+jd, -m- sa/, /pa+znakm, #- ka/ and /pa+jd, -m- ka/. A space separatmg the hyphens and dashes
/m,k/:/mk/.
in
In the indicative
/i/
i-t,i/
due to the subsequent palatalized consonant of the same word, while in the imperative /v,il, i- t,i/, sometimes - within the explicit code of standard Russian - we may observe a more open variant
variant of
l-/t,ib/, since
and
The
particle /ka/
is
two other
particles
and the
suffix
and
may be
three of them,
may
One
of these forms
/
i/,
is
/kr,kn,
# (substituted by and a stem a #/, root or which has no on In the whole Russian verbal pattern, /v+s,id,
/
after
cluster
after
fixed stress
/,
its
i/,
/s,id,
i/.
146
it is
MORPHOLOGK
the only example of
is
s;
DIES
/ero
.is
he
PI.
means
'let
me and
thee')
t.i
and paradignutically
fular
lea
fstr.t,
rj.
"plural
opposed
to
/fstr.et,
i-m-
addressee**
vs.
ill
addressee", and to
fstr.et, i-m-
as imperative
hortative.
Cf. the
pa
\.:d-aj- i-m-
ka/.
AKo
is
utilized in injunctive
annex
ka
A
of a
injunctive
moods combine
the infinitive
injuncl
bud.
,
i-m/,
/bud,
i-m-
bud,
/da-VI
i-m-
ka
bud.
i-m
\i
t.i-
ka
.
da-vj
#/,
da-vj #4.5
t,i/,
ka
In sum, aside
from
a feu periphrastic
The P-designators
desinential suffixes.
make
The E-dcsignators (designators of the event) deal with word-components he shifters (tense) employ initial desinential
I
The non-
and
tend to reduce the desinence to zero and to replace the usual desinential
suffixes
latter, partly
particles.
in Cambridge, Mass., 1956, for the project "Description and Analysis of Contemporary Standard Russian", sponsored by the Department o\' Sla\ic Languages and Literatures, Harvard University, under a grant from the Rockefeller Foundation, and published by this Department in 1957. Parts I-II are a synopsis of two papers
Prepared
verbales". Socit
6),
Genevoise de Linguistique
in
REFERENCES
L. Andrejin, Kategorie znaczeniowe konjugacji bugarskiej (Cracow, 1938). E. Benveniste, "La nature des pronoms", For Roman Jakobson (The Hague, 1956). L. Bloomfield, Language (New York 1933).
SHIFTERS,
147
(New York,
F. Boas, Kwakiutl
Grammar
(Philadelphia, 1947).
V. Bogoraz (W. Bogoras), "Chukchee", Handbook of American Indian Languages, II (Washington, 1922). A. W. Burks, "Icon, Index, and Symbol", Philosophy and Phenomenological Research,
IX (1949). K. Bhler, Sprachtheorie (Jena, 1934). R. Carnap, Logical Syntax of Language (New York, 1937). A. H. Gardiner, The Theory of Proper Names (London, 1940). M. R. Haas, Tunica (New York, 1941).
E. Husserl, Logische Untersuchungen, II (Halle a. d. S., 1913). Mathesio R. Jakobson, "Zur Struktur des russischen Verbums", Charisteria Guilelmo
(Prague, 1932) [see above, pp. 3-15]. 211-219]. R. Jakobson, "Signe zro", Mlanges Bally (Geneva, 1939) [see below, pp. 119-129]. R. Jakobson, "Russian Conjugation", Word, IV (1948) [see above, pp. Severa, III E. A. Krejnovi, "Nivxskij (giljackij) jazyk", Jazyki ipis'mennos narodov (Leningrad, 1934). O. Jespersen, Language; its Nature, Development, and Origin (New York, 1923).
H. G. Lunt, Grammar of the Macedonian Literary Language (Skopje, B. Russell, An Inquiry into Meaning and Truth (London, 1940).
1952).
V. V. Vinogradov, Russkij jazyk (Leningrad, 1947). V. N. Voloinov, Marksizm i filosofija jazyka (Leningrad, 1930). Native L. Whorf, "The Hopi Language, Toreva Dialect", Linguistic Structures of America (New York, 1946). Sbornk D. K. Zelenin, "Tabu slov u narodov vostonoj Evropy i severnoj Azii", II,
Muzeja Antropologii
Etnografii,
IX
(1930).
THE RELATIONS!! II BETWEEN GENITIVE AND PLURAL IN THE DEC ENSION OF RUSSIAN NOUNs
I
The Moscow
the Slavic
linguistic school
inaugurated b>
ortunato\ gave to
and
in
he classification
number and
I
case,
was
for
to
them
am happ>
(
touch upon
problem
)laf
To
A)
e.g.
cardinal
numeral or
'as
its
may
B)
noun declension
number and
case - encompasses a quantifier. The plural indicates that more than one
unit
is
is
non-committal interes
:
drame
(Sg.)
dramom may
the sin-
mean
In the pair
the
marked opposite of
upon the extent to which the entity takes part in The context indicates whether the amount is measured (skVko dram 'how many dramas', pj drm 'five dramas'), extended (dram! 'there are a lot of dramas', nasmotrfs'a drm 'to have seen enough of dramas'), or reduced. Thus poitl drm means 'read a little
genitive focuses
The
the message.
The Latin or Latinized spelling form of Slavic examples is in italics; transcription of spoken language in roman type. The forms transcribed phonemically are in slants, while no marks enclose the specimens of morphophonemic transcription. The transcribed desinences are preceeded by a dash, stem suffixes by a hyphen. * Cf. R. Jakobson, "Zur Struktur des russischen Verbums", Charisteria Gvilelmo
p. 9.]
GENITIVE
149
from dramas', kosnlsja drm 'touched upon dramas', zdl drum 'waited for dramas', xotl drum 'wanted dramas' - the entity is intended without having been realized; izbegl drum 'avoided dramas' the entity is repelled, and a similar reduction to zero appears in the genetivus negationis: ne ljubil
'there
dram 'did not like dramas', n bylo drum were no dramas'. The adnominal genitive signals that not the
is
entire entity
its
drm 'the end of vlijnie drm 'the influence of dramas', vbor drm 'the selection of dramas'. The nominative is an unmarked case, and the genitive is opposed to this "zero-case" by one single mark the genitive is a mere quantifier. 3 In GP1 both the case and the number are quantifiers. One could represent both of them by plus and their unmarked opposites by minus: a lucid scheme results.
dramas', realizm drm 'the realism of dramas',
:
PI
+ +
N
The
Sg
and
its
doubly unmarked
system and
is
all
same
pattern.
rule,
As a
is
this desinence
-#. noun has a zero-desinence in the NSg, -ov or -ej. The desinence -ej occurs after
nasals,
/1'/)
GP1
is
and
liquids
and
//, //);
-ov appears
after
any
/m/;
other
/r/,
phoneme
/j/).
(/t/, /d/, /s/, /z/, /c/, /p/, /b/, /f/, /v/, /k/, /g/, /x/; /n/,
/1/;
Cf.
(Bratislava, 1943),
Ch. IV.
150
MORPHLOGK
\!
SU DUS
a,
;
ir'ip
6f/,
.
grib
stal
/dux
al"
bl'in-of/,
/dam-f
/nir-f
f/; /baj-f/.
,
;
io
NSg have
/
Hov
.
desinence
.
GP1
/dir-/~/dr/,
/-/~//,
-
/ul'ic-a/~/l'ic/, /bn'-a/~/bn"
/stj-a/~/stj/,
/s'im'j-/~/s im'j
-6/~
.
'
ov,
ruj
slf/,
/z'irn-o/^/z'or'in/, /akSk a
/rij/.
akSik
Icap'j-o
kop*ij
/U'e-a/~
a
fil'l
There arc
forms with
/
a
desinences
ej in
ni
their
declension: A)
-ik
in
NSg and
GPI, namel)
pl'cc-ik
af/,
(
/a-k of.
nouns with
\\
in
,
-|
in -
NSg
pal'
pl'ec-ik
at",
a-k 6/~
lvera]
,
oblak
a
ablak
kal*en-e
ej
6f/,
at
;
pl-j
pl'
ej.
mor' a * mar'
B) about
NSg and
ej in
GPI,
ej
.
/nazd-
na/dr'
ej
o\'
d
in
dal'
o
in
,
e.g.
jnas-a/~/jna-ij/,
- /o-ij/. 4 On
laldl
the
the expected
OV,
e.g.
a zero
desinence both
in
NSg and
GPI,
trak/, /gls/,
/ulk'.
In the pair
stress.
inflec-
ju/an'-in /~/jun/,
sin'-t/,
/t
/gaspa-n/~
GPI by
the
/in-k/is
iT-n-ak/~/il'-
But the
collective suffix
:
-#j-
ordinarily followed in
/brt/
~ /z'i-j-f/,
suffix,
/stul'-j-a/
~ /stul'-j-af/,
desinence /kn'as'/ ~ /kn'iz'-j-a/ ~ /kn'iz'-j/, /drk/ ~ /druz'-j-a/ ~ /druz' -j/, /raus/ ~ /mu-j-/ ~ /mu-j/, /sin/ ~ /sin-av'-j-a/ ~ /sin-av'-j/.
Thus with very few exceptions, each noun has no more, and usually no than one form with a zero desinence: either the NSg or the GPI. The GPI desinences -ov and -ej were generalized in the declension of those nouns which have a zero desinence in NSg. The historical tendency to differentiate the GPI and the NSg by confronting a zero and
less,
a non-zero desinence
is
herewith documented.
1953), pp.
161
166, 168.
GENITIVE
151
The
scheme
relation between
:
be visualized by a similar
G +
Sg
PI
+
N
One of the two
mark.
distinction
quantifiers carries the case
mark and
number
this
by a mere difference
desinences of
may be
differen-
tiated, if at all,
-ik-o, or -k-o
-ik-a/~/kal's'-ik'-i/, /az'ir-k-/~/az'ir-k'-/).
jority of
nouns ending
in /-o/
and
GSg
to
the retracted stress of the NP1, e.g. /s'il-a/ ~ /s'ol-a/, /kal'is-/~ /kal'os
-a/;
/graz-/
~ /grz-i/,
/gub-/
~ /gb-i/,
/du-/ ~ /d-i/,
/visat-/~
/vist-i/,
/skarlup-/ ~ /skarlp-i/,
small
NP1,
e.g.
/suistv-/,
/astrij-/;
Most of
the nouns in
/z'rkal-a/ ~
-,
with
its
~ /kruiv-/,
r-a/;
etc.
on the other hand GSg and NPl /kr'sl-a/, The middle stress of nouns in -o (as /kart-a/) is
cf.
/il-a/
/ban'-i/,
fixed,
and likewise
in
-a both
:
Among
in
the nouns with a zero desinence in the NSg, the feminines end
-i both in GSg and in GP1, and the stress falls on the same syllable of the stem, e. g. /n-i/, /li-i/,/ krav-i/. A considerable and ever-growing number of masculines substitutes a stressed -a for
an unstressed
the usual -i desinence of NPl. 5 All masculines which have acquired the
stressed -a desinence in NPl, have
an unstressed -a in
GSg
(except the
~ /lug-/,
/xtar-a/ ~ /xutar
en russe moderne", See L. Beaulieu, "L'extension du pluriel masculin en -, la Socit de Linguistique de Paris, XVIII (1913); S. Obnorskij, Imennoe (Leningrad, 1931), p. 2 ff.: he lists more sklonenie v sovretnennom russkom jazyke, than two hundred nouns with the new desinence in NPl.
5
Mmoires de
152
-/,
MORPHOLOGICAL SU DUS
/iiv-a/~/iir'iv-/, uiil'
is
uCu'il'
[
(
productive)
of this pattern
demonstrated by
its
words,
e.g.
<Vks'ir-a/~/v'iks'ir
kandoktar
used
- kanduktar
iSg, but
(
i
in
a
.
is
in
the
plural
mu/-j
The -a declension shows a gradual extension of Stress alternation in GSg and NP1. The observer cites such recent forms of NP1 as bdy, viny, dugf, zen, svi, vdo\ \. rirot, su i, where "toward our time there
occurred a
shift
b'id
NP1
ment
/b'd
is all
-i/,
gl
his
developstress
the
more
affected b\ the
initial stress in
nouns with
CiSl:
lived stress".*-
of the fixed
such instances as
\Sg
msto,
is
G PI
and \PI
msta into
tion of the
mobile t\pe
drift.
7
another manifesta-
same
The
like
NA
gospod, Storo, and the earl> extended use of the stressed desinences
/
/-m/, /-am'i/,
;i\
in
may have
contri-
buted to the
rise
of the desinence
continuously progressing
first
of the neuter desinence a did not work here", since "the difference between
glosa and golos, pgrcba and pogreb. koroka and okorok vividly
recalls a similar difference in the neuter: slva
and
lov, polja
and
polj,
mrja and morj, zerkaa and zerkaa, dreva and ilerev."* Thirty years
Jagic's question: "On the analogy GSg oblaka NAP1 oblk, GSg tela NAPI tela, the " masculines set up GSg brega NAPI bereg, GSg groda N\P\ gorod
: : :
.''
Yet
tie
if this
'
7
Obnorskij,
L. Vasil'ev,
o.e., p.
387
f.
zvuka v moskovskom govore v XIV-XVII w.", Izvestija Otd. rus.jaz. i slov. I. Ak. Nauk, X, No. 2 (1905), p. 209; Chr. S. Stang, La langue du livre Uenie i xitros ratnago stroenija pexotnyx ljudej (Oslo, 1952), p. 35. 8 I. V. Jagi, "Kritieskie zametki po istorii russkogo jazyka", Sbornk Otd. rus. raz. i slov. I. Ak. Nauk, XLVI, No. 4 (1889), p. 114. 9 L. Bulaxovskij, "Zametki po russkoj morfologii", Slavia, VI (1928), p. 645; idem, "Intonacija i koliestvo form dualis imennogo sklonenija v drevnejem slavjanskom jazyke", Izvestija Akademii Nauk SSSR, Otd. lit. jaz., V, No. 4 (1946), p. 301.
"K
istorii
GENITIVE
153
a simple shift of the stress from the stem to the desinence, without
substitution of the final vowel,
would
suffice.
alternation
is
now
used in the
from
and from
-u/)- 11
~ /sn'eg
Russian
is
GSg on
the
NP1 due
(/-e/)
NSg da (desinence /-a/)~GPl da ~ GSg due (/-e :/). In other Serbocroatian declenGSg
(/-i/)
sions the
~ s tv (/-i:/).
A
NP1
slov
its
origin)
differentiates
lov (/-a:/).
distinguished from
~ slovo.
III (1957),
dedicated to
10
NP1
in
-a implies
GSg
inventory of desinences in
inences corresponds to
(-ov, -ej).
11
in -a, and GSg in -i implies NP1 in -i. Nouns have the same GSg and NP1 (-a, -i), while the repertory of their GPI desNSgMasc suffixes of nouns (-#) and possessive adjectives
p.
60
ff.]
(
I.
)
/.
JOh.li.I
1.1
1
(,
1
1958)
, , . ,, , : . , . : ,, .
,
.
"Le
comprendre
"L'intervention de l'histoire
N. Durnovo, "De
tudes Slaves,
2
la dclinaison
en grand-russe
littraire
:
.
II (1922).
A. M.
(,
1933).
( ( ( ( ) () () ( (
1
55
() (); () ).
(),
), ), (),
), ), ), (); ()
;
), (),
: , ,
1.
1)
, .
2.
:
.
3
; ;
2)
3)
,
3.
..
, ..
3
. ,, ,
-
,. ,
,
-
(.
, .
,
Trager)
(1953).
XXIX
. , , , , [ : , : , . ,
156
,
l'.
MORPHOLOGICAL
Sili
l'-
( nein,
.
li.
)
.
.. .
)',
..
, . , ! ), < , , . : , , " 1 ] , ] , . , . . , .
l'
)
l',
',
01
UIHCTBO
>
.,
[.
."
[.
", . . : .
.,
(.
,
.
"-
valeur
2).
, , , . (! - ),
),
(
.
4.
) , , , , , , , , ). (, ), , (, ); , (, ). , ,, (,
.
(, -
157
,
.,
, . , . ; (, . ( .
.
:
. . .
.,
. .
.,
.)
.,
.)
,
4
. ,
1936
,,
(.
, , ,
.
23-71).
, .
" " " (); " " ,).(); " ( ( . , ) , :=: , ,. , "", ("
158
MORPHOLOGICAL STUDIES
.:
5.
. ,
=
:.
6.
, .
1)
"),
.
.
.
.,
.;
:ipn
2)
) , ,: ,
3)
,
.
.
.
.;
.
-
., .,
- ., ., .,
,
.
.,
. .
7.
, (( ).
..
-
.,
les
..
1934).
(.
,.
n'est pas
ordonne
que le grammairien
2).
. (,
4-
,, ,
de
la dclinaison, et les
l'occasion.
8.
, ,,,,,. "le
159
.
le
premier cas
ou
tel
ordre selon
"
(.,
.)
(.,
.)
..
(., .).
,
9.
8.
.,
"
, .
:
. " ., ,
:
"pris isolment ni
(.
, . ,. , , , ,"
/t/
:
, . ,
/d/
.;
.,
..
..
. .
,
.",
:
; ,
-
Nacht
ni
2)
/t/,
/d/
",
Nchte,
160
MORPHOLOGICAL STUDIES
de
,
:
GroooM)
,
(
.
"
.
: "", , . ( : ),(( :
"ne sont rien",
"
, . ,
,
i
' , ,
.
:
( ), , , , , ); , , , . , , . ,, , . , , , ,
ihmcckoc
:
.
),
, :., , .,
cpiX),
.,
, ., . -
J. Kuryowicz, "Le problme du classement des cas", Biuletyn Polskiego Towarzystwa Jzykoznawczego, IX (1949). 7 A. W. de Groot, "Classification of Cases and Uses of Cases", For Roman Jakobson (The Hague, 1956).
10.
., , ,:, , , ,? , , , , ,
-
, . ( ) , ,
.
..
-
, ,
,,
161
..
..
3.8).
( (, ).
1.
(.
. . ""
.
..,
2.
, , "" "" . ,
""
..,
(-) .
-
..
""
..
,,
MORI'Hol (,
\I
Ml DUS
".
..
. , .
3.
).
...
., *
i
"
..
poi
.
..
.,
. ,,. . , ( ) ( ),
..
1
2)
. .,
. . . .
.
1)
, :,, , .
4
.,
,
..
..
2)
..
Un-
begaun, "Les substantifs indclinables en russe", Revue des tudes Slaves, XXIII (1947).
.
.
.
163
. .
,,
.
.,
(.),
(.-.)
),
(.-.).
(.-.)
, ,
.
,
(.)
(.-.)
. , (, :
-
.
4.
(.-.).
: ( "" ; , ;: ,
1.1
:
/tav/,
..,
.
.-.
.-.).
.-.
9
, , ,, :,
.-.
., .
(..
.-.
. ,
):
.,
9
-ovo
/tava/,
/inva/.
164
MORPHOLOGICAL STUDIES
#/o
um
)
.(
3.8):
s.ioe;
oj /oj
ovo
im
om u
om
.. (,
.
.
i/a
,,,;
4.5, 6).
165
)
).
2.2
..
{;
.
2.3
3.8).
aj
166
MORlMiOl (H.H
> ""
..
#
JU
SU DUS
mna
(, ),
koi.
(, ):
un
.[i
>ii
..
"" ,
(, ):
10
{)
.,
#/
.
7.
. (.
(
3.3).
.
.
aeoi
,.
navinu
{,
3)
, ; , , ', , , ;
(,
-
167
2)
; ). ,;,;,; .. , , ; , , ; ,.
(,
-
:
/j/
-i
()
).
-
1)
..
-:
;
,,
12
..
.
:
,(, ,). , , ,,
..,
:
,, ,,,
. ..
-:
; .,
,, , ,,,,, ,
.
ju
m'i
, , ,,,
;
, . .
1.
(-#)
..
(.
12
). , ,, , ,
..
(.
).
168
, : ., , . ., . .,,. . . , , , .,
-am
i/-m 'i
. . , ; ,
MORPHOLOGICAL STL DII
s
<
(,
T. -oju/-ju
() )', .
2.
ipex
/j/, /v/,
/m'/
// -
11
//
.. , ,
-OV
/v/
,,
(.
,, ,, , ,,, ,,
/s/
//.
[m'],
[m]
1)
>
. ..,
/m'/
13
, , ,, :, , .
13
>
>
);
2)
//:
. ..
-am'i, -im'i,
/i/
: {,
-).
. )
3.
.. . .. (, ),
.
(.
(.
,; , (, , , , , , , , . . , ), , : (, , ). . . . :
,
-
..
..
-
, , ,
3.8).
(, , , , , ), , (, )
(,
. ..
169
).
-
).
4.
..
,
1*
-ju.
-,
-,
.
-im,
em,
-oj(u)
..
(.
-ej(u)
(.
),
(-am'i, -im'i,
..
(.,
., ., .)
.. . .. -am,
-, -;
..
-om;
P.
-ex,
..
..
.. (. .. (.
-ix:
-iji:-oj,
, ,..
-o v, -ej;
. .. -,
..
.,
:
-ix,
-oj.
..
T. -imi:-im).
..,
-ovo,
. -im:-omu),
.
...
(-ix: -im).
14
.. ...
,. .
.
.,
148-153.
,. ) (
5.
170
MORPHOLOGICAL STUDIES
(-oj,
-ojo,
-aja,
-uju,
-iji),
,
i
i
-jj
:
i
.,
-j-
. -,
-um.
-.
i.
;,,;,,
iam),
i
. {, /.
,
/j/
-una. -ona;
--
).
//
-v-.
: ! (, ,
him.
(-ov, -ovo)
:
(.
/jiv/, /s'in'iva/).
krajf/, /sarjaf
/lva/, /samav/,
(,
,,,, , ), (, , , : , , . , .
-ov
-ej
,.
).
a -v
,;,,.
6.
. ..
//
, , ,!
//
/f/,
/v/
//:
.
.
..
. .
i
, , ; ,,;,; ,
171
.;
4.8),
. ..
(.
,,
. .
.., -ov
. ..
(
(,
;
).
.
-,
.. ..
.
-ej
4.5).
.
..
-i,
. = .,
).
7.
-, ( , ,. ( ). , ; ). ( , , (, , , , ,
-
, .
-i
,
.
.. .
. -
, (, , ), ,
(,
.
-
,
-i,
.. . ..
),
..
..,
..
- .
..
. .. - .
-
..
-
-,
, ).
(
15
-i
).
.,
. ..
.. -ov . ..
..
. ..
..:
-ov
..
..,
15
/i/.
//
. -
172
MORPHOLOGICAL
SIL DIES
..,;
:
8.
,
- lij
). (
. .. #
:
-,
-i, -iji.
.
..
,
(
-i-,
4.9).
..,
(-om; -ovo, -omu,
.
-oj(ii),
--;
..
--.
, ).
;
.
9.
1)
;
2)
,.
-;
.
,
(',
.
.
--
-oj),
..
..
--
..
.. .
. ..
..
..;
.
/j/
..
..
,, ,; ,, );
; );
3)
//
//
/i/
(,
//,
,, ,, , ,; ,,;,,
/j/
:
//
(,
,,
(,
,,;,
, ). ,
/i/
, , , , , ,, . (
//
,,,,;, ;, {, ; , ;
173
..; 16
..),
//
//.
,
/i/,
. ..
//
/strij/,
, ,
/kij/,
/brzaj/).
str-
//
/brzij/,
/i/
/j/
(.
/karatkajij/
. ..,
:
,
:
/straj/,
str-i,
str-im#
star-im'i, str-ij#
str-iji.
(.
2.6).
II
, , ),, "
.
(.
I
. ..
-
""
.
I
..
; , ",
.
II
16
,
16
. (, ,
..
1953).
1. ! , . , . ." ) ().
174
MORPHOLOGICAL SU DUS
chci
!: .
chci
n
.
-
CHerj
HanoMiiiiaei
II
, , []
-
".
17
' " . []
Libeling
l'.
(II.
II
: , , ,
.
II
, . , , , .
.
, . , ]
.
..
.,
.,
I,
:
.,
, ,
I
.
2.
.,
. ..
II
II,
II,
.,
{ ). :
Ebeling,
, . ,
.
I,
17
CL.
"On
the
dam,
1955).
175
-
PI
, , , . , , ,, , , ).
,
.
.,
-
, :
3.
II,
. ., .
.,
,
II
(,
..,
.
..,
-,
-i,
. II .
II
. ..,
8).
. .
II
(.
;,
1.
176
MORPHOLOGICAL STUDIES
6
,
\
, ,
().
, ,
).
.
.,
(
,.
. (.
.
, .,
4.8),
,, . -
.
..
).,
18
: ;( -
, ,
18
.
(. (.
.. ), ..
,
, ;
,
.
177
-j-,
., ..
). ,
,
(.
,. .
,
("marque"
-v-
, "consonne carac-
Meillet), 19
. )
.
-m'-
,
-v-
--,
2.
, .,
commun
, , . ,,
-/m/)
,:
(.
,.
103-114,
1948 .).
19
A. Meillet, Le slave
(Paris, 1923).
,. , ; ,, , (,, : ? , ? , , !
178
MORPHOLOGICAL STUDIES
-bh-,
..
.
.
//,
, ? , . , ,. , , . . , , ,
/i/.
[],
/d'ikar'om/ - /Tkar'am
/b'ir'om/ - /vib'ir'im/
(.
4.9).
(.
4.2)
/og/
/ov/
-v-
3.
,
-m-,
;
.,
-h-
//
(krlovi, krlov).
-m-
, ),
,
I.
..
{,
', . ..
, ,
.
.
SUMMARY:
, ,,
179
(.-.-.
.. ).
..
,
.
{gow, noc, t,
.
z;
is
face
based on a
II.
strictly
synchronic approach.
In analyzing cases or
two
and interconnected questions the morphological invariant, "intension", general meaning of any case within the given declensional
distinct
of the case
The
six
classes each of
which
v.
absence of a
particular semantic
mark:
upon the
non-
of an event,
vs.
non-directional
3)
non-marginal. Nominative
is
opposed to
all
vs.
may be termed
oblique
vs.
direct
We
paradigms
non-feminine paradigms
feminine or
common
180
MORPHOLOGICAL
STUDII
paradigm
at least
is
subject to
syncretism:
D D
merges with
all
or N.
and
If
D
L
never
fall
together,
and
is
oblique cases.
if all
merges with
oblique cases
IV.
used, but
three cases
if all
desinence.
The
the
together.
The declensional suffixes are divided into 1) /ero. and 2) real desmonophonematic and b) polyphonematic containing either two or three phonemes. Any real desinence comprehends at Last one
inences - a)
syllabic;
In a
syllabics;
certain contexts a
its initial
phoneme.
the resulting
wise the
two-phoneme desinence begins with a oonsyllabic; othertwo-phoneme desinences always begin with a syllabic. Of Russian phonemes all the syllabics and only four nonsyllabics
in the
occur
case desinences:
/j/,
/v/,
and merely
exceptionally replaced by
With
either in
relativel)
NSg. or
definite
monophonematic
and the
I
desinences.
Any forms of
the adjectival
declension
desinences.
all real
of
all
declensions
In PI. paradigms
and
in the
The
or
common
paradigms have
/j/
in
The
phoneme
Also
and
/x/
- of L.
common
phonemic indicator
grammatical
class.
in diverse desinences
if
may
is
Thus
The
a-.
all
begin with
The
adjectival
against the
and the L!
in
contradistinction to the
and L 2 ascribe
,
181
may
(N,
I,
L 2 ). The
cube-shaped system.
VI. In the aspect of signatum, morphological categories are defined as
is
their arrangement.
problems
tie
and particularly the indissoluble connection of sound and meaning together phonemics and grammar.
The search
for
common
and
must
upon
I or,
in
some
common
I,
whether
, . , " " , , ; ,
III.
(1936)
1936 .,
) (, .
182
MORPHOLOGICAl sn
dii s
. .
,
. .
>.
-. . . ' ,,
kim, rai
tO
,.t
drei,
i.e.
repaei
, ,,
-
:, -
) -
. , , , " : ,,
,,
"" ",
, , ,,
..
, "-
" . ,
, , . , ; , ,,
183
:
II
, (,
. (, ) . , . , , IV
1962).
. ,
, ;
.,
personnel"
with
its
(/
"Anime
170,
et
inanim, personnel
I,
et
non-
</r /7/;.v//7///
' Linguistique
to sketch a
160,
me
grammatical genders.
wish to dedicate
this stud) to
and in the grammatical cases of the unmarked two genders - the more specified, marked feminine vs. non-feminine.
singular,
male
(cf.
human
razmaznj).
in the accusative
when merging
unmarked masculine.
The
suestv
nasekmoe
'insect',
is
The masculine
it
a twice
unmarked
it
vr
'physician' or
-
vr).
distinction neuter
vs.
Thus the
nine
vs.
non-feminine.
compatible
185
masculine
is
inanimate
is
combinable only
slight hints
of a distinction between
in
human
beings,
and "non-personal";
we
sg. /bajar'in/
The most
is
striking distinction
offered by the numerals from two to ten; beside simple cardinal nu(like tre 'the
five')
which
man
noteworthy that
number and
The
caseless
distinct
forms of the
the
more general formulation such a distinction is comunmarked case or with a caseless form. As in the
is
incompatible with
number
discrimination
in adjectives
is
marked, degree
in verbs.
The interrelationship of the three genders is different here, however. The neuter, which is a specified, marked category in the case-forms, proves to be the least specified - the unmarked gender - among the caseless forms. Here a "subjective" class is opposed as marked to the unmarked
neuter,
relates to a subject,
namely
less specified
neuter
may
substantival
headword
cf.
186
MORPHOLOGICAL SU
Dlls
igl
v
Icu
grein, xoroS
mkraj
in
Such
Cf. the
compactness as
marked opposite in the consonants while unmarked in the vowels, or stridency as marked among the plosives but as unmarked among the
the
continuants.
There
is
an expectable difference
1 )
in the
2)
combined
zero copula).
three
The
the
variance
in
their
structural interpretation.
Written
AI.
in
lui
Graun, XI
some
note
may
and Rumanian display a different distribution of some grammatical categories in the singular and in the plural.
In the singular of Polish masculine nouns two subgenders are distinguished
:
and
abstracts)
is
op-
posed to
all
other nouns
(ywotne rzeczowniki).
brata, kota
'I
In the
first class
the Ace. merges with the Norn, but in the second, with the Gen.
(widz
dom
'I
widz
(osobowe rzeczowniki)
and Nom.
fall
(widz
domy, koty T
widz bratw
'I
see brothers').
Thus Polish possesses two oppositions of masculine nouns: the marked class objects vs. non-objects in singular and the marked class persons vs. non-persons in plural. Nouns like kot 'tom-cat' which designate neither objects nor persons are an unmarked class in both respects. The
Ace. of object-nouns (inanimates) coincides in both numbers with the Norn., and the Ace. of personal nouns with the Gen., whereas in the Ace.
the non-personal non-object (animate) nouns are treated like personal
nouns
in the singular
and
feminine to the non-feminine, while in the plural, they oppose a delimited category of masculine to the non-masculine. The inherent gender of
the
Rumanian noun
finds
its
Besides masculine
and feminine nouns, Rumanian possesses nouns which are neither masculine nor feminine. They cannot be combined with an adjective (or
188
aniele) in
its
MORPHOLOGICAL STUDIES
specifically
the
unmarked
may
be used
the non-
feminine
in the singular
in
the plural.
Hence the
non-
carries
its
own
semantic information:
and only
beings and
is
Any
and
common
in
and
the plural
irregularity
fictitious.
One and
the
same grammatical process underlies the third, neither the Rumanian neuters in the two instances examined
is
an essential
dif-
o['
functions to the
in
con-
common
common
latter
is
animate
class.
more
un
masculine noun
is
applied to a
woman
noun
to a
man, except
more thoroughly
"Neutrul romnesc corespunde foarte bine definitiei termenului latin unul din doi, nici unul, nici altul', asadar, ceeace nu e nici masculin, nici (A. Rosetti, Despre genui neutru $i genui personal in limba romin, "Studii si Lingvistice", VII (1957), p. 407; cf. A. Graur, Les substantifs neutres en
'nici
neutrum;
feminin"
Cercetri
roumain.
Mlanges
2
No
2 (i
(1952), p. 267.
89
Here
forms
and
plural.
ly specified categories is
feminine
is
more
specified plural.
Written in the Center for Advanced Study in the Behavioral Sciences (Stanford,
California), 1959, for the
Mlanges Linguistiques
offerts
Emil Petrovici
Cercetri
de Lingvistic,
III.
questions and
, ,
London,
1961).
.
D.
() ,
.
only
,, , ,. ; . ,,,
(**The
,.
,
mood",
.)
(koi
informational
analysis
of
. Cherry,
Jrgen Jrgensen'a.
'"Imperatives
and Logic"
is
in
the
imperative
"not
commands
Jrgensen
"Zur Unbegrndbarkeit der Forderungsstze", (cp. Theoria, III/ 1937); A. Hofstadterand J. McKinsey, "On the Logic of Imperatives", Philosophy of Science, VI (1939); R. M. Hare, "ImperaDubislav,
:
W.
191
"Be
quiet
is it
true or false?
meaningless question"
..
S.
Leonard, "Interrogatives,
XXVI
" "
(.
?"),
. .
New
York,
1947,
should
You
shall do
it
Shall you?
You should do
it
it
- Should you?
- Have you?
Do
it.
192
MORPHOLOGICAL STUDIES
II
, , ,
,
1)
.
(.
,,
"
, , , .- ,
, ,
cp. 12-13
,
i.e.
ci
145-146).
: -, - .
(
-
. .
-
we
: , , ., , , . . , , : , , , , , .
"
2)
"
***
".
-)
-
(-).
/p'at'sa/
***
/talp'atca/
/kuptea/
/zabsa/
skr'ibiitca/
/zabtea/
/ad'n'sa/
/zar'sa/
/pr'ibl'is'sa/
/upr'am'sa/
/gatfi/
/grap't'i/
. , , , , , ,: , ,
powiedzmy,
, , .
niemy
/m/
nesme, vesme
193
nezme,
powiecmy,
/m/
,
(
vezme,
gromy
2.
//
XIII
XVI
.? ,: , !? , , , .
vezme
III
''.
-,
nacM,
//,
//.
//
2.
-te
194
ZfSlPh, 11/1925,
, , "
.
127-133).
MORPHOLOGICAL STUDIES
,
L.
*krkri'
. , ,
,
(, ).
(/,
, " . , .,
-,
, ,
*-(
(.
mi-,
,
),
,
/j/,
, , , . , , , , , , ,) , (, , . ,) ,
,
cri).
(,
..
Bloomfield'a,
*kny, *rdy
(.
..,
*hlpn\
*bbn.
*nes
>
, , ),
.'.
epme,
, , (,, , , ,, , , , , ). , . . , , . ,, .
, ,
\,
XIV
prosi,
195
: , , , , , ).
(.
pros,
pros).
, .
-i
(.
('-,
Sprache,
-,
.
1913, 9),
npoeimpiMo-npoeimpimb).
,,.
.
; . , . , : , ). , , . (,
1919),
#/V
(#
#/ +
+ V/# =
V=
..
196
-f
-f
MORPHOLOGICAL STUDIES
V V -f
+#
).
), , , , , :, ,
(..
.
..
, .
.
cootbci-
(,
), (,
ni,
, , ).
'
(.
t')
:,
(
t). /t/
,
(
t)
:
KHbMO,
"" ..
,
1960,
. . ,, ,, ,1 .
/t/
337).
..
, ,
, . , .
),
{ici,
()
(.
,
(.
9)
(.
..
, , \ , ).
.
, ,
=
1963
Studia z filologii polskiej
(1943),
(1961).
i
(,
(,
,
1933),
sowiaskiej,
V (1965)
number
of phonemes,
e.g.,
high
numeral
in-
When one
traces the
languages these
facts
with the Saussurian averment that 'm the sound structure of the signans
is
This statement
may
grammatical aspects.
Two
such verbs
perfective
and imperfective.
the
reference to
is
noncommittal
completion or noncompletion.
Corres-
pondingly,
zamorzi means
is
means
process
'to freeze'
is
or
},
we observe
several
differential
characteristics;
J., "Quest for the essence of language". [See below.] For a more detailed analysis of grammatical processes and concepts displayed by the Russian verbs, consult the author's earlier studies: "Zur Struktur des russischen
2
1
R.
Verbums"
[see
above,
p.
ff.];
p.
119
ff.];
and
AND VERBAL
ASPECTS
199
Only
/j/.
in the impf,
stem
is
namely
(2)
v. /i/.
This vowel
is
compact
confined to one vowel - /a/ - in the pf. stem, comprises with two vowels a consonant between them - /iva/ - in the impf. stem.
(3)
The
suffix,
(4)
To
the diffuse prevocalic consonant /z/ at the end of the pf. stem
final
corresponds a
compact
stems
of the
pf.
uslvisja {u+slov'-i
t'-s'a}
slavl'-iva
/vi'/,
end
in a single
and impf, uslvliva sja {u+ consonant /v'/ and a consonant cluster
t'-s'a}
respectively.
(5)
To
the
noncompact
stressed
vowel /o/
The
stem
and
pf.
The same semantic relation between the two aspects is reflected by the phonemic opposition diffuse vs. compact or noncompact vs. compact (items 2, 4, and 5), since "the scale of magand
3).
nitude,
i.e.
the small
vs.
large
symbolism"
is
and compact
vs.
noncompact.
all
verbs both of which are provided with one and the same prefix, differing
and
we
any
prefix.
First
we
i.e.
prfixai stems
and subsequently the pairs of simple stems. The aspectual pairs of complex stems in turn present
If
{-i
different varieties.
suffix, it is
always
and the corresponding pf. stems are devoid of suffix, e.g. uvoz ~ uvzti, prinos ~ pinesu. All other suffixes of impf, full-stems in these
},
{-vj
pf.
},
and
1)
{-ivaj
}.
correspond to
stems
without vocalic
- propad
See R. Jakobson,
. G.
M. Fant, M.
(Cam-
200
MORPHOLOGICAL STUDIES
vlez {-j-} ~ props, vlzt' {-# }; similarly produv ~ prod, sogrev ~ sogr 2) with a one-vowel suffix - usually the diffuse ~ obvinit*, zakup * zakupu*, } or {-i {- }, such as obvinj
proverj
with
~
}
{-
or {-e
},
such as vlet -
vlet, stir
{-j
compact
{-
J-.
the
two-phoneme
in
e.g.
vbeg ~ vbez
is
vbegaju ~
vbeg),
and frequently,
the
moreover, there
porvat*, udrat,
pcrcsl
corres-
ponds
action.
},
To
the
two-phoneme
suffix {-n
or {-nu
of
pf.
}
podpr^m
podprgiva,
{-j
zaerkn ~ zacrkiva
vs.
- or the
two-phoneme
suffix
with a compact //
namekn
namek, pivyknut*
The
{-ivaj
pf.
}
* pivykal'.
{-j
stems
in
or {-aj
suffix
podsliva
priceplj, uglub
vstavlj,
potrfi ~ potraflj,
ugodit
at
vstavit
if
~ ugod
there
is
diffuse consonant of the pf. verb is usually matched by a compact consonant - otvti ~ otve, smut ~ smua, ugostC ~ ugo,
spusti
~ spusk, provod ~
The noncompact
piblit'
pribli.
compact unavzi
nastrivat\
unaviva, zabrsi
~ zabrsyva
with prefixes,
i.e.
is
prefixless, verbs.
Among
prefixless impf,
AND VERBAL
ASPECTS
201
compound
Russian but
still
frequent in
and nonitera-
is repetitive or usual in the past. In view of the wider scope encompassed by an iterative
action, the
same
by the simple
iterative
pf.
and
verbs
respectively. Pairs of verbs used with identical prefixes for the distinction
pf.
prefixes fulfill
one of the
pf.
razre
re; pf. unsti ~ impf, unos - determ. nest ~ indeterm. nos; pf. zagovor ~ impf, zagovriva - noniter. govort ~ iter.
impf,
govriva.
In the aspectual pairs of prefixless verbs, athematic stems in contradistinction to the suffixes
{-i
},
{-i
},
{-aj
verbs - vezt
voz, lz
lzi, polzt
~ plza;
there
is,
however,
one instance of an athematic perfective stem opposed to an imperfective verb with the suffix {-aj } - ps ~ pda - and at least one example
suffix in
opposition to an iterative
s ~ ed.
One-phoneme suffixes of determinate stems form pairs with twophoneme suffixes of indeterminate stems - be ~ bga, let ~ let, kat ~ kat. Any iterative verb has a longer suffix than the corresponding noniterative, and all these aspectual pairs when provided with a common suffix fulfill
cf.
s ~ ed
and
s"
zn ~ znav and uzn ~ uznav; pt ~ pev and otp ~ otpevt; pis ~ psyva and pripis ~ pripsyva; igrt ~ gryva and proigr ~ progryva; kur ~ kriva and zakur ~
As a
and
rule, pairs
s ~
zakuriva.
of simple
pf.
{-j
},
respectively, or
or
Pf.
{-aj
and impf, verbs use the suffixes {-i oppose a stem in {-nu-} or {-nu-} to an } - glotn ~ glot, erpn ~ rpa,
prgnu ~ prga.
stems in {-n
or {-nu
may
correspond
compact
{-
} - krknu
{- } - blesn ~ blest, svsnu ~ svist, koVn ~ kol, and finally a diffuse {- } - skoVz ~ skoVzn, evel ~ even, kut ~ kutn. These are the only
kri,
a nondiffuse {-e } or
202
MORPHOLOGICAL Ml DUS
HUM
It
in
ia
(-nu
such pairs as
(-nu
or {-nu
and
o\
the entirei)
isolated
pair di'mui' - dt', each aspectual pair of verbs without prefix or with an
identical prefix
conforms
Any
(i.e.
imperfective,
indeterminate, or iterative) aspect has a longer stem suffix than the correlative verb of the opposite aspect.
The
v.v.
last
in
relation of diffuse
compact)
to the
corresponding
vowd
Whatever the
design
patent.
historical
background
o\~
the
grammatical processes
Written
in
La
Jolla, Calif.,
Knien
Memorial Volume.
/
XVII
Tnnies Fenne
"
",
",
dt boek.
Anno
.
1
1607 den
1.
septemb.
"
(.
4),
: [
9.
".
1609 den
Iuni
(1).
.
16
188
] -
502
, , , .
. .
4, 13,
, .
Tnnies Feme's Low German Manual of Spoken Russian, Pskov, 1607, published by the Royal Danish Academy of Science and Letters, Vol. I: Facsimile Copy, van Schooneveld (1964); Vol. II: transliteration and prefaced by R. Jakobson and and R. Jakobson (1968). Hammerich translation, ed. by L. L.
204
. " ,
,
),
-.
MORPHOLOGICAL STUDIES
3-
:
206.4,
pogible,
opuchle (142.15).
On
ialles: ialsa
,! . :
..
i
,
t>
Blomiles,
. ,
.
i.
..
-w
16)
~,
-
/".-
-./
3-,
(cip.
43,
lepainni
rosdralee (cip.
, ,(
.
!.
io.ii.Ko
, .
>
2.
3),
(')
ni
-t'
btt
He werdt kamen;
237.7, [alles
ia
knemu
la
schasale
Ich
si
datt
[: ]:
=
He
otmenae
ehm we&en;
209.3,
Du
sebe ffuglu da ne
smle
vorstach sich
in
roslesles
myt dy vordragen
heffst
[]
hebbe
my
Ich sy
my
geteldt; 344.2,
otmenae lisok
my wedder
Ktomu Ktomu
dattu thouehle
[]
= Du
pritzol,
geteldt,
342.3,
342.4,
vporsi
2
[]
.. .
152.
tovaru pritzlos
tzislo
= An
\.\:
thouehle getaldt;
[ynep.iec ]
:
pritzklos);
357.5,
Diko
ty
vperles
(,
[],
1953),
tzto ty otzkles
heffst;
[] =
Ostalesli
'/'
ostatok
205
384.1,
vtebe
Heffstu
vtaegal
eynen auerloep;
[]
486.2,
, ;
otzkles
Ty
godile nasad
sadt eyn oldt wiff undt <...> se rep; 3 486.1, Tzto tebe ffnotz gresiles
= Wadt dromde dy tho nacht (cp. 486.2, Mnie gresiles = My drembte; 194.2, Ttzo tebe ffzu notz gresziles = Watt hefft dy auernacht gedromedtt).
[.
bl sroszolum
sgnila bla
vorvult.
]] ] " " : [ ] , /, / , , , , , ., : .
428.1,
[] = ]
Du
sol
388.3,
obotzkles
vorteldt;
heffst
= Du
my
achter na.
Kolko
potenule
[.
Wat
dat soldt
(!)
stara
baba da
<...> vopele
[.
Dar
430.1,
Kabui tu seldu
poiale
my
ino ta selda ne
384.6,
-,
*,
otvolokl.
:
3
(245.8,
289.2, ne poblugl
294.4, bluil
[],
=
".. ,
4
..
151).
rosvogle
[],
.
]:
*,
ssogl
432.2,
[]),
441.9, la iich
: ; ,
A
134-140.
.
(.
": ,
--
System
. .. (,
1878,
van Schooneveld,
1959),
206
, "' , ,, ""
MORPHOLOGIC AL STUDIES
i
,.
XVI
./"
'
./
./
iaie.ii.
."
le
: /, /, /, /, /, /^ //, /, 1, , /, /.
1
: ) . ., , . ., ,, , ,
HOM
>/</.
,(
,
Ibje
-
-./,
le.
'
(.
/).-
3-
s 6
(,
7
.. . . . . /, .
1915),
101.
..
, , . , , . .,
XV
van Schooneveld
(.,
1909),
87.
IV,
-)
; , . .
.
-,
ecu
11
'/'
10
,, , ; . ,. ,, -,
, .
ecu
3-
..
isz se
207
3-
305.3,
is
Dyne wahre
wahre vormengedt,
schudim smeszon da schitron
vorvelschedt,
320.1,
= Nu
isz se
,, . :, , :
sgudim smeszane
412.1,
Dine wahre
<...>
mit
quader vormengedt.
3.
.
.
. .
ff (45.4,
shutliff; 46.2,
chvatliff
.),
45.14,
toskliue
= bemoyedtt;
46.25,
riffnive
hanrey.
233.3,
290.5,
Ty mnie
vinovate; 346.5,
348.4, la
dei linguisti
11
Cp. R. Jakobson, "Les enclitiques slaves", Atti del III Congresso internazionale 16-22]. 384-390 1935),
12
,. (, . . , . (, .
[.
Ich sy schuldich
..
1955),
199, 202.
226.
MORPHOLOGICAL STUDIES
Tot tzeloviek mnie vinovat; 330.3, Ty mnie ne
da
ia
vinovat, y ty mnie na
promena \inovat
my wedderumb
schuldig.
=
-
[][]
litzne
i
Sunder geldt
is
de koep weete;
,
i
du
bist
nehmande;
308.3,
Tuoi tovar ne
[]
"ne
schone; 367.6,
";
drug velik
Moi
i.e.
Guastlive govorit ne
dike promus/ai.
.e.
'* "; .
s
i
OBOpl
475.2,
Ty guche;
399.5,
ty
Ne
pichaj
".
gost
,
-
, ,
"
bist
" []
.
,
\i.
253.6, Mile ty
mne
= Du
my
eyn leuer
= Du
, **;
east,
i
, ,.
)\
ip>
WI-WI1 .,
, .
346.2,
i
ie,
mnie
.
1966
, .
.,
SIGNE ZRO
En concevant
chroniques
et
la
langue
comme un
du langage. Selon
la
le
Ce sont
non seulement en morphologie, mais encore en syntaxe, non seulement stylistique. Cet examen instructif demande
La dsinence zro dans la dclinaison des langues slaves modernes est un exemple gnralement connu. Ainsi, en russe NSg suprug (poux) s'oppose toutes les autres formes du mme mot (GA suprga, D suprgu,
I
suprgortf
etc.).
peu prs dans tous les paradigmes des substantifs, on rencontre en russe, parmi les formes casuelles, une seule forme dsinence zro par paradigme. L o le gnitif du pluriel et le nominatif du singulier ont eu une forme dsinence zro, le gnitif du pluriel, pour viter l'homonymie, s'est appropri par analogie une dsinence positive -ov (suprugov) ou -ej (konej). La dsinence zro du GP1 n'a survcu que chez les noms qui distinguaient, de telle ou telle autre manire, GP1 du NSg - fut-ce par la dsinence (NSg ena, selo - GPl
1 Cours de linguistique gnrale (1922), p. 124. Cf. dans la doctrine linguistique de F. Fortunatov. 2 Bulletin de la Socit Linguistique de Paris,
la
1,
p.
sqq.
8 4
Vu que les
la
de
faits analyss demandent tre considrs par rapport au systme total langue donne, j'emprunte les exemples de cette tude ma langue maternelle.
212
Un,
le
par
I
la
place de
drivation
NSg bojai
ci pi iirin
GP1
(NSg foku
vole) par
.les
un
suffixe de
bojar)
syntagma (dam
ar.Un
nom
de mesure
de nombre).
I
accompagn dei
dsinence /ero,
les
et
de
mme
le
".legre
/ero" oppose
M.
un phonme
-
dans
rot
NSg
definition de
Bail)
le
signe revtu
les
BOUS. 1
Mais
sign
la
le
plan des
lies.''
Au
singulier,
le
paradigme bog
supruga (pouse).
Tandis que
la
le
cat
notamment
celle
du genre
et
-feminin,
le
second peut
nuise, \luga
au masculin:
le
mme
faon
Aucune desinence des cas obliques du paradigme bog suprug ne peut appartenir aux noms fminins et, en ce qui
que
les
concerne
le
nominatif de ce paradigme,
le
sa
strictement
les
dure, tandis que, chez les thmes termins par une consonne mouille
ou chuintante,
{den jour,
la
mu mari)
au fminin (dan
tribut,
my
souris).
termes,
Le paradigme bog, suprug nonce, avons-nous dit, le non-fminin ou, en d'autres le masculin ou bien le neutre. Ces deux genres ne diffrent qu'au nominatif, et
le
nominatif.
Au
la
nominatif,
la
dsinence -o
ou bien son correspondant atone peut appartenir autant au neutre qu'au masculin (neutre topore manche de la hache, mase. toprie augmentatif
de topr hache).
Ainsi,
le
est d-
pourvu de
5
genre,
Bulletin..., 3; cf.
offerts
M. Antoine
Le problme de
SIGNE ZRO
213
des signes revtus d'une forme dtermine, mais sans aucune valeur
fonctionnelle, bref des formes
forme dsinence
la
dsinence
masculin
et
si le
ou
cette
femme).
Au
con-
du masculin ne
spcifie
pas ncessaire-
ment
le
ou
les
{suprug
l'un des
iz
masa,
ici
sexe fm.)
camarade Nina,
de nouveau,
genres,
le
masculin
Ici,
formes fonction
le
au contraire
le
les
(type suprug)
marquent
C'est justement sur l'"opposition de quelque chose avec rien", c'est-dire sur
la terminologie
de
la
me
j'ai
essay de
dmontrer
ailleurs.
Ainsi,
le
systme nominal
et le
(terme
non
ni
caractris
ni sa la fin
prsence
absolue
ply
doply
aboutir en nageant,
poply
s'tre
mis nager
dbut qui
est prsent
comme
somme
p.
"Zur Struktur des russ. Verbums", Charisieria G. Mathesio quinquagenario (1932), 74 sqq. [above, p. 3ff.]; Beitrag zur allgemeinen Kasuslehre {Travaux du Cercle Ling, de Prague, VI), p. 240 sqq. [above, p. 23ff.].
214
la
ol
IIN(,ilSl|(
comme
unit
pfy
n'en
(
non
ja plavaju, on sUUt
btfi tu
reste assis
4
l,
au
asto plavaju
je
nage souvent
une action
n'ai
mais
eu
je n'en ai
pas
on ne
elle a
lieu
ou jamais
et
(ty plaval.'
Il
as-tu
l'Livat'
est
imperfectif
indtermine.
Mais
indtermins
les
Brenda!
a relev le fait
qu'on tend a
phologique
que, frquemment,
les
De mme,
le
en russe,
le
personnes, conles
personnes;
(nombre grammatical zro) distingue les genres grammaticaux. au contraire du pluriel qui les a compltement abolis. Mais, tout en bornant
le
"cumul des
Balk)
"
le
systme grammatical ne
tal
e datif ainsi
que l'instrumenla
le
s'opposent l'accusatif
au nominatif, en indiquant
position
contenu de l'nonce
et,
sous
point de
les
/.
et
Mais, en
mme
temps,
le
datif ainsi
ils
que
l'accusatif signalent
que
et
se
au nomi-
du point de vue de cette opposition, stmt des cas /ero. De cette faon, le datif cumule deux valeurs grammaticales, dont l'accusatif en possde une et l'instrumental l'autre. Le nominatif fonctionne comme cas zro absolu et distingue, conformment au "principe de compensation"
de Brondal,
le
masculin
aux
La
distinction entre
le
le
le
du rapport entre "l'opposition de quelque plan des signifis, et l'opposition du mme ordre
les trois varits possibles
le
de ce rapport
quand je
suis
10
SIGNE ZRO
sont prsentes.
1
.
215
:
Au cas
3.
N suprug NPI
:
A
A
supruga;
2.
Le rapport
"chiasmes" prcits):
Aucun
N sluga -
Les
signifis
l'autre,
comme
quelque chose
et rien,
aussi dans le
domaine du
mots russes
le
l'autre.
Ainsi,
les
tous
les
fille,
mais
premier
:
la signification "vierge"
on ne pourrait permuter
no ue ne devuka
les
(elle est
De mme,
et miluji
dans
le
mm
rd
(ich
habe gern)
mm
rd qui
est
le
dire
mm
rd unku (j'aime
"synonyme zro", et on peut galement jambon) et mm rd rodie (j'aime les pad'une haute passion
et,
rents),
la signification
dans
la
comme employ au
figur.
Un tel emploi correspond par exemple au cas du fminin appliqu un homme on - nastojaaja mast erica (il est une vritable femme de mtier).
:
C'est
un
rel
un
vritable
homme
fait
de mtier)
quand
mme
ou
sensible, ainsi
que
le
prsent
historique
proprement
dits,
le
des procds
d'hypostase.
lui est
Un
A (masterica);
o
ni la prsence ni l'absence
l
de cet
A (ni A
y a eu
A et non-A ne
tingus (tut bylo sem' masterov, v tom isle dve mastericy sept
hommes de
de dsigner
ici, il
mtier,
le
et l
il
s'agit
non-A
a masterov [non-A]
dve mastericy
[A] -
y a eu cinq
hommes de
le
fait ressortir le
comme un
fait essentiel
de l'agencement de
la langue.
J.
Kurylowicz a
mis en valeur le rle important qu'assume dans la syntaxe l'hypostase (ou "emploi motiv et caractris" des mots) oppose leur fonction-base
11
216
CRUCIAL QUESTIONS OF
1
LINC, MS
IIIIORY
la
ou fonction primaire.
de
l'adjectif."
La fonction
d'pithte est
fonction primaire
le
lointain
ment
sage,
le
bon. l'ternel).
le
type
deus bonus
est,
l:i
tandis que
le
type deus
sa forme pure.
III
Dans
les
langues o
le
type sans
COpuk
est
l'unique possible
les
c'est le cas
du
dans
constructions
comme comme
a
comme
comme
dans toutes
type avec
titre
de variantes stylistiques
celle-ci
le
copule
sans copule,
est
le
manque de
et
la
comme
deus bonus
comme
comme
signal de
la
la
langue expressi\e
presence de
comme
d'expressivit, le signe
parallles et qui
le
sujet parlant.
le
11
cte
du signe zro valeur grammaticale et de Genve place l'ellipse qu'il dfinit comme
d'un lment qui figure ncessairement dans
la situation".
sous-entente,
matre de
"la reprise
le
ou
l'anticipation
Nous sommes
comme
une
contexte ou
situation. 15 Ainsi, la
question
to
dlal djadja
klube? (Qu'a
fait l'oncle
au club?) on peut
rpondre en choisissant l'un des deux modes parallles: avec "reprsentant explicite"
On tam
obedal
(Il
Quand
12
il
XXXVII,
13 14 15
"Drivation lexicale et drivation syntaxique", Bull, de la Soc. de Ling, de Paris. p. 79 sqq. Cf. mon tude prcite {Travaux, VI, p. 252 sq., 274).
4 sqq.
SIGNE ZRO
217
pollentes
le
contenu conceptuel, ces deux formes ne sont jamais vritablement quiet, d'ordinaire, elles forment l'opposition suivante: d'un ct,
type expressif faisant un tout avec la situation donne ou bien voquant
le
langage d'art
et,
de
l'autre, le
type valeur
Il existe,
mais
suivi
du complment direct, ou le terme nominal prcd de l'pithte, du complment nominal, sont des spcimens de l'ordre des
zro. Ljudi umirajut (les
mots valeur
hommes meurent)
la situation,
est
une enun-
ciation intgrale.
Au
comme
appendice au contexte ou
ou comme raction
soleil);
affective.
La langue
explicite des
tourne autour du
par
naisons
comme
vokrug
lki,
vokrug lki
vertjatsja.
vertjatsja deti,
vokrug lki
Par opposition
l'ordre zro deti vertjatsja vokrug lki (les enfants tournent autour de
l'arbre de Nol) ces constructions signalent le point de dpart motiv
par
le
Cependant,
o la fonction syntaxique
une valeur pure-
des mots n'est pas nettement indique par des moyens morphologiques,
l'ordre zro se trouve tre le seul possible et s'approprie
est
par exemple
doc" - la
le
nominatif (ma
ljubit
mre aime
ma la
la fille
aime
la
prijateVnicy - les
fille),
les
amies de
ou quand
le
l'adjectif
prend
la
edij
fou qui est aveugle, sumasedij slepoj - l'aveugle qui est fou)
stylistiques
pour
pronom
le
De
ti jedu.
Cependant,
il
y a l une grande
le
diff-
prsent
du verbe
personnelles au
pronom personnel
et
il
fini
c'est la construction
le
En
tchque, au contraire,
le
V. S. Karcevski, Systme du verbe russe (Prague, 1927), p. 133, et R. Jakobson, "Les enclitiques slaves", Atti del III. Congr. Internaz. dei Linguisti, 1935, p. 388 sqq.
[above, p.
16ff.].
sonne
est
mise en
relief
par
la
est
pronom
fait
en tchque l'im-
du pronom de
ve
comme
une morgue
irritante
IV
phonmes opposent
/.
la
prsence
/,
17
Ainsi
t',
j,
p
de
',
/>'
etc.
par
d, r,
le
manque de
etc.
mouillure,
et
les
mmes phonemes
Ce
se distinguent
tel
par
le
manque de
diverses espces
du signe
sonorit.
qui relie un
manque aux
le
domaine
de
la
grammaire,
Dj
de
positif.
F.
de Saussure a
la
fait
ressortir
le
contradictoires dans
phonologie, en
rappelant,
d'exemple,
des phonmes".
En analysant un phonme comme s dans ses rapports avec les autres phonmes du russe, nous constatons que les qualits positives de ce phonme ne participent aucune opposition contradictoire, c'est--dire
que
la
En dehors de
contraire,
le
phonme
s n'a
Au
phonme
z'
manque
mmes
valeurs
dans
les
phonmes
et la mouillure). C'est
au cumul des
signifis, tel
De mme,
le
"principe
M. Brondal pour
morphologie
et limitant
la structure
des systmes
phonologiques.
Une
17 18
com-
SIGNE ZRO
prend, d'un ct, l'opposition d'une
l'autre,
219
qualit son absence
et,
mme
de
le
opposition de
l'un
manque et en un substrat commun Mais ce substrat commun peut manquer des couples: dans ce cas, un phonme est rduit la qualit en
mouillure et de son
nme
zro). Ainsi,
M. Martinet
insiste
dans
il
consonantisme du danois,
initiale
De mme, en
j au zro
russe, la corrlation
de mouillure oppose
le
phonme
russes, la
la
j,
Dans
les
mots
non pas de
la voyelle e
et spcialement
son absence. Cette absence (opposition zro, confronte avec l'opposition ralise,
Comme
et
N. Durnovo,
comme
l'ont
dmontr N. Trubetzkoy
se neutralise
phonologique qui
De
mme,
le
du problme
les
notions
crit
les
Mlanges de
linguistique offerts
nve, 1939).
19 20
81
La phonologie du mot en
DAS NULLZEICHEN
setzt
den Gedankengang
|
fort,
welcher
in
dem
i
Mlanges de linguistique
Genve, 1939,
S. 143
chose avec
Soweit ein
Vorhandenseil]
erweist sich
immer
deut-
Komplex wird einem gleichartigen Komplex mit einem fehlenden Element (Nullelement) entgegengesetzt. Zwei Phoneme (Komplexe von simultanen phonomatischen Eigenkorrelati\
:
schaften) sind
*xyz*
\'.-.
Phonem
setzt
dem
vom
Nulleigenschaft entgegen.
gestellte orale /a/ (a mit
gegenber-
Nullnseln
matischen Struktur
gesetzt
ist.
vom
deutschen
dem
kein
Nasahokai entgegen-
und zwar
in
nemmangel
einem sonst
manchen phonologischen Systemen auch Phonem fungieren. Der Phogleichartigen Komplex von nacheinanderfolin
in
diesem Falle
als
das Nichtvorhandensein
Phonems
gewertet.
Es
ist
mglichkeit oder bloss eine der Ausdrucksformen der gegebenen Kategorie bildet:
1)
die stndige
DAS NULLZEICHEN
Substantiva neben den brigen Endungen derselben Kategorie (-ov,
221
-ej).
Wechsel im Phonembestande desselben Wurzelmorphems und zwar durch den Gegensatz der Vollstufe und der Nullstufe ausgedrckt werden. Ein russisches Beispiel: Imperfektiv za-zyv-a- usw. Perfektiv za-zv-a= za-tyk-a- za-tk-nu- = za-syp-a- za-s-nu- = vy-nim-a- vy: :
nu-
Eine Opposition zweier grammatischen Wortkategorien kann durch den Gegensatz eines Worts und Nullworts ausgedrckt werden (z.B. das
russische
Kopulaverbum im Prsens
;
ist
in Gegenberstellung mit
dem
in Gegenberstellung mit
dem
Singular
ein Gehalt
an,
wogegen
ist
angibt. Es
dem
Maskulinum im Gegensatz zum Femininum ein Nullgenus usw. Dasselbe gilt fr manche Gegenstze der lexikalen Bedeutungen. Das Gehaltminimum wird oft (allerdings nicht immer) mit der Nullform verknpft, wobei die letztere durch die Nullbedeutung eine innere
Motivierung erhlt. So wird fters der Nullkasus (bzw. das Nullgenus, der Nullnumerus) durch ein Nullmorphem wiedergegeben, die Nullzeit des
Kopulaverbums durch
man-Stzen.
Nomens
den russischen
Auch
dem
Komplexen.
Auch
:
222
expressiv
(stilistische
Nullfunktion)
entgegengesetzt.
orm
Null
Gegenberstellung mit
dem
auftreten.
Daneben wird
in
in
einem gewissen
Phonem aufgehoben
/.B.
am Phonem
in
einem Drei-
/war
in
Aufgehobensein gegenber
im russischen Prteritum im
Aufhebung.
V
Im
PATTERN IN LINGUISTICS
(Contribution to Debates with Anthropologists)
you take the development of linguistics during the last hundred years, see that the basic problem was and is the problem of finding out the pattern of a given language. If you analyze the development of linguistic methodology for finding out the pattern, you come to the - at least for me - very surprising conclusion, that it would be enough to take a book on the history of mathematics - let us say, a book which I can understand, Bell's Development of Mathematics - and then simply read certain passages, replacing the names of mathematicians by those of linguists, and the mathematical terms by more familiar linguistic ones; and what is most surprising is that even the years and decades of the development of certain ideas in both sciences coincide exactly. The problem of
If
you
particu-
phoneme, discovering that to operate establish the invariants; and this problem of invariance, developed in the linguistics of the 1870's and 1880's, became one of the pivotal features of modern linguistics. As we read in the history of mathematics, the full import of invariance was
arrived at the concept of the
scientifically
with variations,
we must
perceived only after the discovery of the principle of relativity, after 1916,
with the book of Einstein on the general theory of relativity. The same
may be
said about linguistics, where precisely in 1916 the posthumous Cours de linguistique gnrale by Ferdinand de Saussure appeared, de-
from the 1920's on, in linguistics witnessed an intensive development of the whole technique of working with many-leveled systems of invariants and covariants, and the objective methods for detecting such systems have been elaborated both on the phonemic and on the grammatical
If
level.
topology
is
224
exactly what
we
spoke
the
in prose, yet
we were making topology, like Jourdain, who was completely ignorant that it was called prose. Both
stylistic variants,
problem of the relation between the phoneme and the contextual or which has preoccupied linguists for a few decades and
called 'componential analysis' in
now
investigation,
linguistics,
what
find a
salient
correspondence
in
physics.
When
phonemes are analyzed into elementary quanta termed 'differential elements' by Saussure and 'distinctive features' by Sapir and Bloomlield, the
science of language discovers
positions and sequences.
its
The
discreteness
There
is
is
in line to receive
from mathe-
E. Sapir
and
'speech'
less
America,
now
receive
much
simpler,
logically
ambiguous, and operationally more productive formulation, when matched with the corresponding concepts of communication theory,
unknown
language,
who
purpose a
cryptanalytic technique.
The
attitude
of the communication
a speech comcommunity and
a decoder,
member of
in
is
and
confused.
cryptanalyst
dropper.
to
The decoder
D. M.
is
message
in
terms of a code
common
tions, as
MacKay
puts
linguist assimilating
an unknown
language
to be clearly distinguished
field
reconnoitering
worker.
PATTERNS IN LINGUISTICS
225
Modern mathematics
not things that matter but the also, as Schrdinger professes, the
is
fundamental concept
problem which
interests. The underphonemic patterning, the dichotomous scale, is again the most convenient one for the operations of the communication engineers, because the dichotomous scale is a series of 'Yes' or 'No'
And
at the
same time
it is
the real
who
make
a binary choice.
we
find
such names as
these names,
is it
When you
set
first
hear one of
:
let
us say, Pitter,
of binary decisions
On
we
dichotomies, and
variations.
identified
same problem of finding the invariants in Neither the phonemic nor the grammatical entities can be
face the
we
We
is
cannot decide,
identical if
we do not
know
one invariant
It is true that some books on the meaning of meaning have taught that such a semantic invariant is a myth, and that there is nothing but contextual meaning. Those statements are adequate but only for one special case of linguistic reality, a certain type of aphasia:
the patient
in his
is
new
new
contexts
when we hear
them; and
to us
The scope of
all
language
is
also a language
and not
it
One can,
morphemes or
sentences,
level
226
enough
and
will
tWO
classes
of
phonemes
and consonants
of
Ulli-
be differentiated.
Particularly
Versals arc
that
the presence
element
presence
(<>r.
of an element
We
do
not
know,
instance,
languages with
affri-
at
vvc
do not know
all
may
exist.
know
whether
may
legs, this
least carries
we
find a lanj
with
because
in Brazil
you can
we
a greater
still
number of
number of languages
There
are.
registered by the
linguists of the
world
is
large enough.
moreover, nearly
I
know of no
|
1
syllables
(2)
any
a study of Ian
If.
is.
children's language.
in
in
the
the
same
earlier than A.
know
a case
where a
with chocolate in order to change the usual order of phonemic acquisitions discussed in
my monograph, and
Had
the child
succumbed
would have
to be recognized
In aphasia, the
phonemic
losses
later
cannot disappear
than A.
Tf
we can formulate
a series of such
phonemic (and,
let
us add, gram-
we may subsequently
arrive at a typology
of phonemic (and grammatical) patterns, a typology fraught with consequences particularly interesting for historical linguistics.
linguistic evolution.
The development
PATTERNS IN LINGUISTICS
227
:
may proceed
it
cannot lead to
The
Nor
is
this
this country:
quantum mechanics formulated by L. Tisza, its eminent representative in "Quantum mechanics is morphically deterministic, whereas
statistical laws."
governed by
well as
in
it
loses
temporal determinism."
Here we
in the evolution
must help us to overcome the methodological heritage of the neogrammarian doctrine, the tradition of the late nineof linguistic patterns.
teenth century in historical linguistics, even though
tradition a high
we
number of
technical devices.
Its bias
permitted only a
phenomena,
structure
phonemic or grammatical
was overlooked.
In analyzing a change of A into B,
we must
of what the whole pattern was before the change and what
after the
has become
change; and here, again, we must see what was the sense of the
change,
its role for the whole pattern. Then we come to very new results, and many events which were considered completely separate appear to be
in
much
simpler terms.
descriptive
and
historical linguistics so
vehemently
new methodology
for synchronic
grammarian
two
dichotomies: (1)
(2) static
- dynamic.
resort to a simple comyou are watching a movie and I ask you, "What do you see at this moment?" you do not see static situations. You see gangsters at work and horses running and various other motions. Only in front of the box office do you see merely statics pasted on the billboards. Neither is
synchronic system
never
static.
Let
me
parison. If
synchrony confined to
statics,
nor
statics to
synchrony.
We
can take a
228
static
CRUCIAL QUESTIONS OF
approach
to histors
LIN(,
IS
liliom
and ask
in
0
I
On
room
is
tor a
dynamic approach
the speech
synchronic
linguistics.
change
all
Saun
Time, so
that
on Ma)
members of
community would DO
elements
stylistic
may
use
them accordingly
wear the
tie
you
will not
yOU wear on
to the
luis,
same synchronic
he lime factor
upon entering
I
assumes
symbolic value.
in
terms ^ a synchronic
static constituents.
Siatcmcnt
made
at
the
international
Symposium on Anthropologs
bitlvopolog)
I
,N^" v>
York,
m 1
\ppruiuil of
hicago, 1933).
last
is
an extremely
psychologists,
psychiatrists,
The
first
may be
this
approach
is
particularly
may be
illustrated
intonations
which, other things being equal, serve to distinguish words; this distincIn tive function limits the use of intonation for expressive purposes. standard German, intonation does not differentiate words but
is
often
used to signal the emotional attitude of the speaker. A Norwegian woman, whom Monrad-Krohn 2 examined, had been struck by a bombfragment
and had
two word-differentiating intonwas ations of her mother tongue. Consequently her use of intonation mistaken was she result a as and variation, fully released for expressive met by her countrymen for a Norwegian-speaking German and often
lost her ability to distinguish the
their animosity in
Nazi-occupied Oslo.
aphasia is In the next illustration the loss of a distinctive feature in compensated for by an additional expressive feature. In Czech the opposition of long
and short vowels is capable of distinguishing word is a long /a:/ meanings. Thus, draha means "road" when the first vowel /dra:ha/;but if the distribution of long and and the second a short /a/
Jackson, H.,
"On
Affections of Speech
From
Braw,
70,
1947.
230
shon
the
inverted,
then the
the
word
draba:
is
adjective
is
"dear**;
corresponding
in
neuter
form
in
colloquial
Czech
/drahi:/.
Hence
the prolongation of a
the length
of
role.
long
and
short VOWels.
dra:ha
"road", answered
"(that)
winch
is
dear".
female patient
sem naxena when asked why she said na cena instead i' .laena the correct Czech replied that when she felt most excited, then she was [na:ena]. Hence what appears to be a pathological
of the Prague psychiatrist, Antonin lle\eroch. exclaimed
"I'm
excited",
and
phenomenon
in, in
Czech corresponds to the normal pattern in Russian. Czech, the main stress, falling on the initial syllable, signals
in
1
it
is
contigurational feature.
here
is,
moreover,
pressive function.
the penult.
In
In
on the
> 1
is
on
was accompanied by
a shift o\ the
from the
rise to
first
gave
on
the patient.
What
actually
happened was
the
stress
and assumed
contigurational
function,
stress,
and
more prominent
as
it
contrasts with
both the following and the preceding syllables of the same word and
provides a peak with two slopes.
is
from the
initial syllable
and
in those peripheral
dialects
which, like Polish, lost the free quantity. So the ontogeny of this pathological case
principles.
The
losses
and compensations
in
inin
Jakobson, R.,
Pick, A.,
O eskom
sti.xe
(Berlin-Moscow, 1923).
als Begleiterscheinung
apha-
ges. Neurol,
23
language; and aphasia provides a vital topic indeed for a conference on Expressive Language.
Research in the
field
of speech pathology
after
is
World War
synthesizing
Andr Ombredane's aphasie et V laboration de la pense and the Russian book Travmatieskaja afazija, written by the psychologist and psychiatrist A. R. Luria and based on an amazing number of cases from the last war. 7 All three outstanding experts assign high
linguistic
importance to the
their
linguists
and
in the revision of
previous theories.
The
classification
clinical case
and
them-
patients in order to
directly
and not only through prepared records which are quite differently conAlthough Goldstein, Luria, Ombredane, and
studied
and
complex and
technical
which cannot be
satisfactorily
all
the
means and methods of the modern science of language. There is one level of aphasie phenomena where amazing agreement
linguists
has been achieved during the last twenty years between those psychiatrists
and
who have
am
referring to the
sound pattern.
This dissolution
shows the
child's development in reverse. Furthermore, comparison of child language and aphasia enables us to establish several "laws of implication".
5
New
York, 1948.
1947.
6
7
Paris, 1951.
Moscow,
232
Thus,
certain
if
we observe phenomenon
that
in
phenomenon
A,
we
in
the
same direction
as in the case
ofa
if,
presence of
.
in
subsequently,
we examine
>1
of these elements
ol'
the
phenomenon
phenomenon
implies
lie
search for this order of acquisitions and losses and for the general
Only
few
pieliminars
i<'
made
in
this direction,
and these
efforts deserve
Toda>. however.
which,
I
think,
is
of verbal struc-
and verbal
art.
symposium;
concepts involved
this
the inter-
Our chairman
I
has
concept one
o\
his
refer to
metaphor and metonymy, present the most condensed expression of two basic modes of relation: the internal relation
tropes,
of similarity (and contrast) underlies the metaphor; the external relation of contiguity (and remoteness) determines the metonymy.
Language in its various aspects deals with both modes of relation. Whether messages are exchanged or communication proceeds unilaterally from the addresser to the addressee, there must be some kind of contiguity
between the participants of any speech event to assure the transmission of the message. The separation in space, and often in time, between two
individuals, the addresser
relation
:
is
bridged by an internal
by the addresser and those known and interpreted by the addressee. Without such an equivalence the message is fruitless - even when it
reaches the receiver,
If
8
I
it
know
See Selected Writings, I, p. 328 ff. Werner, H., "Die Ursprnge der Metapher", 1919.
233
know and understand the English grammatical form (for instance did'm contradistinction
rules of their
to does)
in
you must have a common code with the addresser, so that when listening to his message you can identify
contradistinction to did he).
Briefly,
its
We may,
then, define
However,
message.
it
is
not enough to
I
When
to grasp the
the words he
word
and you
man who
is
learn
is which he performed, you need to know the context, verbalized or non-verbalized, but verbalizable. Here we again enter the field of contiguity. The components \
who
this
person
of any message are necessarily linked with the code by an internal relation
In the gram-
morpheme denotes
The word
is
a superlative grading.
is
Grading
in respect to
morpheme
/bigist/ the
in its turn
is
the context
grammatical meaning of
/big-/
;
to the lexical
suffix /-ist/,
When
sentence, utterance
linguists are
tempted to see
this
arrangement as a
is
merely quantitative
qualitatively,
scale,
also
structurally
peculiarity,
but
Edward
Sapir,
10
on the pivotal position of the word as among other linguistic entities, and
Sapir, E.,
Zipf,
Language (New York, 1921). G. K., Human Behavior and the Principle of Least
1949).
234
IHIORY
Among
is
the highest.
We
new words
by either trans-
words or by an
explicit context.
The
and to
whom
and
whom
as
know
is
free to
likely
the verb designating the action, so that instead of the more communication about John loving Mary, a rather unusual but perfectly clear and correct sentence, "chanterelles love sour cream", may
into a sentence
is still
we
are
in
no longer
restricted by
compulsory
combine sentences
not
Thus every
level
between code and context, and these differences are of great consequence
for the various
problems of
linguistic structure
is first
study of aphasia.
Since aphasia
made without
language
is
examination of what
in the patient's
how does he
tic
How
The
the
whole
the
reliably inferred.
is
most
affected. Is
is
on the one hand, and the receptive (or sensory) aphasia on the other. Second, of the two modes of relation, similarity and contiguity, the aphasie suffers impairment or at least greatest deterioration of only one
mode
and
on and complete
a context.
They have a
.,
perfect sense of
what
in the
theory of communi-
12
Mandelbrot,
et
communication", Word,
10, 1954.
235
whole
attention
skill in
presented to him.
by the context,
The easier it is for such a patient to find words suggested the more difficulties he has with wordfinding in the proper
is,
difficulties
with spontaneous
words
starting a sentence,
and even
and
especially
insist
One must
between the "summoning up of words" in fluent speech, and autonomous "searching for words" which do not depend on context.
Aphasies with impaired internal relation (similarity disorder) have
difficulty in
able to combine two units with each other within a message, but not to
substitute
their
mutual resemblance
They have lost the power to make an equation between corresponding words of two different codes (heteronyms), or semantically similar words of the same code (synonyms), or between a word and a more explicit phrase (circumlocution). From early childhood, any normal user of language is able to talk about language itself. For example, a speaker mentions champagne, but has some doubt whether the listeners really caught the word. He
(or contrast).
may
mean
fizz" (colloquial
synonym), or
"You know,
champagne" (pleonasm). All these sentences refer to the verbal code. Actually they say: "champagne and fizz are substitutable for each other as they carry the same meaning in the code we use: in this code champagne is the name of a French sparkling white wine the word I used is champagne". Here one verbal code acts at the same time both
or simply, "I said
:
as topic of
deficient in aphasies
expresis lost
Any
or interlingual,
by these
patients,
they had
becomes
i.e.,
a picture or
236
is
is
for
him an impossible
two varieties of figurai speech - metaphor, based on similarity, and metonymy, founded on contiguity -only the latter is used and grasped
the
Of
by him.
He
will
to the
immediate or further
effect (tipsiness or
hangover), from the thing contained to the container {bottle), from the
goal to an auxiliary tool {corkscrew), and from the whole to a part
It
is
(
/).
down of
similarity relations
two
different
is
Perhaps
this notion
too
vague to be used
connection
ulary,
it
in the analysis
and
classification of aphasia.
in
In this
our vocab-
prepositions,
pronouns, and
in the
is
because their
primary function
is
The other cardinal type of aphasia is the reverse of the syndrome disThe patient cannot operate with contiguity, but operations based on similarity remain intact. Thus he loses the ability to propositionize. The context disintegrates. First the relational words are omitted, giving
cussed.
rise to the so-called
The more
it
word
is
syntactically
its
subject
terminology 13 -
is
the
to
fall
is
most tenacious
freedoms of the speaker - free selection ot words and their free combination into larger contexts - the former is limited in cases
relative
Of the two
which the sentence and the entire utterance tend to be reduced to a oneword sentence and to a one-sentence utterance.
13
(New York,
1933).
237
which
of con-
On
word
ceases to serve
uble into
its
and on the other, it becomes indissolgrammatical components. Thus a patient of this type may
apprehend and employ the compound staircase without being capable of recognizing or repeating its components stair and case used alone. The
same indissolubility of words promotes the decay of inflectional variation - conjugation and declension. This deficit, along with the loss of relational
words and
syntactical pattern,
is
a typical
symptom of
is
the so-called
"agrammatism".
As long
teleuton)
is
still
capable of dis-
more palpable for him than the sameness of the root combined
(e.g.,
with different suffixes, derivational (paregmenon) or inflectional (polyptoton), because homeoteleuton associates words by similarity
jeweler, hatter, tinner, worker), while
paregmenon (e.g., jewel, jeweler, jewelry) and polyptoton (who, whose, whom) associate them by contiguity. For the same reason aphasies of this type use metaphors or, properly,
infantile
maximum and
at the
unit,
and
in
minimum
is
distinctive unit.
In our Preliminaries to
gip, gib
and
gid.
none of the features them contradict the English code; consequently these samples may be English words, and if they are words, then most probably each of them has a different meaning, as the phonemic distinctions between them indicate. But those aphasies for whom the word is the ultimate unit are unable to grasp, discern, or repeat the
and feature combinations contained
in
phonemes and phonemic groups. Thus they can utter big, give, dig, etc., but cannot say gib. Most often, however, the conflict between the two ranks of the linguistic scale - the distinctive and the significative units - is settled by cutting down the inventory of phonemes and phonemic
clusters.
The
last residues
This type of aphasia, contiguity disorder, presents the most regular and
238
llllORY
particularly,
demands
the
systematic
comparison
vsuli
children*!
linguistic
development.
two types of verbal behavior the metonymical, concerned with external relations and the metaphorical, involving intern.:!
relations
-
The opposition of
Similarity disorder
these two
is
st\le,
an\ trend
Presented
1953,
at
the Clark
in
Universit)
and published
(lark
Inncrutv
I.
If
aphasia
is
then any
Hughlings Jackson, 1 cannot be solved without the participation of professional linguists familiar with the patterning and functioning of language.
To
we must first
of communi-
mode
2
language in the
nascent
and language
in dissolution.
3
;
some of these questions have been touched upon in the best recent treatises on aphasia. 4 Yet, h most cases, this valid insistence on the linguist's contribution to the investigation of aphasia is still ignored. For instance, a new book, dealing to a great extent with the complex and intricate
problems of
plines
infantile aphasia, calls for a coordination of various disci-
pediatricians,
is
audiologists, psychiatrists,
1 Hughlings Jackson, Papers on affections of speech (reprinted and commented by H. Head), Brain, XXXVIH (1915). 2 E. Sapir, Language (New York, 1921), Chapter VII: "Language as a historical
product; drift."
3
on aphasia
in the
Phonetische Wetenschappen, with papers by the linguist J. van Ginneken and by two psychiatrists, F. Grewel and V. W. D. Schenk, Psychiatrische en Neurologische Bladen, XLV (1941), p. 1035ff.; cf. furthermore, F. Grewel, "Aphasie en linguistiek", Nederlandsch Tijdschrift voor Geneeskunde,
4
XCIII
(1949), p. 726ff.
A. R. Luria, Travmatieskaja afazija (Moscow, 1947); Kurt Goldstein, Language and Language Disturbances (New York, 1948); Andr Ombredane, L'aphasie et l'laboration de la pense explicite (Paris, 1951).
240
passed over
in
CRUCIAl QUESTIONS 01
im
is
im
silence, as if disorders in
"
This omission
the
more deplorable
Werner
F.
linguists
\mencan
inquiry
into
aphasia.
Nothing comparable
o\'
to
the
minute
linguistic
observations of infants
respect to aphasies.
\or has
and
systematize from the point of view of linguistics the multifarious clinical data on diverse types of aphasia. That this should be true
surprising
in vie\*
is all
the more-
and methods
o\'
aphasie disintegration of the verbal pattern ma> provide the linguist with
language. new insights into the general laws The application o\' purely linguistic criteria to
i>\'
the interpretation
and
first
of
all,
they should
be familiar with the technical terms and devices of the medical disciplines
dealing with aphasia; then, they must submit the clinical case reports to
thorough
and elaborated.
of aphasie phenomena where amazing agreement
last
There
is
one
level
and
linguists
who have
6 6
in
Children
(New York,
1954).
The aphasie impoverishment of the sound pattern has been observed and discussed by the linguist Marguerite Durand together with the psychopathologists Th. Alajouanine and A. Ombredane (in their joint work Le syndrome de dsintgration phontique dans l'aphasie, Paris, 1939) and by R. Jakobson (the first draft, presented to the
International Congress of Linguists at Brussels in 1939 - see N. Trubetzkoy, Principes de phonologie, Paris, 1949, pp. 317-79 was later developed into an outline, "Kindersprache, Aphasie und allgemeine Lautgesetze", Uppsala Universitets rsskrift, 1942:9; both papers are reprinted in Selected Writings, I, The Hague, 1962, 328-401).
TWO
reverse. Furthermore,
ASPECTS OF LANGUAGE
:
241
sounds it shows the child's development in comparison of child language and aphasia enables us
laws of implication. The search for this order of acquisitions and losses and for the general laws of implication cannot be confined to the phonemic pattern but must be extended also to the
to establish several
and these
efforts deserve to
be continued. 7
.
bination
and
their
com-
speaker selects
bines them into sentences according to the syntactic system of the language
he
is
combined
into utterances.
the speaker
by no means a completely
words
from the lexical storehouse which he and his addressee possess in common. The communication engineer most properly approaches the essence
of the speech event
when he assumes
information the speaker and the listener have at their disposal more or
less the
same
"filing cabinet
ser of a verbal
message
is
selects
possibilities"
demands
the use of a
common code
by
its
participants.
'I
made by
common
and
Alice,
i.e.
in
spoken English, the difference between a stop and a may change the meaning of the
7 joint inquiry into certain grammatical disturbances was undertaken at the Bonn University Clinic by a linguist, G. Kandier, and two physicians, F. Panse and A. Leischner: see their report, Klinische und sprachwissenschaftliche Untersuchungen zum
Agrammatisms (Stuttgart, 1952). 8 D. M. MacKay, "In search of basic symbols", Eighth Conference (New York, 1952), p. 183.
9
in
242
message.
(Ki
Alice
(IM QUESTIONS
Ol
LINGUIST!
had used the distinctive feature stop v.v. continuant, and choosing the former of the two opposites; and in
speech she combined this solution with certain other
using
the gravity
^\'
t
the
same
act
'l'
simultaneous
features,
and
these
attributes
by the
phonemes
distinctive
and
duced
entities
in
features.
simultaneous
and the concatenation of successive entities are the two ways which we speakers combine linguistic constituents.
p
or
such sequences
^i
bundles as
Neither can
p
iv.
phoneme
out of context.
combinations of these
.
phonemes such
^\'
as
p/,
b
I
etc
is
limited
by the code
preceding
possible combinations
the
phonemes;
and
part
of
the
permissible
i>\
phonemepossible,
given language.
o\'
phonemes
are theoretically
When
In order
word nylon one must know the meaning assigned to this vocable in the lexical code of modern English. In any language there exist also coded word-groups called phrase-
the idiom
its
whole
this
is
not
sum of
its
parts.
Word-groups which
in
respect
behave
case.
like single
words are a
common
In order to
comprehend
groups,
we need be
new
contexts.
Of course,
freedom
is
upon our choice of combinations is compose quite new contexts is undeniof their occurrence.
low
statistical probability
Thus,
in the
combination of
an ascending scale
of freedom.
TWO
ASPECTS OF LANGUAGE
is
243
zero
may
Freedom
to
combine phonemes into words is circumscribed; it is limited word coinage. In forming sentences with
is less
the combination of sentences into utterances, the action of compulsory syntactical rules
finally, in
constrained.
And
to create novel
Any linguistic sign involves two modes of arrangement. 1) Combination. Any sign is made up of constituent
occurs only in combination with other signs.
linguistic unit at
signs and/or
one and the same time serves as a context for simpler its own context in a more complex linguistic unit. Hence any actual grouping of linguistic units binds them into a superior
units and/or finds
unit
2)
Selection.
A selection
it
possibility
of substituting one for the other, equivalent to the former in one respect
and
different
from
in another.
The fundamental
was
clearly realized
role
by Ferdinand de Saussure. Yet of the two varieties of combination concurrence and concatenation - it was only the latter,
the temporal sequence, which
linguist.
Despite his
own
phoneme
cumbed
de-
and
selection, F.
former
members
That
is
pondingly, substitution) deals with entities conjoined in the code but not
in the given message, whereas, in the case of combination, the entities
are conjoined in both, or only in the actual message. perceives that the given utterance (message)
stituent parts
is
The addressee
(sentences,
words, phonemes,
etc.)
2nd d.
(Paris,
and
70f.
244
a context are Io
.1
lAl
'.
ESTIONS Ol
MGI
in a
itate of
contiguity, while
synonyme and the common core of antonyms, [bse two operations provide each linguistic sign with two
to
Utilize the effective
sets
ol
interprtants,
one
Sanders Pece: 11 there arc two references u Inch serve to interpret the
sign
tree,
to the code,
to the context,
is
whether coded or
and
in
guistic signs,
through an alternation
in
and through
an
alignment
is
the latter.
mav be replaced
its
general
its
meaning
revealed, while
its
contextual meaning
is
determined bv
anguage
its
er
messages
exchanged
to the
space,
and often
is
in
time, between
two
bridged b) an internal
musi be
a certain
is
fruitless:
even when
is
does not
affect
him.
III.
SIMILAR] Y DISORD1
1
It
is
max
affect in
and
chiefly impaired
in
perhaps even
more
messages,
11
and IV (Cambridge.
\1
\ 1934) - see
Index of subjects.
TWO
Head attempted
salient defect in
ASPECTS OF LANGUAGE
245
and
name chosen
we
phrases"
(p. 412).
Following
this device,
distinguish
selection
and substitution, with relative stability of combination and contexture; or conversely, in combination and contexture, with relative retention of
substitution.
first
is
the
When
merely
difficulties in starting
a dialogue he
is
when he
is,
particularly
The more
He
unable to utter a
sentence which responds neither to the cue of his interlocutor nor to the
actual situation.
utterer sees that
The sentence
it is
"it
actually raining.
The deeper
the utterance
is
em-
bedded
of
its
successful performance
by
this class
of patients.
Likewise, the more a word is dependent on the other words of the same sentence and the more it refers to the syntactical context, the less it is
affected
whereas the main subordinating agent of the sentence, namely the subject,
tends to be omitted. As long as beginning
it is
is
the patient's
main
difficulty,
obvious that he
elliptical sequels to
sentences uttered, if not imagined, by the aphasie himself, or received by him from the other partner in the colloquy, actual if not imaginary.
A specific
12
13
14
H. Head, Aphasia and Kindred Disorders of Speech, I (New York, 1926). Cf. L. Bloomfield, Language (New York, 1933), Chapter XV Substitution. S. Freud, On Aphasia (London, 1953), p. 22.
:
246
dialectal
(p.
German sample
all
in-
which were identifiable from the context or situation and therefore appeared siiperlluous to the
patient.
Words
by Goldstein
"Ich bin devh hier unten, na wenn ich gewesen bin ich wees nicht, we das, nu wenn ich. oh Jas nun doch, noch, ja. Was Sie her, wenn ich, och ich wecss nicht,
we das
hier
war ja..."
the framework, the connecting links of
this
Thus
onl)
communication,
is
spared bv
type of aphasia
In the theory
of lai
Middle tges,
or.
it
has repeatedl)
The validit)
.
statement
is,
more
cxactlv
to
one
type of aphasia.
word means
ent
numerous
tests
in
have
dis-
two occurrences
^\ the
same word
two
differ-
contexts are
mere homonvnis.
amount of information than homonvnis, some aphasies of this type tend to supplant the contextual variants )\ one word by different terms, each of them specific for the given environment. Thus Goldstein's patient never uttered the word knife alone, but. according to its use and
higher
from
a free
alone, into a
bound
form.
hall,
bachelors."
more
When
reply
"a bachelor
is
a bache-
lor"
substitution set
TWO
lated parts of the sentence
ASPECTS OF LANGUAGE
247
tied
by contiguity. The
patient
was able
when
it
was sup-
ported by the context of a customary conversation about "bachelor apartments", but was incapable of utilizing the substitution set bachelor
= unmarried man as the topic of a sentence, because the ability for autonomous
sentence vainly
and substitution had been affected. The equational demanded from the patient carries as its sole information "bachelor means an unmarried man" or "an unmarried man is called
selection
:
a bachelor".
The same
difficulty arises
when
the patient
is
[called]
elliptical
note about
its
use:
"To write". If one of the synonymic signs is present (as for instance the word bachelor or the pointing to the pencil) then the other sign (such as the phrase unmarried man or the word pencil) becomes redundant and
consequently superfluous.
mentary distribution
will
will
avoid
be his
its
if one is performed by the examiner, the patient synonym: "I understand everything" or "Ich weiss es schon" typical reaction. Likewise, the picture of an object will cause
:
suppression of
its
name
a verbal sign
is
When
the picture of a
:
he responded
"Yes,
it's
compass was presented to a patient of Lotmar's, a ... I know what it belongs to, but I cannot
. . .
Yes
direction
...
to
show
direction
. .
Such patients
fail
to shift, as Peirce
from an index or icon to a corresponding verbal symbol. 16 Even simple repetition of a word uttered by the examiner seems to the patient unnecessarily redundant, and despite instructions received he is
would
say,
unable to repeat
it.
"No,
don't
know how
do
it."
I
in the context
While spontaneously using the word ."), he could not produce the don't
. .
= a: no
is
no.
emphasis on the distinction between object language and metalanguage. As Carnap states, "in order to speak about any
15
F. Lotmar,
bei Aphasischen",
XXXV (1933), p.
104.
S.
Peirce,
"The
icon, index
(Cambridge,
Mass., 1932).
248
object language,
ki
<
i\i
Ql
ESTIONS "i
in.
ISTH
of language the
On these iwo different levels we need metalan same linguistic Stock ma) be used; thus we ma\ speak in
'
English (as metalanguage) about English (as object language) and inter-
words and sentences h> means of English eynonyms, circumlocutions and paraphrases. Obviousl) such operations, labeled metapret English
far
From
DTOVe to
lx'
customary
see what
linguistic activities.
The participants
*'l)>
Do you
in
hen, b)
make
m.
ible
to the decoder.
The interpretation of one linguistic sign through other, in some respect homogeneous, signs of the same language, IS a metalinguistic operation
which also plays an
occupies
essential role
children's
!.
learning.
Recent
language
its
is
normal functioning.
propciK
a loss
he aphasie defect
VS a
in
the "capacit> iA
tM tact, the
naming"
examples
of metalanguage
in
matter
^\
referring
the
that
English
language.
Their
the
we
use. the
name of
indicated object
code we
use. the
word "hache!
or
in
and the circumlocution unmarried man- are eqim aient." Such an aphasie can neither switch from a word to its synonyms
circumlocutions, nor to
its
heteron\ms.
is
i.e.
equivalent expressions
other languages.
v.
Meaning and Necessity (Chicago, 1947), p. 4. 18 See the remarkable studies of A. Gvozdev: "Nabljudenija nad jazykom malen'kix detej", Russkij jazyk v sovt skoj kole (1929); Usvoenie rebenkom zvukovoj storony russkogo jazyka (Moscow, 1948); and Formirovanie u rebenka grammatiicskogo stroj russkogo jazyka (Moscow, 1949).
R. Carnap,
TWO
ASPECTS OF LANGUAGE
249
Everyone, when speaking to another person, tries, deliberately or involuntarily, to hit upon a common vocabulary either to please or simply to be understood or, finally, to bring him out, he uses the terms of his addressee. There is no such thing as private property in language everything is socialized. Verbal exchange,
: :
like
any form of intercourse, requires at least two communicators, and proves to be a somewhat perverse fiction. 19
for
idiolect
a message addressed to
As long as he does not regard another's speech as him in his own verbal pattern, he feels, as a patient
it
:
... I
It
itself."
20
He
an unknown language.
As noted above,
it is
Hence, for an aphasie with impaired subcould be predicted that under these con-
and
such an expectation
when asked
in
to
list
same order
classified
which she
in the
zoo
home
things, office
does
The same
was
willing to
name
yellow, green,
and blue - but declined to extend these names to the transiwords had no capacity to assume
meanings associated by
similarity with their
additional, shifted
primary
meaning.
agree with Goldstein's observation that patients of this type "grasped the words in their literal meaning but could not be brought to
One must
(p. 270).
It
Publications in Anthropology
"Results of the Conference of Anthropologists and Linguists", Indiana University and Linguistics, VIII (1953), p. 15 [this paper is repro-
duced below, pp. 554-567]. 20 R. E. Hemphil and E. Stengel, "Pure word deafness", Journal of Neurology and
Psychiatry, III (1940), pp. 251-62.
CRUCIAl
"i
STIONS "i
INGI
BTH
to
assume
that figura
speech
is
Of
the
two polar
figures of speech, metaphor and metonymy, the latter, based on contiguity, is widclv employed D) aphasies whose selective capacities have been
affected.
Fork
is
imoke
tor pipe,
reported b) Head:
for "black", he described
ll. p.
it
When
do
name
.in
"What you
line ^\
|
For the
dead";
this he
shortened to "dead"
ma) be
metonymies fork, tuhle, the relation between the use of an object (toast) and the means of its production underlies the mctoin mv eat lor toaster. "When does one wear black'.'"
pipe",
"to smoke a
induced
&;
"When mourning
its
the dead":
is
place o\
I
oaming the
of
traditional use
is
designated.
guity
particularly
striking
who
280).
would answer with a metonvmv when asked to repeat for instance, would sa) glass lor window and heaven
word and.
(p.
for
God
When
patient's
the
selective
at
capacit)
is
Strongl)
gift
for
combination
least partly
preserved, then
contiguit) determines
designate this type
the
<.A
aphasia similantv
disorder.
tV.
CONTIGUM
DISORDI
in
From 1864 on
disturbances:
It
it
Hughlings Jackson's
is
not
enough
its
It
consists of
words
referring to
lation of
one another
embodying no proposition
66)."
not
21
Loss of speech is the loss of power to propositionize... Speechlessness does mean entire wordlessness (p. 14). 22
1
H. Jackson, "Notes on the physiology and pathology of the nervous system" (1868),
Brain,
22
XXXVIII
H. Jackson,
"On
affections ot speech
XXXVIII
TWO
Impairment of the
ASPECTS OF LANGUAGE
251
ability to
confined to one type of aphasia, the opposite of the type discussed in the
in
no wordlessness, since the entity preserved word, which can be defined as the highest units compulsorily linguistic the coded, i.e., we compose our own among sentences and utterances out of the word stock supplied by the code. This contexture-deficient aphasia, which could be termed contiguity disorder, diminishes the extent and variety of sentences. The syntactical
preceding chapter. There
is
is
the
rules organizing
mat ism,
Word
and
less
articles,
disappear
first,
The
is
its
and the
is
similarity disorder.
Thus
the
the
first
type of aphasia.
affecting contexture tends to give rise to infantile
Only a few
longer,
made"
sentences
manage
is
to survive.
In advanced
"To say what a thing is, is to say what it is like," Jackson notes (p. 125). The patient confined to the substitution set (once contexture is deficient) deals with similarities, and his approximate identifications are of a metaphoric nature, contrary to the mtonymie ones familiar to the opposite
type of aphasies. Spyglass for microscope, or fire for gaslight are typical
examples of such quasi-metaphoric expressions, as Jackson termed them, since, in contradistinction to rhetoric or poetic metaphors, they
present
no
word
is
ki
im
'.'i
ESTIONS 01
iv.
mum
units.
units
same impairment,
i
somewhat
typical featuj
m mat ism
is
unmarked
cate
ofdivenc
finite
[bse
cord,
delects aie
p. irtl> tot!
due partly
to the elimination
ibilit)
illy,
paradigm
(in
he
his
same
Semantic content from different points of Vie associated with each other
b) contiguity; so there
is
\Ko, as a
.lor
rule,
the
same
related b\
contiguity
The
patients
under discussion are either inclined to drop the derivative words, or the
combination
uttered such
^uh
a derivational suth\
and even
compound
oi
lor them.
Patients
compounds
to grasp or to sa>
cited.
is
still
the
<\
tendency
the derivative
word constitutes
the
meaning of
its
components, theCiestalt
signifies
svtlm
'light
'dark room').
some
in
linguists
whether phonemes
It
really play
an autonomous part
our verbal
behavior.
morphemes
in
minimal
entities with
phonemes, are an
con-
TWO
ASPECTS OF LANGUAGE
253
This view, which was stigmatized by Sapir as "the reverse of realistic", 24 remains, however, perfectly valid with respect to a certain pathological
type: in one variety of aphasia, which sometimes has been labeled "atactic", the word is the sole linguistic unity preserved. The patient has only
an integral, indissolvable image of any familiar word, and all other soundsequences are either alien and inscrutable to him, or he merges them into familiar words by disregarding their phonetic deviations. One of Gold"perceived some words, but *** the vowels and consonants of which they consisted were not perceived" (p. 218). A French aphasie
stein's patients
word
was unable
to grasp, discern, or
None of these
pattern.
the French
phonemic
Such a
listener
sequences as words
unknown to
and presumably
from each other of their phonemes or in the phonemes themselves. If an aphasie becomes unable to resolve the word
meaning, since they
constituents, his control over
its
into
its
phonemic
damage
to
phonemes and
their
homonyms and
lexical
and
a decrease of vocabulary. If this twofold - phonemic - disablement progresses further, the last residues of speech
:
he faces aphasia
of the power
The separateness of
significative
the
distinctive
is
semiotic systems.
There
of
and
The
last level to
remain
is
the
word,
the
phoneme.
is
still
able to identify,
distinguish,
24
do the
E. Sapir,
reality
254
[AL
In
"bmj
loses
be grasped as
its
known
(p. 90).
Here the
word
normal
distinctive function
V.
tie
diverse, but
I
all
of them he
dis-
verv
form of aphasie
tor
metalinguistic
damages
in
the capacity
suppressed
in
the
Metaphor
and metonymy
he development ol a discourse
lines:
mav take
to
semantic
The
be
first
mtonymie way
meta-
condensed expression
an
respectively.
In
two processes
is
normal
but careful
observation
sonality,
and verbal
style,
preference
well-known psychological
told to utter the
first
test,
some
noun and
comes
into their
is
for,
or as a
complement
sentence.
to the stimulus.
and predicative.
To
little
is
first
creates a purely
TWO
ASPECTS OF LANGUAGE
is
255
tautology hut; the synonyms cabin and hovel; the antonym palace, and
to replace
one another
is
an instance of positional
Metonymical responses to the same stimulus, such as thatch, or poverty, combine and contrast the positional similarity with
semantic contiguity.
In manipulating these two kinds of connection (similarity and contiguity) in both their aspects (positional
and semantic) - selecting, comindividual exhibits his personal style, his an bining, and ranking them
In verbal art the interaction of these two elements
is
this relationship is to
be found
parallelism between
adjacent
lines, for
example
some
community
Since on any verbal level - morphemic, lexical, syntactic, and phraseoloeither of these two relations (similarity and contiguity) can appear - and each in either of two aspects, an impressive range of possible
gical
configurations
prevail.
is
created.
may
in the
acknowledged, but
it is
the predomi-
nance of metonymy which underlies and actually predetermines the socalled "realistic" trend, which belongs to an intermediary stage between
the decline of romanticism
and the
rise
of symbolism and
is
opposed to
both.
metonymically digresses from the plot to the atmosphere and from the characters to the setting in space and time. He is fond of synecdochic
details. In the scene
artistic attention
is focused on the heroine's handbag; and in War and Peace the synecdoches "hair on the upper lip" and "bare shoulders" are used by the same
256
IHBORY
writer to stand for the female characters to u horn these features belong.
The
is
alternative
predominance of one or the other of these two processes art. The same oscillation occurs in
\
salient
historj
of painting
the object
is
is
the manifestly
transformed into a
iritlith.
highl) developed
"shots**, has
and focus of
in general.
metaphonc "montage"
with
its
"lap dissolves"
The
The
two types of aphasia must be confronted with the predominance of the same pole in certain Styles, personal habits, current
fashions, etc.
careful analysis
an
in
psychopathology, psychosigns.
The
and
28
be
for
of primal
significance
and
human behavior
in general.
To
we
"Thomas
is
a bachelor; Jeremiah
is
unmarried" (Fom
parallel clauses
in
in the
two
realizm u mystectvi", Vaplite, Kharkov, 1927, No. 2; "Randbemerkungen zur Prosa des Dichters Pasternak", Slavische Rundschau, VII, 1935), in painting ("Futuri/m,"
Iskusstvo,
Moscow, Aug.
I,
2, 1919),
and
in
umni
a kritiku,
Prague, 1933), but the crucial problem of the two polar processes
awaits a detailed investigation. ** Cf. his striking essay "Dickens, Griffith, and
We":
S. Eisenstein,
Izbrannye
sta
(Moscow,
27
1950), p. 153
IT.
a8
Balazs, Theory of the Film (London, 1952). For the psychological and sociological aspects of this dichotomy, see Bateson's views on "progressional" and "selective integration" and Parsons' on the "conjunctiondisjunction dichotomy" in child development: J. Ruesch and G. Bateson, Communication, the Social Matrix of Psychiatry (New York, 1951), pp. 1 83 T. T. Parsons and R. F. Bales, Family, Socialization and Interaction Process (Glencoe, 1955), pp. 1 19f.
Cf.
;
TWO
are associated
ASPECTS OF LANGUAGE
257
by
on the other hand they denote two contiguous heroes of created to perform identical actions and thus to justify the use of synonymous pairs of predicates. A somewhat modified version of the same construction occurs in a familiar wedding song in which each of the wedding guests is addressed in turn by his first name and
similar, while
the
same
tale,
patronymic: "Gleb
is
a bachelor; Ivanovic
is
two
man and
mode
of polite address.
In the quotation from the folktale, the two parallel clauses refer to two
separate facts, the marital status of
Thomas and
Jeremiah. In the verse from the wedding song, however, the two clauses
are
splitting
him into two verbal hypostases. The Russian novelist Gleb Ivanovic Uspenskij (1840-1902) in the last years of his life suffered from a mental illness involving a speech disorder. His first name and patronymic, Gleb Ivanovic, traditionally combined in polite intercourse, for him split into two distinct names designating two separate beings Gleb was endowed with all his virtues, while Ivanovic, the name relating a son to his father, became the incarnation of all Uspenskij's vices. The linguistic aspect of this split personality is the patient's inability to use two symbols for the same thing, and it is thus a similarity disorder. Since the similarity disorder is bound up with the metonymical bent, an examination of the literary manner Uspenskij had employed as
:
And
style,
He shows
that Uspenskij
metonymy, and
so far
that "the reader is crushed by the multiplicity of detail unloaded on him in a limited verbal space, and is physically unable to grasp the whole,
is
often lost." 29
A. Kamegulov, StiV Gleba Uspenskogo (Leningrad, 1930), pp. 65, 145. One of such monograph: "From underneath an ancient straw cap, with a black spot on its visor, peeked two braids resembling the tusks of a wild boar; a chin, grown fat and pendulous, had spread definitively over the greasy collar of the calico dicky and lay in a thick layer on the coarse collar of the canvas coat, firmly buttoned at the neck. From underneath this coat to the eyes of the observer protruded massive hands with a ring which had eaten into the fat finger, a cane with
disintegrated portraits cited in the
a copper top, a significant bulge of the stomach, and the presence of very broad pants, almost of muslin quality, in the wide bottoms of which hid the toes of the boots."
ki
im
ESTIONS 01
isi.i is
st> le in Uspenskij is obviously prompted canoo of Ins time, late nineteenth-century, "realism"; but the personal stamp of Gleb vanovi made his pen parti-
To
by the prevailing
its
mark upon
of his mental
manifest
it
mtrapcrsonal or
social.
is
hus
whether
reud's
tui
similarity
mtonymie "displacement" and synecdochic "condensation") he principles (1 reud's "identification and B) mbohsm" )."'
I
underlying magic
rites
ra/er into
two types,
nation
The
first
has been called "homoeopathic" or "mutative", and the second, "contagious magic"."
for the
its
This bipartition
is
indeed illuminating.
Nonetheless,
despite
most
two poles
IS
still
neglected
bel,
especially
and of
its
impairments
What
is
the
mam
reason for
this neglect'.'
Similarity
meaning connects
the
to.
is
symbols of
substituted.
metalanguage with
the
Consequently, when
to
handle metaphor,
easily
whereas metonymy,
Therefore
defies
interpretation.
metonymy.
is
it
is
generally realized
that romanticism
intimate
ties
of realism with
metonymy
Not
only the tool of the observer but also the object of observation
sible for the
respon-
in
scholarship.
Since poetry
upon
and
figures
devices.
The
30
31
S.
J.
Freud, Die Traumdeutung, 9th ed. (Vienna, 1950). G. Frazer, The Golden Bough: A Study in Magic and Religion, Part
I,
3rd ed.
TWO
ASPECTS OF LANGUAGE
259
exist, for instance,
grammatical and anti-grammatical but never agrammatical rhymes. Prose, on the contrary, is forwarded essentially by contiguity. Thus, for
poetry, metaphor,
is
artificially
replaced in these
by an amputated, unipolar scheme which, strikingly enough, coincides with one of the two aphasie patterns, namely with the contiguity
disorder.
Written in Eastham, Cape Cod, 1954, and published as Part II of the Fundamente ofYanguage (The Hague, 1956), and, in a somewhat different version, with a dedication to Raymond de Saussure, in the volume Language: an Enquiry into its Meaning and Function (New York, 1957).
According
to Bertrand Russell,
'cheese'
If,
however,
we follow
Russell's
we
are
obliged to state that no one can understand the word cheese unless he
has an acquaintance with the meaning assigned to this word in the lexical
code of English.
Any
he
is
aware that
if
in this
language
We
have only a linguistic acquaintance with the words ambrosia, nectar, and gods - the name of their mythical users; nonetheless, we understand
these words
and know
the
in
The meaning of
words
definitely a linguistic
fact.
Against
who
assign
nobody has ever smelled or tasted the meaning of cheese or of apple. There is no signatum without signum. The meaning of the word "cheese" cannot
the simplest and truest argument would be that
An
array of
the
name of
any milk product, any food, any refreshment, or perhaps any box
spective of contents.
1
irre-
Finally,
(1950), 13;
261
does
it
sale, prohibition,
or
may mean
an ominous gesture.)
For any
us,
both as
linguists
some
which
it
is
more
fully
The term
"bachelor"
ried
may
three
man", whenever higher explicitness is required. We distinguish ways of interpreting a verbal sign it may be translated into other signs of the same language, into another language, or into another,
:
by means of other
signs of the
2) Interlingual translation
or translation proper
an interpretation of
verbal signs by
3) Intersemiotic translation
an interpretation of ver-
bal signs
by means of
The
intralingual translation of a
word
more or
less
Yet synonymy, as
not complete equivalence: for example, "every celibate is a bachelor, but not every bachelor is a celibate". A word or an idiomatic
level,
may
be fully interi.e.,
message referring to
to marry,
"every bachelor
is
an unmarried man,
is
bound not
no
is
a celibate".
is
ordinarily
equivalence between code-units, while messages may serve as adequate interpretations of alien code-units or messages. The English word cheese cannot be completely identified with its standard Russian
heteronym syr
cheese'.
is
tvorogu,
'bring cheese
and
[sic]
cottage
is
made of
pressed curds
called
syr only
ferment
is
used.
Most
2
Cf. John Dewey, "Peirce's Theory of Linguistic Signs, Thought, and Meaning", The Journal of Philosophy XLIII (1946), 91.
,
262
substitutes messages in
entire messages in
some other language. Such a translation is a reported speech: the translator recodes and transmits a message received from another source. Thus translation involves two equivalent messages in
two
different codes.
is
Equivalence in difference
No
linguistic
specimen
may
its
be intersigns into
Any
comparison of two languages implies an examination of their mutual translatability the widespread practice of interlingual communication, par;
difficult to
must be kept under constant scrutiny by overestimate the urgent need for, and
the corresponding units
the theoretical
and
comparative definition
oi' all
differential bilingual
grammars
in
should define what unifies and what differentiates the two languages
their selection and delimitation of grammatical concepts.
Both the practice and the theory of translation abound with intricacies, to time attempts are made to sever the Gordian knot by
proclaiming the
the natural
whose
In the
who
and particularly for the weeding out of such misleading expressions as "sunrise" or "sunset". Yet we still use this Ptolemaic imagery without implying a rejection of Copernican doctrine, and we can easily transform
our customary talk about the rising and setting sun into a picture of the
earth's rotation simply because
any sign
is
which
it
An
this
ability to
ability to talk
about
Such a "metalinguistic" operation permits revision and redefinition of the vocabulary used. The complementarity of both levels - object-language and metalanguage - was brought out by Niels
language.
Bohr:
3
all
must be expressed
in ordi-
1956), p. 235.
ON
263
nary language, "in which the practical use of every word stands in com-
its strict
definition". 4
is
classification
is
conveyable in any
qualified
by neologisms
ren-
or semantic
literary
and,
"chalk" as "writing soap", "watch" as "hammering heart". Even seemingly contradictory circumlocutions, like "electrical horse-car"
trieskaja
),
(lek-
the
first
street car, or
Koryak term
simply designate the electrical analogue of the horsecar and the flying
analogue of the steamer and do not impede communication, just as there is no semantic "noise" and disturbance in the double oxymoron - "cold
beef-and-pork hot dog".
No
makes
impossible a
discussed
in
How
to
Write
and/or
Of
all
1)
John and
Peter, 2)
John
come. Samoyed
1)
come,
2)
John and/or
Peter,
one of them
will
If
meaning
like
may
language by
Old Russian brata are translated with the help of the numeral: 'two brothers'. It is more difficult to remain faithful to the original when we
translate into a language provided with a certain grammatical category
When
Niels Bohr,
"On
(1948), 317f.
5
N.
6
C,
Cf.
1948), p. 40f.
Knut
for Sprogvidenskap,
XV
(1949), 374f.
264
and
plural,
we
statements "She has two brothers" -"She has more than two" or to
leave the decision to the listener
either
two or more
Again,
in
more than
As Boas
opposed
that
to
lexical stock)
in the
must be expressed
between
these aspects,
In order to translate
accurately the
hired a
Russian needs
this action
and whether the worker was a man or a woman, because he must make
his choice
noun
- rabot nika
or rabotnicu.
If
my
question
may
be judged irrelevant or
whereas
is
in the
Russian version of
this sentence
an answer to
question
obligatory.
On
no answer
hired or
worker
(a or the).
unlike,
we
same
S.
isolated sentence
content.
The Geneva
Languages
differ essentially in
in
what
they can convey. Each verb of a given language imperatively raises a set
is
completion?
132f.
265
and
listeners will
In
its
is
grammatical pattern, because the definition of our experience stands in complementary relation to metalinguistic operations - the cognitive level
of language not only admits but directly requires recoding interpretation,
i.e.,
translation.
Any assumption
call
dreams, in magic,
above
all,
Under
much more
cited as merely
Ways
of personifying or metaphori-
A test
in the
Moscow
was due
to the
mascu-
The
fact that
word
for Friday
is
is
mascuUne
in
some
Slavic languages
and feminine
in others
which
The widespread Russian superstition and a dropped fork a female one is determined by the masculine gender of of 'knife' and the feminine of vilka 'fork' in Russian. In Slavic and other languages where "day" is masculine and "night" feminine, day is represented by poets as the lover of night. The Russian painter Repin was baffled as to why Sin had been
differ in their
Friday
ritual.
depicted as a
woman by German
German
{die
artists:
is
feminine in
Russian (grex).
German
tales,
was astounded
fem.),
Life, the title
woman
(Russian smerf,
was pictured
an old
man (German
My
Sister
quite natural in
Hora
poems,
Czech
this
noun
is
masculine
266
What was
in
Slavic literature at fa
appears to be the main topic of the earliest Slavic original work, the
preface to the
first
made
in the early
and
liturgy,
when
identically,
"Masculine nouns
in
and cmrjp
in
another language
and
this
symbolic identification of the rivers with demons and of the stars with
angels in the Slavic translation of two of Matthew's verses (7:25 and 2:9).
who
become
and
affixes,
pho-
nemes and
components
any consti-
tuents of the verbal code - are confronted, juxtaposed, brought into con-
own autonomous
signification.
Phonemic
similarity
is
sensed
as semantic relationship.
The pun, or
to use a
more
is
erudite,
art,
and perhaps
more
rule
precise term
is
creative transposition
possible:
either
intralingual
from one poetic shape into another, or interlingual transposition - from one language into another, or finally intersemiotic transposition - from
one system of signs into another,
cinema, or painting.
If
e.g.,
from verbal
we were
a betrayer',
we would deprive
the Italian
its
would compel us
and
to
to
change
explicit statement
translator of
what values?
Written in 1958 in Cambridge, Mass., and published in the book
On
Translation
Andr
Vaillant,
"La Prface de
5f.
Slaves,
XXIV
(1948),
"WORTBEGRIFF"
The
that
initial section
first
sure's
summon
The
sign in
its
totality
and
signifi (signified).
have the advantage of marking their opposition to each other and to the
Some
his
a novelty, but
from a
ponds both to the Stoic semeion consisting of two primordial aspects semainon and semainomenon - and to
ancient Greek model: signum
St.
signons
signatum.
This conception
was inherited by the schoolmen and was, furthermore, revitalized by the semantic theories of the nineteenth and very early twentieth centuries,
particularly
by Bolzano and
is
his followers.
The
signans
Or, to put
it
more
is
Thus we perceive the sound-shape of the we may translate this word by other verbal
word
tree and,
on
signs with
more or
instance,
less
by the technical synonym arbor, by the paraphrase woody plant, or by corresponding foreign names like the French arbre, the German Baum, the Russian derevo. Saussure illustrated his thesis with a diagram of the signum, a circle divided by a horizontal diameter into two semi-circles, the one below
representing the signans and the one above the signatum.
Two
vertical
268
of the
circle,
its
o\'
down
mark
the sign.
The
is
italicized
sequence
the word,
same word.
word
tree
and the
pic-
torial representation
two
The
sign
is
A symbol
may
Any symbol
is
meaning, and the general meaning of any symbol, and of any verbal
symbol
in particular,
Any
determined by
context.
Thus
tree
and any individual instance of a kind of plant, and only a context can adapt this word to one single species or to one single
means any
species
specimen.
Even
in
about Napoleon
his
in his
infancy, at Austerlitz, in
deathbed, or
in
posthumous
all
meaning encompasses
may
Ages, the Renaissance, or the present day, while the general meaning of
this
name
covers
all
Married name
is
for secular; a
town
is
re-christened: St.
Petersburg-Petrograd-Leningrad.
Of course,
each of these
named
stages
last
it is
Romanovs.
able to present an individual landscape, a single
As
to the icon,
spatial
and temporal instance (a sample of a given species of trees in a maple tree during the warm season, as in
If the
Saussure's illustration).
generic sense
toto; the icon
is
is
generic,
its
269
two
In Hunger,
gives,
his
new word
not in the language; I discovered it. "Kuboa". It has letters as a word has. With the most singular jerks in my chain of ideas I seek to explain the meaning of my new word. There was no occasion for it to mean either God or the Tivoli and who said that it was to signify cattle show? No, on second thoughts, it was not absolutely necessary that it should mean padlock, or sunrise. ... I had fully formed an opinion as to what it should not signify No! ... it is impossible to let it signify emigration or tobacco factory (2, pp. 87ff.).
; . . .
Hamsun's observation
is
precise
it
interpreted as a signans,
"new word"
is
meaning with
high probability
meanings of the other words of the same language. Thus one has an
opinion "as to what
it
it
meaning,
is
same as between the absence of any ending, e.g., in the Latin adverb semper, and a zero ending, e.g., in the Latin nominative puer confronted with the real endings of the other cases within the same paradigm -pueri, puero, puerum - and of nominative forms like amicus. A word with an unknown meaning is supposed to signify something other than words
the
The reverse question of a signatum with a zero signans has particularly been promoted by Kurt Goldstein. In Language and Language Disturbances he sums up his previous studies on the disembodied "wordconcept" (Wortbegriff) as "an experience in principle different from sensory and motor phenomena" (1, p. 93).
There are various degrees of switching off the signans in our verbal
behavior. Un-uttered speech
levels
may
of
silent
270
handicapped
in silent
reading of poetry
when
and phonetically,
is
readily
convertible into a
Only
in cases
The
forgetting of
words
life
in
language
serve as
disturbances or
illustration.
this
in
may
One knows
exactly the
realizes that
word exists but cannot produce it because its sound-shape has slipped from recollection. It happens that some residue of the signans is preserved: for instance, the person remembers that the word has an m or n in it \\ has three syllables with the stress on the penult. But often no traces
remain
in the
memory
- a complete blank.
Russian
woman
to re-
She could say nothing about the sound-shape of this verb, but she realized
perfectly that
it
differed
all
how
the
word
how
it
man
tical
which
verb
may
appear;
in
particular she
knew
its
different
grammaswarmed
recognized
it,
hu). Finally, incapable of using this verb when it was employed by other people.
This typical example shows that even the most radical emancipation of the Wortbegriff from sensory and motor phenomena actually does not
abolish the signans; both a zero signans and the rules of
its
relation to the
One could
say with
W. James
that "the
absence of an item
positive as
its
is
word
retains
integral signans
vocabulary of the
listener.
Written in the Center for Advanced Study in the Behavioral Sciences, Stanford, California, 1958, for the K. Goldstein Festschrift (= Journal of Individual Psychology,
XV,
1959).
271
REFERENCES
1.
(New York,
1948).
2.
3.
1920).
4.
5.
6.
James, W., The Principles of Psychology, Vol. I (New York, 1950). Quine, W. V. O., From a logical point of view (Cambridge, Mass., 1953). Saussure, F. de, Cours de linguistique gnrale (1916) (5th ed., Paris, 1955). Sokolov, A. N., "O reevyx mexanizmax umstvennoj dejatel'nosti", Izv. Akad. Pedag. Nauk RSFSR, 1956, LXXXI, pp. 65 ff.
bemerkenswert, da Saussures Cours dc linguistique generale ist whrend der Diskussion besonders oft erwhnt wurde, als ob man festzustellen versuchte, was sich in den 50 Jahren, die uns v OD den Vorlesungen
Es
in
ganze
Linguistik
halbes
Jahrhundert
ihrer
grundstzlichen Wandlungen.
Und
es scheint nur,
gibt,
da unsere fruchtbare
was
diesem berhmten
Nachla
Von den
traire
les
ersten
Grundsatz -
l'arbi-
du
willkrliches
Acta Linguistica,
man
keinesfalls
vom
synchronischen Stand-
punkt der Sprachgemeinschaft, welche die gegeben Sprachzeichen gebraucht, diesen Zeichen einen willkrlichen Charakter zuschreiben.
ist
Es
sierten fr
"Kse" fromage und im Englischen cheese zu sagen. Ich glaube, man knnte aus der ganzen Diskussion ber die Frage der sogenannten "Willkrlichkeit" und "Unmotiviertheit" den Schlu ziehen, da
"l'arbitraire" eine uerst unglckliche
betreffende Frage
vom
polnischen Sprachforscher
M. Kruszewski, einem
schon
am Anfang
273
einem signatum, den Saussure willkrlicherweise arbitrr nennt, ist in Wirklichkeit eine gewohnheitsmige, erlernte Kontiguitt, die fr alle
Mitglieder der gegebenen Sprachgemeinschaft obligat
dieser
ist.
Aber neben
la
ressemblance.
Wie auch
hier
einsah, spielt dieses Prinzip eine gewaltige Rolle in der Frage der Derivation, in der
wo
Wrter einer
und wo man schon ganz und gar nicht mehr vom Willkrlichen sprechen darf. Auch in den morphonologischen Problemen ist die Frage des hnlichen Baues von ganz primrer Wichtigkeit, weil wir erkennen, da es gewisse Modelle, gewisse Strukturtypen der Verteilung und Auswahl der Phoneme in den Wurzeln und in den Prfixen oder Derivations- und Flexionssuffixen gibt. Endlich die Frage des Lautsymbolismus, die vor kurzem in einem Ausfatz von A. Graur richtig angeschnitten wurde. Diese Frage des Lautsymbolismus
gemeinsamen Wurzel so entscheidend
auf die ich hier nicht weiter eingehe, bleibt trotz allen Migriffen der
Vergangenheit ein wichtiges und spannendes Problem der Sprachforschung
wie alle Fragen der bildlichen und anzeigenden Fundierung der sprachlichen
Peirce, der
Bahnbrecher der
und indexartigen
betrifft,
Symbole).
die so-
nur auf der Ebene des signatum, wie Bally es darlegte, sondern auch im
Felde des signans mit zweidimensionalen Einheiten zu tun. Falls wir
erkennen, da das
tive
Phonem
ist,
sondern in distink-
es selbstverstndlich, da,
wie wir in der Musik Akkorde haben, so knnen wir auch in der Phonologie
von zwei Dimensionen sprechen, der des Nacheinanders und der des
Miteinanders (Simultaneitt). Damit lt sich aber eine Reihe Saussurescher Thesen ber die Grundstze des Sprachbaues nicht
rechterhalten. In diesem
mehr
auf-
Zusammenhang glaube ich, da der Terminus "syntagmatisch" manchmal irrefhrend ist, weil wir bei syntagmatischen
Beziehungen
stets
Kom-
274
tionen,
als solcher,
ist
ein Siatteinander
In
zum
Unter-
vom
Miteinander und
vom
Nacheinander.
der
Auswahl
Doch wenn
matischc Achse betrachten, glaube ich nicht, da wir somit das Gebiet
des Objektiven verlassen und unvermeidlich subjektiv werden. Sprachwissenschaftliche Forschungen der letzten Zeit haben gezeigt,
da auf
schon
in
besonders
Amerika
wird,
in
Transformationen
entwickelt
eines
und unentbehrliche Frage des Zusammenhangs und des Unterschieds zwischen den paradigmatischen Reihen und den KombinaAnscheinend haben wir
es hier, wie in allen
modernen Wissenschaften,
mit der bedeutsamen Idee der Invarianz zu tun. Wir sprechen ber
ber
Das Suchen
ist
jetzt nicht
nur
in
der
Grammatik das
dem
dem
bilateralen
signum
als
Verbindung des
diese Invarianten
einerseits
dem
dem
Felde des
weise wahrnehmbar
ist.
Es behauptet
in der Relation.
Auf
dem
mu
nehmbar
Lautverhltnisse in
Wir
knnen wir sie aus dem akustischen Feld in die optische Ebene versetzen. Aber nicht nur das signans, sondern gleicherweise das signatum mu rein linguistisch und vllig objektiv untersucht werden. Eine rein linguistische
ZEICHEN
275
mu
aufgebaut werden,
Grundzug
da
es in ein
mehr
elliptisches
Sprachsystems bersetzt werden kann. Diese bersetzbarkeit enthllt diejenige semantische Invariante, die wir
Sprache einer distributiven Analyse zu unterwerfen. Solche metasprachlich identifizierende Stze wie "der
Hahn
ist
das
Mnnchen
des
Huhns"
gehren
zum
Umkehrbarkeit der beiden Ausdrcke - "das Mnnchen des Huhns ist der Hahn" - veranschaulicht, wie durch eine distributive Analyse solcher
blicher metasprachlicher
linguistischen
uerungen
die
Problem wird.
des Cours de linguistique generale gehrt auch die
:
Zu den Grundzgen
nie.
die
verfeinerte Methodologie dieser Forschung brachte die groe Gefahr einer krassen Kluft zwischen diesen Disziplinen und die Notwendigkeit, diese Kluft zu berwinden, an den Tag. Die Saussuresche
dem
Vernderungen
eine
tatschliche Synchronie
Abstraktion, die
ist,
dem
der Sprache
ziehen.
Die beiden Elemente, der Ausgangspunkt und die Endphase jeder Vernderung, sind eine Zeitlang innerhalb einer und derselben Sprachgemeinschaft zugleich vorhanden. Sie koexistieren als stilistische Varianten,
und
falls
ist.
Die Sprache
ist
ein
System
der Systeme, ein Gesamtkode {overall code), der verschiedene Sonderkode {subcodes) enthlt. Diese mannigfachen Sprachstile bilden keine
zufllige,
mechanische Anhufung, sondern eine gesetzmige Hierarchie der Sonderkode. Obgleich wir beantworten knnen, welcher unter diesen Sonderkoden der Grundkode ist, so wre es doch eine gefhrliche
der
brigen
Sonderkode auszu-
276
Falls wir die langue als cine Gesamtheit der sprachlichen .ehalten. Konventionen einer Sprachgemeinschaft betrachten, dann mssen wir
um
da
berhaupt glaube
ich,
Grundaufgabe
ist,
ja
in
der
ist
Linguistik zu bekmpfen.
Aufgaben
Linguisten,
von der
Kommunikation wirksam dient? Da fragen manche warum sich die Sprachwissenschaft in ihrer Fragestellung Physik absondern soll. Warum ist es dem Sprachforscher nicht
der
in
dem
dere
den Naturwissenschaften
blich
Zwar beobachten wir in vielen Hinsichten eine immer bedeutenund fruchtbarere Annherung /wischen e\c\\ Naturwissenschaften
es
//;
Auge zu
behalten.
Informationstheorie hat
man
Kommunikationsprobleme von den brigen Informationsfragen getrennt. Es handelt sich hier in erster Reihe um die Abgrenzung zweier
die
und
Klassen der Zeichen - der Indices und der Symbole, wie Peirce
sie
nennt.
Die Indices, die der Psysiker der Auenwelt entnimmt, sind nicht umkehrbar,
und
die
Symbole
vorhanden. Anstatt des Gelehrten, der gewisse Indices aus der Auenwelt
extrahiert
und
sie in
Symbole umbaut,
Austausch der
Symbole zwischen den an der Kommunikation Beteiligten statt. Die Rolle des Senders und Empfngers ist hier auswechselbar. Deswegen ist
auch die Aufgabe der Sprachwissenschaft eine ganz andere. Wir suchen
einfach diesen Kode, der objektiv in der Sprachgemeinschaft gegeben
in eine
ist,
ein wissenschaftliches
Werkzeug, whrend
sie fr
dem und
Wenn
ich Niels
ich
Es
man
etwas betrachtet,
ZEICHEN
277
genau
festzustellen, in
Das
ist
daran
als
hlt, ist
auch
vom Standpunkt
Der
ist
Kode
nicht kennt,
Durch eine aufmerksame Untersuchung des Textes versucht er dem fremden Kode beizukommen. Beim Studium unbekannter Sprachen knnen offenbar derartige Kunstgriffe fruchtbare Ergebnisse zeitigen. Aber das ist nur
die erste Stufe der Erforschung,
und
sondern blo
Methodologien, die
die zweite,
Annherung; dann
vom
Text
zum Kode,
Kode an und
Das
ist
selten zur
Kenntnis nehmen.
dem
anderen
Worten: die Rolle des Senders und die des Empfngers sollen scharf
auseinander gehalten werden.
Obwohl
es eigentlich
Banalitten sind,
werden gerade Banalitten hufig vergessen. Indessen ist die ganze Betrachtungsweise des Textes fr beide Teilnehmer des Redeaustausches
grundverschieden.
Den Hrer
fhrt der
Weg
Elemente, durch die Phoneme, die er erkennt, zur grammatischen Form und zum Verstehen der Bedeutungen. Hier spielt der Wahrscheinlichkeitsfaktor eine gewaltige Rolle,
hilft,
und was uns einen Text wahrzunehmen phonematisch und dann auch grammatisch, sind vor allem die manche
unbewut
ist
dem Wahrnehmenden
licher
eigen,
und
die
Homonymie
Vorgang.
Fr den Sprecher
Weg
ist
vom
278
liliom
sie erfllt. Im Sprachverkehr Ordnungen zugleich vorhanden, und ihre gegenseitige Beziehung beruht, wie Bohr sagen wrde, auf dem Prinzip der Komplemen-
taritt.
Fr den Spreeher
B.
er
/.
das englische
all
um
und gleichberechtigt.
dabei
Falls
man
und
sieh
davon gibt, ob man den Standpunkt des Sprechenden oder des Hrenden wiedergibt, spielt man die Rolle eines
keine Rechenschaft
spricht,
ohne /u wissen, da
es
Prosa
ist.
Die
wenn man gesetzwidrige Kompromisse zwischen den beiden Standpunkten macht. So z.B. wenn ein Linguist die Verwirkliehe Gefahr entsteht,
schlsselung
whlt und
zichtet, die
zum Ausgangspunkt semer Sprachbeschreibung und -analyse demgem auf Statistik und Wahrscheinlichkeitslehre vergrammatische Analyse
in
fhrt
und das Primat der Morphologie ber die Phonologie beobachtet, so darf er- falls er folgerichtig vorgeht - nicht die Bedeutung aussehalten. Die Bedeutung kann nur ausgeschaltet werden, wenn man auf dem
Standpunkt des Entschlsselnden
steht,
erst als
das Prius
Der Sprecher verfhrt de verbo ad vocem, whrend Gegenweg geht, wie es schon Augustinus in seinen sprachtheoretischen Erwgungen hervorgehoben hat. Vieles verspricht in den linguistischen Beschreibungen und in der
der Hrer den
man
eine saubere
Abgrenzung
unternimmt und den verschiedenartigen Betrachtungsweisen des Verschlsselnden und des Entschlsselnden gebhrende Aufmerksamkeit
schenkt.
Damit
Man mu
rechnen: hier wird eine Sprache im Lichte einer anderen Sprache oder
ein Redestil
interpretiert, ein
Kode
anderen
bersetzt. Es
279
Aktivitten darstellt
und
die
Methodologie des bersetzens sowie die folgerichtige Analyse der bersetzung auf der Tagesordnung der heutigen reinen und angewandten
Sprachwissenschaft steht.
Vorgetragen in Erfurt, 2. Oktober 1959, am 1. Internationalen Symposion "Zeichen und System der Sprache", verffentlicht in den Schriften zur Phonetik, Sprachwissenschaft und Kommunikationsforschung, IV (Berlin, 1962).
PARTS
AND WHOLES
IN
LANGUAGE
Edmond
still
phenomenology of language
In spite
*>!'
Grammar".
this
the manifold
lin-
in
language,
mutual relationship.
Edward
completed installment of
work on
the Foundations
of Language (1930), opens with a reference to the psychological factors which have hampered the analysis o\' \\ hole-part relation "t the feeling
: I
of
rest or
a count,
been made of a
The frequent
totality to
various isolationist trends in the science of lanouter, perceptible part of the sign,
to the
its
signons,
whole
sign,
which
may embrace
and the discourse, which normally is an exchange of utterances, remained outside the scope of linguistic analysis.
a higher integer of sentences,
On
the other hand, the sentence was often seen as the shortest actual
its
smallest
its
phonemic
by
scientific
constructs imposed
Halle, 1902.
6,
Linguistic Society of
America (1930).
28
reality.
The
from
the discourse to
actually
is
and comprehensive portrayal of language - a multistoried hierarchy of wholes and parts. There is a
which corresponds to these
restrictive scholarly
attempts: what they mirror are the diverse types of grave language
disturbances.
is
confined to
new
sentences
is
entirely lost;
may be
no longer able
to mani-
Finally, a stock of
words may be retained, but recognition and reproduction of new words is impeded, because for the patient phonemic components cease to be an
autonomous differential tool, whereby normal listeners and speakers can discern words never used and never heard before. In his stimulating essay "Wholes, Sums, and Organic Unities" 3 Ernest Nagel endeavors to distinguish and delimit several types of the whole,
part relation.
It is
to distort
and
As Nagel (1-f) points out, "the word 'whole' may refer to a process, one of its parts being another process." The latest stage of speech analysis convincingly shows the importance of studying and correlating the different phases of the whole speech event, from source to destination
:
intention,
innervation,
gradual
production,
transmission,
audition,
perception, comprehension.
Numerous examples of
isolationist restric-
it
of productive
The
word whole
"refers to
some
it",
and, as Nagel
wholes nor parts need be temporally continuous. The verbal message, for example, a sentence, is a temporal period, and
Reprinted in Parts and Wholes (1963). Letters before the quotations from Nagel
282
its
The parsing of
and exhaustiveparts,
at the
On
may
we stand
Charles
and
in
Husserl, strange as
it
may
among
linguists.
The
artificial
context once
more
exemplifies the
illicit
contiguous question
is
on the simulis
"spatially
spatio-
The
From
a realistic standpoint,
part.
When Nagel
refer "to a
first in
we can
cite
our
previous example of the signum as the whole and the signans and signatum
its
aim of
this analysis
is
two parts
in
relation to the
If
whole of the
sign.
class, set,
or aggregate of elements",
then "part"
may
The
Peirce, C.S.,
Peirce,
5
IV (Cambridge, Mass.,
283
From
we
When we
reach the level of the word, then either word classes or, again the morph-
word serve as parts. Gradually we arrive the analysis of the smallest meaningful units into at the ultimate stage distinctive features. An important structural particularity of language
ological constituents of the
is
that at
component
its
parts
The
whole and
properties
is
every classification of
units based
on
constituent,
oppositive property.
word
'whole'
may
refer to a pattern
stylistic variations.
This kind of whole-part relation, which was for a long time underrated
by
linguists,
which so
underdeveloped province of
is
still
who
by the
The
variety of
and con-
Such an analysis makes possible a synchronic study of the phonemic and grammatical changes in progress, which initially present a necessary coexistence of the older and newer form in two related subcodes, and thus there emerges a bridge between descriptive and historical linguistics. On the other hand, the inquiry into the system of subcodes encompasses the various forms of interdialectal and even
interlingual code switching
and thus
establishes an intimate
bond between
geography.
284
If
may
thai
which
linguists
the
1-h).
The
this
and near-universal laws of implication which underlie taxonomy reveal a rigorous phonemic and grammatical stratification,
universal
and
its
decay
in
aphasia.
uncovers
complex interaction of the various levels of language, from the and the constant interplay of diverse verbal
It
functions.
une
involved
the constitution of language, where pars pro toto and, on the other
hand, totum pro parte, genus pro specie, and species pro individuo are the
fundamental devices.
Lecture at the Hayden Colloquium of the Massachussetts Institute of Technology, 1960, published in Parts and Wholes, under the editorship of D. Lerner (New York-
London,
1963).
Delacroix, H.,
Le langage
et la
The half-dream soliloquies of the two-year-old Anthony, recorded on tape, transcribed and analyzed by his mother, the Stanford linguist Ruth Weir,
lead us into a fascinating and hitherto unexplored province of language.
As Vygotsky's profound investigation of inner speech has disclosed, the so-called egocentric talk of children is an "intermediate link between overt and inner speech". We have been taught that "egocentric speech
is
inner speech in
its
functions;
it is
interiorized physically".
to
Our
overt speech
is
a listener.
Our
no
listener
not
tolerates,
human
hearers. It
activities
of the child in
its
most
The
soliloquies
less
life.
For
One could hardly find a more gratifying text for the investigon the
different levels of language
not only of sentences, clauses, and phrases but also of words used side
by
[daen-],
286
Sometimes
children.
difficult to
in
young
observations,
the lowering
of the cognitive,
all
A typical property of children's speech is an intimate interlacement of two functions - the metalingual and the poetic one - which in adult language are quite separate. Although the pivotal role which in language
learning belongs to the acquisition of metalanguage
is
well-known, the
comes
as a great surprise.
It
in
which language
is
gradually mastered.
Many
textbooks for
"What color - What color blanket - What color mop - What color glass.... Not the yellow blanket -The white... It's not black - It's yellow... Not yellow Red.... Put on a blanket - White blanket - And yellow blanket - Where's yellow blanket... Yellow blanket - Yellow light.... There is the light - Where
.
is
the light -
Here
is
the light."
word and
Little
selection of
Little
head words
little
Bobby -
Nancy - Big
Nancy."
other:
Antonyms
"On
Too
missing.
Members of
paradigmatic
Anthony and Bobo - For Bobo - Not for Anthony - Hat for Anthony." The desired choice is finally made: Anthony is the designated
"Hat
for
proprietor.
same vocsame verb "Fix the music - Music is fixed. Cobber crossed the street - Cobbers always cross the street [with the adverb manifestly opposing the present to the preterit]... Anthony write Pencil's always writing [a pair followed and supported by a parallel couple: smiling - smile]... Take off - Took off... See - I see... Where are you going - I am going." Vocables used both in verbal and nominal function are juxtaposed: "Can bite - Bite - Have a bite... Broke the vacuum - The broke - Get some broke - Alice broke the baby fruit" [break
practices confronting different grammatical forms of the
:
He
is
are deliber-
287
by side with
monkey - Take it... Stop the ball - Stop it... Go for them... Don't jump - Don't ticklish - Don't do that."
glasses
Grammatical alternations and purely phonemic minimal pairs are - /tuk/ - /tek/ - /buk/ ... purposely strung together: /tok/ - /tuk/ -
//
/wat/ - /nat/ - /nat. Light and like or likes and lights attract each other.
in the
in the
and phonemic
sets
appear
The whimsical interchange of two syntactical operations - properly singled out by Ruth Weir as a "build-up" and a "break-down" - are
patently similar to the play of Anthony's coevals
and dismantle
its
their toys.
The gradual
constituting of a sentence
originally separate
ative
and autonomous components, each with a predicfunction, and, on the other hand, the progressive filling-in and
light the
which bring to
mechanism of
syntactical learning
and
training.
How
noun
:
is
noun
itself
has
"Anthony take the - Take the book.... This is the - This is the - Book.... That's a - That's a - That's a kitty - That a Fifi here... Mommy get some Mommy get some - Soap."
.
pronominal subject (Thas a kitty) and transitional forms between subjectpredicate declarative sentences and vocative-imperative sequences indicate
how
explicit
two-term propositions
prefers
is
may embarass
Anthony's bedtime play with language as a condensed summary of his day imperatively calls for further investigation of how usual such selfeducational linguistic games are
among dozing
children.
Yet however
288
in
is
In particular.
his mother,
the last
with
its
"Daddy dance",
is
not only an
elaborate lesson in
ytic
grammar
document,
ices.
And above
all, it is
- Daddy dance Mamamama with Daddy - Milk for Daddy Daddy dance Hi Daddy Only Anthony Daddy dance Daddy dance Daddy give it - Daddy not for Anthony - No - Daddy - Daddy got - Look Look at Daddy here- Look at Daddy- Milk in the bottle at Daddy {falsetto)
That's for he -
OK
- Only for Daddy - Up - That's for Daddy - Let Daddy have Take off - The - Turn around - Turn around - Look at donkey That's the boy - That's the donkey - [dxn] Daddy [dien] - Pick up the [dr>n] - Daddy's can pick up - 1 can - How about - How about the Daddy I
spilled
it
it
Take
off -
OK
- Put on a record for you - What Daddy got - Daddy got - On the plane - Look at pillow - What color pillou What color - Is not black - It's yellow - Daddy dance - Ah, Daddy - Take it to
feet -
[:]
Daddy
this in
- Daddy put on a hat - Daddy put on a coal - Only Daddy can - I put here - See the doggie here - See the doggie - I see the doggie (falsetto) I see the doggie (falsetto) - Kitty likes doggie - Lights up here - Daddy danceDaddy dance - Daddy dance - With Bobo - What color's Bobo - What color's
Bobo
Introduction to Ruth Weir's Language
in the
me
faits
same formula:
medicine,
I
as a
mere
psychology nor in
observations of
shall confine
myself
strictly to linguistic
fundamental paper on aphasia, "Notes on the Physiology and Pathology of Language", written nearly a century ago
first,
The
significant subtitle
in
"Remarks on those
Since defects
Symptom"
striking
symptoms" of
signs,
a linguistic
we mean by
159)
which has as
its
this
widened scope of
coined by Hamilton.
symptom" of
word.
the
Linguists can only agree with Jackson that the pathology of language,
far
set
of rules
and that no
without the
can be
elicited
own
290
If,
"the most
recent field of
work
in
science of language
and
a historical explanation.
come
about only
ago that
any kind
existe
o\'
commande aux
However, before it became possible to specify what way and to what degree this faculty was affected, it was necessary
all
Levels
of complexity with
It is
and mutual
relations.
remarkable
(1881),
two great pioneers, the Polish linguist Baudouin de Courtenay and the London neurologist Jackson (1958, p. 156) quite independently of each other refuted the notion of an immediate transition
from words (or morphemes, the smallest grammatical
articulatory
units) to
it
"an
"un-
movement,
physical
in
state",
describing
as
an
linguistic operations
real issues"
(Baudouin), and
"not warrantable
and
is
development
may
be observed.
research,
Some
fifty
years later, a
demand
for
phonological
consistently
and
in the
German
Neurological
Wrzburg, Wolpert (1929) argued against the possibility of divorcing Wortklangverstndnis from Wortsinnverstndnis in the examination of aphasia. Experts in speech disorders did not
fail
progress of the
Froment and
in
logiquement.
position
Il
peut tre
compar un
un bon
mmoire ou
291
qui plus
est,
ne saurait
mme
pas reconnatre
The
first
common problems
in a special conference in
the neurologist Bernard Brower brought to light the need for basic
ment of the language pattern, thus supporting Jackson's view that early acquisitions are more tenacious and resistant to brain damage than those which have been added more recently (cf. Jakobson, 1962; Alajouanine, Ombredane and Durand, 1939). In books by Luria (1947) and Goldstein (1948), we find the first efforts by neurologists towards the systematic utilization of modern linguistic principles for the analysis of aphasie impairments. When, for example,
Luria specifies that in so-called sensory aphasia the deficiency of auditory
perceptions
is
impairment yields
a clear linguistic
monograph, based on an enormous amount of clinical material, and Luria's later works, which display a greater and greater linguistic skill and orientation towards the science of language, present us with a sound foundation for thoroughly integrated medical and
this
Both
specialists in
im-
portant task and in order to liquidate the residue of that "chaos" which
Head
Moscow
linguist
and
and
interviews,
am sorry to
tests clash
undergone a thorough
from obsolete school grammars and have never linguistic check-up. Statistics proceeding from
292
with
Any
linguist
who
who
are getting an
increasingly clearer
insight
into
the
qualitative
The
linguistic errors
made by
the
adherents of the unitarian heresy have prevented them from discriminating between the various verbal failures of aphasiacs.
FIRST
DICHOTOMY: ENCODING (COMBINATION, CONTIGUITY) DISORDERS VERSUS DECODING (SELECTION, SIMILARITY) DISORDERS
Two
fundamental operations underlie our verbal behavior: selection and combination. Kruszewski's Outline of the Science of Language,
1883) but
still vital,
two models o\' relationship: selection is based on similarity, and combination on contiguity. My attempt to explore this twofold
character of language and to apply
it
by delimiting
two kinds of impairments, termed 'similarity disorder' and 'contiguity disorder' (Jakobson and Halle, 1956), met with an encouraging response from
specialists in the diagnosis
turn, their
me
closely
According to
syndromes
(cf.
Wepman
also
led
and Wepman,
1961);
verifying
experiments
by
Luria(1958, pp. 17, 27). Before discussing the indissoluble unity of the two divisions, which
requires an explanation,
all
let
We
know how
inexact, one-sided
and
are.
However,
the
syndrome character-
293
conventional nomenclature
is
harmless as long as
we
it is
The
adjectives 'expressive'
meanings; particularly, in
sense.
The
labels 'emissive'
impairment
name
emissive aphasia.
The terms
ly encoding'
damages. They could be used with an optional appendage: 'predominantand 'predominantly decoding', since impairments in one of
particularly true of decoding impairments,
the two coding processes generally affect the opposite process also. This
is
which
greater
affect the
encoding
The
autonomy of the
Lenneberg (1962)
learned to under-
who had
is
The
classical
motor
is
(alias Broca's)
aphasia
my
somewhat confused" and "does not at all do justice to the complexity and variation of the modifications of language found in
patients" (1948, p. 148).
The
Luria,
being the most typical contiguity disorder, the other being the most
Combination
is
disturbed in efferent
On
means
difficulties in
using
and
difficulties in
phoneme making
phoneme
to
syllable to
Norwegian
syllabic context.
294
patient,
when reading
vv for the initial consonant of the even words upon model of the odd words. To such deteriorations in phonemic ensem-
bles,
lost.
is
On
primarily gramin
the sensory
p. 81
is,
),
or true
agrammatism
'little
as Alajouanine formultes
(1956, p. 16),
relationship
that of
dependence; thus
in
syntactic
its
"tele-
graphic
style' all
lost,
finite
verbs- are
power
is
syntactic dependence,
more
agreement
similarity,
sequential
which
involves
whereas government
built
on mere contiguity.
speech
is
forms of verbs -
holophrastic usage.
is
is
apt to be
the kernel
in
some languages
An
im-
and an
are the
symptoms of a pronounced
similarity disorder.
may cause disturbances in word-finding and/or in phonemeBoth kinds of disturbances may reinforce each other, but we
i.e.
could hardly deduce one of these two linguistic levels of disturbances from
the other,
we could not
phonemic code
295
and sensory
disorders.
Even
in
English with
its
"which express syntactic relations", has been observed (Goodglass and Hunt, 1958). In the efferent aphasiacs whom Goodglass
especially those
and Hunt
hierarchy,
tested,
the
its
identical
significant
desinences - z with
automatic alternants
and s - presents a
and a very
dissolution.
The higher
more im-
minent
is its
disintegration.
The
first
to be affected
is
The
which
signals
is
a relationship
the last of the
within a phrase,
somewhat more
resistant.
The word
is
the least
Whereas
viability
(in particular
As Beyn (1957, p. 93) and Luria (1958, p. 20) have pointed out, form of aphasia "lose the power to understand the roots of words", whereas suffixes "ordinarily remain considerably more comprehensible". Beyn, moreover, notes the cardinal role of pronouns in the speech of these patients. It may be noted that words with one and the
aphasia.
suffixes are
bound by semantic
contiguity (e.g.
editor-edition-editorial-editorship),
suffix display
semantic similarity
such as:
The
accompa-
Our internal
is
lingual operations,
which
is
296
most
one might
say, polar
syndromes
of efferent and sensory aphasia. At the same time these two syndromes
clearly
disorders.
tion.
The
it is
We
encoding disorders
although
no autonomous
Encoding
The answer
lies in
up the context
decoder
is
For the
this order
is
constituents; combination
is,
the antecedent,
process.
followed
by synthesis; the decoder receives the synthesized data and proceeds to their analysis. In aphasie disorders the consequent is impaired, while the
antecedent remains intact; combination, therefore,
is
deficient in the
in the
decoding types.
(See
Table
I.)
Table
Encoding
Decoding
based on contiguity.
The
and
Roberts, 1959, p.
7),
and
As
is
297
selection,
Now
that
we have
discussed,
first
on the other hand, combination, based on contiguity, as the start of let us confront two kinds of poetry: lyric, which as a rule is built primarily on similarity; and epic, which operates chiefly with contiguity. We recall that metaphor is the inherent trope in
lyric poetry,
is
In
we
on the
role of a listener
who
is
we observe the
and
and of contiguity
relations in decoding.
SECOND DICHOTOMY:
LIMITATION VERSUS DISINTEGRATION
From
the two basic types of aphasia - the efferent and the sensory -
let
symptoms are to be singled out and reinterpreted. Here we find two attenuated forms among the encoding types there is what Luria calls 'dynamic' aphasia (1962, p. 182); and among the decoding disorders, the
:
type he calls 'semantic' (1962, p. 132; 1958, p. 30; 1947, p. 151). Luria's
use of the label 'semantic',
let
me
meaning given
to this term
only
ment touches only those verbal combinations which exceed the bounds of the verbal code, since the combination of words and word groups into a sentence is the largest ultimate construction entirely organized on the
basis of
compulsory grammatical rules. Another variant of the same syndrome has been described by Luria and
Luria defines this variant as the "dissolution of the
1962, p. 214).
his collaborators.
Viewed
in
its
Such semiotic
activities
and regulated by
298
The
patient, as Luria
to responses
non-verbal
sign systems belongs among the most interesting linguistic and semiotic problems. The inhibition of \isual dreams connected with encoding
p.
The speech of dynamic and semantic aphasiacs is characterized by two opposite features; the former is marked by an excessive embedding in the code and the latter by a one-track embedding m the context. Normal
language makes
a distinction
class can
in
the sentence.
classes.
whereas one and the same function can be performed by different word Semantic aphasia tends to discard this dualism and assign to each
class a single specific function.
is
word
class
its
subject to restrictions.
hus
only the adverbal functions of the noun are retained (for example, John
likes
if
they
examples father's brother and brother's father: a circle under a triangle and a triangle under a circle as groups typically misunderstood. One of
Luria's patients (1947, p. 161) has given us a lucid account of lib efforts
to
I
"I
know
they
are
two.
imagine
I
mother
...
and daughter
Is it
I
...
It's
strange,
but
cannot grasp
...
this.
daughter?
It's
unclear,
don't follow."
not
Adjecti\cs
an attributive
where normally
a great role,
Ijbit,
'sororem uxor
ama,
is
'soror
uxorem
ama. The
syntagmatic
299
more,
Semantic aphasia simplifies and tightens the syntactic rules; furtherit effaces the grammatical connection between sentences, and one
Among
is
sentence.
Yet anaphoric rules based on mere similarity relations cross the borders
of sentences. Pronouns and articles
the
may depend on
disorders,
and
articles
may
be
lost.
Professor
J.
M. Wepman gave me
a good
example: a patient
with me."
who had
slip:
made a symptomatic
"My
He
did not
come
and
classification
and decoding (selection) disorders. Of the two modes of arrangement which operate in language - selection and combination - it is the latter which suffers from encoding disorders.
into encoding (combination)
varieties of
it is
combination
in
temporal sequence;
afferent
and dynamic types of encoding disorder, whereas the third type, aphasia, disrupts concurrence. On the phonemic level, efferent
combination of concurrent distinctive features into
The
typical linguistic
symptom of
afferent
phonemes. In
survive,
and
same way,
afferent
filled in
aphasia, oriented towards the context, causes the loss only of single
constituents, that
is,
those are lost which are least dependent on their simultaneous and
300
CRUCIAL QUESTIONS
LINGUISTIC
HfcORY
Disintecj ration
1-1 %(-^1%%
jucnce
the six types of aphasie impairments.
Fig.
1.
sequential environment.
seems to preserve
as Luria
Ill),
aphasia
is still
insufficient.
is
Afferent aphasia
an encoding disturbance
in
Luna
p.
decoding disturbance
amnestic aphasia
is
impairs
this
only
if
given
constituent
member of a
(or clauses).
among
and
syntactic constructions.
They
freely addible
omissible members; finally, they are the only ones where, as de Groot has
neatly remarked (1957, p. 128), "there
is
strictly
namely a pure, mutual agreement." Thus amnestic aphasia is a similarity disorder which involves the only grammatical sequence based on pure
similarity,
and
afferent aphasia
is
a contiguity disorder
The two-dimensional
(sequential
suffering
CONCLUSION
These brief remarks aim, on the one hand, to indicate the
specific verbal
301
symptoms which
these six types from a strictly linguistic point of view. Three dichotomies
six types of aphasie impairments (see Speech devoid of any cognitive function and reduced to mere emotive, interjectional exclamations remains out of the scope of this
survey.
efferent,
dynamic and
afferent
the context; the three other types - in Luria's nomenclature, the sensory,
in
and
in
integrate
impairment
whereas
fail
to be inte-
and
among
identification
and
set,
there appear
two complex, intermediate types of aphasia: a contiguity disorder which implies the simultaneity axis (afferent aphasia), and a similarity disorder,
dependent on the successivity axis (amnestic aphasia). Consequently, a second dichotomy is operative - the opposition of sequence and concurrence or, in Saussure's terminology (see 1922, pp. 115, 180) successivity
impairments into
dynamic aphasia
impairs neither the phonemic nor the grammatical context, but only those
verbal contexts which contain
more than one sentence and thus exceed the The sentence is the maximum context, structured on the basis of coded rules; therefore we are no longer restricted by compulsory ranking rules when we combine sentences into
an utterance
(see
above,
p.
243).
On
the
other
hand,
semantic
302
Efferent
Impaired:
+
+
303
the
more
and more
is
widely recognized.
Luria,
1958, pp. 27, 30), whereas the decoding impairments, which involve con-
and postero-parietal
lesions.
The
transitional types,
which connect
and centro-
cf.
in contra-
limitative types
are tied to
two polar
bound
to the
anterior, frontal portions of the brain (cf. Luria, 1962, p. 182), the "frontal
intrinsic area
postero-parietal
and
areas"
(cf.
There
What
is
me to
quote the
most
which
production of aphasia (Mettler, 1949). In monkeys fronto-insulo-temporal lesions produce the 'encoding-sequence' defect even though they do not speak. My feeling is, therefore, that the 'encoding-sequence' type of aphasia results not
from a
superficial involvement of area 44 but from infringement on the frontotemporal region of the brain when lesions are deep. If this is so, and if the anterior frontal cortex is considered as part of the medio-basal forebrain (for thalamocortical, phylogenetic and neurobehavioral
reasons),
linguistic analysis.
The two
correspondence in the brain: viz. Decoding/Encoding is Posterior/Frontal in the brain; Concurrence/Sequence (or Simultaneity/ Successivity) is arranged as Dorsolateral/Mediobasal in the brain.
304
any regard to the anatomical data, yields a patently coherent and symmetrical relational pattern, which proves to be remarkably close to the
topography of those lesions of the brain which underlie these impairments.
SUMMARY
The
six cardinal types
conventionally labelled:
of the brain);
II,
efferent
motor (linked with the anterior fronto-temporal motor (retro-central); IV, amnestic
(postero-temporal);
III,
(centro-temporal);
(parieto-occipital),
V,
sensory
require
linguistic classification.
Types
Ml
affect
the encoding
imply
is
damage
presented
first
combination
deficient
in
The
difference
difficulties
Type
II
retains the
reduces the
Type
in type
I
I
impaired.
Likewise, type VI, in contradistinction to type V, does not affect the lower
levels of language.
morphology appears
functions and
word order overpower the morphological categories. Types III and IV occupy an intermediate position between MI and V-VI. Combination processes suffer in all three encoding types, but
while types
I
and
II affect different
decoding types,
but in type IV only items arranged in a series are affected. Thus of the
305
is
involved in
I-II
London,
May
21st, 1963.
REFERENCES
Alajouanine, T. (1956). Brain, 79, 1. Alajouanine, T., Ombredane, A., and Durand,
:
M. (1939). Le syndrome de dsintgration dans aphasie (Paris Masson). Anan'ev, B. G. (1960). Psixologija uvstvennogo poznanija (Moscow, Academy of Pedagogical Sciences). Baudouin de Courtenay, J. (1881). Podrobnaja programma lekcij v 1877-1878 utebnom
godu (Kazan University
:
Press).
Beyn, E.
Brain,
S. (1957).
W.
Critchley,
M.
(1959). In
anniversary of E. R. Squibb and Sons, p. 269 (New York: Putnam's Sons). Fillenbaum, S., Jones, L. V., and Wepman, J. M. (1961). Language and Speech, 4, 91. Freud, S. (1953). On Aphasia (New York: International Universities Press).
Fry, D. B. (1959). Language
Stratton).
and Speech,
2, 52.
Goodglass, H., and Berko, J. (1960). J. Speech Res., 3, 257. Goodglass, H., and Hunt, J. (1958). Word, 14, 197. Goodglass, H., and Mayer, J. (1958). /. Speech Dis., 23, 99. Groot, A. W. de (1957). Lingua, 6, 113. Head, H. (1926). Aphasia and Kindred Disorders of Speech (Cambridge University
Press).
Ivanov, V. V. (1962). In Strukturno-tipologieskie issledovanija, p. 70, ed. Molonaja, T. N. (Moscow, Academy of Sciences). Jackson, J. H. (1958). Selected Writings, vol. 2 (New York, Basic Books, Inc.).
Jakobson, R. (1962). Selected Writings, vol. 1, p. 328 (The Hague, Mouton). Kruszewski, N. (1883). Oerk nauki o jazyke (Kazan: University Press). Lenneberg, E. H. (1962). J. abnorm, soc. Psychol., 65, 419. Luria, A. R. (1947). Travmatieskaja afazija (Moscow, Publishing House of the Academy of Medical Sciences of the U.S.S.R.). Luria, A. R. (1958). Language and Speech, 1, 14. Luria, A. R. (1959). Word, 15, 453. Luria, A. R. (1962). Vysie korkovye funkcii eloveka (Moscow, University Publishing
House). Marie, P. (1926). Travaux
et
Mmoires,
vol.
(Paris,
Masson).
Mettler, F. (1949). Selective Partial Ablation of the Frontal Cortex (New York, Hoeber) Osgood, E., and Miron, M. S. (1963). Approaches to the Study of Aphasia: A report
Press).
Panse, F., and Shimoyama, T. (1955). Arch. Psychiat. Nervenkr., 193, 131. Peirce, H. (1932). Collected Papers, vol. 2, eds. Harsthorne, C, and Weiss, P.
Penfield,
(Cambridge, Mass., Harvard University Press). W., and Roberts, L. (1959). Speech and Brain Mechanisms (Princeton, N.J.,
306
Pribram,
H. (1960). In Handbook of Physiology, vol. 2, eds. Field, J., Magoun, H. W., and Hall, V. E. (Washington, D.C., American Physiological Society, 1323). Rapport au VI Congrs de la Socit franaise de Phoniatrie (1939). Rev. frun.
Phoniatrie, 7.
Saussure, F. de (1922). Cours de linguistique generale, 2nd edn. (Paris, Payot). Wolpert, I. (1929). Dtsch. Z. Nervenheilk. 3, 187.
inkin, N.
I.
(1959). In Psixologieskaja
nauka
SSSR,
1,
Pedagogical Sciences).
Paper delivered at the Conference on Speech, Language and Communication, sponsored by the Brain Research Institute, University of California Los Angeles At present only few workers in the
field
of language disorders
is
still
unimportant.
Now,
in various parts of
are attempting joint inquiry into various questions of language disturbances. In several centers neurologists, psychologists, linguists,
specialists
and other
to obtain the
work together to describe, to examine, to analyze aphasia, and most exact diagnoses and prognoses. In a recent interdisciplinary Ciba symposium (5) devoted to the disorders of language, it was expressly stated that for a very long time
had been unable to participate
efficiently in the investigation
linguistics
of language
is
must
The
participation of linguists in
such
research proves to be important for the study of aphasia, on the one hand,
linguistics,
on the
language in buildup,
i.e.,
and the disintegration of language, exemplified by the various It becomes more and more clear that such
own
order, so to say
an orderly hierarchy of
he said that the
has scarcely
disorders; this order actually exists and must be analyzed. Lord Brain,
same
analytic
phrenic, speech
methods may be applied to psychotic, (3). The linguistic work in this wider
especially schizofield
a linguist to catch certain phases and facets in the process of the illness
easily
remain unnoticed.
During the
earlier period,
when
linguistics
among
nonlinguists certain
308
bluntly,
show
a complete dis-
Such intentional
tentative
intolerable for,
it is
if
primarily,
Un-
many
may
psychologists
came
and that no
differences
be found
is
among
in glaring
contradiction with
It is
and
and
quantitative linguistics
to be able to count
it is
is
one of the important aspects of our science, but necessary to know what one is counting: it would
The
at
the unitary bias are futile because they are based on fictitious rubrics which
actually ignore the phonemic, morphologic,
language.
from various
This
even opposite, types of disturbances. exclude transitional or mixed cases language are similar to
all
Of
course,
polarity does
not
of
fundamental dichotomies enable us to classify the aphasie impairments. had the opportunity to discuss one of them in detail Several years ago
(see above, p.
239 ff.).
Two
my
and combination,
I
for instance,
intend to
something about
father, I
conscious choice of one of the possible terms - father, parent, papa, dad,
daddy
then,
if I
is
in
I select
one
sick, indisposed,
ailing.
Selections
The
entities
by various
similitude,
analogy,
diverse
grades
of
specification,
309
Contrary to
selection,
which
is
various
lingual literature
made
it
clear to
me
that
we have
to deal
with two basic types of aphasia. Either the internal relation of similarity
selective ability is
impaired
was happy to
field
find support
of aphasia as Luria in
Moscow
(35, 36),
and
Wepman (8, 44) and Goodglass (14, 15, 17) in this country. Their observations and also earlier studies, especially Goldstein's (13), prompted me to examine and point out the very close relationship between the dichotomy of selection and combination and the traditional discrimination between two types of aphasia which were known under the somewhat
misleading names of "sensory" and "motor".
Any terminology
is
con-
or in the
problem lay either in the damaged articulatory activities harmed sensory apparatus. This misunderstanding disappears
is
substituted for
In this
more
essential
way occasional symptoms are replaced by far The difference between combination and features.
between encoding
Before discussing the interrelation of these
let
most
instructive,
on
several levels,
war veterans with brain injuries, were brought together in Moscow clinics. The amount of cases that illustrate his findings is quite impressive. In a book published in 1962 (36) and in a paper for the Ciba Foundation symposium (38), Luria deals with six types of impairments, among them
the basic types of encoding disorders, the traditional "Broca's" or
310
"motor" aphasia - in Luna's nomenclature the "efferent" (or "kinetic") type - and the basic type of decoding disorders which carried in these
studies the customary label "sensory" aphasia.
Permit
me
in
on the various
all
levels
Of course,
and not
all
must necessarily be
In
some
some
instances, the
In efferent aphasia, words are preserved, especially those which can be independent of the context - mainly substantive nouns, and in particular
On
we observe
the
words,
the
word
it
initial
Thus nouns
and substantives
if
The nominative is
the only
case which survives, and verbs are used in their most nominalized form.
Thus,
this
there
is
an
in efferent
is
finite
verbs.
The
of such aphasies.
sentences.
On
is
phonemes
are preserved.
The
difficulty
transition
and
dissimilation.
is
in the diversity of phonemes made of phonemic assimilation The more independent a phoneme or distinctive
feature
survival.
resistant
Among
more
interphonemic
Efferent aphasia
is, I
and eloquent
all
levels
of
The
and
least
better preserved than the grammatical suffixes. It is noteworthy that words of the same root but with different suffixes are mutually associated by semantic contiguity, whereas words with a common suffix but different
311
Among
ment"
is
more
easily abolished
its
the modifier to
similarity,
initial
whereas "government"
For
its
was given by the ardent proponent of a scientific approach to aphasia, Hughlings Jackson, one century ago (23). He was the first to recognize
that the
i.e.,
main
to construct a proposition.
so-called sensory aphasia, acutely analyzed
The
The most
which
pronouns,
etc.
more
The
initial
if
the patient speaks a language like English or French, where as a rule the
subject appears at the beginning of the sentence. This difficulty
particularly acute
becomes
when
the subject
is
a substantive in a nonderived,
primary form,
context. It
is
i.e.,
less
vulnerable.
If the required
word
is
is
an
(i.e.,
He is unable to build an equational sentence or to name an object drawn or pointed at he often is uncapable of responding to a word by its repetition, although the same word may be pronounced easily within a context. Some patients counter the request to repeat the
;
cannot".
Faced with these two types of aphasia, we may ask ourselves why the first of them - the loss of the ability to integrate, to create a context affects chiefly the
and
prompted by the
Before
deficits
of
on the phonemic
tions
Here again the combinations are preserved, but within these combinasome phonemes are simplified, especially those which cannot be
Certain phonemic distinctions are
312
lost.
For
accord with
this linguistic
aphasia
is
is
lost.
Among
risky
psychologists,
still
skeptics
in
who
see
only
phonemic perception.
in a
But without
this hypothesis
language
such as Czech or Hungarian, where the contrast of long and short vowels plays a great role both in stressed and unstressed positions, a sensory
aphasie
may
in hearing or in his
no question of inability to hear or articulate vowels of longer or shorter duration; what is lost is the distinctive semantic value of the difference between long and short
speech. There
is
own
signals in the
phonemic code.
reflect the hierarchical
phonemic
pattern.
worker
who
and described
aphasia.
In
this
case report
relevant
disturbances in the
voiceless consonants.
Polish
which underlies and explains the order of these deficits. In the opposition voice-voiceless, the voiced consonants are the so-called "marked"
category.
Many
mark
in
(unmarked)
into
voiced
(marked)
voicing
(+ )/voicelessness ( ),
system: they
mellowness
phoneme.
Thus
91 per cent of the compact (+) consonants, but only 35 per cent of the
diffuse
aphasie.
ones
( ) consonants, lost their voicing in the speech of the Polish Among the diffuse ( ) consonants, 57 per cent of the acute (+) and only 6 per cent of the grave ( ) ones became voiceless. Among
(
h) consonants,
phonemes, but a mere 50 per cent of the mellow ( ) ones, changed from
voiced to voiceless.
Now
let
why
313
Both
connections, which at
founded.
Dr.
No
integrating
Osgood, who has traced the cardinal difference between the and representational capacities (43).
whereas the decoding process presents the inverse
constituents,
relation.
Why
speaker makes the selection of the elements before combining them into
a whole.
The secondary
stage,
is
more
viable.
its
much more
In decoding operations
we have
first
here
lies
speakers.
encoder.
The decoder is a probabilist to a much greater extent than the Thus there are no homonyms for the speaker; when he says "bank" he knows perfectly whether he is speaking about the shore of a
is
homonymy and
is
has to use a
The
sequences change,
as
George Miller
is
(41)
would
say,
into
chunks.
is
When
is
much
lesser
versa.
More
or
less intact
An
at
who
was
On
passive knowledge.
actively,
The active mastery of a language implies Each of us knows more languages passively than and the stock of words one understands exceeds the number
ability.
action
is
wider than
activities.
problem
neglected until
I
became a
would
Vygotsky
cited
(52),
Sokolov
by
(50),
by the
In the light of
aphasia
as
is
quite understandable.
It
suffices
to
confront
the
agrammatism
internal speech
syndrome with
and that
this type
It
it is
of aphasii.
is
The vital ability to translate one another (synonymic or more explicit or, inversely, more
development and use
o\'
efferent type of
was Luria
(32,
36)
level.
As long
as the patient
coded units as
sentences, there
is
no
trouble.
Difficulties begin as
is
is
a particularly intricate
some combination
monologue, that
defects,
is,
and they
fail
is
to execute
especially to build a
a context which
incumbent
The other
is
what
is
is
315
different semiotic
dynamic variety
combination impairment:
limitation in the latter.
disintegration
the
former type,
mere
To
this
of
these processes appears in the variant described by Luria (36, 38) under
the
words and
difficult
much
more
and embarrassing for him than is within a sentence depends on the syntactic environment, the higher are its chances of being understood and uttered by a sensory aphasie; in
semantic aphasia, the selection disturbance appears to be attenuated.
Any grammatical
of speech
is
category,
and
Morphology
yields to syntax.
Each part
it.
Nouns are confined to an adverbal position and are no longer understood when used as adnominal modifiers. Patients suffering from semantic
aphasia cannot grasp the difference between phrases such as "wife's
brother" and "brother's wife".
The
in these cases
Since in English not only aphasie but also normal speech has a
rigid
order.
word order, let us take an example from a language with freer word The basic word order of Russian (subject, predicate, object)
stylistic
admits a
and the nominative of the subject are distinguished by their declensional endings: "Luka pomnit Ol'gu" and "Ol'gu pomnit Luka" both mean "Luke remembers Olga", whereas "Ol'ga pomnit Luku" and "Luku pomnit Ol'ga" state that Olga remembers Luke. For a Russian with semantic aphasia, any noun which precedes the verb becomes a subject, and any postverbal noun is comprehended as an
object
All
such examples
morphology
in favor of a clear-cut
and
stabilized
316
complex and
One
In contra-
affects
the
phonemic
sequences, single
deficits in
type.
there,
we saw, disturbances
The number of
the
in
marks.
compactness mark
distinction.
in a
consonant nearly
for
excludes
voiced-voiceless
Conversely,
afferent
is
too complex
given
other constituents.
The
the substitutes
mere
in
both
linguistic
1
and
clinical aspects,
demands
would
like to refer to
an instructive
Warsaw
it
is
no constancy
and hat terms of any binary opposition are mutually interchangeable: voiced and voiceless, nasal and oral, continuant and discontinuous, and mellow, compact and nonsharp (cf. 24).
strident
diffuse, acute
The
of aphasia)
two dichotomies
suffering
it;
is
manifested
If a patient
from amnestic
fulfill
aphasia
is
likewise he will
317
erroneously identifying the other one. Finally, the proposal that he show and nose will simply perplex this patient. It is a selection
only an iterative selection, a selective operation expanded into a sequence. Three different choices have to be made successively by the patient from one and the same series "eye-ear-nose". "John, Peter, and Mary came to
Boston"
is
played, and
Mary danced"
is
The coordinative constructions are the only ones which suffer in the amnestic aphasia. They are the only grammatical sequences deprived of
freely addible
any internal syntactic hierarchy, and therefore the only open groups with and omissible members. The coordinative words, phrases,
or clauses are linked together only by mutual formal similarity. In these
groups, similarity relations involve not only the simultaneity axis but
also the successivity axis of language.
similarity, the coordinative
Through such a double play of groups become the maximal impediment for
six cardinal types
of aphasia:
ment
which implies
afferent
similarity
and and
affects primarily
(c) disintegration
decodement;
versus limitation.
The
in
was proposed
above, p. 300).
in
my
When on
all
the
and
my own
to classify
European and American works on aphasia, became interested also in the extant attempts aphasie impairments on yet other levels. I followed Hughlings
observations, I
Jackson's warning against any mixture of different levels in the investigation of aphasia (23)
and outlined
my typology
of aphasie impairments on
I
isolation.
While autonomy
is
accomplished,
it is
useful
Thus
asked
in the cortex
I
diffe-
318
typology
may
be drafted.
The combination (contiguity) disorders appear to be connected with the more anterior lesions of the cortex, and the selection (similarity) disorders with the more posterior lesions. If we confront the basic
varieties of these
efferent type
type,
latter
we
These
two attenuated forms of aphasia (mere limitation versus disintegration) are connected with the two polar areas: the frontal intrinsic area of the
forebrain
is
the
affected,
As
to the
two
a combination dis-
order which affects the simultaneity axis, while the other, amnestic
aphasia, is a selection impairment concerned with the successivity axis. These transitional types are linked with more central parts of the cortex the afferent type with retrocentral lesions and the amnestic type with
centrotemporal lesions
interpretive cortex, 45).
(cf.,
Luria's and Pribram's studies (36, 48) and their joint research, both at
taneous
particular
between
such
temporal,
chiefly
sequential
chiefly
phenomena as speech and music, and such typically spatial, simultaneous phenomena as perception of visual arts. It seems
to
me
319
and
still
Perhaps
different
new
light
upon the
DISCUSSION
H. W. Magoun:
impairment
semantic
in
May
you amplify a
more
dynamic
sensory
frontal,
parietal,
amnestic
centrotemporal,
and
postero-
Jakobson:
efferent,
- the dynamic,
deeper and to
affect the
If
localized
much
we
with the time sequence appear to be connected with the mediobasal part
of the brain.
I
confess that
I feel
it
throws new
on the dichotomy of successivity and simultaneity. This dichotomy belongs, as you know, to the burning questions in linguistics, psychology, and many other fields. Anyway, in all its aspects, the outlined dichotomy requires careful examination.
light
J.
Dr. Jakobson
M. Wepman: when
I
I
it
have discussed
this
concept
many
times with
it is
was
at a different stage of
development than
now.
in
am
called amnestic, since I think that all aphasia could probably be described,
one
For myself
at least, I
memory and the ability to recall. would need a great deal of proof about the neuro-
me
Moscow
aphasie patients.
where he works with an impressive number and variety of The results of their careful examination appear very
Many
brain pictures are published in his books (32, 36, 37), with a parallel description of the cases. He pays attention to the different aspects of
Pribram
also,
Luria,
made
320
I
very vague.
new
by
labels.
comparison of
my
work
facilitated
my
I
use of the
same terms he
May
add that
take
full
and of
my own
observations.
As
to the topographic
data,
simply collated
statements.
linguistic
Luria's
my
linguistic
between the
would propose to
N. Geschwind:
would
like,
however, to make
some
historical corrections.
scientific
study of aphasia;
make
types of aphasia.
to point out
comhard
It
is
Jackson,
in
fact, actively
In the face of
such an error,
find
it
was
severely
by Head
(18), in
my
The
had
real
founder of the
scientific
Wernicke. His classic paper (53) succeeded (where Bastian's earlier work
failed) in
in
which
contrasted this
described
comprehend and had fluent, Paraphasie speech. He syndrome with the type of aphasia which Broca had
ten years earlier, in which the patient has a paucity
more than
comprehension.
It
really
two
types of aphasia.
In addition, there
is little
among whom
are
such
different
figures
Liepmann,
Goldstein,
confusing through loss of contact with the original use of the terms by
German
neurologists.
German neurology went into the ascendancy in German victory in the Franco-Prussian War, and
321
somewhat from
neglect with
Germany's defeat
in
World War
I.
German
literature,
in
my
opinion,
difficulty arises
It
must be a
is
it is
turbance of repetition.
Yet
vary
when we study
independently.
the cases
we can
may
Thus,
if
groups:
repetition
and yet
marked impairment of
comprehension.
called
"conduction"
aphasia, for which Kurt Goldstein (11-13) used the term "central" aphasia.
One
is
the fact that repetition and comprehension can be so thoroughly dissociated that patients
who show the most excellent repetition, even of unknown to them, may show such a profound
agree, perhaps, that pure echolalia
comprehension.
C. E. Osgood:
lack of comprehension.
diffi-
on the expressive
common argument
The
fact
is,
is
must be feedback.
this
many
problem
write
(9).
who had lost the ability to read, but who could and had normal language performances otherwise. Many such cases have been described - e.g., Symonds (51), Holmes (20), and many
patient with intact vision
others.
I
cases.
322
beyond
might add
numbers of
cases.
Most of
the best papers in the literature have probably been single-case descriptions.
Let
me
Mechanisms often tend to become blurred in the larger scries. cite some further examples of the preservation of normal
Liepmann
o\'
(27)
and Liepmann
deafness to
carefully in
&
first
case
pure word\cr\
come
life
postmortem.
Their patient
was followed
with,
among
At necropsy
central one.
all
by examination of the
was shown to be intact temporal bones, and the lesion was shown to be a
of
all
&
Stengel (19).
believe
many
model
in its
Dr. Jakobson's
model of
a real brain.
What comes
in
and
his collaborators
have ended up
the
same place that Wernicke did in Head (18) and Marie (39) set out
least
1874.
somehow
at
Jakobson:
am
very interested in
are in agreement.
all
that Dr.
Geschwind
said,
and on
many
weak
in his
questions
we
He may
be right
in pointing to the
particularly
Jackson surpassed
his contemporaries.
linguistics.
would place him among the precursors of modern He launched many ideas which later were developed in the
should be read
still
much more
viable thoughts.
who
interprets
a danger that
some people
in
323
some
countries,
and
terminology.
However,
The most
terms.
is
difficult
My teacher used to
to propose and promote better what you want. All that matters
to
When the decoding ability is destroyed, the encoding abiUty may still be
preserved
disturbances, but even then such disturbances usually lead to a deterioration of encoding as well.
chance to remain
intact.
Geschwind:
(encoding) disturbances. Yet Dejerine's patient (4) went over two years
During
level,
this time
he
played cards,
letters
on business
I
The
difficulty
in
full
period.
have
many months.
is
upon
speech,
and they
differ
in
development and in
their disturbances.
As
to spoken language,
may I ask whether there are recorded cases of a lengthy down with preservation of intact motor activities?
restricted to written language.
sensory break-
(27)
had
seen
who most
show
closely
did not
&
I
had had a
it
do not
believe that
really
makes a
Jakobson:
there
unilateral
amusia.
When
I feel
cautiously,
perhaps
question
the
on the enco-
ding side,
the symmetrical
324
passive masters.
Wepman:
we should not forget there is a level of language cortical one. The example that was given of the echolalic
think
is
commonly
seen
said,
of his own.
do
ideal
topographical relationship between the brain and language, the fact that
it is
is
important, for
provides us
at least
with
Geschwind:
that there
From
is
which
in the
a loss of speech
the child,
lor
this reason,
aphasia
is
more
difficult
on the
made
in the
German army
fluent
World War
I,
that the
become
o"
and Paraphasie.
men.
The
fluent
relatively old
effects
in the child
Whatever
it
is
mental process
itself.
Thus, linguistic
from
Geschwind:
the adult
occurs.
is
agree;
and
damage
Jakobson:
statements.
not at
all
The
collapse of equation
the crucial
may not realize that the word presented sometime before is when presented a short time later." Word identity does not him, and the word is inseparable from its context. Those
325
who deny
contextual
aphasies.
the general meaning of a word and operate only with meanings unwittingly describe the language of sensory
One can
is still
The number of such records As was recently emphasized by the linguists Ross in the London Ciba Foundation symposium (49) and Ivanovin Moscow (22),
exhaustive descriptions of aphasie language.
insufficient.
edited, as
It
what
must be reproduced,
methodological
skill.
transcribed,
a classical
example of objects
essentially distorted
with their families and conversation of aphasies with one another must
be meticulously recorded.
Most of
require-
when aphasie speech is recorded with the joint participation of linguists and clinicians will we have well prepared and annotated samples of the various forms of aphasia. The Ciba Foundation symments. Only
posium
(5)
all
As
am
While the
dynamic
and
more
Osgood:
Dr. Jakobson, or Dr. Geschwind in his studies with Davis Howes, have
some answer
contiguity.
in the
split,
type, in
is
same
walks.
Using
this
basic
distinction
between the
326
similarity
as
carried
into
this
analysis
from your
certainly
would expect
that aphasies
who
On
me
a
the other hand, the aphasie with a similarity disorder should tend to give
sequential associates and not the paradigmatic type.
This
seems to
all
on word-association
Was
to,
this part
Geschwind: Davis
has referred
I
Howes and
I
Osgood
and
Wepman
Wepman: One of
that they have
all
is
than as
think
it
is
time
in
the study
of aphasia that we
individual.
I
start
groups of aphasies.
Many
much
aphasies
know; most of
to
them do not
talk as
We find
much
I
that
we have been talking about them. when aphasies have some interchange they are inclined
as
well with gestures.
communicate quite
without gestures.
They
to each other,
to
communicate
to
any extent
am
in
naturalistic
environment would
talk
provide very
to
They
much
better
There seems to be a
human interrelationship at the verbal level. Consequently, they talk in a room by themselves or to a set of pictures better than they to another person. What then is a naturalistic environment for an
aphasie patient?
may
remind
monograph
Is
to words.
digmatic or syntagmatic?
mere synonym of "house"? These are paradigmatic responses, whereas syntagmatic responses add to the word "house" some predicate or
attribute:
"little".
This duality
327
may
play a considerit is
appro-
it is
to deficiencies in verbal behavior but can extend to other semiotic activities as well, for example, gestures
Geschwind:
symbolic actions
is
and
gestures.
This view
is
an
aspect of a
more
name
make any
movements by aphasies. The pioneer study in this field was made by Liepmann (29), the same man who five years earlier had initiated the study of apraxia in its modern sense (28). Liepmann showed, and I have been able to confirm (10), that there are some aphasies who show great
difficulty
Goodglass
&
Kaplan
from a
this is
I
different point of
conclusions: aphasies
may have
This case
Liepmann
(29).
an aphasia in
My
commands with
"Make
fist".
you became
ill?"
with the
he replied, "Nails".
When asked if he knew the use of a hammer, He was able to point out when the examiner made a
having rejected incorrect movements by the
demanded move
correctly,
examiner. Close consideration of this case shows that the patient could
give correct verbal responses (although of only one word) in situations
in
gesture.
The
I
reverse
is
also seen.
no support
Jakobson:
his
To avoid
is
further misunderstandings,
must
state that in
works on the
a general deficit in
all
328
activities,
it is
verj important
to find out in any type of aphasia the relation between the affections of
all
but
it
wanger(7),
who
syntactic
full
mastery of complex
In the
I
am
again for
autonomy but
When
investigating
aphasia,
we must perform an
and
at the
same time pay due attention to the semiotic u hole. O. Lindsley: I wonder sometimes whether we do not pay too much am thinking attention to primarily sensory or motor aspects of aphasia.
I
whether we pay
illustration,
I
said.
As an
made two
somehow was paying attention to auditory feedback or afterimages of what he had said. He may have been paying attention to the specific word combinations, the contiguities, or the sequence when
That means
that he
satisfy
him and
the opposites.
What
am
Hixon Symposium some years ago, namely that the sense of a particular word like "right", "rite", or "write", which is used in a variety of combinations, could only be known after one had uttered a whole sentence, and literally one had then laid before oneself the auditory feedback or, let us say, an afterimagery which enabled one to see the context in which these same sounds had been used, as in "millwright" or the "rite" of ritual, and so forth. In other words, I am
mentioned
in the
for
is
one of
specific
much
as
it is
take
it
that Luria
is
interested
something of
this sort
me about some
literature
well.
on
reticular activation.
He made
329
take
it
that by
"verbal instruction" he
to keep in
mind
attentively, for
a long period, something which has been uttered as a verbal instruction, or which the individual gives himself as a verbal instruction.
So, in
am
really
mechanisms which control attention. regulate the rhythms of the brain, and
If nonspecific
if
may possibly
be concerned with
I believe
mechanisms ought to be given more consideration when we examine aphasies. I do not know precisely how one
that attentional
goes about
this,
but
of getting at attentional
In our
own
somewhat tired and want to say many things, we can make aphasia-like mistakes and immediately correct ourselves. Yet we can concentrate our attention in two different ways - either on the context or on its constituents. That is the essential difference between us and aphasies. Aphasies have a unilaterally oriented attention, neglecting either the whole or the constituents, without being able to be unitarian, as some students of aphasia would like to see them. The clear-cut types of aphasia present the most striking examples of such one-sidedness. For instance, in Paris Professor J. Alajouanine presented me with his most interesting cases of aphasia. There was one remarkable example of sensory aphasia, a French truck driver who had had a traffic accident. His high intelligence was preserved, however, and he was able to help us efficiently in our examination of his case. He understood what we were talking about, tried to inform us, spoke readily, and uttered long sentences. The main difficulty for this patient was to begin a sentence; its initial word was a serious handicap for him, especially when the sentence was the first in an utterance. Also, when one showed him something, e.g., a pencil, and asked, "What is this?" he could provide a
detailed
when we
able to
is
name
the thing
itself.
Or
if
he
How
may
He was
writing,
330
"J'cris."
what he was doing; the answer was: and asked him what I was doing, but he was unable to start a reply. Why? Because with autonomous initial words in French - vous, nous,
etc.
it is
"Qui cri.
' ,
"Vous."
prefixes.
On
tu, il
are
mere preverbal
We
it
ments, and we saw that the personal pronoun handicapped the patient only when
subject,
whereas when
functioning as preverb
presented no
difficulties.
As
instruction,
is
frontal localization.
Lima emphasizes
instructions received.
different studies
When we
analyze
36, 38),
we note
common denominator
who
of
all
these cases
If
the
one
says,
"Draw
in this case
drawing -
is
embarrassed.
We
sition
pictures, etc.
of encoding disturbances.
/.
/.
Hirsh:
With respect
all
want
to ask whether
the aspects
necessarily language-
bound aphasia,
in the cases in
in particular
some of
you described
difficulty in
of sensory aphasia.
wonder whether
(p.
this
same
specificity
of the difficulty
i
321).
Is repetition
more
difficult for
whole
words?
Would
this
have
less difficulty in
own?
who
has difficulty
difficulty
with sequences
(its
immediate constituents
and
its
is
quite different
from other
331
temporal sequences, and therefore verbal sequences naturally confront the patient with specific problems.
- I borrow an example from the valuable study of the Prague on aphasia, A. Pick (46) - "drha", with the length of the first vowel, means "road"; "drah", with the length of the second vowel, means "dear" (feminine). The difference between long and short vowels
In Czech
expert
is
Czech
or Hungarian, but the distinctive role of this difference can be lost in the
language of a native aphasie, and both quoted words become homonyms, although the ability to pronounce vowels of longer and shorter duration
and to perceive
psychiatrist
may be
preserved.
Monrad-Krohn
(42)
woman who
listening
when
and when speaking, the two word intonations which play a significant phonemic role in the Norwegian language. The fact that
differentiate
Norwegian intonations
their
intonational differences are not utilized for the distinction of words, they
As soon as Monrad-Krohn's patient ceased to employ word intonations for phonemic purposes, she shifted to an emotive use of intonations. The results were distressing. When she shopped, the Norwegians did not want to sell her anything, suspecting her of being a German, although in fact she knew no German. What was lost in these cases was not the Czech vocalic length or the Norwegian pitch, but only a certain linguistic function which these features carry in their given languages. It is important to insist on this point because too
assume an emotive function.
often an extrinsically acoustic or articulatory interpretation
substituted for a thoroughly linguistic,
is
erroneously
case one
is
phonemic
Brain Function,
November
No. 4
332
CRUCIAL QUESTIONS
CM
LINGUISTIC IIIIOKV
REFERENCES
1.
loss
of speech
2.
For. Med.-Chir. Rev. (1869), 43, 209-236; 470-492. grammatieskogo stroenija E. S. Beyn, "Osnovnye zakony struktury slova
i
ei
de
pri afa/ijax",
3.
W.
J.
4.
R. Brain, "Statement of the problem", in: Disorders of Language (A.. V. Reuck and M. O'Connor, Eds.) (London, 1964), 5-20. Dejerine, "Contribution a l'tude anatomo-pathologiquc et clinique des
(
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diff-
6.
W. Doroszewski,
F..
A. V. S. de Reuck and M. O'Connor (Eds.), Disorders of Language (London, 1964). "Je/yk - system /nakw a procesy mowy". Sprawozd. Prac
(1963), 6, 1-16.
9.
Feuchtwanger, "Amusie", Forisehr. Neurol. Psychiat. (1932), 4, 289-305. S. Fillcnbaum, L. V. Jones and J. M. Wepman, "Some linguistic features of speech from aphasie patients", Lang. Speech 1961 ), 4, 91-108. The anatomy of acquired disorders of reading", in: Reading N. Geschwind,
(
Disability
10.
(J.
Am. Neurol
Ass., 88 (1963),
..
12.
K. Goldstein, "Die Lokalisation in der Grosshirnrinde; nach den rl'ahrungen am kranken Menschen", in: Handbuch der Normalen und Pathologischen Physiologie,
I
Vol.
13.
14.
K. Goldstein, Language and Language Disturbances; Aphasie Symptom Omplexes and Their Significance for Mediane and Theory of Language i\cw York, 1948). H. Goodglass and J. Berko, "Agrammatism and inflectional morphology in
English", J. Speech Hear. Res.,
3
(
I960), 2>"-267.
15.
H. Goodglass and
J.
14(1958), 197-207.
16.
17.
H. Goodglass and
(1958), 99-111.
J.
Mayer, "Agrammatism
in
aphasia",
J.
Speech Hear.
Dis.,
23
18.
19.
H. Head, Aphasia and Kindred Disorders of Speech (New York, 1926). "A study on pure word-deafness",
J.
Neurol.
20.
21.
M.
Isserlin,
. Foerster, Eds.)
V.
issledovanija (T.
(.
and
22. V.
Ivanov,"Lingvistika
issledovanie afzii",
in:
Strukturno-tipologieskie
1962), 70-95.
23. J.
24.
25.
26.
27.
H. Jackson, Selected Writings, Vol. II (J. Taylor, Ed.) (New York, 1958). R. Jakobson and M. Halle, "Phonology and phonetics", in: Selected Writings of R. Jakobson, Vol. I (The Hague, 1962). K. S. Lashley, "The problem of serial order in behavior", in: Cerebral Mechanisms in Behavior (L. A. Jeffress, Ed.) (New York, 1951), 112-146. E. H. Lenneberg, "Understanding language without ability to speak: a case report", J. Abnorm. Soc. Psychol., 65 (1962), 419-425. H. Liepmann, Ein Fall von reiner Sprachtaubheit: Psychiatrische Abhandlungen
(Breslau, 1898).
333
H. Liepmann, "Das Krankheitsbild der Apraxie ('motorischen Asymbolie') auf Grund eines Falles von einseitiger Apraxie", Mschr. Psychiat. Neurol., 8 (1900),
15-44; 102-132; 182-197.
29.
H. Liepmann, "Die linke Hemisphre und das Handeln", Mnch. med. Wschr., 52
(1905), 2322-2326; 2375-2378.
30.
31.
32.
33.
34.
H. Liepmann and E. Storch, "Der mikroskopische Gehirnbefund bei dem Fall Gorstelle", Mschr. Psychiat. Neurol, 11 (1902), 115-120. A. R. Luria, Reevye reakcii rebenka (Moscow, Akad. Kom. Vospitanija im. Krupskoj, 1927). N. A. R. Luria, Travmatieskaja afazija (Moscow, Akad. Med. Nauk USSR, 1947). A. R. Luria, "Brain disorders and language analysis", Lang. Speech, 1 (1958), 14-34. A. R. Luria, "The directive function of speech in development and dissolution", Word, 15 (1959), 341-352; 453-464.
ix naruenie pri
lokaVnyx po-
raenijax
37.
Press, 1962).
A. R. Luria,
Mozg eloveka
Nauk
RSFSR,
1963).
39.
40.
41.
and forms of aphasia", in: Disorders of Language (A. V. S. de Reuck and M. O'Connor, Eds.) (London, 1964), 143-167. P. Marie and C. Foix, "Les aphasies de guerre", Rev. Neurol., 31 (1917), 53-87. M. Maruszewski and H. Mierzejewska, "Zastosowanie analizy lingwistycznej w badaniach nad afazj", Studia Psychologiczne, 5 (1964), 73-103. G. A. Miller, "The magical number seven, plus or minus two: some limits on our
capacity for processing information", Psychol. Rev., 63 (1956), 81-97.
42.
43. C. E.
in:
Nebraska
44.
Symposium on Motivation (M. Jones, Ed.) (Lincoln, 1957), 348-424. C. E. Osgood and M. S. Miron (Eds.), Approaches to the Study of Aphasia
(Urbana, 1963).
45.
W.
Penfield
46. A.
Pick,
and L. Roberts, Speech and Brain-Mechanisms (Princeton, 1959). "ber nderungen des Sprachcharakters als Begleiterscheinung
47.
K. H. Pribram, "The
aphasischer Strungen", Zschr. Neurol. Psychiat., 45 (1949), 230-241. intrinsic systems of the forebrain", in: Handbook of Physiology; Neurophysiology II (J. Field, H. W. Magoun and V. E. Hall, Eds.)
RSFSR,
51. C.
1959), 488-515.
J.
Symonds, "Aphasia",
52. L. S. Vygotsky,
53.
Thought and Language (E. Hanfmann and G. Vakar, Eds. and Transi.) (Cambridge, 1962). Wernicke, Der aphasische Symptomencomplex. Eine psychologische Studie auf
anatomischer Basis (Breslau, 1874). I. inkin, Mexanizmy reci (Moscow, Akad. Pedagog.
54.
N.
Nauk RSFSR,
1958).
Why
docs
nonobjective,
nonrepresentational,
abstract
painting
or
sculpture
still
jeers, vituperation,
in the
paralleled
Why
is
role,
its
earlier acquisition. 1
In
E.
Sapir's
all
other
all
gesture
accompanying speech". 2
The
late
M. Aronson,
a gifted observer
in
who had
studied
first in
Vienna
in
Radio Leningrad in order to improve and develop radio drama. 3 Attempts were made to introduce into the
several other research workers at
montage of the
Yet, as the experience disclosed, "nur ein unbedeutender Teil der uns
in
and
wind, rain and various other noise producers, but in view of the poor
discriminative capability
1
shown by
the listeners,
it
proved to be necessary
LXXX (1951),
2
"Natural and scientific language", Proc. Amer. Acad. Arts Sciences, 87 f. Sapir, E., Language. Selected Writings (University of California Press, 1949), 7 ff. Aronson, M., "Radiofilme", Slavische Rundschau, I (1929), 539 ff.
Lotz,
J.,
335
One can
is
it is
of natural noises
and therefore
his conclusion
quite difficult to utilize them for a radio play. However, - "Wir leben mehr mit der Sehkraft als mit dem Gehr" precise restatement.
demands a more
Using C.
S. Peirce's division
associated with
its
object
by a
and an icon by a
acts
factual similarity,
whereas there
no compulsory
refer to.
existential connection
between symbols
symbol
ventional rules underlie the relations between the diverse symbols of one
and the same system. The connection between the sensuous signans of a symbol and its intelligible (translatable) signatum is based on a learned, agreed upon, customary contiguity. Thus the structure of symbols and
indexes implies a relation of contiguity
(artificial in
object.
main
difference
among
signs
is
themselves.
tional in
its
Thus any
mode
aided by
may
On
the other hand, the pertinent role played in language by iconic and
indexical symbols
still
their use
much
and
utiliza-
imitations of
On the other
human
mere reference to the predominance of word and music in radio suffice to prove that Aronson's conclusion as to the supremacy of sight over hearing in our cultural
or icons, and not for symbols.
life is
We
a widespread tendency to interpret various spots, blotches or broken roots and twigs as effigies of animate nature, landscape
our eye.
Peirce,
Press,
S., "Speculative grammar", Collected Papers, II (Harvard University Cambridge, Mass., 1932), 129 ff.
336
or
still life,
image into some natural object occasions an instinctive any approach to abstract paintings as if they were puzzle pictures, and hence gives rise to a naive anger when no answer to the supposed riddle can be
visual
found.
Both visual and auditory perception obviously occur in space and time, but the spatial dimension takes priority for visual signs and the
temporal one for auditory
signs.
complex
of simultaneous constituents, while a complex auditory sign consists, as a rule, of serial successive constituents. Chords, polyphony, and orchestration are manifestations of simultaneity in music, while the
role
is
dominant
language
in
Moreover,
it
is
the linearity
its
to
There
is
ously visible picture and a musical or verbal flow which proceeds in time
and successively
calls for
excites
simultaneous perception of
if it is
spatial composition.
The verbal
or musical sequence,
fulfills
to be produced, followed
it
and remembered,
chical structure
Thomas Aquinas's
terminology,
visual sign
is
No
similar
components underlie
it
and even
if
some
neither
and rapidly fatigues us when we watch an abstract which inhibits our perceptive and mnestic abilities.
In the Ciba Foundation
and
Symposium of
in
- and,
tie
and the
Luria,
latter to
The work of
syntheses
and
mental
distinction
between
simultaneous
and
successive
Mozg eloveka
1963).
VISUAL
introduced by
I.
AND AUDITORY
in
SIGNS
varieties participate
337
not
M. Seenov
1878. 6
Both
by Luria,
is
processes.
sition
With regard
a transpo-
of a sequential event into a synchronous structure, whereas in the perception of paintings such a synthesis is the nearest phenomenal
affected
by dorsolateral lesions
(cf.
on
On
and the
from a
When
mediobasal brain injury "was faced with a complex picture, one isolated
component could be grasped immediately and only afterward did the other components begin to emerge, little by little".
SUMMARY
A
manifold dichotomy of signs
may
be outlined.
Primarily representheir
tational signs,
objects,
tational signs,
The former
deal
and
In
contrast to the
hierarchical arrangement
selected,
and
discrete elementary
components, conceived,
6 7
See Secenov's Elementy mysli (Academy of Sciences of the USSR, Moscow, 1959). "Disorders of 'Simultaneous Perception' in a Case of Bilateral Occipito-parietal
LXXXII
(1959), 437ft".
Form
discussions,
During these two days we have had some extremely interesting papers and and several points which were brought up seem to me
particularly important
and productive.
is
It
in
of speech sounds and of sounds which are not identified by the listener
as constituents of speech, even though they be externally similar or even
identical.
The
and con-
in the
J.
C. Webster
and more compared to all other sound stimuli. The authors of this paper state - and in so doing they are developing some very stimulating views expressed by D. Kimura three years ago 2 - that the right ear has a more exact discrimination of speech
and R. B. Chaney, 1
is
left
ear a
Today we heard
a further discussion
similar, as well as
about the
It is
new and
rapidly
developing science the question of the relation between the various sys-
"Information and Complex Signal Perception", Proc. AFCRL Symposium of the Perception of Speech and Visual Form (M.I.T. Press, 1966). 2 "Cerebral Dominance and the Perception of Verbal Stimuli", Canadian Journal of Psychology, XV (1961).
1
Models for
339
We face
and sign
model of
sign production
To
the
same
between the perception of audible speech and reading, approached today in the brilliant paper by Liberman and Cooper and their co-workers. 3 It
this
seems to
me
you
as
we hear
to perceive
Now
what
would
like to
touch upon
and auditory
signs.
modern
art, his
newspaper reports about Xruscev's recent declarations on sharp and dictatorial protests against nonrepresentational,
It
abstract painting.
was
why do
we
and accept nonobjective painting? An official Moscow handbook has summarized this attitude of repugnance "We do not like abstract art for the simple reason that it takes us away from reality, from labor and beauty, from joy and sorrow, from the very throb of life into an illusory and spectral world, into the futility of the so-called selfexpression." But why does the same tirade lose all sense when applied to
inability to grasp
:
musical art? In the entire history of the world quite rarely have people
grieved and asked,
"What
throb of
life
human
beings as soon as
we
young
specialist in linguistics
and
poetics,
were trying to diversify and enrich the broadcast programs by complementing the words and music of the radio dramas with reproductions
of natural sounds and various noises
[s.
above, p. 334
f.].
These attempts
them
to their sources. It
was
AFCRL Sym-
posium ***.
340
that
it
elusion drawn
He supposed
enough
much
greater role
Thus
lies
not
and audition. have mentioned one puzzling question, namely why abstract painting surprises and sometimes even provokes prohibitive measures and ob,
structions against
it.
human
a pathological state.
On
the
some ethnic groups even general, social condition. 4 Why is it that visual word messages are, so to say, a superstructure, a "parasitic formation" upon the universal phenomenon of spoken language? Why are all other forms of human communication
other hand, illiteracy
is
a widespread, in
in the case
of writing,
mere
These
signs
sequence. Every complex visual sign, for example every painting, presents
Of
draw
It
phonemes
are simul-
mere
linearity.
is
speech
What
*
illiterate,
Around 43-45 % of the world population are totally, and 65-70 % "functionally" according to the Unesco statistical survey L'analphabtisme dans le monde au
milieu du
XXe
sicle (1957).
341
We
and
to view
them
as elements of
an "imitative
art".
How
or other natural bends, crooks and patches are taken for representations
why
a naive
it
when looking
at
and then
loses his
work
"is
just a mess!"
is
is
and
it
is
members
clearly formulated
by Thomas of Aquinas.
When
They
is
we
and
When
"What
we
find
no
correlates to
distinctive features.
of signs.
Cinema
and some
by international research
may I share with you my personal experience with abstract films. Although
have belonged to the ardent and active adherents of abstract painting from the time of the first Russian steps in this direction (Kandinskij, Larionov, Malevi, Bajdin, Romanovi, Rodenko), I feel completely exhausted after five or ten minutes of watching such films, and I have
I
342
heard
many
similar testimonies
MacKay used a good expression - "visual noise" - which renders perfectly my response to these stimuli. The chasm between the intention of the
artist
we continue
to discuss
must
on
this
matter expressed
in
the
modern
literature
about aphasia.
Especially the
Moscow
expert in language
have tentatively termed "the two basic types of disturbances which simultaneity disorder" and "the successivity disorder". A. R. Luria
I
When we
say "simultaneity"
we mean
all
in the set
The whole field of transformational grammar evidently belongs to the same area. In his new book on the Human Brain and Mental Processes (1963), Luria shows that it was wrong to connect all the disturbances in the visual
perception of such objects as paintings solely with the so-called visual
centers at the back of the cortex.
He
discloses that
its
frontal,
pre-motor
part
is
we
first
employ step-by-step efforts, progressing from certain selected from parts to the whole, and for the contemplator of a painting
tion follows as a further phase, as a goal.
details,
integra-
pre-motor impairments
M.
870's
[s.
and similar
two
The problem of the two types of synthesis plays a very great role in linguistics. Today we heard allusions to this dyad in the various paper
343
about models of speech perception. The interrelation of successivity and simultaneity in speech and language has been vividly discussed by
our century, but certain paramount aspects of the same problem were sagaciously approached already in the old Indie science
linguists of
of language. In the
fifth
The
first
the message as
speaker.
What
two
namely the stage of comprehension, where the sequence appears to be changed into a concurrence. The sequence must be seized and experienced
at one and the same time. This conception is akin to modern psychological problem of "immediate memory", astutely examined by George Miller, 5 or in other terms the "shortrate memory", as we heard it outlined today in this Symposium. At this stage the whole
by the interpreter
the
sequence, whether
it
which
is
decoded by means
These
vital questions
Two
literature,
G. E. Lessing,
He
taught that
an
art
Nachein-
G. Herder,
is fictitious,
literary succession
and an
is
impossible. In order to
comprehend
and evaluate a poetic work, we must have, according to Herder, a synchronic insight into its whole, and he gives the Greek name energeia to the
simultaneous synthesis which enables us to comprehend the entirety of a
verbal flow.
It is clear that between visual, spatial signs, particularly painting, and on the other hand verbal art and music, which deal primarily with time,
number of
many
Our
common
6
traits.
"The Magical Number Seven, Plus-or-minus Two, or, Some Limits on Capacity for Processing Information", Psychological Review, LXHI (1956).
344
fully taken
and temporal
arts,
and between
signs in general.
When
when the listener reaches a synthesis of what he has heard, the phonemes have in fact already vanished. They survive as mere afterimages, somewhat abridged reminiscences, and this creates
present; but
At the end
fact that
would
like to
add that
my
interpreted as a
it
common
The
least
is
a superstructure
line
of
no contradiction
the legitimate
The
trans-
fine arts
From
socially
and
territorially limited,
universal,
futile.
one would
harmful or
It is
The same
to be applied to nonobjective
art.
it is
at
some
loss to
oral
communication and
Published in Proc.
Visual
AFCRL
the Perception
of Speech and
Form
(1967).
Since "in
human
Leonard Bloomfield's
this coordination
to study
language."
"there
is
And one
Humboldt taught
that
an apparent connection between sound and meaning which, however, only seldom lends itself to an exact elucidation, is often only
glimpsed, and most usually remains obscure."
of language.
How
it
lin-
may
amazing novelty of Ferdinand de Saussure's interpretation of the sign, an indissoluble unity of two constituents signifiant and signifi - although this conception jointly with its terminoloin particular the verbal sign, as
theory.
gy was taken over entirely from the twenty-two-hundred-year-old Stoic This doctrine considered the sign (arjueov) as an entity constituted
signifier
(o"T|uaivfievov).
and the
latter
more
linguistic
distinguished from
exhibit an adaptation
meaning by the term xuyxvov. St. Augustine's writings and further development of the Stoic inquiry into
this pair
of
middle of his
last
its
The twofold character and the consequent "double cognition" of any sign, in Ockham's terms, was thoroughly
of approaches.
346
Perhaps the most inventive and versatile among American thinkers was Charles Sanders Peirce (1839-1914), so great that no university found
a place for him.
signs
His
first,
"On
New
List of Categories"
- appeared
in the
Proceedings of
the American Academy of Arts and Sciences in 1867, and forty years later, summing up his "life long study of the nature of signs" the author stated:
am, as far as I know, a pioneer, or rather a backwoodsman, in the work of clearing and opening up what I call semiotic, that is, the doctrine of the essential nature and fundamental varieties of possible semiosis; and
"I
I
find the field too vast, the labor too great, for a first-comer."
He
keenly
of the ancient and medieval logicians, "thinkers of the highest order", while condemning severely the usual "barbarous rage" against "the marvellous acuteness of the Schoolmen".
that
zeal
if
.;
name
back to the
Peirce praised
and widely
had not been sunk but pursued with and genius, the twentieth century might have opened with such
the early "doctrine of signs"
vitally
as,
for
instance,
is
linguistics
"in
decidedly
will
there
much
have reached
end of 1950."
From
it
this
new branch of
become
but a part of this general science and would determine what properties
make language
It
would be
some
genetic relation
Half a century of
and
if
they had not remained for the most part unpublished until the
linguists, they
would
inter-
makes a
any
sign,
and
its
"immediate interprtant",
that
offer
is,
qualities"
347
The
its
signans
and signatum,
it."
resembles
2)
its
The index
acts chiefly
by a
between
e.g., smoke is an index of a and the proverbial knowledge that "where there is smoke, there is fire" permits any interpreter of smoke to infer the existence of fire
fire,
was lighted intentionally in order to attract someone's attention; Robinson Crusoe found an index: its signans was a footprint in the sand, and the inferred signatum, the presirrespective of
fire
ence of some
in Peirce's view,
an index, and
in
such cases
of diseases which
3)
is
The symbol
acts chiefly
being a rule"
and does not depend on the presence or absence of any similarity or physical contiguity. The knowledge of this conventional rule is obligatory
for the interpreter of
word
by Saussure and
it
his disciples,
he objected to
term because
traditionally involves
(e.g.,
some
natural
the symbol of
had
seme
It suffices
deliberations
revive
the
question,
astutely
hero
insists,
or "by
in
is
Plato's dialogue
is
348
com-
Among
scholars
who
linguistic
Dwight Whitney (1827-1894), who exerted a deep influence on European thought by promoting the thesis of language as a social institution. In his fundamental books of the 1860's and 1870's, language was
defined as a system of arbitrary
and conventional
signs (Plato's
':rciu>y v
vm
and o4)v0)uutu). This doctrine was borrowed and expanded by F. de Saussure, and it entered into the posthumous edition o\' his Cours de
linguistique generale, adjusted by his disciples
C'.
Bally and
it
. Seeheha\e
(1916).
The
teacher declares:
is
"On
seems to us that
right:
language
is
posited as the
signatum
is
arbitrary."
The commentai)
it
than assign to
all
it
The
the science of language [la langue in the Saussurian sense of this term,
i.e.,
its
In
accord
arbitrary sign
As a matter of was
dogma of
far
from unanimous.
In
Damourette
&
E.
"The
sign
is
du signe
brought out the crucial fact that only for a detached, alien onlooker
the
for
bond between the signans and signatum a mere contingence, whereas the native user of the same language this relation is a necessity.
Saussure's fundamental
demand
and meaning
differences in space
connection between the two constituents of the verbal sign. The Swiss-
German
peasant
woman who
why
cheese
is
called
349
fromage by her French countrymen - "Kse ist doch viel natrlicher!" displayed a much more Saussurian attitude than those who assert that every word is an arbitrary sign instead of which any other could be used for the same purpose. But is this natural necessity due exclusively to
Do verbal signs - for they are symbols - act "by virtue only of there being a habit that associates" their signatum with their signans?
pure habit?
One
is
his
classes of signs
shrewd recognition that the difference between the three basic is merely a difference in relative hierarchy. It is not the
between the two constituents which underlies the division of signs into
icons, indices
and symbols, but merely the predominance of one of these Thus the scholar refers to "icons in which the
likeness
is
and consistently
represented in profile, and in acient Egyptian art only en face. Peirce claims
that "it
would be
difficult, if
index, or to find
Such a
pointed at
is
thus damned.
On
one
is
talking about".
functions in
all
and
and iconic components of verbal symbols, is intimately linked with his thesis that "the most perfect of signs" are those in which the iconic, indexical, and symbolic characters "are blended as equally as possible". Conversely, Saussure's insistence on the conventionality of language
is
bound
most appropriate to
The
my
p.
study
"Shifters,
130 if.).
Now
let us attempt to approach the linguistic pattern in it iconic aspect and to give an answer to Plato's question, by what kind of imitation
(uiuriGic;)
350
first
time or
in
rank.
far
the reverse,
because the
standing.
initial
The correspondence
its
in
right place
among
He
singled out
two
distinct subclasses of
icons - images and diagrams. In images the signans represents the '"simple
qualities" of the signatum, whereas for diagrams the likeness between
in
predomi-
aided to be so by conventions."
Such
may
which
illustrate a quantitative
comparison
in
o\~ steel
produc-
tion in the
USA
such
a typical
diagram
as statistical
[f g
tinuous
line,
Theory
semiotic research;
The discussion of different sets of diagrams leads him to the ascertainment that "every algebraic equation is an icon, insofar as it exhibits by means of the algebraic signs (which are not themselves icons) the relations of the quantities concerned." Any algebraic formula appears to be an
icon, "rendered such
dis-
Thus "algebra
is
"language
is
must serve as
may
I
be understood."
universals
When
discussing
J.
the
grammatical
and near-universals
detected by
H. Greenberg,
its
elements by virtue of
351
clusion,
is
precedence of the conditional clause, with regard to the conthe only admitted or primary, neutral, nonmarked order in
If almost everywhere, again
and object
is
latter, this
grammatical process
Sapir's terms, "con-
is
predicated
is,
in
Edward
ceived of as the starting point, the 'doer' of the action" in contradistinction to "the end point, the 'object' of the action."
The
about.
Whatever the actual rank of the agent, he is necessarily promoted to hero of the message as soon as he assumes the role of its subject. "The
subordinate obeys the principal".
attention
is first
of
all
upon
If,
"The principal
"The subordinate obeys; the principal is obeyed". As centuries of grammatical and logical scrutiny have brought to light, predication is so cardinally different from all other semantic acts that the forced reasoning intended to level subject and object must be categorically rejected. The investigation of diagrams has found further development in modern graph theory. When reading the stimulating book Structural Models (1965) by F. Harary, R. Z. Norman, and D. Cartwright, with its
thorough description of manifold directed graphs, the
linguist
is
struck
by
The
Such
lin-
each
other and with the initial and final limit of the sequence, the immediate
neighborhood and distance, the centrality and peripherality, the symmetrical relations, and the elliptic removal of single components find their close
equivalents in the constitution of graphs.
The
literal translation
of an
entire syntactic system into a set of graphs permits us to detach the dia-
strictly
conventional,
352
Not only the combination of words into syntactic groups but also the combination of morphemes into words exhibits a clear-cut diagrammatic character. Both in syntax and in morphology any relation of parts and wholes agrees with Peirce's definition of diagrams and their
iconic nature.
The
and
affixes
graphic expression
in
word;
exist,
morphemes by a restricted and selected use of phonemes and heir combinations. Thus the only consonants utilized in the productive inflectional
suffixes
-st.
of English are the dental continuant and stop, and their cluster
the 24 obstruents of the Russian consonantal pattern, only four
saliently
Of
phonemes,
suffixes.
in
the inflectional
Morphology
is
rich in
\anous
positive,
show
In this
reflect the
There are languages where the plural forms are distinguished from the singular by an additional morpheme, whereas, according to Greenberg,
there
is
no language
in
which
this relation
in
totally
vous finissez,
3. il finit
forms of the singular and the corresponding 1. je finis - nous finissons, 2. tu finis - ils finissent; or in Polish: 1. znam (I know) 3.
znamy,
2.
znasz - znacie,
zna - znaj.
nouns the
than
in the
singular form of the same grammatical case. When one traces the varied historical processes which persistently built up the diagram - longer plural/shorter singular forms - in diverse Slavic languages, these and many
similar facts of linguistic experience prove to be at variance with the
Saussurian averment that "in the sound structure of the signans there
is
between the
"radically"
and
"rela-
353
arbitrary
elements
of language.
He
may
on the paradigmatic axis. Yet also such forms as the French berger (from berbicarius) 'shepherd', in Saussure'
with the other specimens of this agentive
suffix
and
occupies the same place in other words of the same paradigmatic series
Furthermore, the search for the connection between the signans and signatum of the grammatical morphemes must involve not only the instances of their complete formal identity, but also
as vacher 'cowboy', etc.
feature.
consonant or
phoneme
nants - one with and the other without palatalization) occurs in the endings
grammatical cases.
features
within grammatical
may be
morphemic subunits: "The mind manages to introduce a principle of order and regularity in certain parts of the body of signs." Saussure descried two drifts in language - the tendency to use the lexical tool, that is, the unmotivated sign, and the preference given
to the grammatical instrument, in other words, to the constructional
rule.
Sanskrit appeared to
the proper
classi-
substantially
amended by
problems.
and Whorf's
on "the
knew how
to abstract
from individual
sentences the "designs of sentence structure" and argued that "the patternmerit aspect of language always overrides
upon the
vocabulary.
354
lexical
and
in Cratylus),
we must ask
at this point
would be advisable
till
and
investi-
ami
et
and
suffix,
phonemic allusion to their semantic proximity. There are no synchronic rules which would govern the etymological connection between ten, -teen, and -t\\ as well as between three, thirty, and third or two, twelve, twenty, twi- and twin, but nevertheless
kinship terms
is
felt
as a kind of
a slight connection
change of zwei
to avoid
(2) into
However,
various languages an
among
sem'
(7)
- vosem'
(8),
devja
(9)
- desja
(10).
The
similarity of
Coinages such as
slithy
lithe,
and multiform
varieties
and
signata.
tied to similar
sounds"
may
be
(e.g.,
bash, mash,
and
in
355
title
of language.
vocalic
of
predicate lomit
is
internalized
by a quasi incorpo/
phoneme
adjacent to
the stressed vowel pervades and unites the three parts of the sentence ;
sila are
phonemic make-up of the initial word of the proverb. Yet on a plain, lexical level the interplay of sound and meaning has a latent and virtual character, whereas in syntax and morphology (both inflection and derivation) the intrinsic, diagrammatic correspondence between the signans and signatum is
object which, so to say, synthesizes the
and
final
partial similarity of
partial
total
by a
means either a body or a person - both of preeminent brightness. A hierarchy of two meanings - one primary, central, proper, context-free; and the
other secondary, marginal, figurative, transferred, contextual is
The metaphor
(or
metonymy)
is
The grammatical alternations within the roots carry us again into the domain of regular morphological processes. The selection of alternating phonemes may be purely conventional, as for instance the use of front
vowels in the Yiddish "umlaut" plurals quoted by Sapir: tog 'day' - teg
'days', fus 'foot' -fis 'feet', etc. There are, however, specimens of analogous grammatical "diagrams" with a manifestly iconic value in the
compact by
checked by checked
which
is
guages for "the addition to the meaning of the word of a diminutive idea", and the reverse substitutions in order to express an augmentative,
intensive grade, are based
on the
phonemic oppositions. This value, easily detectable by tests and experiments in sound perception and particularly manifest in children's
certain
356
language,
may
acute
meanings as opposed to the neutral one. The presence of a grave or phoneme in the root of a Dakota or Chinookan word does not
signal
by
itself
two alternant sound forms of one and the same root creates a diagrammatic parallelism between the opposition of two tonal levels in the signantia and of two grading values in the respective signata.
existence of
autonomous
iconic value of
phonemic oppositions
is
damped down
of language, observed
is
and he
felt
'day* to the
'night' to the
word
obscure
Verse, however,
perusal of nocnuit
how
darkens and
is
vowels, and
in usual
when
Even
word.
and nightly darkness by the contrast of heavy, stifling day and airy night, for this contrast is supported by another synesthetic connotation which associates the low tonality of the grave phonemes with heaviness and
correspondingly the high tonality of the acute phonemes with light
weight.
and constellation of phonemes and their components; the evocative power of these two factors, although concealed, is still implicit
selection
in
The
final
is
is
entitled
"Rumeur de
embodied
in the
Reaumur. Among
the consonantal
phonemes of
this
357
name there are only sonorants; the sequence consists of four sonorants(S)
and four vowels (V) S VS V - VSVS, a mirror symmetry, with the group ru at the beginning and its reversal ur at the end. The initial and final syllables of the name are thrice echoed by the verbal environment:
:
The
1)
flat
(unrounded);
ru
meur
ru
re
au
mur
rou
mur
re
meu
grave
358
methodology.
How
many
futile
and
if
its
trivial
among
students
of language
particularly
Grammar, and
a general
genuine symbol
in turn
is
meaning
but
"it is itself
is
word,
a "general rule"
its
stances of
replicas.
application,
which signifies only through the different innamely the pronounced or written - thinglike -
However
varied these
it
remains
in all
The
prevalently symbolic signs are the only ones which through their
One
and
eloquent subtitle
"My
chef
concludes
the
analysis
classification
of signs with a
power (evpysta) of language: "Thus the mode of being of the symbol is different from that of the icon and from that of the index. An icon has such being as belongs to past experience. It exists only as an image in the mind. An index has the being of present experience. The being of a symbol consists in the real
succinct outlook toward the creative
fact that
satisfied.
if
certain conditions be
its
Namely,
it
inter-
is
a symbol. Every
book
a symbol.*** The value of a symbol is that it serves to make thought and conduct rational and enables us to predict the future." This idea was repeatedly broached by the philosopher: to the indexical hie et nunc he persistently opposed the "general law" which underlies any symbol:
"Whatever
past
is
The
a
actual fact.
fully realized.
It is
potentiality;
and
its
mode
of being
is
esse in futuro."
of the American logician crosses paths with the vision of Velimir Xlebnikov, the most original poet of our century, in whose
1919 to his
commentary of homeland of
359
the future; thence wafts the wind from the gods of the
word."
Address to the American Academy of Arts and Sciences, February 10, 1965, published
in Diogenes, 51.
..
1914
a ci
.,
. ,
1877-78
"
",
""
"".
,
Giuseppe
20.
,
//
"II
Cocchiara
,. ,
,
,
, , , ,. , , , . . , , ,,,,,
"".
,
-
iconicity,
2
, . .
,
;
, . , .
361
3
1932): Speculative
1941),
prettily
their
4
Both hands are gracefully brought up to the chest and waved downwards - palms upwards - in sign of affirmation. In other words, affirmation is a simpler form of their salute, just the same as with us the nodding
of the head
Garrick Mallery, "Sign language among North American Indians", First Annual Report of the Bureau of Ethnology (Washington, 1881). forward and downward,
,
is
:
58.
234,
, ,
Grammar.
(.
Calif., 1926),
. .
455).
, , ,
W. Tomkins,
362
.
6
-" ---"
..,
",
!"
, , , ) .
6
, .,
5
,,, . ,
,
.., ..
;.
,
"".
(
7
"---"--; -
",
, !"
.""
""
, , ,, , "",
. ..
1960),
6
de los gestos en
100.
"Puede reforzarse la iteracion simple multiple'* - G. Meo-Zilio, "El lenguaje el Uruguay", Boletin de Filologia, XIII (Santiago de Chile, 1961), El Lenguaje de los Gestos en El Rio de La Plata (Montevideo, 129.
der Wassernomaden
n.s. Ill,
7
,, . , , . , ,,
(.
Yamana: vom Leben und Denken
. Gusinde, Die
.,
am Kap
(D.
Phillott,
Hoorn. Die Feuerland-Indianer, II, Wien, 1937, 1447) Journal und Proceedings of the Asiatic Society of Bengal,
619
.).
""
: .
.. ,, , . , , , , , , ,, , ,
"",
, .
363
""
"".
""
le signifi,
,,
- un rudiment de
, ,,
8
, , , ,. , , ,
-
,, .
8
.
,
. ,,
.
-
"" "",
-
I,
, ,
2.
,
364
. , . , . , , , , , , -,
CRUCIAL QUESTIONS OF LINGUISTIC THEORY
9
,
-
, , : , , . ,, , , , , , ,, .
,
10
..
. .
'
""
""
, , .
Turks and
10
Mallery,
rustic Italians,
441, the ancient Greeks, followed by the modern threw the head back, instead of shaking it, for "no". -
,
(.
, . .,
,
D.
,
(.
Phillot)
1940,
33).
, ,.
,
("
365
,
,
").
"),
"",
"".
, ,.
(1872)
("
, (
1967
,
..
"
in
11
12
11
London,
12
Man
Claude Lvi-Strauss.
and
Human Word
Amid
the
numerous grammarian writings of the ninth to the seventeenth by I. V. Jagi from Church Slavonic manui
russkoj stariny o
I.
cerkovno-
Akademija
Nauk, Otd.
rus.
jazyka
slovesnosti, vol.
I,
St.
Petersburg 1885-95),
Letters {Beseda
there occurs an
reply to
"What
is
genetic relationship between reason and letters and his answer, affirming
he attempts to define
human
life
(pp. 673-676).
The
his
work
first
with the South Slavic grammarian tradition, and especially with the
Church Slavonic
treatise
"on the
letters",
monk Xrabr
na Rusi
XIVnaala XVI
Leningrad 1955).
The
out.
worked
We
it is
difficult to detect
what
In any case, the devout svmbolism of the Old Russian approach to the
370
TOWARD A NOMOTHETIC
and puzzle the modern
SCIENCE OF LANGUAGE
human
which
same
essentials of language
attract
investigator.
To make
God
in
speech event and the pre-existent language design (parole and langue, in the terms of Ferdinand de Saussure, who promoted this conceptual dyad
in
modern
linguistics).
it is
not a mere
illustrative analogy but one of the striking manifestations of the godlike nature of man: "Imitating the twofold birth of the Son of God, our
For first, our word is born of the soul, its twofold birth. through some incomprehensible birth, and abides unknown near the soul, and then, born again through a second, fleshy birth, it emerges
from the
lips
and reveals
itself
To
God
by the human microcosm. In the likeness of the Trinity, three hypostases form the human essence: the psyche, built in the image of the Heavenly Father; the word, which is the image of the Son; and
as replicated
Holy
Spirit.
distinctness
of the three Persons of the Trinity, together with their inseparability, is repeated in the three attributes of the human being: "The soul cannot
exist in
man
may
the
word
all
exist in
man
time
three of
them "are
man." Translated
of George H. Mead's social psychology - these statements would mean that neither may the "process of language" be identified with the "process
of reason" nor either of them with the "self", but all three processes imply each other. In particular, thought is impossible without a possession of language which
in turn requires
a reasoning capacity.
According to the Colloquy on Teaching Letters, the three crucial problems of the human word - the gift of tongue, the relationship between language and thought, and the actual emission of speech
correspond to the three Mysteries of the Divine Word, elicited by the Church Fathers as the Mystery of the Generation, of the Trinity, and
of the Incarnation.
371
TEXT
(translated
Question:
letters
through reason?
Answer: Reason was not formed through
reason, because the Divine Scriptures say:
letters
but
letters
through
in
we
shall create
man
our
it
was not
said
And
it
was not
said: in
my image,
but
in
Holy Inapprehensible
first-created
and Holy
said
Spirit,
command,
by the Father to
the
Spirit, 1 the
When
Son and the Holy Spirit, and when the Holy Spirit was, then were the Father and the Son. Such a time never was, is not, will and can never be, that the Holy Trinity be called a Duality and that the Father and the Son be without the Holy Spirit, or the Holy Spirit without the Father and the Son, or the Son and the Holy Spirit without the Father. And such a time never was, is not, will and can never be, that the Father alone be All, neither the Son, nor the Holy Spirit; but consubstantially Father, Son, and Holy Spirit. Such is the Holy Trinity, One in its essence, Inapprehensible, Unknowable, Unspeakable, Timeless, All-powerful,
Omnipotent, in three hypostases, in three luminaries, Triple-haloed.
Perfect
Light.
is
God
is
God
is
the
Spirit;
And
not lighted.
And
and names,
indivisibly,
set
and
He
a likeness of
The text starts with a statement about the pre-existence of the Logos and immediately
and
their underlying unity.
goes on to discuss the Trinity, dwelling upon the coeternity of the three persons,
their consubstantiality, their coequality,
In connection
tries to
explain
it
whenever
up the discussion of the Incarnation. could not find some concrete relevant reference, I gave reference to the general discussion of the subject under consideration in my book, The Philosophy of the Church Fathers, I (Cambridge, Mass., 1956). 1 This reflects the oft-repeated Patristic statement that the plural "let us" in Gen. 1 26 means that God addressed himself to the Logos and the Holy Spirit. Cf. Theophilus, Ad Autolycum, II, 8; Irenaeus, Adver sus Haereses, IV, Praef. 4, and IV, 20, 1; Augustine, De Civitate Dei, XVI, 6. 2 The expression "triple-haloed" and the analogy of the "rainbow" reflect the various analogies of light used by the Church Fathers in the explanation of the Trinity (cf. PCF, I, 359-360). The analogy of a rainbow occurs in Basil, Epist. 38, 5 (PG 32, 336A).
I
:
372
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
and
is
red,
is
yellow; for the green does not call itself red or yellow, neither does the
red call itself green or yellow, nor does the yellow call itself green or red.
image of the
Trinity.
also distinct in
its
three-
named
and the Holy Spirit in Its spirituality. The Father never calls Himself the Son and the Holy Spirit, neither does the Son call Himself the Father or the Holy Spirit, nor does the Holy Spirit call Itself the Father and
Son.
Such
is
Holy Trinity
in Its
three-named
As we have said, the Father is the Father, the Son, the Son, and the Holy Spirit, the Spirit, and the Divinity is One and ever inAlthough many blasphemers against the Holy Spirit, separable. schismatics and heretics against the Divinity of three persons and names,
hypostases.
calumniate and commingle the three into one, as did the godless Arius
and the impious Manes and Nestorius, and Appolinarius, and other
accursed heretics.
It
is
man
third
Trinity,
first is
Lifegiving
and
and Holy
the word,
Spirit.
Holy The
and the
is
inseparable.
man without reason, neither may the word exist in man without the soul and the reason, and reason may not exist in man without the soul and the word. The trinity of the Divine Image exists in man indivisibly
The
soul cannot exist in
properties without commingling since the word or reason, and word, likewise, does not call itself soul and reason, and reason also never says of itself: / am the word and soul, but in the likeness of the Trinity these three hypostases are distinct in man through their names. But man is one and Grace is one. And now we come to the essence and will consider how humanity is revered by the greatness of the Divine Image in three hypostases of the
and
is
united by
its
named
the
in
is
man
the soul
is
in the
in the
God and
reason in
man
is
What follows here is similar to the analogy between the Trinity and the faculties of the soul used by the Latin Fathers, Marius Victorinus and Augustine (cf. PCF, I, p. 361). The author of this text, however, must have had some Greek source to draw
upon.
373
cohabitation
is born in man when there is the lawful man and woman; and when flint strikes stone, then a
is
spark of
fire
womb from
And
of
the
is
word
man
is
in the
God
twice-born: 4
first,
He was born
comprehensible birth, as the ray from the sun, and abode unknown with
the Father; secondly, he was born without passion, indeed in the flesh,
but not as vision or dream, from the pure Virgin, the Mother of God,
in the flesh
by
all
on
earth.
And
in this flesh
he lived on
among men,
sinless flesh
in this flesh
on His
cross.
In the
same
He
putrefaction,
and then
same
all
sinless flesh
He
Him
the righteous.
And
same divine and sinless flesh, wounded on the nail, was touched, on the eighth day of the Resurrection, by the Apostle Thomas, in his firm and unswerving faith. And then in the same sinless flesh He ascended into Heaven and sat at the right hand of the Father on the throne of majesty on high. And in the same sinless flesh He will come in all His glory back upon the earth to judge the living and the dead and to do
unto each according to
his deeds.
birth of the
first
our word
is
birth,
from the
4
and then, born again through a second, fleshy birth, it emerges 5 lips and reveals itself by the voice to the hearing. And thus
For the description here of the Logos, with reference to its generation and intwo births of God the Logos" in the Second Anathematism of the Fifth Oecumenical Council at Constantinople in 553 (A. Hahn, Bibliothek der Symbole und Glaubensregeln der alten Kirche, 3/1, 148). The analogy of "the ray from the sun" as an illustration of the generation of the Logos is used by the Church Fathers with some qualification (cf. PCF, I, pp. 300-301). The expression "and not as vision or dream" is a reference to Docetism. 5 This analogy between the incarnation of the Logos and the emergence of "our word" from its abode in our soul into a spoken word reflects the Stoic distinction between the "internal ('evSiGexoc) Logos" and the "uttered (npocpopuc) Logos", which the Apologists, because of their belief in the twofold stage theory of the prexistent Logos, use as an illustration of the emergence of the pre-existent Logos from
its
existence as a thought of
God into
its
(cf.
PCF,
I,
298-299).
generation of the pre-existent Logos to an illustration for the incarnation of the Logos is due to the fact that the author of this text believed in the single stage theory of the
pre-existent Logos, that
is,
and hence
this
analogy was no
374
TOWARD A NOMOTHETIC
is
SCIENCE OF LANGUAGE
Grace
manifested in
all
Reason
visible
in
man
acts,
is
in the
Incomprehensible, Indescribable,
word emitted from the mouth. Spirit, for the Holy Spirit is Unknowable, Unspeakable and Ingift
and
it
from the
Therefore, not reason through letters but letters through reason were
many
Grammarian and
others.
Written in Milton, N.Y., June 1955, and published in St. Vladimir's Seminary Quarterly
1956).
(On
the twofold
and
PCF,
I,
pp. 192ff.).
Un-
doubtedly the author of the text had some precedent for his use of this analogy as an illustration of the incarnation.
, , , ,, . , "
.
,
1872 .",
."
",
",
"
,
w
,
.
(.
,.
.
"
",
";
J.
398
.).
1881
.
1 1
;
1877-1878
1881 .;
H. Sweet, F. de Saussure
1879-1881
yciu pismach Jzefa Mroziskiego", Cmentarz powzkowski pod Warszaw, II, K. Appel, Wielka Encyklopedja powszechna ilustrowana, XLVII-XLVIII (1912), 570-571; G. Korbut,
i
,
1831
, " ; ", , , .
"Wiadomo
19
, : ,
1807
,Winteler,
.
W.
(. 70)
Jzef Mroziski,
Odpowied na umieszczon
18121813
1815
1829
.,
, . , ,
.
.
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1808
1809
.
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1820
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1839
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latach
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Pamitnik Warszawski,
(1819),
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.
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1808
i
377
Pamitnik Warszawski
".
Biblioteka Polska,
,
-
Oddzia
historyczny,
..
, ,, .
XIII,
(-
1/1858,
, , :,
Pierwsze zasady grammatyki
, , , , ,. , , , "
jzyka
polskiego
1850). Gazeta literacka,
(,
".
26-32 (1822),
1822;
".
378
TOWARD A NOMOTHETIC
SCIENCE OF
LANGUAGE
(L.
Jakob),
(Monboddo)
15
1823 .,
***
"
(wewntrzna
, "
budowa)",
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.
400).
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379
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. , ,
Pierwszych
" , ,, ,
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1870 .,
., ,
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-
",
zasad
(.
.
Jdrzej niadecki przyrodnik-filozof,
, , , ,
".
(.
1960);
(1768-1838)
L. Szyfman,
380
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TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
, . ,,
.
1965),
, .
(Komunikat),
,
.
, , , ,"" "
(.
394-450).
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("/
obcych warsztatach")
, , , .
, ,
Towarzystwa
i
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Tytus
Benni:
"Jenera
z
Mroziski jako
psychofonetik"
Sprawozdania
posiedze
Naukowego
9 (1913),
literatury, VI,
417.);
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jzyka).
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by
382
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TOWARD A NOMOTHETIC
bi,
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,
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SCIENCE OF
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adne, adnie
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profesor informuje
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czyli odbite).
krwi
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383
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sz,
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syczce momentalne
485
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384
(chuintantes),
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cz),
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
syczce)
(sifflantes)
sz"
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..
sz, cz,
s,
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dz
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flanged).
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acute stridents,
sharp),
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386
TOWARD A NOMOTHETIC
).
.
" . "
/.
": , ".
SCIENCE OF LANGUAGE
,
",
. , ", ,
-
,
sz,
" , ,
" ,
by
" (1912).
/
..
,
I,
(.
Selected Writings,
/"
,
557).
",
bil):
"-
,
zawsze
"
- Rozprawy
1830),
, , ,
"
/): bil
by, bid
".
, . , ,
(),
bil".
(-
(/)
Towarzystwo
, . ,
Odpowied,
, . , , , , ,, . , " , " . , , , ,.
Teorya jestestw organicznych
, , , , . . ,,387
250
," .
H. Kuakowski,
(.
Struwe, Z. Kramsztyk,
. Rejchman, . uliski),
, ( )
"-
"
388
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
..
,
.
krytyki
3.
.
J.
, , .
1967 ., La Jolla,
"
.
"- , ,.
(.
" : , ., "
."
429, 431),
" ",-
381:
Z. Kawyn-Kurz, "Pogldy gramatyczne Kopczyskiego w wietle Mrozi skiego". Sprawozdania Poznaskiego Towarzystwa Przyjaci Nauk
VI. 1957.
trifft zeitlich
Wendung
ersten groen
ist
einer ihrer
Junggrammatik - die Lehre von der Rolle der grammatischen Analogie im Leben der Sprache, - und
zum
ersten
Male
die Arbeit
ist
derart
Baudouin
in Theorie
zeit-
und Praxis
die
genssischen Sprachen
und
Umgangssprache
eifrig
aller
an der jung-
um
historische Verdienste,
noch
um
den
einnimmt
Denken
bewegen.
beispielsweise
auf die Frage des Sprachsubstrats, die in den Arbeiten ber die rezjaner
orthodoxen Junggrammatiker.
In "Einigen allgemeinen
nderung, die
einem Augenblick vorgenommen wird, gibt nach unendlich vielen Wiederholungen eine bestimmte wahrnehmbare nderung.
in
390
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
So erklrt sich der Lauf der Zeit, die Vergrerung des Raumes, die Wirkung der Wassertropfen auf einen Stein, wenn sie stets auf die gleiche Stelle fallen, die Wirkung der Gifte, der bergang vom Schlaf zum Wachsein
und umgekehrt, der bergang des Embryos zum lebendigen Menschen, der langsame bergang eines Menschen in den Tod, der Untergang
Moment, der
nach der einen oder anderen Seite hin entscheidet: entweder verschwindet die ganze Vergangenheit gleichsam spurlos - oder aber sie hinterlt
wahrnehmbare Spuren ihres Einflusses". Das kritische Moment in der Evolution der Wissenschaft hat nahezu unmerklich vom Erbe der Junggrammatik vieles auer Kurs gesetzt, was
noch gestern ewig jung erschien. Die nmliche Erscheinung hat die ungewhnliche Aktualitt derjenigen Ideen und Vermchtnisse Baudouins
offenbart, die
vom
die
Um-
kehr nach den Ideen Baudouins hin macht sich auch in der polnischen
Momente
der Lehre
in der Interpretation
erbas,
Es
Zusam-
menhang mit
sten
Baudouin
als
den hervorragend-
Es
kaum
dem
"Versuch einer Theorie phonetischer Alternationen", einer Programmarbeit Baudouins, die nich nur seine ganze weitere wissenschaftliche
vom
rein physiologischen
Standpunkt"
sich nicht
immer
mit den entsprechenden Lautkategorien nach deren physischer Eigenschaft deckt, die Analyse der Laute
vom morphologischen,
wortbildenden
391
tiefer
Analy-
und
der Sprache in
fen hat.
Aufdeckung der Grundelemente ihren Reihen das wertvollste von allem, was er geschaf-
Nimmt
Problem der
und Sprache
in Angriff, so
kommt
sie
um
herum.
hat sich bereits
gewesen
sein, so
im
Junggrammatik vermochten den Widerspruch zwischen ihren philosophischen Voraussetzungen und den Folgerungen aus ihrer eigenen konkreten Erfahrung nich zu erfassen.
De
aus
um
war
Anspruch nahm. Der Versuch, mit den Mitteln der individuellen Psychologie ein derartiges
ist,
zum Milingen
verurteilt.
Baudouin
rechnete
an mit der prinzipiellen Wichtigkeit der Unterscheidung zwischen der "Sprache als eines bestimmten Komplexes gewisser Bestandteile und Kategorien, die nur in potentia
seiner Ttigkeit
vom Anfang
ma
monopole
392
TOWARD
bei.
Bedeutung
ihre
Beziehung
zum
er
grammatischen
unwissenschaftliche
Zweckmigkeit" ("die Entwicklung der Wissenschaft", meinte er, "besteht aus den Fragen Warum und nicht Wozu") verwarf, hatte
und
in
wegen der beraus hufigen lautlichen bereinstimmungen, die wie ein Gesetz anmuten (Rocznik Slawistyczny, III, 1-82). Saussure behlt die traditionellen Begriffe und beschrnkt sich auf die Feststellung der
Antinomie zwischen der geordneten systemartigen Statik der Sprache
und
ihrer
ziellosen,
verheerenden
Dynamik.
Ein entsprechendes
von dem verstorbenen Gelehrten aufgestellt worden sind, auch ist vieles davon lebendig, wogegen Baudouin sein Lebtag mit Einsetzung seines auergewhnlichen wissenschaftlichen Tempebleiben viele Probleme, die
Ja,
ist
noch
leider "jener
morsche Plunder, mit dem die auf hhere Anregung an den Schulprogram-
men
vollstopfen".
in
sog.
Richtung
der
ja eine Selbstprojektion
und anarchistische Willkr, ein und ungeordnetes Mischmasch, Chaos Kpfe ein buntes Durcheinander, ohne jegliche Konsequenz. Diese sozusagen
Auenwelt.
so sehen auch chaotische
berall blo
anarchistische, prinzipienlose Logik wird in der Sprachwissenschaft zu
Und
einem sprachwissenschaftlichen Nihilismus, welcher z. B. keine historischphonetischen Lautkonsequenzen anerkennen will." Wer wrde nicht in
der folgenden, vor etwa 60 Jahren entworfenen Baudouinschen Charakteristik die
"Wie
alles
die Alchemisten
den Urkrper
dem
such
393
immer noch
ist,
und der
dem
Und
bleibt nich
zu verallgemeinern", nicht
Linguistik bestehen?
als aktuelle
Baudouin
dem bermigen
trgheit
"Gedankenund dem Wunsche, der Notwendigkeit zu entgehen, sich redliche Rechenschaft ber den Nutzen und den Zweck der Anhufung von Material zu geben, einem Wunsche, der die Wissenschaft zu einem empirischen Zeilvertreib und einem zwecklosen Spielzeug herabwrdigt". Er nennt "Verfolger der Wissenschaft" diese "Sammler von Einzelheiten", die "auf ihre Enthaltsamkeit und Gesetztheit stolz sind und nicht nur von sich selber, sondern sogar von anderen als Sprachforscher angesehen werden".
sich mit der Zeit als untauglich erweisen knnte", teils in der
Verffentlicht
in
(1929).
THE KAZAN' SCHOOL OF POLISH LINGUISTICS AND ITS PLACE IN THE INTERNATIONAL DEVELOPMENT OF PHONOLOGY
It
would be no exaggeration
phoneme
on
concept into the science of language became a turning point in the develop-
way of
linguistic
methodology.
many
other principles of
modern
linguistics,
in antiquity, but was As John Brough points out in of language, many discoveries in modern
by the
treatises of Patanjali
form
has
its
own kind
morphemes and
level
to
whole words.
Finally,
strictly distinguished
all
from
corresponds in essence to the modern phoneme. The Sanskrit grammarians described varna-sphota as being devoid of meaning, but nonetheless
endowed with
this change,
and
if
may misunderstand
the meaning.
variations.
1
does not
J.
grammarians", Trans-
395
modern terminology,
it
a phonemic relationship.
The Sanskrit grammarians were forerunners of the inquisitive and fundamental contemporary discussions on the definition of the phoneme. For a long time Europe could claim no similarly elaborated and developed linguistic theory. Greek philosophy did, however, make a substantial
contribution to the development of linguistic thought:
we
see here in
particular the rudiments of the view that language, in the final analysis,
consists of indivisible
strings.
sound units that are capable of forming meaningful Such a unit was called a axoixeov 'primary element'. 2 Arisoxoixsov as an indivisible sound
its
),
devoid of
own meaning
(),
is
((pcovrj aicti-
forming part of a
((pcovf|
syllable,
i.e.
devoid of meaning
Guv$eif|) and serves to form higher units, such as nouns and verbs, namely
((povf|
auvoeifi
)),
and indissociable into meaningful components. It is from these units that sentences - complex sounds endowed with meaning and divisible into meaningful units - are constructed. According to Plato, one cannot
understand
human
voice.
sound produced by
In language, as in
the
human
of them.
music, a knowledge of the general correlations that organize the elementary units into a coherent system
is
necessary.
"The
infinity of types
and
number of
Democritus and
searching for an analogy which might confirm their theory of the atomic
structure of the physical universe, cited the stoicheia (elementa) as
The problem of the conversion of sounds into sign-vehicles also loomed large in medieval theories of language. Thomas Aquinas treated speech sounds as "primarily designed to convey meaning" (principialiter data ad significandum), but as having no meaning in themselves. He
2
H.
Diels,
Elementm
(Leipzig, 1899).
396
TOWARD A NOMOTHETIC
SCIENCE OF
LANGUAGE
human
is
the
way
in
is
made
and the orthodox scholarly doctrine of the last century treated speech sounds as bare sense data, without any reference to the tasks they
was only toward the last third of the nineteenth century that a few linguists saw once again the need for a functional approach to speech sounds. To a certain extent the legacy of the Sanskrit grammarians and some of the views of the classic and scholastic philosophers on the nature of linguistic signs had an effect on single stages of
perform in language.
It
the
theoretical
from diverse
noteworthy
It is
phoneme
actually
emerged almost
simultaneously, but quite separately and only later on found one another.
A. Dufriche-Desgenettes, a modest septuagenary phonetician and cofounder of the Socit de linguistique de Paris, was the only one of the
Society
members
May
cumbersome son du
The
label he advocated
4 was phonme, a French adaptation of the Greek (p)vn.ua 'sound'. This 5 term actually appeared in Dufriche-Desgenettes' own writings, but it could hardly survive if the suggested vocable had not been endorsed
by the eminent Romance philologist Louis Havet who used it from 6 No one would have guessed 1874, giving due credit to the promoter. take would later a prominent place in interword this that at that time national terminology and serve as a model for innumerable coinages, such as stroneme, chroneme, toneme, prosodeme, grapheme, morpheme,
syntagmeme, grameme, lexeme, sememe, semanteme, glosseme, cenema3
Cf. F.
hl.
auf Probleme der Theologie (Paderborn, 1937). 4 See Revue Critique, I (1873), p. 368. 8 "Sur la lettre R et ses diverses modifications", Bulletin de la Socit de Linguistique, No. 14 (1875), pp. LXXI-LXXIV. Cf., for example, p. LXXIII: "certains phonmes mouills du russe"; "Sur la consonne L et ses diverses modifications", ibid., pp.
LXXIV-LXXVI.
6
See L. Havet, "OI et UI en franais", Romania, (1874), p. 321 "Phonme, terme que j'emprunte M. Dufriche-Desgenettes, de la Socit de linguistique de Paris, dsigne un son articul quelconque".
:
397
in French,
like
phrasme,
mor(pho)-
compounds
phoneme, archiphoneme, hyperphoneme, hyperbehavioreme and derivatives - phonemic, phonemics, phonemicist, phonemicity, phonemicize,
phonemicization,
tagmemic,
tagmemics,
etc.
- or
finally
"rootless"
Could Dufriche-Desgenettes have expected that his substitute for Sprachlaut would evolve semantically and even should be, on the eve of World War II, tentatively retranslated
formations: erne, emic, emics, emicness.
'significant sound'?
shift
was from Havet's studies that the term phonme - with a notable in meaning - entered the epochal book of the twenty-one-year-old
le
end of 1878.
It is
The comparative
and that each of
mon
origin
show
common
form progeny was labeled phonme in Saussure's Mmoire. This entity was
conceived as an element of the phonological system that, irrespectively
of
its
precise articulation,
is
its
other ele-
circle.
From
ing.
was attracted to the question of the relationship between sound and meanTraditional linguistics was prone to disregard this problem. But
as early as 1869, Baudouin, a 23-year-old scholarship holder, in an
article "Alternation
of sibilants and
[x]", written
and published
consonants
in Berlin,
how
the difference in
"is
used to
grammar of
Saussure (Geneva-Heidelberg, 1922), p. 114. 8 "Wechsel des s (, ) mit ch in der polnischen Sprache", Beitrge zur vergleichenden Sprachforschung, VI (1870), p. 221 f. Cf. J. Baudouin de Courtenay, Szkice jzykoznawcze (Warsaw, 1904), p. 258 f.
398
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
with the declaration: "The
He ended
The range of
problems outlined
in this lecture was broadened and developed in the young scholar's report on his foreign studies at the beginning of the 1870's and even more in the detailed programs of his university lectures in 10 Given the rapid Kazan', presented in the second half of the same decade.
slow pace of publication of his papers, especially the program of his 1877-1878 lectures, which were in press for about four years: "Scientific
discoveries, unfortunately, cannot wait
first
St.
Petersburg lecture,
made
its
a clear distinction
between
two
linguistic,
These
are,
"static la\ss
and
of sounds
in a
language at one given moment"; and on the other hand, "dynamic laws
and
forces,
deals with the laws of linguistic equilibrium; dynamics, with the laws
its
Beginning with the 1890's this dichotomy was revived and developed
Baudouin the
jazyke", urnl Ministerstva "Nekotorye obie zameanija o jazykovedenii Narodnogo Prosveenija, CLIII (February 1871), p. 315. 10 "Otety komandirovannogo Ministerstvom Narodnogo Prosveenija za granicu I. A. Boduna-de-Kurten (J. Baudouin de Courtenay) o zanjatijax po jazykovedeniju v teenie 1872 i 1873 gg". (reprint from Izv. Kazanskogo Universiteta, 1876, 1877); Programma I = Podrobnaja programma lekcij I. A. Boduna-de-Kurten (J. Baudouin de Courtenay) v 1876-1877 uebnom godu (reprint from Izv. Kazanskogo Universiteta,
i
1877, 1878, published in 1878); Programma II = Podrobnaja programma lekcij I. A. Boduna-de-Kurten (J. Baudouin de Courtenay) v 1877-1878 uebnom godu (reprint from Izv. Kazanskogo Universiteta, 1879, 1880, 1881, published in 1881).
11 12 13
Programma
II, p.
1.
MNP,
1871, p. 301
f.;
Programma
Programma
II, p. 85.
14
Cf. R. Godel, Les sources manuscrites du Cours de linguistique gnrale de F. de Saussure (Geneva- Paris, 1957), pp. 44 f., 259, 277.
399
two aspects of
statics
- one
1870's
first,
parts:
called
on - "anthropophonics", "considers all sounds of human speech (sound units and their combinations) from the objectivephysical and physiological point of view (briefly, from the point of
from the
view of the natural sciences)" and must give an exhaustive description of the phonatory and auditory properties of sounds, based on the scientific
results of physiology
strict
and
acoustics.
The other
the general science of sounds" deals with them "in connection with the
word meanings";
(of sound units
properties,
i.e.
it
"studies
and
lents of soft
may
turn out to be
this linguistic theory written for S. Vengerov and published in 1897 in his Kritiko-biografieskij slova russkix pisatele] i uenyx, V, Baudouin emphasizes the fictitiousness of equating linguistic synchrony with statics: "This is a particular case of motion with minimal change. The statics of language is
dynamics, or rather of its kinematics". (See Prace XVII). In his early works Baudouin insisted strongly on the inadmissibility of introducing diachronic factors into the synchronic description
its
p.
first published more than between the descriptive and the historical treatment of morphology by means of several telling comparisons, e.g. "American farmers produced a new breed of hornless cattle from the ordinary, horned variety; nevertheless an adherent of the theory of immutable stems in -a, -i, -u will seem to see long horns even on the heads of these new cattle. In one place on earth a hill appeared where there had been none in another place a hill disappeared in a third place a sea was replaced by dry land; in a fourth place, the reverse: dry land was replaced by a sea. The eye of the adherent of the theory of immutable stems in -a, -i, -u beholds in the first place the same plain as before, in the second place the previous hill, in the third place the sea, and in the fourth, dry land". ("Zametka obizmenjaemosti osnov sklonenija, v osobennosti e ix sokraenii v pozu okonanij", Russkij
Baudouin
Filologieskij Vestnik,
XLVIII (1902), p. 236). Baudouin taught that "every fact of language should be considered in its appropriate spatial and temporal environment. Explaining the phenomena of a given language at
a given period of
its
development by the laws of other periods or other languages no sense of reality, means giving oneself a decisive certificate of incompetence". ("NeskoFko slov sravnitel'noj grammatike indoevropejskix jazykov", MNP, CCXIII (December 1881), p. 281).
means having
absolutely
400
TOWARD
may
turn out to be
complex and
same year Baudouin constantly pointed out "the disparity between the physical nature of sounds and their role in the mechanism of the language, their significance for the people's linguistic intuition". 18 Comparing the sound structure of language "with musical tones", Baudouin emphasized that every language has its "own peculiar sound-scale" and that "in different languages physiologically identical sounds may possess different values in accordance with the whole sound
master's thesis of the
system,
i.e.
in
same language". 19 Among the sound equivalents within the given system "one must take into account the sound zero as the minimal phonetic
unit",
i.e.
member
is
dynamic
relations based
He
meaning and,
sounds".
on
and
voiceless, long
and
short, stressed
and unstressed,
etc.'".
"On
the basis
language which
17
is
18
Programma Programma
I,
above,
f.;
p. 385.]
J,
MNP,
301
cf.
drevnepoVskom jazyke do
XIV
20
Programma Programma
I,
pp.
5, 8.
II,
p. 85; cf.
II,
arioevropej-
p. 128f. (see
footnote
401
was not for nothing that Baudouin constantly more and more" and introduce, on the model of mathematics, "more and more quantitative thinking", and, on the other hand, "new methods of deducdeclared that linguistics would "approach the exact sciences
"Just
as
tive thinking".
finite
mathematics reduces
infinite
quantities to
to Baudouin,
"we should expect something similar for linguistics from a is no accident that the Czech linguist
It is
who was
dreamed
and
relations. 24
linguistic systems
Baudouin, from the very beginning, paid attention not only to the qualitative side, but also to the quantitative side - to the statistics of sounds and
"the percentages of various sounds in a given language" and in
use". 25
tic
its
"daily
phenomena and
1877-1878 lectures)
was Baudouin's classification (in his of the Slavic languages on the basis of the oppositions
their function
This grouping
is
basically
still
of individual groups.
has been preserved while the other has been lost; in Czech and Slovak
dialects the reverse is true: only the long-short opposition has
;
been
preserved and in Lusatian and Polish dialects both oppositions have been
lost.
is
Baudouin boldly asks and answers the question: "why, to what end accent used" by different peoples? The author saw perfectly well
means
that
it is
He
,
Zarys historii jzykoznawstwa czyli lingwistyki (glottologii) =Poradnik dla samoukw No. 2 (Warsaw, 1909), p. 267f. Cf. also "Ilociowo w myleniu jzykowym", Symbolae grammaticae in honorem Joannis Rozwadowski, I (Cracow,
Series III, Vol. II,
(1929),
p. 812.
24
25 26
See Godel, op. cit., pp. 44, 49. Otety, p. 128; Programma I, p.
5.
programma
II,
402
TOWARD A NOMOTHETIC
its
SCIENCE OF LANGUAGE
in
On
the other
harmony does
relations between
is
dealt
with by Baudouin not only in the static plane, but also in historical
perspective.
He
assigns such
phenomena
Among
i.e.
historical
phenomena
Baudouin takes
on the
i.e.
loss of quantity
and short vowels and of accented and unaccented ones" 30 as well as the
modifying influence of foreign languages on grammatical systems,
the Balkanic restructuring of Bulgarian.
to interpret "basic
31
e.g.
Baudouin
persistently tends
dynamic laws"
in
He was moved
in
and
Both
mutual discrepan-
about language as an organism: "only for Schleicher language was made of wood, and for Schmidt - of water." 33
contained a
Inquiry into the linguistic equivalents of gross sound matter inevitably
common myth
led
in
These investigations
Programma
I,
p.
7; /7, pp.
87,
(reprint
28 29
so
31 32 33
Otety XXX, p. 136. Programma II, p. 133. Programma I, p. 47; II, pp. Programma II, p. 145. Programma I, p. 59. Programma II, p. 126f.
Ibidem, pp. 68, 73.
143-147.
34
403
who was teaching for three years in Troick, a district town in the Orenburg province, in order to save up money for studies under Baudouin, confessed that he did not know what could have "attracted him as
magnetically to linguistics as the unconscious character of the forces of
870
It
was
an unconscious
him
some one general what one - which would be equally applicable to all the phenomena that he was studying". 35 During their several years of harmonious co-operation, the thoughts
law - and
if so,
many
cases
it is
who
of them
first
introduced some
new
grammar of
the Slavic
Here
is
in
a note entitled
Suum
grammar "The
:
ideas presented
are, as
in linguistic literature.
to a certain extent
who
has attended
my own personal property. *** M. Kruszewski, my lectures and taken part in my courses since 1878,
all
own thoughts
in these
on
this subject
more
exactly
and
scientifically
than
had done
35
See Prace Filologiczne, III (1891), p. 138f. [below, p. 431]. Cf. MNP, 1871, on the role of "unconscious generalization" and "unconscious abstraction" in the develop-
478 f.]. grammatiki" slavjanskix jazykov = reprint from Russ. Filol. Vestnik, V (1881); Otryvki iz lekcij po fonetike i morfologii russkogo jazyka, I = reprint from Filol. Zapiski (1881-1882). The second series never appeared, but the program for that part of Baudouin's lectures was published by V. Bogorodickij, Prace Filologiczne, XV, Part II (1931), p. 476f. Cf. also Baudouin's remarkable volume of lectures from 1879-1880: Iz lekcij po latinskoj fonetike (Vorone, 1893), first published in Filol. Zapiski of 1884-1892. It is interesting that in this period Baudouin
p.
36
sravnitel 'noj
404
TOWARD A NOMOTHETIC
The more
SCIENCE OF LANGUAGE
of Mr. Kruszewski's
scientific character
presentation
separation of these concepts into their constituent parts, in the specification of the necessary features of the diverse alternations
logical coherence of his
and
in the general
whole system.
It is
similarly to
Mr. Kruszewski's
i.e.
credit that he
is
striving in this
way to
elicit real
phonetic laws,
laws to
which there would be no exceptions. Only since these ideas have been formulated and presented so graphically by Mr. Kruszewski, their 37 Thus it was the further development and elaboration are possible".
student
who
tried to
is
indispensable
"another,
more general
find in language
May
3,
1882).
He had
Despite
all
German form,
maximal
and
fertile
working hypo-
and penetrating observations. Even if in the light of the further development of the science one may detect in the young Kruszewski's writings some details that are naive or outdated, still, on the other hand,
we
find
many
revised
sentence
methodology than
upon the manuscript, judging that the work "deals more with linguistics". 41 They refused to publish it because, as Baudouin said later, "it introduced into phonetics a new principle for
37
Nekotorye otdely,
finally lose the
p.
74 f. [Below,
it
p. 441.]
"we
thread and
becomes
difficult to distinguish
what arose
in
our
own
38
39
heads from what came from others". See Prace Filologiczne, III (1891), p. 139. [See below, p. 434.] Oerk nauki o jazyke (Kazan', 1883). Baudouin's review saw in the book "the
of thought that is original and accustomed to logical analysis" and also an enrichment of world linguistic literature by new ideas {Izy. Kazanskogo Universiteta,
fruit
XIX
40
(1883), p. 233).
voprosu
gune.
reprint
1881).
405
fear
new
principles
as they
do
boundary between 'anthropophonics', concerned "with the physiological conditions under which 43 and sounds are produced as well as with their acoustic properties",
Developing
his teacher's idea of the
and misleading. He therefore launched, according to Baudouin's testimony, the term phoneme, 44 "borrowed from Saussure", who, however, used it in a different sense. " I propose", Kruszewski wrote, "to call the phonetic unit (i.e. what is phonetically indivisible) a phoneme, as opposed to the sound - the
that for the latter the term sound is inadequate
anthropophonic
unit.
The
benefit
As
early as
Mmoire with an introductory declaration that in any branch natural sciences such works would cause a great commotion and of the would evoke a number of new works, whereas in linguistics Saussure's
Saussure's
It
was apparentfirst
time in
Slavic vocabulary, with a special note indicating that "this word can be
used to advantage as the term for a phonetic unit, while the word 'sound'
46 As in the could designate a unit in the so-called physiology of sounds". Mmoire the basis for such a unit is correspondence or, according to
Baudouin's
later Polish
multilingual relatedness".
"we
also
Cf. W. Radioff, "Die Lautalternation und ihre Bedeutung fr die Sprachentwicklung, belegt durch Beispiele aus den Trksprachen", Abhandlungen des 5. Internat. Orientalisten-Congresses gehalten zu Berlin in 1881 (Berlin, 1882). Prace Filologiczne, III, p. 134; cf. Nekotorye otdely, p. 75f.; N. Kruevskij,
42
RFV (1880), p.
Cf.
4.
p. 14.
voprosu
this
and
at the defense of his master's thesis, after the official opponents, the
inspector,
Kazan' district N. D. estakov, spoke up and protested against what were, in his opinion, "inappropriate innovations in technical terminology" and finished his objections with a "protest against printing the thesis without jers", Izv. Kazanskogo Universiteta
(1881),
48
ario-evropejskogo
vokalizma",
Lingvistieskie
406
latedness
TOWARD A NOMOTHETIC
within one language". 47
SCIENCE OF LANGUAGE
It
was
just
such alternations of
He
attracted to these
mind of Kruszewski, who, according to his teacher's testimony, managed to set forth the theory of alternations "much more philosophically, concisely and precisely". 48 Since alternates coexist "simultaneously in one and the same language", 49 then "in order
problems the
strictly analytic
is
necessary
to define
their alternations".
common
came across
critical
Baudouin on the one hand blamed the Indie scholars for a lack of
genetic interpretation,
linguistics
in
Western
alternation,
the
approach. 52
Geneva
it
is
an
consists
of facts and not of laws and everything in language that seems organic
is
actually contingent
and completely
is
"Prba teorii alternacji fonetycznych", Rozprawy Wydziau Filologicznego Polskiej Akademii Umiejtnoci, XX (1894), p. 242f.
Ibid., p. 224. Ibid., p. 242.
48
49
50
51
Uenye Zapiski Kazanskogo Universiteta (1881), No. 3, p. 19f. [Cf. below, p. 441.] Prba, p. 238. 52 Ibid., p. 220 f. Baudouin, who had long been familiar with the works of Pnini, often repeated his high praise for the Sanskrit grammarians' accomplishments in descriptive linguistics: "The Indian grammarians were incomparable masters in the
systematization and classification of the details they studied". (Zarys
53
XXX,
p. 112).
cit.,
p. 38.
407
made from the synchronic viewpoint. Baudouin was already aiming at just such a classification in his early Kazan' lectures, 54 and the task was taken over and concretely carried out by his
disciple.
"The
categories of alternations
Mr. Kruszewski", as his teacher acknowledged, "and constitutes a truly important contribution to science. *** Mr. Kruszewski owes this method
not to the study of linguistics, but to modern logic, which he has thoroughly
1893
previous logical
homoand
position
by phonetic environment,
which Kruszewski called divergent alternations or "divergences", either only one of the alternants is conditioned by the phonetic environment
(as, for
lud/ ludu, or
by Baudouin "purely
dubbed
by Benjamin L. Whorf
soft palatalized
in the
forms
ta/ti, cel/ceFnyj
a close e before a
in other positions;
in other positions. 56
understood "phoneme" in
its
genetic aspect as a
(i.e.
common
proto-
of sounds derived
from an original
54
55
single element in a
//, p.
common
patrimony.
Further they
Cf.
Programma
Uenye
85.
56
Prba, p. 276 f.
408
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
prototype of those homogens which
common
and
finally,
in the
synchronic
"phoneme"
alternation
constantly occupies one and the same place within the morphological
whole.
Baudouin
common
definition
this
"A phoneme
Despite
all
is
a unit that
is
phonetically indivisible
"phoneme"
shift
from the
historical
approach and from attempts to look for "the sum of generalized anthro-
in each kind of
and more
programmatic
resumes
of lan-
in his Petersburg
on
all levels
"We
individual sounds
vari-
common
denominators
of these variables". 62
The search
for
an objective invariant
permit the analyst to use the symbol for that alternant from which one
in the
"morphophonological" attempts of N.
both in Russian and American
58 59 60
61
*2
this ambiguity.
MNP (1871), p.
Nekotorye
293.
otdely, p. 67.
63
84
Prba, p. 248. See especially N. Trubetzkoy, "Gedanken ber Morphonologie", Travaux du Cercle Linguistique de Prague, IV (1931), pp. 160-163; his Das morphonologische
i
System der russischen Sprache (= Travaux du Cercle Linguistique de Prague, V 2 grammatiki (morfologii)", (1934)). Cf. A. Reformatskij, "O sootnoenii fonetiki in Voprosy grammatieskogo stroj (Moscow, 1955); R. Avanesov, "Kratajaja zvukovaja edinica v sostave slova morfemy", ibidem; his "O trex tipax naunoi
409
No
considers,
linguistic analysis
was outlined long ago by Baudouin. He took into human speech". The sound matter dismembered from an "anthropophonic" point of view "The whole
:
of audible speech
is
On
the other
If, Baudouin argued further, component parts, then these components must be homogeneous with it" Baudouin rightly considered the division of such semiotic units as morphemes into bare physical sounds to be "an unjustified and illogical jump in the process of division"; morphemes are divisible not into sounds, but into minimal semiotic
morpheme can be
divided into
units,
i.e.
phonemes. 66
built their concrete analysis of language
on the comparison of
If in fact Saussure,
XXV
(1956);
M.
Halle, The
Sound Pattern of
Russian (The Hague, 1960). All of these works are based on Baudouin's old slogan: "Morphological contrasts probably constitute the starting point for phonetic contrasts"
(Nekotorye otdely, p. 59). According to A. Meillet's own acknowledgment, he borrowed Baudouin's joli mot in order to render the semantically narrower term 'formans' in the French version of K. Brugmann's Abrg de grammaire compare published in 1905 under Meillet's and SSSR, Series of literature R. Gauthiot's editorship: see A. A. Leont'ev in Izvestija and language, XXV (1966), p. 331. J. Whatmough substituted for Baudouin's neologism based on derivational analogy the regular form morphome, from the Ancient Greek seee.g.,his Language (London-New York, 1956), p. 116. Although Baudouin's Programma, 1877-1878, in which the term phoneme is not yet used, introduces the word morpheme (II, pp. 149, 155 = Izv. Kazanskogo Universiteta, November-December 1880, pp. 437, 443), this is obviously one of the later insertions (1880) into the original version, which were added, according to the author's own words, as a result of the unbearably slow speed of publication (p. 1). 66 Cf. Programma II, p. 68; Nekotorye otdely, p. 69; Prba, pp. 149-151. 67 Lingvistieskie zametki, p. 5 similarly Baudouin "The great virtue of de Saussure lies in his having emphasized more strongly than ever before the connection between
65
AN
410
TOWARD
Thus Baudouin's magnificent discovery (even today not understood by all linguists) - the merger of the Russian and also Polish combinatory
variants y and
i
into one
phoneme,
called
/'
have seen, by comparing two forms of one and the same morpheme, e.g. the nominal plural endings that occur after hard and soft final stem
consonants. 69
The
elicitation,
as
Baudouin put
it,
"of the
sum
of
phonemic
and with the decomposition of phonemes into distinctive features. The question of elicitating the phoneme from the diversity of combinatory (alias contextual) variants
Oerk and
other works. 70
The
realization of this
68
russkomu jazyku (St. Petersburg, 1912), p. 51 f. See Ob otnoenii russkogo pis' Charakterystyka, p. 171 "[i, y] have coalesced into one phoneme, which I shall symbolize by using the sign im (i mutabile)". In his analysis of mutabile Baudouin approached the problem very closely, establishing the fact that "the conditioning factors
;
: /'
here are the representations of consonants, including zero, whereas the things conditioned are the representations of the vowels"; yet "in the orthography we observe
the opposite relation".
tried, moreover, to establish the common denominator phoneme: "the representation of [unrounded] vowels with maximal tongue-palate narrowing" (Ob otnoenii, pp. 51, 126). Baudouin took up the question of "what anthropophonic properties of a Russian vowel are a function of consonants and generally of its position in a word", in his 1880-1881 lectures. He pointed out that he was using the "function in its mathematical sense": function = dependent variable (Otryvki, pp. 83, 85). The principle of combinatory variants on different linguistic levels was clearly formulated in Kruszewski's only article written in
He
Polish: "Every linguistic unit *** occurs in speech in different environments *** Every
"Przyczynek do its form in accordance with its environment" pierwotnych samogosek dugich", Prace Filologiczne, I (1885), p. 91. 69 Baudouin probably got the impulse for such a discovery from J. Mrozinski's reply to a review in the Gazeta Literacka of his work entitled Pierwsze zasady gramatyki jzyka polskiego (Warsaw, 1824), almost the only earlier Polish study to which Baudouin refers. [Cf. above, p. 382.] 70 While Kruszewski built his principle of two axes with respect to grammatical units, Baudouin correctly pointed out that the same distinction is applicable to phonemes and their combinations: "In each of these areas we find both systems, or nests, based on association by similarity, and sequences based on association by contiguity".
such unit changes
historii
(Prace Filologiczne,
III, p. 153).
411
of homogens". 71
Nearly a century
later historical
faced precisely with the task of treating sound changes in terras of the
simultaneous alternation of
total
language system. 72
existence", 73
Baudouin
generalization despite
insisted on the lawfulness of such an abstractive numerous objections from various sides, both
then and
later.
if
we
as a definite
and which imply one another. The first of them, or "language complex of certain constituents and categories, which exists
',
only
in
The second
aspect,
name of
It
'speech'
in the linguistic
was not
are language
The corresponding English labels introduced by Alan Gardiner and speech. 1 * The correlative concepts of communication theory are code and messages. For the young Baudouin the phoneme, like any other linguistic category, belongs to langue. This code is by no means merely an invention
of scholars;
it
on the people's
exists alongside
Uenye
Some
Zapiski, p. 19.
"One
p. 187).
72
articles,
"Fakultative Sprachlaute",
ot dly, p. 71.
;
Donum
1929).
73
Nekotorye
74
MNP,
p. 314f.
by Ch. Bally
and A. Sechehaye (Lausanne-Paris, 1916), Introduction, Ch. The Theory of Speech and Language (Oxford, 1932).
A. H. Gardiner,
412
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
"The
not a
everything that
we would now
"is
properties
and
acts,
75
since in general
one single
speech
science
whose subject matter is reality". 76 Baudouin saw one of the conclusive proofs of the
unity of the
phoneme
critic
in the Russian
and
was a poet or
who
rejected or
/,
blamed
although these
two vowels are rendered in both Russian and Polish orthography by two different letters. Rimes such as Russian pyl - il, pokry - Ijubi koryto - razbito or Polish tyje - mije, pychy - cichy, ty - ni, byy - mil
,
have always been considered impeccable. 77 The problem of the reality of phonemes and of their components was to occupy an important place
78 in linguistic discussions beginning in the 1930's.
According to
as a tool of
S.
S.
Stevens,
who
modern thought,
shown
certain
in algebra,
new
currents of psychology. 79
its
development
can be found
in linguistics.
first
Kazan'
University - Izvestija Kazanskogo Universiteta - in which, almost half a century before, Lobaevskij had published his outline of non-Euclidean,
or as he called
75 76
77
it,
MNP,
Ob
p. 295.
Ibid., p. 296.
78
"La
ralit
phoneme
Supplement to
XXX, pp. 247-265; W. F. Twaddell, On defining Language, XVI (1935); R. Jakobson, M. Halle, "Phon-
S. S. Stevens,
(New York-London,
413
now
appeared.
first
with
and optional phonetic variations. In that provincial town of old Russia, by the light of an old-fashioned oil lamp, or perhaps even a candle, the young linguist set forth his bold predictions
that a precise description of the physical equivalents of those linguistic
invariants would be possible only when the analysis of speech moved away from "coarse, macroscopic observations and introspections" to more precise, experimental, microscopic methods: "Undoubtedly the
recently invented physical tools, such as the telephone, the microphone,
know
and acoustic
manner of it was
tions
"it would be highly desirable would permit us to check subjective observamade with the unaided ear. With such devices auditory (acoustic)
more
objective
optic ground:
sounds
will
The prediction
the elaboration
definition of
The censure of
same time
as
condemned both Lobaevskij and Baudouin de fantasies, unworthy of attention". At the Lobaevskij, the German mathematician K. F. Gauss came
critics
some of Baudouin's
Baudouin complains that physicists are still "totally unand linguists in part are unprepared, in part have neither the time nor the opportunity, in part do not understand the importance of experiments"
Otryvki, pp. 4f., 61
f.
See W. F. Twaddell, p. 23. In general one can find in Baudouin's works many prophetic foretastes of present-day analysis of speech. The question of the phoneme as
lectures (Nekotorye otdely, p. 70), later led
"a generalization of anthropophonic properties", which was raised in the Kazan' Baudouin to the idea of the divisibility of the phoneme "into several elements not further divisible". He proposed calling these ultimate, simplest elements kinakemes {Charakterystyka, p. 164 f.). The problem of resolving the phoneme into its ultimate discrete components has been raised concretely in contemporary research on distinctive features.
414
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
ideas were in the air, but their innovative radicalism, the sharpness of
their heretical deviation
linguistic
dogma
horrified
scholars
who were
it is
matter of fact
ideas were
pub-
due
in
no
small measure to the fact that the academic tribunals were far away,
the fear of criticism weaker,
and so greater
possibilities
pioneering audacity.
A proverb says that it is no good to discover America too late, after Columbus, but the premature discovery of America may turn out to be no less painful, when there are not yet the means for adopting and exploiting the
new
territories.
who
supposedly
perished in such a brave but premature expedition. Although the nineteenth-century precursors of
modern
linguistics
linguist
who undertook
systematic research on
first
attempts of the
Kazan' center was Jost Winteler (1846-1929), a Swiss scholar of the same
who
mono-
graph on his native dialect entitled Die Kerenzer Mundart des Kantons Giants in ihren Grundzgen dargelegt. This book, which was subsequently long forgotten, opened new horizons for dialectological field work and
for the phonetic analysis
it
and
classification
gave the
first
The
author
strictly
(variations)
from
and consistently distinguished "accidental features" "essential properties" (invariants) on the sound level
test,
of language.
observing whether
two sounds could, "in the same conditions" ("unter denselben Bedingungen"), differentiate the meanings of words, e.g. he
character of the
'twig'
/tvd/ 'pillar'.
82 N. Kukuranov, in the newspaper Kamsko-Volskaja Prace Filologiczne, XV, Part II, p. 467.) 83
Re'
(1914),
No.
67.
(See
Oerk,
p. 8.
415
London Philological Society, called it an uncompromising challenge to the old German philological school. At the same time Baudouin de Courtenay put it on the reading-list for his students and his own search
the
for a strictly linguistic interpretation of speech sounds found here a
new
stimulus.
turned out, however, to be his only achievement, and in his sad memoirs,
written for a Swiss periodical 84 in 1917
birthday, he speaks of having
felt
on the occasion of
all his life
his seventieth
fate
:
persecuted
by a cruel
"Although
keeping
for years
persistently stuck to
my
drafts,
something kept
thing to do".
many
ambitions for new ways in research, he would have ended his career as a
university
rather than
as
not,
is
true,
complain of lack of
He
never suc-
languages and of language in general that he had planned with such pas-
and he recalled this with regret and bitterness toward the I have encountered for so many years put me in a pessimistic frame of mind and take away any desire to live" - Baudouin wrote in 1927 to the Czech Slavist A. ern - "I
sion in his youth,
end of his
life.
The
feeling of constant
much
im-
fatal
possibility of applying and developing these novel ideas and the absence
dogmas of
the time.
84
617-647.
See Sbornk slavistickch prac vnovanch IV mezinr. sjezdu slavist v Moskv, Prague, 1958, p. 121. A quarter of a century earlier Baudouin, having decided to publish his youthful sketch of 1870 in the Sbornk for F. F. Fortunatov (= Russ. Filol. Vestnik, 1902), wrote in the preface: "We were then young and looked forward to the future; now we look back into the past. This review of the past arouses in me bitter feelings. Because of an inability to work and to concentrate and because of the circumstances of my life I wasted myself on trifles and instead of achieving anything solid and
85
deserving of attention,
416
TOWARD A NOMOTHETIC
as the genetic
SCIENCE OF LANGUAGE
As long
attempts at description.
T. G.
Masaryk
"forbade any
and theology was one of the typical typographical errors of the time, in the same 1870 lecture where, for the first time in modern linguistics, Baudouin presented the basic problems of phonology, he felt obliged
to equate "the truly scientific"
in linguistics
and "the
for teleology:
"The development of
science proceeds by 'why?' questions (and not 'for what purpose?') and
87 'because' answers (and not 'in order that')".
linguistic
categories
and
it
Kruszewski
lie
in discovering the
phenomena and that the works of linguists from Bopp had given too weak a foundation for such a definition
linguistics
modern times
in
general
still
non-
Kruszewski persevered
in
was coming
to
an end.
Baudouin's
trip
from Kazan'
in 1883,
Kruszew-
and incurable
which began
all
and
his
extraordinary and
for the
86
irreplaceable collaborator.
man and
823 f.
problmy v Masarykov
dle",
87
Vdce
MNP
generac (Prague, 1931), p. 104. [See below, p. 473.] (1870), pp. 279, 294. Nonetheless the purposefulness of linguistic phe-
nomena
young Baudouin more than once. Cf. his conand "organic purpose" of such phenomena as vowel harmony in the Turanian languages and in the Rezian dialects of Slovenian: "Glottologieskie (lingvistieskie) zametki", I, Filol. Zapiski (1876), p. 11. "To what end, for what purpose did they use stress?" Baudouin asks himself about the Germanic peoples in connection with the prosodie evolution they experienced {Programma II,
attracted the attention of the
p. 133).
88
p. 3.
417
paroxysm of
"Oh, how quickly I have crossed the by the death of his faithful fellow combatant made
:
Baudouin depreciate
self,
in his reminiscences of
of the loss and of the deceased both for the scholarly world and for him-
their
its
common
is
This
certainty
if
the im-
made had
intimidated
him and
Kruszewski.
It is
was
He
as well as papers
from the
all
late
1880's
and
the Kazan'
linguistic
The whole period of Baudouin's scholarly activity that followed the years in Kazan' was strikingly different from them. Baudouin stopped publishing programs
works except
for a few Slavistic reviews.
his courses, which he had printed regularly in Kazan', and no new ranks of Baudouin adherents came at the end of the century to the aid and reinforcement of his Kazan' circle (lingvistieskij kruok, as it was called by Baudouin and his students 91 ), which was filling the
language.
"Linguistics
must be recognized
as
an autonomous
discipline,
initial
not to be
declaration of
own
battle cry.
and did The place of functional investigations of which the young Baudouin accented so
by something that he called
object of his interest
was taken
"psychophonetics".
relations
89
90
The main
Prace Filologiczne, II (1888), p. 847. "Mikoaj Kruszewski, jego ycie i prace naukowe", Prace Filologiczne,
I.
pp. 837-849; III (1891), pp. 116-175. 91 V. Bogorodickij, "Kazanskij period professorskoj dejatel'nosti
A. Boduen-de-
II, p.
466.
418
TOWARD A NOMOTHETIC
Whereas
SCIENCE OF LANGUAGE
speech sounds.
in
was understood
grammar, now "psychophonetics" (if we are to accept its program literally) was conceived of as a bridge between phonetics and psychology. When in
1873 he had proposed a division of phonetics into an "acoustic-physiological" part
and a "morphological"
part, he
was already
inclined to
It
is
no
first time in the program young scholar sketched in Leipzig at a time when the neogrammarian school was growing there. The neogrammarians described analogical phenomena as "psychological" in contrast to the allegedly "physical" essence of pure sound changes. Baudouin attended the lectures of August Leskien and had frequent conversations with that outstanding cofounder of the Leipzig doctrine, and perhaps it was to him that Baudouin
owed
his psycho-physical
in
dichotomy. 93
a
What
Despite
the
terminological
in
operating with
beyond the
of the age.
tenets that he
had learned
view of the function, the character and the amount of information they
carry were considered heretical at the end of the nineteenth century,
definition of the
phoneme.
Trying to
diffiis
it
the
modus
be
assigned?
In later years
Baudouin was
certain that he
solv-
phoneme
to the re-
way component of
In this
introspection.
82
93
on
the development
of the psychological trend in linguistics and also the sharp distinction made by Leipzig school between the psychological and physiological aspects of language were observed by Karol Appel, Baudouin's other Polish co-worker (besides Kruszewski), in his
article
VI
419
a similar fate
fell
to language
itself:
tool of interpersonal
communication
(or, as Sapir
denned
it,
"a great
social aspect is
branded a pure
fiction,
or an
artificial construct.
is
Here then
fin de sicle
:
central
it
as
"the
acoustic shades connected with these actions - images joined in one whole by the image of simultaneously performing the actions and perceiving
In this
way
a quasi-genetic
it
as a psychic
image
Without considering the disadvantageous transfer of phonological linguistic analysis to the hazy area of
made dependent on such unknowns as the psychic impulses of the speaker, we find here two unjustified premises. First of all it is not clear why articulatory-auditory images are supposed
and
their being
to relate only to phonemes, while in fact inner speech operates not only
with invariants
between
[y]
and
by and
bil
can
exist in
introspection despite the fact that these vowels are not phonemes, but
combinatory variants. 96
and front variants precedes the actual phonation. Both the phonetic variables and the phonemic invariants are present in inner speech, e.g. both the narrow, unrounded vowel phoneme and its back and front implementations in the two Polish or Russian words cited above. Thus there
is
no basis
phoneme
to a physical sound.
was fundamentally contemporaries of just camouflage to justify his discoveries in the eyes
sure Baudouin's antiquated psychologism
To be
since he also
420
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
own
discoveries
in his
new definition lost much of its operative value and just like his attempt to translate "morpheme" as "a part of a word endowed with autonomous
psychic
life", it
in the linguistic
its
and the
vital
still
period, such as L. V.
erba and E. D. Polivanov, inspired by the fresh new century, managed to extract this core from
(cf.
the superfluous chaff and to find an empirical application for their teacher's
phonological inklings
below,
p.
425 f.). 98
On
the other
His
first
when
in 1908,
Geneva
linguistic doctrine,
which
his student A.
with the observation that past attempts in the area of theoretical linguistics
anyone
else to
Prba, p. 238.
It is characteristic
his scholarly
autobiography for
his
S.
(1909).
98
L.
erba
chological labels because of the impossibility of using any other terminology, given the
contemporary state of the science. *** It seems to me that Baudouin's psychologism can easily be removed from his linguistic theories and everything will remain in place", (Izvestija po russkomu jazyku i slovesnosti AN SSSR, III, p. 315). 99 See "Notes indites de F. de Saussure", Cahiers Ferdinand de Saussure, XII (1954),
p. 66.
oo
Programme
et
mthodes de
la linguistique thorique
(Paris-Leipzig-Geneva, 1908).
421
to
from purely linguistic considerations; yet they are unknown most Western scholars". 101 As a matter of fact, at the time when the Geneva linguist was attributing international significance to Kruszewski,
the
name
of the researcher
who had
still
by the two linguists, whom history has linked forever, and in his lectures, which were refashioned by Bally and Sechehaye into a posthumous book, 102
he took from the teachings of Baudouin and Kruszewski and eloquently
discussed
such
in
fundamental
dichotomies
as
linguistic
statics
and
dynamics (or
and changeability (immutabilit and mutabilit), and correspondingly "the eternal antagonism between a conservative force, based on associations by contiguity, and a progressive force based
kinematics); constancy
on associations by
au pass)
103
;
and
infidlit
centrifugal
and
and force
unifiante) ;
its
parts; association
by simi-
families),
(solidarit
syntagmatique);
the
"inseparable
pair"
of signans
and signatum - oboznaajuee and oboznaaemoe (signifiant and 10 signifi). * The general statements about shortening of stems in favor of
ending (or "the process of morphological absorption", to use Kruszewski's
term), which
since his student years, entered in full into Saussure's 1906-1907 lectures
on general
their
linguistics. 105
When
at the
end of the
1890's Saussure states that in the forms srutos, sreumen, sreuo "le
phonme
101
102
103 104 105
Oerk, Oerk,
p.
III, p. 152f.
p. 65 ff.
RFV (1902),
106
See Godel, op. cit., p. 61. Cf. Baudouin, Szkice jzykoznawcze, pp. 176-248; pp. 234-248; Prace Filologiczne, III, pp. 121-124. Cahiers Ferdinand de Saussure, XII (1954), p. 52f.
422
TOWARD
discovering
i
when
mutabile. 101
is
is
effect. 108
used by French
lin-
meaning given
and
last
to
it
by
its
inventor, Dufriche-Desgenettes.
it
In his third
would be
safer to
omit
However in rejecting the him by Kruszewski and Baudouin and used by them in a new way, Saussure was by no means burying the idea of elementary linguistic invariants, which he had originalterm, which had earlier been adopted from
in the
in his
two Polish
"il
linguists.
Saussure emphasized
of all
The components of
"the irreducible
Geneva
de se reprsenter
considrer
les
les
purement oppositive,
this
more
valeur".
This value
all
opposition to
is
ibid., pp. 65, 165, 272. As R. Godel has shown, Saussure avoids calling these phonemes, although the term was inserted "unduly" and deceptively in several places by the editors of the posthumous edition of his Cours de linguistique gnrale. 112 See Cahiers Ferdinand de Saussure, XV (1957), pp. 58 f., 83 f. It is worth noting that Saussure does not limit himself to an examination of the "irreducible links" (chanons irrductibles) in the sound chain (Godel, op. cit., pp. 80, 256), but also
See
units
considers the "differential elements" (lments de diffrenciation, diffrentiels) of which these links, or "phonic units", are composed (ibidem, pp. 54, 163; Cours, p. 70),
despite the fact that this phase of phonological analysis clashes directly with his "prin-
423
phonologi-
Kazan' discussions.
If Saussure's interest in
problems of the
phonme
in
Mmoire on
original
The
had
it
his
1907-1908 lectures he
feels
obliged to
question". 113
alternations,
which
tions, Saussure
on
grammar of Greek
in
of language in
its
and
specifically
one of the central theses of his posthumous volume: "The most important
thing in a
word
is
itself,
others, for
it is
just
Godel, op.
is
cit.
p.
discussion of kinakemes,
phonology
113
[see
below, p. 444f.].
p. 58.
Cahiers,
XV,
114
115
116
117
Godel, op. cil., p. 41. Cf., for example, Cahiers, XV, pp. 62-64. Godel, op. cit., p. 166.
Cahiers,
XV,
p. 58.
Cours, p. 169. It is not surprising that many things in Saussure's Cours seemed very familiar to Baudouin's students. In 1945 erba wrote: "Thus much that Saussure said in his profoundly reasoned and elegant exposition, which entered the public domain and evoked universal enthusiasm in 1916, had long been known to us from
118
Baudouin's writings. Nonetheless some of our linguists are ready to ascribe to Saussure,
424
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
The model
Henry Sweet (1845-1912), and the Frenchman, Paul Passy (1859-1939). In the course of the seventies Sweet worked out two systems of phonetic
transcription: the so-called
distinctions of sounds
(i.e.
(1814-1890),
who
also
and 'Universal
Glossic',
all
phonetic
interesting
in
his
two
other for
to variants.
would be desirable",
he wrote, "sharply to distinguish the signs for phonemes from the signs
for sounds so that
would be apparent
at a
about". 120
Baudouin apparently did not know Sweet's works on this subject during the Kazan' period, but one of Ellis' works is included in
Kazan' students.
1
-'
it
declared:
"We
to distinguish
differences
two sounds when they serve or may serve two words; on the other hand we shall ignore those that are superfluous from the point of view of meaning".
shall distinguish
in some degree or other, even the doctrine of the phoneme" - Izbrannye raboty po jazyk oznaniju i fonetike (Leningrad, 1958), p. 14; cf. his Izbrannye raboty po russkomu jazyku (Moscow, 1957), p. 94 f. A similar statement occurs in Polivanov's preface to his book Za marksistskoe jazykoznanie (Moscow, 1931), p. 3f. "F. de Saussure's posthumous book, which was received by many as a kind of revelation, contains literally nothing new in the presentation and solution of general linguistic problems as compared
:
to
what was achieved here long ago by Baudouin and his school". H. Sweet, Handbook of Phonetics (Oxford, 1877), p. 103 f. In the preface to his History of English Sounds (Oxford, 1888), p. X, Sweet characterizes Broad Romic "as a kind of algebraic representation, where each letter represents a set of similar sounds".
119 120
121
Nekotorye
otdely, p. 71.
II, p.
Programma
100; A.
J. Ellis,
Letters.
425
1886 as the
The
Association
adopted in 1888 a number of provisions concerning the construction and the application of an international phonetic alphabet. According
to the
first
letter
word
if
The Practical Study of Language and printed in 1900, Sweet declared explicitly that "we have to distinguish between differences of sound on which differences of meaning depend - significant sound-distinctions -
"for
also
became the
first
stimulus
to
utilization
of phonemics,
according to his
own
testimony.
At the beginning of our century Baudouin and his Petersburg followers came closer to this Anglo-French practical trend. Beginning in 1900
there arose an extensive correspondence between Sweet
and Baudouin,
who
at the time
was keenly
erba (1880-1944)
that the concept
came
made it clear
to
them
we
find
it
erba
phoneme into the very definition of this concept as its point of departure. 124
Scerba's conversations with Saussure's Paris disciple, Antoine Meillet
(1866-1936), strengthened the latter's conviction that the
122
phoneme was
The Phonetic Teacher (August, 1888). Passy called the principle of indicating only distinctive sound differences "the golden rule of the practical phonetician". 123 Baudouin, who from his first note "on the use of Latin alphabet in the area of the Slavic languages" (1865) had constantly studied linguistic problems of writing and
spelling,
on the
relationship
between the Russian language and its orthography, to which problem he later devoted his book, Ob otnoenii. 124 In his Court expos de la prononciation russe, published by the Association Phontique Internationale in 191 1 erba points out that in his table of Russian sounds he presents "sounds that have significative value (i.e. phonemes in the terminology of Baudouin de Courtenay) in bold type and nuances that have no significative value in
,
ordinary type"
(p. 2).
kaestvennom
426
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
necessary for linguistic operations, 125 and on the other hand they gave
to the Russian disciple of
Baudouin a number of precious guideposts for the systematic analysis of the structure of language, which erba 126 utilized in his works on the Russian and Lusatian sound systems.
(his
For the London phonetician, Daniel Jones, the "immense importance" own words) of Baudouin's theory of the phoneme became clear after
que internationale, and after Tytus Benni, a Polish follower of Baudouin, had personally introduced the English scholar into the latter's doctrine. 127 Finally, thanks to Polivanov's studies on the theory of phonemes as
applied to oriental languages, especially Japanese, Baudouin's ideas early
reached Japanese linguistics and from there, via K. Jimbo and his interpreter H. E. Palmer, entered into English linguistics.
Thus
at
the eve of
World War
became
ac-
The
moment
at
sphere of intellectual ferment that dominated the world after the First
original finds or
Petersburg, 1912),
erba
Expos de principes
de Association Phontique Internationale (1908), written by P. Passy, "one of the few phoneticians who have completely understood the simple idea about the necessity for distinguishing 'les lments significatifs d'une langue' from sounds that 'n'ont aucune valeur distinctive'". He quotes Passy's view that if two sounds "do not play the role of
semantic constituents", then "there is no difference between them from the linguistic point of view" (p. 10). erba further tries to "give a conclusive definition of the phoneme: it is the name for the shortest general phonetic representation which can be associated in the given language with semantic representations and differentiate words" he points at the relevance of the phoneme for the phonetic constitution of
;
the
l6
word
(p. 14).
In his review of Scerba's book Russkie glasnye Meillet praised the author because he followed Passy and wisely insisted on distinguishing significant phonetic differences from the wide variations devoid of semantic value - Bulletin de la Socit de Linguistique,
126
(1912).
In the preface to his book Russkie glasnye erba stated that the conception of linguistic phenomena which he had acquired under the influence of long and close contact with Baudouin de Courtenay was considerably strengthened thanks to A. Meillet's lectures and conversations; they showed him "how two scholars in different points of the earth, working on different material, completely independently of one another, had come to what was, to a significant extent, an identical view of linguistic phenomena"
(P. VII).
127
the
Term
"Phoneme''''
(London, 1957),
p. 5f.
427
them - had been previously (if prematurely) formulated by other forerunners of modern linguistics. Despite all the peculiar interplay of traditionalism and novelty in Saussure's search and despite all the vacillations in his discussions of "la valeur linguistique considre dans son
still
found
Such a
units
shift
was indispensable
might become an
active, operational
linguistics
given language.
began
in parallel
it
was supported
equally applic-
relativity.
128
This observation
is
It is verily
new examples of
striking parallelism
linguistics
relativity of the
sound features
by a
given language, their dependence on the structure of the whole phonological pattern of the language,
oppositions -
all
who
built
is
linguistic system.
That
reaching inquiry into general and special phonology that began in world
linguistics of the
1920's
rapidly.
It is
West, there
is
level
two topics that most keenly concerned both Polish precursors of phonology, two themes that are interrelated - namely, the question of invariants in the diachronic plane and, on the other hand, in the analysis of alternations. The treatment of the problem of invariance and variation
128
Ch.
428
in the field
TOWARD A NOMOTHETIC
SCIENCE OF
LANGUAGE
us underscore: mutatis
let
The present-day linguist finds ever new stimuli in the trailblazing work of Baudouin de Cowrtenay and Kruszewski, and their legacy should be collected and published anew and made available to the readers
of today.
The Polish version of this study appeared in the Biuletyn Polskiego Towarzystwa Jzykoznawczego, XIX (1960), and was based on the paper given at a meeting of the Linguistic Committee of the Polish Academy of Sciences on January 12, 1958, in Warsaw, under the title "The Origin of the Concept of Phoneme in Polish and World
Linguistics".
, .- ,.
Mikoaj Habdank Kruszewski
, ,
, ,
"-
1881
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",
''.
1
(, .. "",
III (1889).
J.
(,
(1881),
107-109.
430
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1875
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TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
..
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1876 ., 5
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SCIENCE OF LANGUAGE
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8
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pro venia
legendi
1879 .,
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Rocznik Slawistyczny,
1883).
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TOWARD A NOMOTHETIC
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14
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1882
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SCIENCE OF LANGUAGE
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1883
Kruszewski" {Prace
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filologiczne, 1888-89),
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18
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2)
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14
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(1903).
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CCCXLVI-CCCXLVII
Szkice jzykoznawcze,
134-135.
,
,
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:,
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436
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,
.",
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..
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, , ., , , , ,;
, ,
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,,,
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{rapports
(),
; ,
associatifs)
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,
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1879
"
17
18
"
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17
, .
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: ,
(,
is
srie syntagmatique,
1917),
II
, , (, , .
5
...
1963).
II (1879),
(" ),
",
120.
438
SCIENCE OF LANGUAGE
{l'axe
).
de successivi,
"
"
20
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. ,,
" , ., , . , .,, , , .
."
",
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19
20
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880).
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XXXI
(1894).
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( 1
888
",
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(-
21
"
,"
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22
";
21
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(1891).
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6.
XXV-XXVI
440
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";
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
.
. ,
",
nos-,
, "
,." ,"
,, ,
",
,.
".
. ,
, , " ";
n'os-, n'es-, n'es'-, nos'-, no-, na-.
,
28
.
.
",
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"-" "
1881
23
1880-81
.
:
1878
"
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V
(1881).
Suum
,cuique,
441
, , , . , . , , .,
". "
***
..
24
(1881)
..
(-
***.
24
(1881).
442
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
1880
, ,
,
.
26
"",
. 25
,
..
sur le systme primitif des voyelles dans les langues indoeuropennes (1878)
"".
,
.
" ".
1881
"
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"
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([i]-[tu])
25
26
,
i
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1881,
No.
3.
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396
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27
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(bezznaczeniowe)
",
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27
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VII (1882).
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: ,
(
444
TOWARD A NOMOTHETIC
, ".
..
30
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SCIENCE OF LANGUAGE
".
28
29
" ]
["",
" " , .
-
"-
."
1910 .,
(, (,
XXII
28
"Prba teorji alternacyj fonetycznych", Rozprawy Wydziau filologicznego Akademii Umiejtnoci w Krakowie, XX (1894); Versuch einer Theorie phonetisches Alternationen 1895); "Fonema, fonemat", Wielka encyklopedia powszechna ilustrowana,
1895).
."
2*
18-45.
, ,,
:.
. .
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zwizku wyobrae fonetycznych z wyobraeniami morfologicznymi i semazjologicznymi", Comptes rendus des sances de la Socit des sciences et des lettres de
Varsovie,
80
"II
(.,
1897),
(1908).
17.
de
XX (1927).
parole
(comme
la
musique sans
les
de Saussure'a
,, ,
"
de Saussure'a
. .
445
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Brugmann'a
32
abwechslung
(,
" , ". ,, .
ber
188 1), 33
81
R. F. de Saussure
(1910),
82
ber die Lautabwechslung 1881). 84 "Die Lautalternation und ihre Bedeutung fr die Sprachentwickelung, belegt durch Beispiele aus den Trksprachen", Abhandlungen des 5. Internat. OrientalistenCongresses gehalten zu Berlin in 1881 1882).
88
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.
Gode, Les
1957),
die Laut-
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lois
"Les
IV
(1880).
1881
. ",
34
(,
446
Socit de Linguistique
, -, ( , , , ,.).
35
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TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
1881
Ferdinand de Saussure,
(L.
Havet)
1891 .,
, , , ,
,
"
venir
illustrer
le
Programme
1908),
, . , , , , (-, , , ,: " ,
36
, ,
(.
et
mthodes de
la linguistique
thorique
35 Benveniste, "Lettres de Ferdinand de Saussure Antoine Meillet", "Ferdinand Appendice II, Cahiers Ferdinand de Saussure, XXI (1964), de Saussure l'Ecole des Hautes Etudes", Ecole Pratique des Hautes Etudes, Annuaire
(1964/1965).
,),
..
447).
36
"Notes
66.
XII (1954),
;
."
37
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,
1878
, , , . , , , :,
,
19
447
1909 .,
linguistique
"
'',
Revue
critique.
Prinzipien
der Sprachentwickelung
Internationale
1884
1890
. 38
1906-11
., ..
87
R. Gode,
XXV (1966),
88
. . . .
51.
331
, ,
..
V
, .
Sprachwissenschaft,
(1890).
448
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,
: , "," , "
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
(suite linaire),
solidarit associative
'groupement par
) , , . , , ,, , , . , ""
(
families'.
Cours
..
",
..
(1958):
..
A.
. .. .
-
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1.
..
3.
1883-84
2.
B.
,.
.
.. (.
26).
",
.
, .
Warsaw
felt
."
.,
1965-6 .,
:
.
449
Summary
After his
studies in logic
(1851-1887)
attracted to linguistics
most outstanding
linguists
disciple
and as a search for general laws which He went to Kazan and became not only and collaborator of Baudouin de Courtenay
among
the
world
of the
late
than
five years
to a premature
end
by a mortal disease
in 1884.
Kruszewski clearly realized the inadequacy of the neogrammarian tenet and the need for a new and more general science of language. He was aware that firm foundations for a planned phenomenology of language
in
two
intralingual relations
entire
approach
of linguistic changes
proved to be unifiable into more general classes under two synthetic labels - "integration" and "reintegration". The cardinal novelty of
Kruszewski's theory
is
words and
scientific"
phonemic (strictly, morphophonemic) analysis of morphological units which in his studies found a "more exact and more
in
the
Baudouin himself repeatedly confessed. In the late 80s and 90s, Baudouin de Courtenay, who left Kazan first for Dorpat and then Cracow, succumbed to a skeptical attitude toward his own and Kruszewdki's
theoretical endeavors of their
Kazan
burg teaching and writing he vindicated and developed the chief ideas
450
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
world
who approached
Geneva courses
deep and
fruitful influence
as, for instance,
the creative aspect of language and the relationship between verbal signs
closer than
to
OF LANGUAGE
The
Polish and Russian cultures are closely related in spite of the frequent
mutual antagonisms between the two countries. Polish-Russian cooperation has been particularly intimate
guistics,
and productive
reflect
and
this solidarity
seems to
is
an
intrinsically linguistic
phenomenon. The
spheres,
Slavic unity
The
some
cultural
and the more such a sphere is connected with language, the ties. Thus the poetry of different Slavic nations presents
traits,
many common
and likewise the science of language (a science usually influenced by the scientists' vernacular) shows markedly similar
features in the various Slavic areas.
common
patrimony,
(2)
convergences in
we
find in Polish
it
and Russian a
large stock of
common
(1)
cultural terms,
results chiefly
standard language and which, since the tenth century, has influenced
medium, and (2) the great development of West Slavic culture, in particular the growth and expansion of language and literature (Czech in the 14th and 15th and Polish in the next two centuries). In the 17th century, Polish was in
Polish ecclesiastical terminology through the Czech
In
Moscow
Monk
numerous words,
Czech
452
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
poet of
modern Poland,
poets,
make
and the
honor
in the
Spawiski)
traditional
as
do Russians
in the investigation
all
of Polish (Kul'bakin,
Trubetzkoy, Bubrix).
But above
we want
to
sum up
the almost
import of
work
greatest achievements of
Polish scholarship.
philologists
Russian universities
and
linguists.
left his
Among
mention
J.
Skowski,
who
unfortunately
Kazan
and
University. In the
same
university
spirits
which
known
as the
school,
which
side
de Saussure
modern linguistics, was created by two Polish scientists of genius: Jan Baudouin de Courtenay (1845-1929), and the unjustly forgotten Mikoaj Kruszewski (1851played a decisive revolutionary role in the history of
1887).
neogrammarians
he
discovered
the
leading
principles
of their
doctrine; before
languages;
Hugo Schuchardt he posed the crucial problem of mixed and he was one of the first among the linguists of our epoch
from the point of view of its functions and to strive to find the basic phonological and grammatical units. However, the sharpsighted savant was not able to found and synthesize his revealing
to tackle linguistic structure
predominant
scientific
and philosophic
marked discrepancy was a source of continuous Baudouin and drove him from one field to another, for dissatisfaction from linguistics to political journalism, from town to town. The untimely
death of Kruszewski, his disciple and inspiring collaborator, aggravated
POLISH-RUSSIAN COOPERATION
trating.
453
He knew how
teacher.
draw all the inferences from the premises of his Less dependent on the contemporary ideology, he clearly
to
His
letter to
Baudouin
necessary,
May
21, 1882
is
more
general,
is
up such
a science
may
be found in
language
F. F.
itself."
Moscow
In
school,
whereas Baudouin's
to the field of
essential achievements
Fortunatov's
handicapped by the
Never
work.
satisfied
with his
results,
he published
little
erba
Jan Wiktor
Porzeziski (1870-1929)
made apparent
their
most dynamic
on Japanese
linguistics,
its
Introduction into
Linguistics in
Russian and
German
(cf.
versions.
Intellectual circles in
Moscow
N. Trubetzkoy
Slavist V.
revealed the great Polish poetry to Russian students, and his colleague,
the home-sick Polish patriot Porzeziski, was tied to his
Moscow
pupils
One
memory of Porzeziski.
"The search for truth" {szukanie prawdy) was Porzezinski's constant slogan and it perfectly expresses the spirit of disinterested cooperation between Polish and Russian linguists. Whereas the greatest historian of Russian, A. A. axmatov, in his studies of 1911, 1915, and even of 1920
454
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
in Byelorussian
had looked assiduously for Polish-related elements of prehistoric origin and adjacent Great Russian dialects, on the contrary
Porzezinski's critical answer in Prace Filologiczne of 1926 categorically
The initial mutual isolation of the two schools was completely overcome by the spiritual grandsons of Baudouin and of Fortunatov. Baudouin's theory did not attract Porzeziski, but his
Moscow
pupils (N. S.
two doctrines.
from
their antiquated
This new branch of linguistics Old and New World and revealed the vitality and significance of Baudouin's legacy for modern science. Nowadays it is universally acknowledged, but even recently some of Baudouin's learned compatriots favored German neogrammarians over his "doctrinary radicalism", while Soviet linguists and the Czech-Russian "Prague
became the
spread everywhere
linguistic theory.
erba
Baudouin
Young
language.
A new
field
genetic orientation
which had been neglected by linguists of a purely was opening up: no routine stopped exploration, and
made
in
it
particularly
and
at the
same time
scope of
made
poetry, to
texture.
its
became universally known. Yet in Slavic countries, especially in Czechoslovakia and in Poland, they found not only imitators, but also excellent and original continuers. The incipient, rigorously mechanistic conception of form and function gave rise to an acute crisis in the formal school, and this crisis was the most productive in Polish and Czechoslovak science, where formalism evolved into a subtle structuralism. The last works of the
POLISH-RUSSIAN COOPERATION
455
Mukaovsk, etc.) and the Polish group (M. Kridl, widened the horizons of poetics and of all the "science of signs" (semiotic) and displayed a new, fruitful symbiosis of three Slavic
Prague Circle
(J.
F. Siedlecki, etc.)
creative trends.
language was printed in 1939, but the whole huge volume was reduced to
ashes in the
exist",
Warsaw
German
out!"
yoke.
"We
still
"The
we hold
He
stated
how
was not to know what was happening with the Prague Circle and with the Russian searchers and even to be unaware of what he himself and his Warsaw comrades had to expect. The addresser passed to the
pending questions of the international philosophy and science and
warningly admonished those "who after the death of N.
S.
Trubetzkoy
humanistycznych)*."
This
in
and Sciences
America appeared
[This letter, sent to the present author June 3, 1941 by the late Franciszek Siedlecki, and the selfless editor of the above-mentioned
i
Spoeczestwo, IX (Polish
Academy of Sciences,
1965),
No.
1,
p. 16ff.].
I'll
take
it
down
first in Bell's
Broad Romic
....
originality of his
to
new
ideas,
and
humor *** truthfulness, simplicity, and courage"; 1 "unhesitating candor *** natural simple candor *** unflinching candor". 2 While reading these
and many similar testimonials
I
in the various
R. Firth in a
last heart-to-heart
recollecting
Firth's
pointed
views
when
I
among young
which
English linguists,
salient feature
and
our
own
time.
What
fascinates
me
in the centuries
of English painting,
which so often has been unjustly underrated, is the singular gift of the prominent thinkers and artists: their unusual courage to see the world with their own eyes irrespective of the environmental usage, habit and
predilection.
The
years
when
its
a particularly clear
first
and
explicit formulation
were
Henry Cecil Wyld, "Henry Sweet", Archiv fr das Studium der neueren Sprachen und Literaturen, N.S. xxx (1913), pp. 1-8. 2 L. Wrenn, "Henry Sweet", Transactions of the Philological Society 1946,
pp. 177-201.
457
and grammar". 3 In the following year he printed a revised edition of the same study. 4 Then, probably spurred on by two successive academic defeats, first at London University College, then in Oxford, and at the same time inspired by his
chairmanship in the Philological Society, Sweet brought out his Hand-
book of Phonetics, prefaced in Christiania, Aug. 27, 1877, 5 and outlined a wide research program in his Presidential Address delivered at the
anniversary meeting of the Philological Society 18
May
1877. 6
is
on the dualism of form and meaning". Hence all attempts this dualism and "to reduce language to strict logical or disregard to psychological categories, by ignoring its formal side, have failed ignominito observe, analyse,
is its sounds. The science which teaches us and describe the sounds of language is phonology". 7 Sweet constantly insisted on the importance of phonology as the in-
ously.
dispensable foundation of
all linguistic
is
He was prone
to believe that
now
generally recognized,
circles". 8
the seventies but in the whole nineteenth century one could hardly find
another study of speech sounds which put forward and utilized the notion
of "significant sound-distinctions" with such a zeal and tenacity, as
it is
done
in Sweet's
Handbook of
1877.
He
definite distinctions of
meaning" from
alter the
It is
3
all
meaning". 9
is
confined to
Henry Sweet, "Words, Logic, and Grammar", Transactions of the Philological Reprinted in: Henry Sweet, Collected Papers, arranged Wyld (Oxford, 1913), pp. 1-33. by H. 4 Henry Sweet, "Language and Thought", Journal of the Anthropological Institute (May, 1877). 6 Henry Sweet, A Handbook of Phonetics (Oxford, 1877). 6 Henry Sweet, "Presidential Address on English Philology and Phonology",
Transactions of the Philological Society 1877-9, pp. 1-16.
A Handbook,
xii.
p.
v;
A New
English
Grammar
182f.
1892), p.
*
A Handbook,
f.,
458
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
those portions of the book which deal with the graphic representation of
sounds, namely the last Part, entitled "Sound-Notation", and the Appendix with an Exposition of the Principles of Spelling Reform. It is also true that the system of sound-notation, which under the label
Broad Romic was introduced by Sweet in order to "indicate only those broader distinctions of sound which actually correspond to distinctions
of meaning in language", was expressively designated by
"for practical purposes" in opposition "to the scientific
its
inventor
Narrow Romic".
practical
J.
The
Visible Speech,
and was "too minute for many The idea of a double notation goes back to A. purposes". gradual efforts to complement the explicit system by a more
analysis of sounds generally"
10
practical
one, where
"many of
improve-
ment of
Ellis's
coupled with the Universal Glossic which aimed "at giving simbelz faur
dhi moast mine-ut foanet-ik anal-isis yet achee-vd". 11
He
was, like
its
basic principles.
upper
truth
class, are
and reason
delayed, the
more sweeping
it
will
be when
comes". 12
Thus the
signification of speech
In the
Handbook
The Ethnical Alphabet, or Alphabet of Nations (London, (London, 1871): 'Glossic', pp. xiii-xx; see p. xiii f. In 1878 Sweet himself acknowledged and determined his indebtedness to "the pioneer of scientific phonetics in England" "I thus formed the two systems, Broad and Narrow Romic, mainly on the basis of Mr. Ellis' Paleotype, from which the latter differs mainly in the values assigned to the letters. To the relation between my two systems corresponds that between Mr. Ellis' Glossic and Universal Glossic, which are, however, based not on the Roman values of the letters, as in the case with Paleotype, but on an attempt to retain their present English value" (Collected Papers, p. 117f.). Both Glossic and Broad Romic carry out a "rougher phonetic notation for purely practical purposes" (ibid., p. 120). 12 Collected Papers, p. 88; cf. A Handbook, p. 169ff.
Alexander John
1;
Ellis,
1848), p.
idem.,
On
459
the
influential
contemporaneous
writings
of
German
at
phoneticians.
"The
phonetics in
German
school. 13
linguistic
functions of the sounds by these physiologists and physicists, but also in the authoritarian linguistic trend of that time, in the school of the
Junggrammatiker, the
problem.
strictly genetic
German
study'
which unites Henry Sweet with William Dwight Whitney and Ferdinand
de Saussure, and despite his consistently antiauthoritarian, rebellious
spirit,
to
his epoch,
in bold sallies
flanking movements.
or in
Sweet's terms,
is
the
by Sweet, he
call
sees
new methods. Narrow Romic that has been declared 'scientific' that the Broad Romic is necessary for what we would
in trying
is
and for writing passages of any length in this language. 14 But although the question of relation between sound and meaning is discussed only in connection with notation, we are reminded by the author that "the notation of sounds
is
in Sweet's
18 14 16 16
when he stated that 'the phoneme idea' is implicit Broad Romic, 16 yet we could add that the theoretical founda;
p. 25.
R. Firth, "The
Series,
xn
460
tions of
TOWARD A NOMOTHETIC
phonemics are implicit
a rational spelling.
SCIENCE OF LANGUAGE
of the principles
in Sweet's exposition
which underlie both the Broad Romic and the representation of speech
sounds
It
in
was clear
shades',
or 'delicate distinctions'
does not
lie
in their smallness
but
first
"Thus the
in 'by'
in 'father',
And
yet
'out' vary considerably: some some flat as in 'man', with various the meaning of the words remains un-
and
changed. The distinction between the vowels of 'men' and 'man', on the
other hand, though really slighter than that of the different pronunciations
of 'by' and
'out', is
a distinctive one."
17
As a rule, Sweet refrained, according to his own acknowledgment, from "attempting to settle questions of priority of discovery". Two linguists of world rank, Henry Sweet and Jan Baudouin de Courtenay,
both born
in 1845,
with the same problems. In 1877, at the same time as Sweet's Handbook,
there appeared in the Bulletin (Izvestija) of Kazan University the "Reports
in Linguistics
with a brief plan of inquiry into "the mechanism of speech sounds, their
correspondencies and their dynamic relationship, based on connections
Two
They contain
into
more elaborated
dealing with the physiological and physical aspect of speech sounds, and
the other, "phonetics in the true sense of the word", treating "sounds in
He
superposed
this
On
the other
classifi-
hand,
it
and
17
18
in
Handbook, p. 182. For more detailed data on "The Kazan School of Polish Linguistics and the World Development of Phonology", see above, pp. 394-428.
Its
Place
461
would be curious
to
know what
The same work appears among the reference books in Baudouin de Courtenay's Program cited above. Jost Winteler, born in 1846, was the third great precursor of modern phonemics among the linguists of Sweet's and Baudouin's generation, and his epoch-making monograph 21 most probably influenced Sweet's use of minimal pairs for commutation tests (e.g. men-man or French pcher-pcher) as well as his consistent
discrimination between 'distinctive differences' and mere 'variations'.
1877. 20
underlies
phonological studies of the seventies, while the invariants remain namein these writings.
1873 by A.
Dufriche-Desgenettes
Sprachlaut, 22
L. Havet. 23
into
was accepted and popularized by the Romance philologist The young F. de Saussure, striving for a reconstruction of the
it
to designate
articulation,
proved to be
the closest
Mikoaj Kruszewski,
student and collaborator of Baudouin de Courtenay and one of the keenest spirits in linguistic science of the last century, caught
term, proposed to apply
variance, 25
it
up Saussure's
and
development of
name and
concept.
but
"Thus, the innumerable varieties of diphthongs possible can be classed under a few general categories *** and if we simply provide
signs for these general categories,
unambiguous
19
we can ignore
the endless
A Handbook,
tion between
20
21
p. 105. Baudouin hinted for the first time at the need for discriminatwo ways of transcription only in 1881, when his selected lectures on
Slavic comparative
grammar appeared
Vestnik.
in ihren
Grundzgen
(1873), p. 368.
les
24
UI en franais", Romanie (1874), p. 321. Ferdinand de Saussure, Mmoire sur le systme primitif des voyelles dans
"Ol
et
p. 14.
462
TOWARD A NOMOTHETIC
SCIENCE OF
LANGUAGE
the
approximations to
(i)
and
27 (u) respectively".
Sweet sought specifying terms not for units but for their relations. His whole definitely relational conception of phonological invariance is
based on the notion of "significant distinctions", opposed to "not
significant", "superfluous", or as
we would
is
ences.
What
distinctive
properties.
"Hence we
much between
sounds
further radical
of "superfluous
sound-distinctions"
Thus, in English,
it
would be superfluous
to
narrow and wide since "the quantity would always imply the distinctions of narrow and wide". Of "two criteria of
29 significance" only one proves to be relevant.
Sweet
distinctions ***
find
aware that "if we confine our attention to definite which may correspond to differences of meaning, we 30 But that each language utilizes only a few of these distinctions".
is
fully
in addition to
in the
inventory of "inde-
they
may
Thus, the
from complemented by a daring and novel search for interlingual, universal 31 Of course, this kind of variations and for corresponding invariants. consideration is claimed by the author to serve merely "practical
extraction of invariants
quite logically
26 27
*8
18f.
s0
81
[Some
linguists as J.
113f. are
still
unable
463
now
it
is
and
first
or
some other
marked
at all".
But
and
this
:
is
on the first syllable, then it is necessary to mark it only when on some other syllable." For example, in English, "it need not be marked in foutograf (photograph)". 32 Binary oppositions requiring a symbol only for the mark but not for
falls
its absence were clearly viewed by Sweet: Since in Greek "there are only two breathings, *** the absence of the rough breathing is enough to show that the other one is meant". 33 The same rule is applied to the
pair of Swedish word-tones where the simple tone "is practically merely
compound
tone,
34
either a rise
or
fall
The
accurate'
an algebrai-
its
avowedly practical
sections,
have
campaign
for a reform of
tinuous struggle for the 'golden rule' of broad notation, affirm and
in the
A Handbook,
p.
and
190; The Practical Study, p. 19. Cf. the question of absolute by A. A. Zaliznjak in Simpozium po strukturnomu
izueniju znakovyx sistem (Moscow, 1962), p. 55. 33 The Practical Study, p. 19.
34
35
p. x.
36
and
568 below.
464
and the
Baudouin's doctrine to modern phonemics, were inspired by Sweet's and Passy's elicitation of significant distinctions. From 1900 there arose an
abundant
linguistic
and in general one can only emphatically repeat the concluding words of
A.
Brandl's obituary notice on Sweet:
37
"Mge
sein
Nachlass treue
Herausgeber finden!"
When
in
1943 L. Bloomfield was asked what were the works that gave
first
39
and foremost
to Sweet's note
on "Significant
Another
trait closely
speech sounds, and likewise connecting the 'science man' of the 1870s
with modern research,
is
It is
Sounds
from
spirit"
of the
German
condemned
the
orientation
amount of
in his
new
set
of
comparative problems. On the one hand, "divergence between cognate languages *** raises the question, how far does the possibility of change
of structure extend?" 44
On
more
Archiv fr das Studium der neueren Sprachen und Literaturen, N.S. xxx (1913), Leonard Bloomfield, Language (New York, 1933), Ch. V-VIII.
p.
1 1
p. 18 f.
History, p.
xi.
the
See p. 75.
42
43
Affinity",
Otia Merseiana,
ii
(1900-1),
pp.
113-126.
465
Romance and
phenomena asks for a systematic study, since the possibilities of mixture has proved to be "greater than was suspected by the founders of comparative philology". "There is no necessary limit to mixture of vocabulary. *** The possibility of
diffusion of linguistic
Persian, etc.". 45
The
syntactic influence
different languages
is
clearly
is
Again,
may influence one another morphologically". 46 it was Sweet who had broached an unwonted problem which has
become a crucial topic in present-day linguistics: "In the first place, there can be no doubt that contiguous languages often show striking phonetic resemblances even when they are not cognate or only remotely so." This statement is supported by references to "marked phonetic peculiarities"
spread out "without regard to linguistic relationship" in the Caucasus,
in Eastern Asia or in
Southern Africa. 47
Beside similarities
From
Sweet
The
This
general conclusion of Sweet's, exactly like his Broad Romic, he links with
the practical study of language
science
"is
;
this
the
indispensable foundation"
"What can
is
The
viewpoint
drastically attacked
it
reasonable as
would be to
insist
Ibid., p. 92.
Ibid., p. 60f.
Ibid., p. 61
f.
[Cf.
below
p. 484f.]
466
is
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
is
far
from deadly
and 'changes
by him with
gripping ingenuity. 51
There appears one more concept, conjugate with the functional method
of approach and quite alien to the predominant linguistic doctrine of the
late nineteenth century.
"I, for
one,
am
methods *** are a failure compared with the synthetic methods of the Middle Ages, by which sentences were grasped as wholes", whereas at
present they are "put together like pieces of mosaic work".
The
critic
real
reform
It is
his
in
Neither of these two giants received a chair from his alma mater or
university. After a long "series of academic disappointments and rebuffs" and "1901 - the year of the most incredible of all his
failure to offer to
tried to
the Chair of Comparative Philology, "there ought to be another Professor54 ship of the Science of Language (philosophical grammar, etc.)".
In
H. C. Wyld's opinion, "no man surely was ever more sensitive, and more easily wounded by maliciousness, callousness, and brutality, even when
these were veiled by a soft voice
Sweet stood for Sss, which was clearly a Jewish name, and that were not much more popular
60
in
England than
in
Germany'. 56
" A Handbook,
62
53
Handbook,
p. 201.
p. 195f.
Selected Papers, p. 34. L. Wrenn, op. cit., pp. 182, 193, 195.
J.
64
H.
467
wrote in
my
Columbus, but also a too early discovery may be detrimental". 57 The great precursors of the modern science of language - John Hughlings
Mikoaj Kruszewski (1851-1887), and Ferdinand de Saussure each of them in his own way bears a stamp of tragedy on (1857-1913)
(1846-1929),
his
whole
life.
May
1878,
it
was
one form of charlatanry to which I will call your attention, and which and dangerous, veiling itself under the disguise of conscientiousness and accuracy. It may be termed the mechanical view of language, and is based on the assumption that language *** is not governed by general laws, but consists merely of a mass of disconnected details. 58
There
is is
specially insidious
The scholar who dared to look far ahead and was proscribed to become le savant maudit.
Written in the Center for Advanced Study in the Behavioral Sciences (Stanford, California), 1961, for the volume In Memory of J. R. Firth (London, 1966).
See above p. 41 4f. Henry Sweet, "English and Germanic Philology", Transactions of the Philological Society 1877-9, pp. 373-419. Reprinted in Collected Papers, pp. 95-140.
68
67
..
., .
-
. ",
"
1875
, .
1885).
. ,, ,, ,. , ,. ("
(1850-1937) -
.
-
, .-
, ,
. .
(1876-1877),
",
, . ,,
. ,
.,
70-
.
80-
,, . ,
7080-
. ", ",
,
. ,
469
-
. , , , ( ( . ,, . ,
(1884),
" ,, , , , ." , , , .
;
1883)
Subjectlose
Stze (1883),
1883),
, ". ,
"
470
, ., , ; , , - .
, : , ,
"
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
".
"
, ,",, ,, ". , , , . ,, . ,
".
- ens politicum,
,, , , . , . ", ,
-
, , ," ,",..
471
, ,. ,
". ",
,
(-
" "-
80-
472
; . . : . , . , : , . , . , , , , , . , , , ";,
.
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
1885
,"
.."
, " ;, , " , ;
"
"
potencilnosti jevu jazykovch" (1911),
..
.
1887
. ,,
1885
",
".
. , ,
, " : ,
1885
, . , , . , , .
,
.."
1927
. . , , , . , , , , ..
,
.
; , , , ,., ..
(1838-1907)
, ,"
473
,, ,
. ,,
474
,. . . , , , , ". " , , , ., ; . , , , , . , , . . , . ., , , .
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
, .
. (,
1929).
, ,
. . ,
.,
".
(..
, "
". ,
,,
"
,
,
. . . , ,)
-
". ; ,
. .
, ; ,
,
476
<
!
,1
. , , .,
(.,
, ! . , . ), , , . ,,
moi .
-.
),
-
,.
-
, ,
.
. , -. ,
, . ., i
..,
ich
,
25
1930
(,
1930)
Masarykv
Sbornk,
(1931).
When
relive
trying to
sum up
vividly
delightful lessons,
initiated
me
of his
call
life.
How
he loved
this
In the
but
is
would
like so
much
:
And
in order to justify
such haste he adds "It has been so hard to spend ten whole days without
scientific
work." There
is
in this sentence
as well as in Boas'
whole
among
his
manifold
activities.
It is
true that he
came
to the
humani-
from an
Boas specialized
in physics
and geography, and he always declared himself a self-made-man in "the science dealing with the mental phenomena", particularly in linguistics.
The only
linguist
but Boas was not yet interested in language, and afterwards he regretted
never having attended the lectures of that enquiring
instruction can be dangerous, but in Boas' case
it
thinker.
Self-
was
his great
power:
weighed heavily on
sciences with a
linguistics
demand
for reliable
and ethnology. He came from the natural and rigid methods, but he had no
On
the con-
trary, he asserted and espoused the autonomy of the humanities, and precisely because of his perfect mastery of both domains - the natural and the social sciences - he never confounded them but carefully distinguished "human language, one of the most important manifestations of mental life", and cultural phenomena in general from their "biological premises". He repeatedly insisted upon the impossibility of explaining
478
TOWARD
a linguistic or
some other
the natural
environment, and he acknowledged both his former exaggerated belief his youth in the importance of geographical determinants with which in
he had started
and
his
"thorough
disil-
is
reflected already in
his
in
first
piece of ethnological
It
is
(written
1885).
very
trip
to
Baffinland definitely
work belongs
first
to linguistics.
The
to
first
contribution
it
Curiously enough
<!'
is
"letter
from Berlin":
in British
his field
the
Bella-
Coola
Berlin exhibition to
which
some
of British
Columbia became a
favorite field
exploration for
On one of these languages, Kwakiutl. he worked continually for more than a half century, and his last finished manuscript, which occupied
the final years and days of his
life, is
comprehensive
linguistic analysis
Words; Texts
soon as possible.
phenomena
Language was considered by Boas not only as part of ethnological in general but as "one of the most instructive fields of inquiry" and his motivation is thoroughly remarkable: "The great advantage
Boas says
in his
magnificent in-
troduction to the Handbook of American Indian Languages (1911), "is the fact that, on the whole, the categories which are formed always
this
and disturbing
fertile
which are so
common in ethnology***."
and
this
still
by Boas. As a matter of fact, it is just unconscious character of linguistic phenomena which has made and
makes so many
difficulties for
Even
for
of a language
is
a "fortuitous state"
479
of
its
traditional doctrine
was permanently
Boas (and
to
who
draw
phonemic pattern of
secondary reasoning
rise to
and to
re-interpretations".
The conscious
individual re-interpretations
of fundamental cultural institutions are capable of obscuring and complicating not only the real history of their formation but also their
formation
itself.
On
tures, as Boas emphasizes, can be followed and unfolds itself without these "misleading and disturbing factors". Elementary linguistic units
itself
They can
consciousness
its
with
obligatory character of
together.
The weaker the consciousness of the customary habits, the more their devices are stereotyped, standardized, and uniform. Hence
the clear-cut typology of the diverse linguistic structures and, above
all,
Among
most
strikingly
of the unconscious.
For
this
reason - Boas
insists
The
and the
thorough understanding of the diverse ethnological patterns had never before been stated so precisely. And modern linguistics can still give
some
anthropology.
In accordance with these general views, Boas endeavors "to subject
the whole range of linguistic concepts to a searching analysis",
his descriptive
and
in
their "inner
most
literal,
and
480
least
TOWARD A NOMOTHETIC
distorted translation
scientific
SCIENCE OF LANGUAGE
into
the
language of
formulations.
From
the
start
he distinctly saw
its
double aspect: as
a limited
number of sounds
and sound-clusters have been selected by each single language (and moreover by human language in general) from the infinitely large
the
infinitely
varied
range of ideas has been reduced by classification in each single language (and moreover in human language in general) to a lesser number.
o\'
material used
sound
and the choice of conceptual features to be "recognized by the symbol of the same sound complex". This two-sided selection converts foreign bodies into linguistic values; it creates fixed PHONEMIC units from the
fixed
for
General
linguistic analysis.
He
important achievements
his last years
this matter.
The need
to spare himself in
his
work, but he
new
field
of research.
Once,
a year before his death, Boas gave an instructive talk to some linguists
on the structure of Kwakiutl. He mentioned in passing that the Kwakiutl accent is on the first syllable, if it is long, and on the second syllable, if
the
first is
short.
mora and
a long
syllable
two moras,
ments to a
common
on
hearers went
home under
some
months
later
in
me
another Indian
prosodie pattern,
my combined count
the
He
language of others.
As a matter of fact, ethnology and particularly linguistics was for Boas first and foremost a means to understand his fellow man and to perceive himself from without. Soon after he had entered the field of ethnology, he tried to define its aims (1883): "The data of ethnology
prove that not only our knowledge, but also our emotions are the result
481
whom
we
belong.
If
we
development of human
It is
culture
impossible
that are
in
common
live.
to
mankind
it
which we
this insight.
Therefore
own
civilization objectively."
The Copernican
still
We
have come to
know that our space as well as our time is only one among the innumerable
varieties
linguistics
Einstein,
and other
In the "In-
troduction" cited, Boas opens his "Discussion of Grammatical Categories" with the following lucid statement:
how
which we are
familiar
and
in
how
may
be substituted for
it."
Of
Humboldt's time.
Nevertheless,
the
"Indo-European
imperialism"
dominate the study of "exotic" languages. And only with Boas' attacks
did a real change of approach begin.
He
grammars "modeled
all,
strictly
on the
which
gical categories
he showed convincingly
"that each language has a peculiar tendency to select this or that aspect of
is
must be expressed". Such "obligatory aspects are expressed by means of grammatical devices", whereas some other aspects are taken as nonobligatory and are expressed by lexical means.
its
in
own way
Numerous grammatical
Boas and
his followers
still
more
and eliminate
482
TOWARD
the authors, and every tendency to impose categories derived from dut
Already
in
his
earliest
linguistic
("On Alternating Sounds", A A 1889), Boas endeavored to prove that everyone "apperceives the unknown sounds by the means
we must
native language".
The modern
these
work
native
own semantic
in
patterns.
He emphasized
tried to
this
problem
of semantic accuracy
Ethnological Society,
in the
his
last
May
13, 1942),
and he
embody
his
program
much
We
unfamiliar
languages.
Moreover,
this principle
modifies our
ideas not only about this or that language, but about language in general.
We
but
is
arbitrary in
its
classifications,
to
an
may
To
the native
its
speakers of a language, be
classifications are arbitrary.
it
ual
and
in the
whole people
Such classifications develop "in each individentirely sub-consciously" and build a kind
may
activities
Thus
linguistic
beliefs but
on conscious reasoning". In
itself
is
every
much
as a "primitive" one,
in per-
manent
is
at the
same time
"sufficiently pliable" to
483
Civilization requires
grammar may
remain
intact.
"it is
Thus
for the
cultural development".
first
When
it
time, he put
down
we
are
We
are subconsciously
still
living
and we
still
believe
we stand
is
in the center
is
somewhat
difficult for
of) civilization
due to the
fact
we
demonstrated
how
utterly
is.
own
we
linguistic habits
For
person
more
logical
by many exotic languages, where distinction" between 'I and you' and 'I and he'.
"Language and Culture" (1942)
And
Boas
greater satisfaction if, in the same way as Kwakiutl, our language, too, would compel them to state whether their reports were based on selfexperience, on inference, or on hearsay, or the reporter had dreamed it. Descriptive linguists found in Boas one of its leading representatives,
self-sufficient,
ultimate aim.
"In
compare
He truly
belongs
The
first
falls fifty
of William D. Whitney. Both were enabled to have their say to the end,
whereas the
last
men
lost
by American
linguistics,
Edward
Sapir,
wiblisEm
'to perish
was equally
and
in
comparative
was particularly praised by European Masaryk and Saussure) for his convincing demonstration that linguistics belongs to the social and not to the natural sciences. Both Boas and his pupil Sapir continued to battle
international linguistic thought,
scientists (as for instance Leskien,
One
of the
484
most tenacious survivals of the traditional naturalism was Schleicher's Stammbaum theory, an idea - or rather a myth - which in spite of all criticism still pressed heavily on comparative linguistics. Boas began by embracing this tenet, and in the "Classification of the Languages of the
North
Pacific Coast", a
paper read
at the
of Anthropology (1893), he taught: "The structural resemblance of the languages (Tlingit and Haida) *** can be explained by the assump-
two
tion of a
common
origin",
and although
in
Major
J.
W.
Powell's
who
These precepts were transgressed by many observers of exotic languages, who often found an impressive structural similarity between grammatical
or phonemic patterns with scarce correspondences in roots and affixes. The more deeply Boas delved into indigenous linguistic life, the more
slearly
another and opposite factor which works widely. This time it was ethnology - and especially its notion of diffusion - which served as an
example for
linguistics.
Many
from any
significant facts
made
it
impossible to infer a
common
origin
manifest
range of
common
and phonemic
structure.
Grammatical
one
and phonemic
continuous areas
(or even over
Certain
grammatical and phonemic types have a wide continuous distribution without corresponding lexical similarities. Some neighboring languages
with similar phonemic features are morphologically quite distinct, and
vice versa.
coincide,
The areas of specific grammatical or phonemic features do not so that one and the same language happens to be linked by
common
grammatical or
morphological
common phonemic
characteristics.
As
early as in the
485
convincing examples continued to accumulate, and the fact of the frequent occurrence of morphological or phonemic convergence between
subject.
remained
facts.
still
Thus
in
1937),
nearly at the
same time
Man
(1938) he soundly
elements
may
language are effectual barriers for their spread." Let us add that
phonemic or grammatical
guistic intercourse,
devices.
Integration
is
a natural trend in
lin-
and
At
first
just in
phonemic as
Old World linguists quite independently of Boas' inquiry. Then a phonemic atlas of the world was planned, and even the preliminary drafts showed that wide continuous distribution of pivotal phonemic
and grammatical features is generally typical of linguistic fife. Boas gradually generalized his Americanist experience, and his
toward the "genealogical tree" became
held in abeyance until
single stock
still
attitude
more
critical.
"The whole
we can prove
Only
investigations in Prague,
He came
to read Trubetzkoy's
develops the following idea: 'Es gibt eigentlich gar keinen zwingenden
Grund
zur
Annahme
von der
die
einzelnen
indogermanischen
Sprachzweige
abstammen
486
,1
wrden. Ebenso gut denkbar ist, dass die Vorfahrender indogermanischen Sprachzweige ursprnglich einander unhnlich waren, sich aber durch
stndigen
Lehnverkehr
all-
mhlich einander bedeutend genhert haben, ohne jedoch jemals miteinander ganz identisch zu werden."
fully
"It's all right".
Boas told
me
cheer-
had disappeared.
Perhaps the long inattention of
Boas' favorite idea
was partly
his
own
fault.
He
News on
would
be given by Boas as
India, while data
a refutation
only casually.
He
make
to
was designed
of
all
upon com-
well,
"remains equally
whether we ask
may
Among
linguists
in syn-
He
himself,
is
merely a way
toward
history.
social science
was
human
human language"
(1920). This
maxim
evidently
on Whitney's
tradition.
it
came
into being".
And under
now
existing types
look for general laws beyond the historical aspect of language. For him,
However, Boas was rather disappointed by the search for the general
laws that govern and explain the historical evolution of culture and
particularly the
us
many
strikingly similar
phenomena
in
487
similar, unilinear
developments
fails.
in altogether different
ways from
As
dissimilar sources
in
divergent directions.
line
of development.
became
clearer,
Boas found
life
in
who
held to the belief that the only conceivable laws in language are evolutive.
But Boas saw that the conditions determining the course of historical
happenings "are logically entirely unrelated" (1930), and on the other hand
his attention
He had
further step
linguistic
laws that govern and explain the structure of languages. Such synchronic
or
more
on
historical lin-
guistics:
scarcely explain
"how
it
came
into being".
These
if
and interprtable
For
tion,
in the singular,
as "difficult to answer".
linguist
who
died
linguistic
gical
accordance with
this
"law of compensation"
the plural, as a
grammatical
more thoroughly specified than singular, usually contains a smaller and never a larger set of distinctions. The stubborn tradition which identified the scientific explanation with the genetic approach and reduced synchronic linguistics to a mere description influenced also Boas nevertheless his linguistic theory came
number which
is
And
at this
American
linguistic
will
have to develop the legacy of the great teacher, the splendid heritage
linguists
on two continents
will
continue to
488
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAG1
suggestive ideas.
summer
of American
Linguistics,
(1944).
[To p. 478: Qwakiutl Grammar with a Glossary of the Suffixes by F. Boas has been published in the Transactions of the Am. Philos. Society, N.S. XXXVII,
part
3.]
BOAS' VIEW
OF GRAMMATICAL MEANING
"The man
compen-
municated
is classified
Thus
from a number of distinct aspects" (1938, p. 127). man killed the bull' and 'the bull killed the
and
man and
bull,
distributed differently.
Grammar, according
function
:
and expresses
expressed."
them from
lexical
meanings
When we say, "The man killed the bull", we understand that a definite single man in the past killed a definite single bull. We cannot express this experience
in
such a way that we remain in doubt whether a definite or indefinite person or one or more persons or bulls, the present or past time are meant. We have to choose between aspects and one or the other must be chosen. The obligatory aspects are expressed by means of grammatical devices (1938, p. 132).
bull,
we
and
'the
man' and
'the bull'
first
focused
upon
may
nated: 'The
man
and 'The
was
optional, the
elliptical,
490
killed
TOWARD
by the man' is a salient ellipsis. Once having chosen the active construction, the speaker must, furthermore, make such binary selections as (B) preterit (remote) or non-preterit: 'killed' vs. 'kills'; K') perfect
in
1954)
retrospective,
per-
vs. 'kills',
'had killed'
sive:
'is
(D) progressive (expanded, continuative) or non-progreskilling' vs. 'kills', 'was killing' vs. 'killed', 'has been killing' vs.
'has killed', 'had been killing' vs. 'had killed': (E) potential or
non-
potential:
'would
have
killed'
vs. 'has killed', 'would have killed' vs. 'had killed', 'will be killing' vs.
'is
killing',
'would be
killing' vs.
'was
killing', 'will
have been
killing' vs.
killing' vs.
"had been
killing'
'may' which likewise have but a preterit and a non-preterit form). The auxiliary verb 'do', used in assertorial, vrificative constructions
and 'nexus-question' (Jespersen's terms, 1924) - is not combinable with other auxiliary verbs, and therefore the number of possible selections between (F) assertorial and nonostensible affirmation, 'nexal negation',
assertorial
vs.
'killed'.
2
is
and
'did kill'
a
in
these cases a
'killed') is
no two-choice
between a confirmation and a simple positive statement requires a choice of one of two possible constructions - 'the man does kill the bull' or
'the
man
kills
kill'
or 'he killed'.
(or at
you"
in the
motivation.
this
more
specified,
'marked' category
is
designated by a
plus,
and the
less specified,
"un-
Neither progressive perfect nor progressive potential are used in the passive, because two non-finite forms of the auxiliary verb 'to be' are incompatible. 2 Besides the indicative, this auxiliary verb is used in imperative constructions only:
'do
kill!' vs. 'kill!'
boas' view of
grammatical meaning
Selective Categories
491
Verbal Form
kills
lolled
has killed
had
killed
will kill
would
will
kill
killing
killing
was
has been killing had been killing will be killing would be killing will have been killing would have been killing does kill did kill
is
killed
killed
was
+ +
-f-
_____
D
E
+ + + + +
+ +
has been killed had been killed will be killed would be killed wih have been killed would have been killed is being killed was being killed
+ + +
4-
+ + + + +
+ +
+ +
with a definite
of this kind of information for any verbal exchange within a given speech
community and the considerable difference between the grammatical information conveyed by diverse languages were fully realized by Franz
Boas, thanks to his astonishing grasp of the manifold semantic patterns
The
aspects chosen
in different
To
and time are obligatory aspects, we find, in another language, location - near the speaker or somewhere else, source of information - whether seen, heard [i.e., known by hearsay], or inferred - as obligatory aspects. Instead of saying "The man killed the bull," I should have to say, "This man (or men) kill (indefinite tense) as seen by me
that bull (or bulls)" (Boas 1938, p. 133).
Those who might tend to draw inferences about culture from a range of grammatical concepts are immediately warned by Boas: aspects that
492
TOWARD
some languages and sparse in but "a paucity of obligatory aspects does not by any moans imply
obscurity of speech.
When
explanatory words."
To denote time
have no tense or grammatical number resort to lexical means. Thus the true difference between languages is not in what may or may not be
expressed but in what must or must not be conveyed by the speakers.
If a
'I
wrote a
no
is
expressed by the
verbal aspect, and the sex of the friend by the masculine gender. Since in
in
comwas
abrupt reply -
"it's
none of your
business.''
it,
Grammar,
imposes upon
yes-or-no decisions.
As Boas repeatedly
their
in a definite direction
and through
comand
belief,
language to adapt
itself to
lexicalized
in
over
means of which
distinction
much
categories in
grammar was
is
and
What
for a certain
number of
languages?
universal
grammar from the grammatical description of single languages and which, furthermore, enabled him to draw a demarcation line between the domain of morphology and syntax with their compulsory rules and
493
and
an American Indian language having no grammatical devices for number definiteness, the distinction between 'the thing', 'a thing', 'the things',
'things'
and
by
It
lexical
means.
clear to
was
language
is
is
incomplete and
is
what
the informa-
He would
meaning
seemed to Boas
itself
His work with native informants, in particular with his long-term guest
crossed with the native pattern. In conversation Boas loved to depict the
skyscrapers ("we build houses next to one another, and you stack them
on top of each
back
other"),
fish
in the lake"), or
would stand for spellTimes Square freak shows, with their giants and dwarfs, bearded ladies and fox-tailed girls, or in the Automats, where
senseless.
and
On
bound hours
in the
felt
transported
Kwakiutl
fairy-tales.
but
first
interpretation
of
precisely
what
linguists
discriminations and identifications, just as, on the other hand, linguistic discriminations are always
The
-
now
494
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
soon as there
code, and
is
crha
how
Such
metalinguistic
interpretations
of a message through
paraphrases or
synonyms, or through actual translation into another langu into a different set of signs, play a tremendous role in any process
o\~
language learning, whether by infants or by adults. These equational propositions occupy an important place in the whole corpus of utterances.
and, along with
all
said,
is
and
in
"A
is
B", that
"B
is
not
V'.').
Thus
intangibles'.
The
elicitation
native speakers
more
reliable
to
and punctilious
style,
argumentum a
in
The
may
serve
as
interesting
illustrations
we
extract
and both
terms are characterized - the 'ideas' as 'colorless green' and the 'sleep' as
'furious'.
do things
green ideas, sleepy ideas, or a furious sleep exist or not? 'Colorless green'
synonymous expression for 'pallid green' with a slight epigrammatic of an apparent oxymoron. The metaphoric epithet in 'green ideas' is reminiscent of Andrew Marvell's famous 'green thought in a green shade' and of the Russian idiom 'green boredom' (zelenaja skuka) or of
is
effect
tot e
as krasnyj, belyj,
'to
means
be in a state
hatred never
numbness',
e.g., 'his
boas' view of
slept';
grammatical meaning
fall into sleep?
495
And,
finally,
why cannot the attribute 'furious' emphatically render a frenzy of sleep? Dell Hymes actually found an application for this sentence in a senseful poem written in 1957 and entitled "Colorless Green Ideas Sleep
Furiously".
But even if we pedantically censor any image-bearing expression and deny the existence of green ideas, also then, as in the case of 'quadrature
of the
circle'
entities
furthermore,
no reason
In a comprehensive dictionary of
Russian the adjective signifying "pregnant" was labeled femininum tantum because - beremennyj muina nemyslm 'a pregnant male is
inconceivable'. This Russian sentence, however, uses the masculine
form
in
Mne
'I
nravitsja
like
beremennyj
pregnant
muina,
prislonivijsja
pamjatniku Pukina
the
man
momumen. The
masculine occurs,
moreover, in a figurative use of the same adjective. Similarly, a French girl in a primary school claimed that in her mother tongue not only nouns
but also verbs have gender,
e.g.,
is
feminine, since
"hens hatch but roosters don't". Nor for grading levels of grammaticalness can we use ontological argument to exclude the pretended "inverse
non-sentences" like 'golf plays John' (Chomsky 1957, p. 42). Cf. such
perspicuous utterances as 'John does not play golf; golf plays John'. Actual agrammaticalness deprives an utterance of its semantic information.
The more
message, and phrasal intonation alone holds together such mots en libert
as "silent not night
by
silently
unday"
(e.e.
seems to
move toward
"Do you
really mean it?" Thoroughly degrammaticalized utterances are nonsensical indeed. The constraining power of the grammatical pattern,
recognized by Boas and opposed by him to our relative freedom in word selection, becomes particularly manifest through a semantic inquiry into
the field of nonsense.
496
TOWARD
Written in the Center for Advanced Study in the Behavioral Sciences (Stanford, California), 1959, for The Anthropology of Franz Boas: Essays on the Centennial of His Birth, ed. American Anthropological Association, Memoir LXXX.
REFERENCES
Boas, Franz, "Language". In General anthropology (Boston, 1938). Chao, Y. R., "How Chinese logic operates", Anthropological Linguistics I: 1-8, 1959. Chomsky, N., Syntactic Structures (The Hague, Mouton and Co., 1957). Jespersen, O., The philosophy of modern grammar (London, New York, 1924). A modern English grammar on historic principles (Reprinted) (London-Copen,
5 (Cambridge, Harvard Uni\ersit> Language (New York, Harcouri. Brace and Co., 1921).
Press, 1934).
ausnehmende Universalitt des Rundblickes mit einer gleich ausnehmenden schpferischen Persnlichkeit verband. Das bekannte Wort, da den groen Mann vor allem das klare Bewutsein kennzeichne, was noch nicht getan sei und was getan werden msse, ist
verloren, der eine
die nchsten
Aufgaben
umreien und zu
verteilen,
Unternehmungen zu einem
"Die Wissenschaft", klagte schlecht organisiert, ja eigentlich berhaupt nicht organisiert ***
gestalten.
ist
organisiert."
von nationalistischen Vorurteilen wre, und verfocht unerschweren Krankheit, die ihn
Stich, bis ihn der
niederwarf,
just in
und
lie seinen
Kampfposten nicht im
Tod
Welt
in Meillets Bio-
Grundfragen der slavischen Grammatik wie den Fallsynkretismus und die Kategorie der belebten Wesen breit aufrollten, und abschlieend mit der jngsten Umarbeitung des Grundrisses Le
slave (1897), die derartige
slave
lehre
commun, der die Fragen der slavischen Lautgeschichte und Formmit den Daten der modernen Indogermanistik folgerichtig verband
498
TOWARD
ein scharfes
und
wicklung
richtete.
Forschung der slavischen Sprachen: die fruchtbaren Studien ber die Lauterscheinungen des slavischen Wortanfangs und ber slavische Betonungsverschiebungen, die
sind, die kritischen
in slavistischen Zeitschriften
gedruckt worden
Revision der Frage der baltisch-slavischen Sprachdialectes indo-europens, die ebenso wie seine Revi-
einheit
im Buche Les
sion der Frage der slavischen Einheit eine lebhafte Diskussion hervorrief,
die reichhaltige zweibndige Sammelschrill Etudes sur
V etymologie
et le
interessanten
laut-
und etymologischen Notizen sowie wertvollen Unterder slavischen bersetzung des Evangeliums
Fhigkeit, die Meillet beim Forscher so hoch schtzte und die er selbst
im hchsten Mae besa die Fhigkeit, "selbst bei den kleinsten Untersuchungen niemals die Bedeutung zu bersehen, die sie fr die allgemeine
Sprachwissenschaft haben knne", die glckliche "Verbindung des Sinnes
fr allgemeine Ideen mit
dem Sprsinn
geschrieben wurde
dem
Einzelnen
dem
den Sondererschei-
nungen das gesamte System, beispielsweise hinter den einzelnen Bedeutungen (sens particuliers) des Aspektes seinen generellen Wert, sein
notwendig einheitliches Wesen zu sehen. In seiner feinfhligen Besprechung des Buches von Mazon ber die russischen Verbalaspekte uert
Meillet das Bedauern,
eines jeden
vom Grammatiker
zu beachtende
einheitlich". In
Werke hebt
Meillet
mehrmals
als
Grundfehler die Tatsache hervor, da die Arbeit "zu sehr aus Einzelheiten
bestehe, die getrennt betrachtet werden",
langue",
mahnt
er
und da "die Ganzheiten uncompte de la structure de immerzu im Kampfe um die immanente Sprach"Il faut tenir
um
die
worin der Philologe den Linguisten erdrckt; er warnt vor einer Unterschiebung der Psycho-
499
er
Sprache, zugleich aber spricht er sich entschieden gegen die Versuche aus,
den anderen Sozialwissenschaften zu unterordnen, und eben diese streng linguistische Auffassung
1911!) die prinzipielle Frage
als
der sprachlichen Gegebenheit versetzt ihn in die Lage, lange vor der
J.
vom
Hauptgegen-
da
er als Forscher
als Kritiker
des
modernen abend-
widmet
er anderseits
epochemachenden Werken zu vergleichenden Grammatik der indogermanischen Sprachen viel mehr Raum, als beispielsweise Brugmann. Er
bringt jedoch in den europischen wissenschaftlichen
Umlauf
nicht nur
Baudouin de Cour-
der
Mode
er
nung von dessen Schlern und Fortsetzern ebenso anerkennend spricht von der Schule der groen Forscher Fortunatov und axmatov, er
junggrammatischen Gedanist
kens, er
ihrer Hypothesen,
ohne welche
es
Moscou
a t la premire
le voir et
procder ainsi
auf dem Gebiete der Syntax sind seines Erachtens unbertrefflich. Dieser
vorgehalten werden.
Meillet selbst hat zugestanden,
da
sein
Sprachwissenschaft
sei,
die Reduzierung der Linguistik auf die Sprachgeschichte, weil die historische Tatsache blo eine Voraussetzung der sprachlichen Synchronie
500
ist.
TOWARD A NOMOTHETIC
Doch
SCIENCE OF LANGUAGE
als eine Ebene geschildert werden: es ist zwar richtig, da das Gewordene vom synchronischen Standpunkt dem Seienden gleich ist, doch ist auch unter diesem Gesichtspunkt das Werden vom Sein zu unterscheiden. Wie tief der Forscher auch in die Probleme der sprachlichen Synchronie eingedrungen ist, davon zeugen die Handbcher der polnischen und der serbokrotatischen Grammatik, die er gemeinsam mit Willman-Grabowska und Vaillant verfate, namentlich die Einteilung
fachend
sind nicht
das sind die Triebkrfte der ganzen Arbeit des dahingegangenen Denkers,
Aufbauttigkeit, die
anarchistisch
ist
immer noch ungengend organisiert und zu sehr - "trop peu comparable d'un domaine a l'autre" - zu
in die
Beim ersten Internationalen Linguistenkongress sagte Meillet auf Trubetzkoy hinweisend: "Er ist der strkste Kopf der modernen Linguistik". "Ein starker Kopf", besttigte jemand. - "Der strkste", widerholte
nachdrcklich der scharfsichtige Sprachforscher.
In der Geschichte des hohen russischen Adels haben recht wenige
hinterlassen.
war ein hervorragender, tiefdenkender Philosoph. Der Gedanke des Logos in seinem historischen Werden und Wandeln ist sein Grundthema. Einem aufmerksamen Beobachter wird der intime Zusammenhang zwischen dieser Lehre und der Frage des Sohnes nach dem inneren Sinne der Sprachumgliederung kaum entgehen. Der Bruder des Philosophen und ebenfalls Philosoph, Evgenij Trubetzkoy, schildert kunstvoll in seinen Erinnerungen (Iz prologo, Wien, s. a.) das Gemeinsame und
Universitt,
man
in diesen
Temperaments- und Willenskraft hinein, die keine Hinderund deshalb unbedingt das Ziel erreicht". Aber der Inhalt des dominierenden Gedankens wechselt mit jeder Generation. Der Urgrossvater von Nikolaj Trubetzkoy war von selbstgengsamen architektonischen Linien beherrscht, sein Alltag wurde ihrem strengen Stil unterworfen, "und deswegen gab es im Leben keinen grsseren Systematiker". Im Sein des Grossvaters "verinnerlichte sich die Baukunst und verwandelte
Gedanken
eine
nisse kennt
es
kam
Musik
Und
schliesslich,
Logos durch
die verkrperte,
Und
wenn auch
502
TOWARD
Geist durchdrungen
ist
und so
man kaum in der gegenwrtigen vom wahren philosophischen ergiebig die Philosophie frdert. Mit dem
Kraft der Tradition; ja es lebt in seinem Lebenswerke nich nur die Logos-
problematik seines Vaters, sondern auch der ererbte Musikeeist, der ihn
zur Kunstsprache,
zum
zum
Singvers lockt
und
seine feinen
dem
Hymne
Still
und besonders
in
der durchsichtigen,
harmonischen Komposition,
rungskunst,
offenbart.
und leidenschaftlichen Systematiker als Grundsatz seines Schaffens genauer beschreiben, als es Trubetzkoy selbst gemacht hat. problme russkogo samopoznunija (1927) mahnt er jeden In seinem Buch Volksgenossen zur persnlichen und nationalen Selbsterkenntnis und
die
einen
genialen
Man
insbesondere
und Durchsichtigkeit
verleihen.
Er grbelt
wahrnehmbaren Gebilden, die er in klare und schlichte Schemata gruppiert. *** Diese Schemata sind kein Ergebnis einer philosophischen Abstraktion .*** Sein Denken und seine ganze
befasst sich lieber mit deutlich
aber ein Fehler zu denken, der Schematismus dieser Mentalitt lhme den breiten Schwung und Ungestm der Phantasie. *** Seine Phantasie ist
weder
drftig,
noch feig,
ist
sie hat
die Einbildungskraft
nicht
503
Auftrmen von Einzelheiten gerichtet, sondern sozusagen auf die Entwicklung in Breite und Lnge; das derartig aufgerollte Bild wimmelt nicht von
mannigfaltigen Farben und Ubergangstnen, sondern
ist in
Grundtnen,
Er
liebt
die
stabile Gleichgewicht.
Trubetzkoy sah
zeichnend
ist.
in allem
Wahrgenommenen das Systemartige aufzudecken (so hat er, schon todkrank, wenige Wochen vor dem Ende, auf den ersten Blick die Phonemenreihen des Dunganischen
treffend erraten,
Auch
sein
ihrerseits
mechanische Katalogisierung. Das der einzuteilenden Zusammenhangs Gefhl eines inneren, organischen Elemente verliess ihn nie, und das System blieb nie, von der brigen Gegebenheit gewaltsam entrissen, in der Luft hngen.
Im
Gegenteil erschien
ihm
die gesamte Wirklichkeit als ein System der Systeme, eine grossartige
von vielfachen bereinstimmungen, deren Bau seine Gedanken bis zu den letzten Lebenstagen fesselte. Er war fr eine ganzheitliche Weltauffassung innerlich vorausbestimmt, und einzig im
hierarchische Einheit
Rahmen
und
fr
"Meine wissenschaftlichen Interessen erwachten sehr frh, noch im Alter von 13 Jahren, wobei ich ursprnglich hauptschlich Volks- bzw. Vlkerkunde studierte. Ausser der russischen Volksdichtung interessierte ich mich besonders fr die finnougrischen Vlker Russlands. Seit dem Jahre 1904 besuchte ich regelmssig alle Sitzungen der Moskauer
erzhlt Trubetzkoy:
Ethnographischen Gesellschaft, mit derem Prsidenten Prof. V. F. Miller (dem bekannten Forscher auf dem Gebiete des russischen Volksepos und
der ossetischen Sprache) ich in persnliche Beziehungen trat." Es war eine Bltezeit der russischen Volkskunde und Folkloristik, von der
geleitet.
und
504
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
und eigenartigen
ihr reicher histo-
Formen,
und
rischer und mythologischer Gehalt boten den Forschern eine unerschpfleche Quelle. Dieser Problematik widmete sich begeistert der heranwachsende Trubetzkoy; der Mittelschulbesuch blieb ihm erspart, er
studierte zu Hause,
lichen Erstlingsversuche
Er verffentlichte Obozrenie" ab Jahr 1905 eine Reihe bemerkenswerter Studien ber die
Volksliede, ber eine nordwestsibirische heidnische Gttin in den alten
gewann dadurch viel freie Zeit fr seine wissenschaftund war mit fnfzehn Jahren ein reifer Forscher. im Organ der erwhnten Gesellschaft "Etnografieskoe
und im Volksglauben der heutigen Vogulen, Ostjaken und Votjaken, ber die nordkaukasischen Steingeburtssagen usw. Auch
ist
das Sprachstudium
historischen Ethnologie
weise seine Bemerkungen ber die Spuren des Heidentums im polabischen Wortschatz (ZfslPh I, 153 ff.) oder ber die Iranismen der nordkaukasischen Sprachen
(MSL
er,
letzten
Lebensjahr plante
berzeugung nach
bestreiten,
Namen
dieses wertvollen
Denkmals Compositum
mit der Bedeutung "gib Reichtum" aus und gleichfalls die parallele
Bildung St[b]ribogb).
Zum
Ethnographen und
und palosibirischen Sprachen zu befassen und gewann dabei allmhlich ein unmittelbares Interesse fr die vergleichende und allgemeine Sprachwissenschaft. Er stellte auf Grund der alten Reiseberichte ein Wortverzeichnis nebst
Matura "eine Reihe von auffallenden Entsprechungen zwischen dem Kamtschadalischen, Tschuktschisch-Korjakischen einerseits und dem
Samojedischen andererseits, nmlich auf dem Gebiete des Wortschatzes".
Seine Arbeit brachte ihn in einen lebhaften wissenschaftlichen Brief-
wechsel mit den drei Pionieren der ostsibirischen Volks- und Sprach-
als
505
um
einen Schulknaben!
trat
Trubetzkoy
Moskauer Universitt ein. Ursprnglich hatte er die Vlkerkunde im Auge, da sie aber im Lehrprogramm dieser Fakultt fehlte, whlte er, um "haupschlich Vlkerpsychologie, Geschichtsphilosophie
und
die methodolo-
gischen Probleme zu studieren", die philosophisch-psychologische Abteilung; als er aber sah, dass er sich hier nicht einlebe,
linguistische Interessenkreis
ter,
immer
fester halte,
die in
ihm
die grosse
in
Doch
blieb
ihm
fr das ganze
Leben eine gediegene philosophische Schulung und Einschlag, den besonders die suggestive Wirkung
ein hegelianischer
seines
geistvollen
Auch
die
den
-entwicklung und
Rcksicht auf die russischen Verhltnisse, wurde teilweise in der spannenden, auch ins Deutsche
und
die
Menschheit {Evropa
teils in
Zum
Problem der
ist.
(sei es
biolo-
und
und Bahnbrechendes und wurden besonders durch die reiche und durch seine enge, beinahe zwanzigjhrige Mitarbeit mit dem hervorragenden Geographen und Kulturhistoriker P. N. Savickij vertieft und zugespitzt. Die Lehre der beiden Denker ber die Eigenart der russischen (eurasischen) geographischen und historischen Welt gegenber Europa und Asien wurde zur
sprachwissenschaftliche Erfahrung des Verfassers
Grundlage der sogen, eurasischen ideologischen Strmung. Trubetzkoy absolvierte Anfang 1913 das Programm der sprachwissenschaftlichen Abteilung. Die Fakultt billigte seine Arbeit ber die Bezeich-
in
506
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
>
In deren Nachklang ("Gedanken ber den lateinischen a-Konjunkti\' der Festschrift Kretschmer zu finden ist, und nahm seine Angliederung an
"Der Umfang",
in
schreibt Trubetzkoy,
"und
die
manischen Sprachen.
Wenn
ich
ich schon
ein-
sei,
liche
Methode
besitzt,
und dass
alle
wenn
tik
ist
sie sich in
Methode
lernen kann. Ich ergab mich also mit grossem Fleisse den durch das
Programm
sprachwissenschaftlichen
Abteilung
vorgeschriebenen
dem Gebiete
der kaukasischen Sprachwissenschaft und der Folkloristik fort. Im Jahre 1911 forderte mich Prof. V. Miller auf, einen Teil der Sommerferien auf
seinem Gute an der kaukasischen Kste des Schwarzen Meeres zu verbringen und in den benachbarten tcherkessischen Drfern die tscherkes-
und Volksdichtung zu erforschen. Ich leistete Aufforderung Folge und setzte auch im Sommer 1912 meine
sische Sprache
dieser
tscher-
meiner Arbeit
vom
mir
viele wertvolle
Form
Ende
507
und
N.
epkin und
M. M.
unmittelbare Schler Fortunatov's die die Lehre und die hohe linguistische Technik des grossen Denkers
was fr
Schler
sie ein
unabnderliches
Dogma
zum Ausgangspunkt
er behlt
im wesentlichen
und
und
steigert die
nium
sich
Schritt fr Schritt
zu
befreien.
Schon
als
Im Frjahr
1913 hielt er
am
gische Relikte
sischen Verbums,
im Nordkaukasus und einen ber den Bau des ostkaukaund er arbeitete eifrig an der vergleichenden Grammatik
ost-
begrnden
sollte,
whrend
dem
Sprachgelehrten wieder-
auch im Ausland auf diesem verwickelten Gebiet unermdlich weiter, verffentlichte in den Fachzeit-
Trotzdem
arbeitete er
dem Druck
des
508
TOWARD A NOMOTHETIC
er
SCIENCE OF LANGUAGE
(s.
So kam
zum Problem
der "Sprachbunde"
Evrazijsk.
Vrememik
III, 1923, 107 if. und die Akten des I., IL und dessen Tragweite ihm immer deutlicher wurde (vgl. Sbornk Matice slovenskej XV, 1937, 39 ff. und Proceedings des III. Kongresses fr
III.
Linguistenkongresses),
Von
in
den
Gesichtskreis der
Moskauer Schule
stets
gemss der Tradition nach Leipzig geschickt, wo er im Wintersemester 1913-1914 die Vorlesungen von Brugmann, Leskien, Windisch und Lindner besuchte, das Altindische und Avestische intensiv studierte und mit
den rhythmisch-melodischen Studien Sievers' sich kritisch auseinandersetzte. Von Leskien behielt er den Eindruck einer gewaltigen Persnlichkeit,
der das Geleise der junggrammatischen Doktrin allzueng wurde; berhaupt kehrte der junge Gelehrte mit der Vorstellung einer gewissen
der deutschen
Linguistik
hemmenden Mdigkeit
zurck,
stellte
ihr
entschlossen die Antriebskraft der neuen franzsischen Sprachwissenschaft gegenber, bewunderte auch die Frische der
Gedanken
in
den
Princi-
J.
abweichenden Strmungen befestigten seinen Kritizismus und spornten sein Suchen an. Diese beiden Elemente waren fr ihn naturgemss
verbunden, und er betonte stndig, der Kritizismus msse konstruktiv sein, sonst entarte er unvermeidlich in eine selbstgengende anarchische
Zerstrungsarbeit, die der Forscher direkt hasste. Die beiden ffentlichen
forschung und Das Problem der Realitt der Ursprache und die modernen Rekonstruktionsmethoden - wurden zu programmatischen Erklrungen
eines schpferischen Revisionismus,
und
auf diesem
Wege Hessen nicht auf sich warten. Im akademischen Jahre 1915-1916 hielt Trubetzkoy
als
neu approbier-
an der Moskauer
von
allen indogermanischen
am
Den
axmatov Abriss der ltesten Periode in der Geschichte der russischen Sprache (1915). Der persnlichste Schler Fortunatov's mit einer breiten
509
zum
ersten
Mal
die
Summe
seiner eigenen
seinem
Umbau
Aber gerade
bei
dieser
synthetischen
die
ungengend
Saxmatov's zu Tage.
Es brach eine Zeit der Grung und der Umwertung im Nachwuchs der
Moskauer Schule
in der
man
wetteiferte
Doch das
wesentlich
Neue am
lebhaft
vllig
anerkannten
Konzeption,
Vortrage
ber
axmatovsche sprachgeschichtliche
sie zeigte,
dass
manche grundstzliche Fehler Saxmatov's schon im Verfahren Fortunatov's wurzeln, nmlich in seinen Entgleisungen von den eigenen Grundprinzipien. Trubetzkoy suchte diese Widersprche zu beseitigen und die Grundstze der Schule methodologisch genau und folgerichtig, ja genauer
als
ihr
Urheber
selbst,
anzuwenden. "Ich
fasste",
sagt Trubetzkoy,
Sprachen
methode den Vorgang der Entwicklung der slavischen Einzelsprachen aus dem Urslavischen und des Urslavischen aus dem Indogermanischen
zu schildern beabsichtigte."
Als Trubetzkoy nach den strmischen Erlebnissen der Revolutionszeit
nach abenteuerlichem und lebensgefhrlichem Wandern durch den Kaukasus des Brgerkrieges zerlumpt und verhungert beim Rektor der
Rostover Universitt, trotz
dem
im wesentlichen die Lautgeschichte und skizziert die Formenlehre, doch Ende 1919 muss er wieder jhlings die Flucht ergreifen, und seine ganze Arbeit geht wiederum im Manuskript verloren. Er steht in Konstantinopel
vor der tragisch-grotesken Wahl, Schuhputzer zu werden oder weiter
heldisch
und von
seiner heldischen
Frau
Rnken
510
setzen,
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
er,
besonders dank
dem
klar-
sehenden Gutachten
Universitt Wien.
an der
Mit der Beharrlichkeit eines Glaubeneiferers sucht Trubetzko) seine eingebsste Vorgeschichte wiederherzustellen, ja er baut sie um und erweitert sie.
es
ist
ebenso verfehlt
Vorgnge auf eine Zeitebene zusammenzuwerfen, wie Csars und Napoleons als synchronisch auffassen zu Eroberungen die wollen; das Urslavische hat eine lange und verwickelte Geschichte, und
die urslavischen
mittels einer relativchronologischen
Analyse
ist
wissenschaft imstande, sie aufzudecken und aufzuzeichnen; die gleichzeitigen sowie die nacheinanderfolgenden Ereignisse
mssen
in
ihrem
inneren
ihre berreste
in
der b-
die
Anfnge
seiner Differenzie-
Tempo und
in
der
als
"Subjekt der
Evolution"
wenn auch ausgezeichnet zusammenfassende Bruchstcke des lautgeschichtlichen Teils der Vorgeschichte, und doch darf man sagen,
bloss einzelne,
es gebe
kaum
Dialekten oder die Gedanken Bremers und Hermanns ber die relative
tief
und organisch
bis
Werk
Weshabl wurde dieses Buch nie vollendet? Kaum war da wenn auch mehrere zufllige Hindernisse im Wege standen.
51
Am Anfang der Arbeit war fr Trubetzkoy (hnlich wie fr Fortunatov und Leskien) die indogermanische Erbschaft im Urslavischen das bemerkenswerteste, und Spuren der versunkenen morphologischen Kategorien
und Kunst (vgl. Slavia I, und ZfslPh IV, 62 ff.). Doch musste er in Wien die einzelnen slavischen Sprachen und Literaturen vortragen, und seine Lehrpflichten nahm er, der geborene und vollkommene Lehrer, bis zu einer asketischen Opferwilligkeit ernst (vgl. den Nachruf seines besten linguistischen Schlers A. V. Isaenko in der Slav. Rundsch. X). Er stellte sich zur Aufgabe,
hier zu suchen blieb stets seine grosse Vorliebe
12
ff.
zuprfen.
So bekam
in
seinen
und Korrekturen
forderte.
treuer als Fortunatov selbst, betont er bei seiner bahnbrechenden Darstellung der russischen Lautgeschichte {ZfslPh
tische
287
ff.),
Methode
spiele hier
philologische",
und
den rechtglubigen
Kom-
sion wiederherzustellen.
ist
im Drucke
sprachhistorischen
Nur Weniges von diesen durchdachten Studien und erst wenn seine Aufzeichnungen zu den Vorlesungen herausgegeben werden, und wenn es
zu verffentlichen,
wird die Tiefe,
her-
Lieblingsgattung!)
und
noch anschaulicher
vortreten.
Einerseits erweiterte sich das
Programm
wurde
und
Doch waren
Sprache,
in
der
heimatlichen
wissenschaftlichen
Tradition
geistvoll gepflegt
und
von den russischen Wortknstlern unseres Jahrhunderts praktisch und theoretisch zugespitzt, mndeten um die Revolutionsjahre in der
Fassung der jungen Sprach- und Literaturforscher Russlands in ein
harmonisches System der streng linguistisch (bzw. semiotisch) fundierten
512
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
doch fr die Dichtung als solche massgebenden, rein Linguistischen Aspekt und legte vor allem die Grundsteine zur Untersuchung der altrussischen Wortkunst, - eine Tat, die nicht nur eine unbekannte Welt
und erhabener Kunstwerte wissenschaftlich entdeckt, sondern zugleich die methodologisch wichtige Frage der Weithierarchien im
eigenartiger
Bedeutung
ist
und
in
cyrilli-
prophetisch erwies
(s.
problme
waren die Gebiete der Wortkunst und der Sprachkultur besonders dadurch wichtig, dass sie ihn unmittelbar vor die Fragen des synchronischen
Systems und der Zielstrebigkeit
Je
stellten.
mehr
desto
klarer sah er ein, dass "die Lautentwicklung wie jede andere historische
besitzt, die
doch
letzten
Endes
trat
in die
wie ehemals auch Fortunatov und seine Schler, khl und passiv. Die
Lehren Saussure's, Baudouin de Courtenay's und Scerba's lagen ausserhalb seiner Problematik, da
sie "sich
abwandten". Er
billigte
zwar (Slavia
II,
BSL XXVI,
3,
1925,
277 ff.) meinen Versuch einer phonologischen Prosodie, gleich wie die
Untersuchung N. F. Jakovlev's ber den kabardinischen Phonembestand, aber einzig die Frage der panchronischen prosodischen Gesetze lsst
eine Spur in seiner eigenen Arbeit. Erst als das phonologische
Problem
es nicht
auf das Gebiet der Sprachgeschichte bergeht und ihn Ende 1926 ein
aufgeregter langer Brief erreicht, der die Frage aufwarf,
ob
513
dem
nach seinem eigenen Ausdruck, aus dem Konzept. Er gesteht bald zu, es gebe hier keinen Mittelweg. Und als Trubetzkoy meine Thesen fr den
gesetze, historische Phonologie) zugesandt
gern auch seine Unterschrift hinzu, bezweifle aber, dass die Fragestellung
und Diachronie losbricht; das wirkte freudig ermunternd, und wenige Monate spter schrieb Trubetzkoy, er habe in den Sommerferien unter anderm ber Vokalsysteme nachgedacht, zirka vierzig aus dem Gedchtnis untersucht und manches Unerwartete habe sich dabei herausgestellt. Es war in nuce die Untersuchung "Zur allgemeinen Theorie der phonologischen Vokalsysteme"
(TCLP I,
1929, 39 ff.).
baute
und
stellte ihre Typologie fest. Karl Bhler sagt mit Recht, Trubetzkoy habe "fur die Vokalphoneme einen Systemgedanken vorgelegt, der an Trag-
weite
seines
Im
dem Trubetzkoy
wurde dann an der neuen Disziplin gearbeitet. Er pflegte unsere Zusammenarbeit mit einem Staffellauf zu vergleichen. Bald erhielt dieser Aufbau eine noch breitere Grundlage - die gemein-
nen Entwicklungsstufen des Cercle, - schreibt Trubetzkoy, - die ich mit ihm gemeinsam erlebte, tauchen in meinem Gedchtnis auf - erst die
bescheidenen Versammlungen beim Vorsitzenden (V. Mathesius), dann
die heroische Zeit der Vorbereitungen die unvergesslichen
zum
ersten Slavistenkongress,
andere schne Tage, die ich in der Gesellschaft meiner Prager Freunde erlebt habe. Alle diese Erinnerungen sind in meinem Bewusstsein mit
514
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
einem seltsamen erregenden Gefhl verbunden, denn bei jeder Berhrung mit dem Prager Cercle erlebte ich einen neuen Aufschwung der schpferischen Freude, die bei meiner einsamen Arbeit fern von Prag
immer
ist
ist
zum
geistigen Schaffen
und
in
gemeinsamen methodologischen Richtung gehen und von gleichen theoretischen Gedanken bewegt sind." Hier mchten wir aber vor allem
den massgebenden persnlichen Beitrag Trubetzkoys
in
knappen Worten
zum Gedchtnis
bringen.
mit
Martinet
den
damit eng
VI);
zusammenhngenden
Analyse
aller
Begriff der
Oppositionsaufhebung
(TCLP
konsonantischen Korrelationen
{TCLP
machte
den
ersten,
tastenden
Technik
der
phonologischen
Sprachbeschreibungen
(TCLP
V, 2) und die
Wiss.
CCXI, Abh.
4)
und das
Altkirchenslavische.
Zur
ist
Handbuch. 1 Es
Monographien
tote
Sprachen behandeln,
deren Phonembestand erst durch eine sorgfltige Analyse des Schriftsystems in seinem Verhltnis
wird,
festgestellt
und auch
in
Schriftnorm und der Lautnorm lockte stets die Aufmerksamkeit der Moskauer Schule; die polabische Spielart dieses Problems fesselte schon Porzeziski sowie epkin, und Trubetzkoy beabsichtigte, seine Polabischen Studien dem Andenken des ersten zu widmen; der altkirchen[Trubetzkoys Altkirchenslavische Grammatik erschien in den Sitzb. Ak. Wiss. Wien, KL, CCXXVin, Abh. 4 (1954).] Die Bibliographie der gesamten verffentlichten Schriften Trubetzkoy's ist in TCLP VIII gedruckt.
1
phil.-hist.
515
und Orthographie
Beobachtungen
zum Ausgangspunkt
eine
glaubt,
seiner phonologischen Forschung, und autonome Graphemenlehre nach dem Vorbild der
Phonemenlehre entstehen zu sehen (Slovo a Slovesnost I, 133). Die Phonologie der beiden toten Sprachen ist zwar bei Trubetzkoy
streng synchronisch gefasst,
doch
ist
welche die
erste
133
und wie
81
ff.).
Acta Ling.
I,
In seinem
Handbuch
des Altkirchen-
Erfahrung der
dem
fr fertig).
kommt
fr
ff.
eine
Betrachtung
des
Wortschatzes
(vgl.
als
eines
gesetzmssigen
TCLP
er,
I,
26
f.).
Doch
und
er ahnte es.
Unermdlich schrieb
mit
dem Tode im
Herze, an
(TCLP VII),
buch, das er als den Etappeabschluss betrachtete und als eine frdernde
Grundlage zu den sich immer mehrenden phonologischen Sprachbeschreibungen sowie zu einer weiteren sachlichen, fruchtbaren theoretischen
Diskussion.
516
TOWARD A NOMOTHETIC
ist
SCIENCE OF LANGUAGE
"Die Lebensfrist
was noch mglich, aus der geistigen Ernte es nicht zu spt sei." - "Dieses Vorgefhl nur dass einzuheimsen, fgt sein Bruder hinzu, - das Herz hielt nicht aus tuschte leider nicht, *** und er verschied in der vollen Blte seiner Krfte *** Vor Entrstung
man muss
und Schmerz
um
Das
dem
gehrte, scheute
werte.
Geschrieben in Char lottenl und (Dnemark), Juni 1939, und verffentlicht in Acta
Linguist ica,
I
(1939).
SERGEJ KARCEVSKIJ
August
28, 1884
- November
7,
1955
The
was founded
in 1926,
years later,
preparation of the
both
make
theory.
prolast
moters of the Circle, teemed with new ideas but failed to meet the
deadline for the presentation of his paper, and
I
see him frenziedly The succinct product of this swift endeavor was perhaps one of the most illuminating of his theoretic studies. Far from being sketchy, it was a ripe fragment of that fundamental book of synthesis, fostered in his mind but never achieved. In point of fact, each of Karcevskij 's publications was conceived by him only as a kind of preview of this ultimate performance - the Book in
can
still
little
Prague
caf.
last
days of his
life.
had been
in
fully
or,
weened
in his
mind, and
Russian
knew that
"Du
dualisme asymtrique
du
between two poles, definable as the general and the particular, the abstract and the concrete, the social and the individual, the stable and the mobile.
To him,
homonymy and
it is
in
de
la
langue".
518
TOWARD A NOMOTHETIC
is
SCIENCE OF LANGUAGE
no doubt as to who initiated the author into the puzzles of linguistic antinomies. Born in the Siberian city of Tobolsk, the young Sergej Karcevskij emigrated in 1907 to Geneva, where he studied linguistics under Ferdinand de Saussure, Charles Bally, and Albert Sechehaye. He was torn by two rival talents, creative writing and scholarship, and his
There
first
stories printed in
elicited the
approbation of
school,
Maxim Gorkij. The fascination of Saussure and his however, won him over completely to linguistics, but throughout
approach to language, and the
the
style in
it,
He was
first
who
in
Cours
porary Russian.
Saussure's lectures, Bally's and Sechehaye's training, the subsequent
discussions in the
Moscow
Dialectological
Commission of
the Russian
Academy of
young
when teaching
in
Russian linguists -
all this
influenced the
when he
University of Geneva.
He
as privat-docent
and
finally as professor.
after
his
Geneva
studies, the
fundamentals of
his life
He
sought an ever more precise and explicit presentation of the "ides gnrales sur le langage, tel qu'il est
first
and
greatest teacher, he
at the
keywork on general linguistics was never written - neither by master nor by disciple. Karcevskij left,
stage attained, so that a life-long meditated
this
summa
linguistica:
a few articles
aimed
Two books
1927)
verbe
russe
(Prague,
(Moscow,
1
1928), characterized
intro-
Cf. his polemic article "O formarno-grammatieskom napravlenii", Russkaja kola za Rubeom, Nr. 12 (1925).
SERGEJ KARCEVSKIJ
519
linguistics,
Karcevskij
:
is
only
with investigations
book reviews deal almost uniquely of modern Russian. "In my work I am a man of one
and even
is
Any scission
between the
linguistic explorer
The negative
and thoroughness of
analysis.
earlier research
of this school
descriptive
and modern
linguistics
illuminating discovery.
amplest to
its
and
and
within the dialogue, surpasses the limits of Russian philology and has
influenced the theory and concrete study of intonation in international
science. 3
inquiry into the structure of the dialogue as the primary form of discourse.
None of
classi-
fication of elementary
it is
this
work on the system of the Russian verb that gave such an impetus to investigations of verbal derivation. 5 His remarks on Russian nominal
2 3
3.
See particularly his papers "Sur la phonologie de la phrase", and "Phrase et proposition", Mlanges J. van Ginneken (1937).
* 5
TCLP, IV
(1931),
BSLP, XXVIII
(1928), p. 44.
V. Vinogradov, Izuenie russkogo literaturnogo jazyka za poslednee desjatiletie v SSSR (Moscow, Akademija Nauk SSSR, 1955), p. 19; see Karcevskij's Systme du
verbe russe (1927), and
"Remarques sur
en russe", Mlanges
520
TOWARD A NOMOTHETIC
no
less
SCIENCE OF LANGUAGE
Karcevskij actively
participated
derivation are
stimulating. 6
in the initiatory Prague discussions on the phonemic level of language and was particularly concerned with the relation between the phonemic
and graphic pattern. 7 The experienced teacher competed in Karcevskij with the inquisitive analyst, and several noteworthy Russian essays were devoted by him to pedagogical questions concerning his mother tongue
and language in general. The theory of linguistic antinomies was due to Saussure's doctrine; Karcevskij's thought, however, shows a significant shift in emphasis. Strikingly enough, in epigraphs to his studies he draws upon the synthesizing spirit of
German
classical tradition.
He
is
much
less
concerned
geistige
with opposites in
ohne
Anschauungen sind leer, Anschauungen ohne Begriffe sind blind". Nothing was more innate to Karcevskij's spirit than asymmetrical dualism, the unceasing dramatic conflict of opposites. It is exactly like him
to say:
"Or
leur croisement, et
non
les
coordonnes elles-mmes."
static linguistics as
preached by
his teacher,
he
upon
of language, namely
Of
all
The
intersection of
morphology and
common
semantic
two
link
rival aspects
and
One may repeat about Karcevskij what he himself stated when analyzing
the Russian perfective present:
"Pour
lui, le
e
7
"De
la structure
sure,
du substantif russe", Charisteria G. Mathesio (1932). "Remarques sur la phonologie du russe", Cahiers Ferdinand de Sausand "Sur la rationalisation de l'orthographe russe", Believ zbornik
(1937).
8 Cf. particularly his study "Autour d'un problme de morphologie", Annales Academiae Scientiarwn Fennicae, XXVII (1932). 9
10
CFS,
(1941).
SERGEJ KARCEVSKIJ
facilement." 11
521
And
thus,
when
Bahama
Isis.,
XIV.
Mlanges Bally,
p. 248.
NGl
isi
When
to the
1928,
Hague
felt
committee,
all
of
them
isolated
Meantime both
in
the formal
among
the
and
at their
own
risk,
fighters for a
common
informal
A
of the
young,
organization
of
researchers
concerned
a
with
theoretical problems,
became
nucleus
new
trend. This
First International
Congress
in
it
with the
first
two volumes
in
international scholarly
pursuit.
become current
in
No
When we
look
we
find,
development
common
of various
EFFORTS
523
European countries
at that time.
1920's and '30's was its receptivity to the diverse cultural impulses from West and East. The Prague Linguistic Circle, founded by the far-sighted Czech scholar Vilm Mathesius in 1926, was modeled upon an earlier vanguard organization of young Russian inquirers, the Moscow Linguistic Circle, and upon the newly created Linguistic Society of America. The cooperation between scholars of different nations was the pivotal
of
its
consolidation,
among
were by
When
e.g.,
and L. Tesnire in France, A. Sommerfelt in Norway, V. Brondal and L. Hjelmslev in Denmark, J. Kurylowicz in Poland, A. Rosetti in Rumania, Z. Gombocz and Gy. Laziczius in Hungary, E. D. Polivanov and D. V. Bubrix in Russia, or, on the other hemisphere, E. Sapir and B. L. Whorf, it would be easy to find individual
features characterizing the contribution of each of these outstanding
innovators, but
we could hardly
Prague
as a
work of
all
these explorers
and
strictly distinguishes
older tradition
different doctrines
'30's.
which found
The
sally
title
common
drift as
aiming toward
a means-ends model of language. These efforts proceed from a univerrecognized view of language as a tool of communication.
tool, instrument, vehicle, etc.,
it
State-
can be found
inference
from
this
last century.
ities
as a daring innovation. The prolonged neglect of any inquiry into the means-ends relationship in language - a neglect which still survives in some academic biases - finds its historical explanation in the inveterate
fear of problems connected with goal-directedness.
Therefore questions
of genesis outweighed those of orientation, search for prerequisites supplanted the examination of aims.
524
TOWARD A NOMOTHETIC
acoustic effects
for the various
among
the
first
achievements
the
systematic build-up of the means-ends model of language. It would be mistaken, of course, to deny the precursory hints to these problems in the
earlier periods,
it
and an end-direeted
none
atti-
Sweet; but
o\
these
them were
still
of their century.
It
was
replace step
o\'
speech sounds by a
into dis-
and
continuum
The same
morphologic and syntactic inquiry and essentially changed and simour design of the grammatical system
is
plified
revealed
its
internal logic.
Since relativity, as
known,
is
became the fundamental device of linguistic analysis. The ever higher focusing upon the tasks fulfilled by sound elements revealed
an intimate connection between the differentiation
constituents and categories and the stratification
o\'
oi'
grammatical
the
sound pattern
The emphasis on
results
when the relation between the two aspects of the sign, its signans and signatum, was consistently revised from the means-ends angle, and the two Saussurian "basic principles" - the arbitrariness of the sign and
the linearity of the signans - proved to be illusory.
In the study of the
two basic
linguistic operations
of language in the
it is
work on
The
combinations
no
selection.
The problem
was
successfully attacked
levels.
One
EFFORTS
525
concern with meaning, a true yield of the entire trend, and the systematic
analysis of grammatical
demanded
a similar exploration of
complex system of words mutually coordinated and opposed to each other" was comprehensively advocated by Trubetzkoy at the First
Congress of
Slavists.
first
deliberations the
Prague
Circle,
insisting
in
in
various linguistic aims, the poetic function obtained the most fruitful
treatment.
The
coexistence
outlooks.
The regard
change.
The two
two simultaneous
ends
test
linguistics experienced a
complete metamorphosis.
stage of
Indo-European
he pointed out,
it
"comme une
The
role of
comparison in
linguistics
became
vastly
expanded and
diversified
when
com-
time and space found their intrinsic place in the means-ends model of
language. Finally, the third and most far-reaching form of comparison,
the typological one, leading to the introduction of universals into the
526
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
that
however,
is
avoided
in
our survey,
is
only because
during the
last
have
become
in
the science of
task'
-
language.
homonyms function
'role,
viewed
from the means-ends angle - and function as correspondence between two mathematical variables, are often used promiscuously, and as Lalande's
Philosophical Dictionary justly warns, "there
is
The Sturm
fields
unci
linguistics,
as so
many
other
to the
of knowledge, passed
large-scale
a far-ranging
in
and
a joint
which
Likewise
many
Among
in
contemporary
pure or
new
level
and
in
Modern
J.
and W.
Grimm
testifies:
"Aufs leben
lat.
man
man
durch seinen
wohl vom huslichen oder freundeszirkel reden, aber hhere zirkel ist ganz gelufig*** Aber bei kunst und Wissenschaft tritt wieder kreis ein und ist
zirkel
col.
2148).
"KREISCHEN
***
*** kleiner kreis: den sogenannten weltleuten suchte ich nun abzupassen
worum
und wo
Close philosophical
cf.
the term
now
man term
circle'
and
Moscow
England,
philosophical circle (kruok ljubomudrov) of the 1820's, pointed weit frher, als in Frankreich
und
Sinn fr dieselbe
fehlt, in
Russland
bekannt geworden"
171).
German
first
extraordinary influence
among
made
in
Moscow
University
528
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
even earlier and Kantian philosophy had been taught there since the end
in
Geschmacks und deutscher Richtungen unterscheidet Generation von der frheren; sie will noch viel mehr Geistes" (p. 172f.).
It
die junge
was
and
kruzki assumed
life.
an outstanding role
Their
the
monograph by
1929).
M. Aronson and S. Rejser, Literaturnye kruki i salony (Leningrad Although the members of such novel fellowships fully realized and
their
stated
flexible character in
rigidly
societies,
their
own
pioneering teams.
However,
outside observers. Thus, for instance, on July 20, 1826, A. C. Bcnckendorff, the
er
M.
J.
were
still
many
kruzki) of Saint
The
life
of the
thirties,
with
its
new
was concentrated
primarily in the divers kruki famed for their influence and mutual
disputes.
became
quite standardized.
in the
home
or study of
its
initiators
in-
collective tasks.
Russian
cultural
and
extrinsic reasons
terms kruok and obestvo. In the early 1880's, the initiative of the noted Moscow numismatist, A. V. Orenikov, brought into existence an organization called Moskovksij kruok numizmatov with meetings held in the homes of its members for private, infor-
mal debates. Somewhat later these gatherings were transferred to the quarters of the Imperial Archeological Society and became more official in character; the first regular
529
and
its
home
Courtenay
in
and collaborators used to meet every Saturday evening to exchange communications and opinions; this gave rise to the "Kazan' linguistic school", according to the memoirs of V. Bogorodickij, an outstanding member of this group {Prace Filologiczne, XV-2, p. 466). The designation
Kazanskij lingvistieskij kruok actually appears in Baudouin's and
Kruszewski's writings. 2
In connection with language study the term kruok entered into
garian,
Hun-
when in
German
philologist in
The
tavern meetings with his pupil and the latter's colleagues their kruok;
weekly gatherings for drinks and free scientific discussions became customary
among
the Budapest linguists under the old label Kruzsok. Both this
its
custom and
name have
life,
as well.
new wave" of significant kruki emerged, as Aronson's monograph states, around the turn of the century. The author cites such typical Symbolist and Acmeist gatherings as the famous Wed"a
Opojaz, the Petersburg Society (Obestvo) for the Study of Poetic Lan-
particularly indepen-
and frequently
Sbornk po
decisive role.
Toward
the end of
M.
first
teorii
few weeks
later, in
its first
president.
Voices were raised in favor of changing the kndok into a "solidly organized scholarly society", formal statutes were drafted, and after years of bureaucratic delays, in 1888 the ministry of education approved the establishment of the Moskovskoe Numizmati-
Vestnik,
VII (1882),
"*** . --."
p. 136:
(1903), p. 35 ff., repeatedly refers to the activities of the Kazanskij lingvistieskij kruok in the late seventies and early eighties and emphasizes "the important role played in
the
life
and
original
linguistic circle
by Kruszewski".
530
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
to a joyous dinner
Jakubinskij, V. B. klovskij,
meeting
in his flat
new
association
was
decided upon.
Its nearest correlative,
was founded in 1915 by Moscow University students concerned with linguistics and folklore. But, as a century earlier, such circles easily attracted the hostile attention of the police, and in order to avoid
guistic Circle),
of the
Moscow
Dialectological
Commission
{MDK)
whether our group could not act under the auspices of this Commission. The Dialectological Commission in turn, according to Usakov's reminiscences,
earlier, in 1904,
men engaged
institution,
good genius of young scholars, namely, a commission attached to the Academy's Section of Russian Language and Literature, and suggested that the Academician F. E. Kor be named chairman of the new Commission Trudy Moskovskoj
(
"from a small circle of young The Academician A. A. axmatov, enabled this circle to become a firmer
Dialektologii esk
>j
5,
p. 16 f.).
On
Usakov's benevolent
its
seven
founders - F. N. Afremov,
P.
I.
Jakobson, N. F. Jakovlev,
mitted to the
logical
S.
Academy
at the
Commission, F. E. Kor, who was kindly disposed to our plans. The answer of the Academy, formulated and signed by axmatov as
Secretary of its Section of Russian Language and Literature, authorized us
"to form a circle of
young
linguists
(krufok
iz
molodyx
lingvistov)
affiliated with the Dialectological Commission and having as its aim the study of linguistics, poetics, metrics, and folklore". With Kors's preliminary agreement we intended to elect him our honorary president, but
at the
2,
homage
to
and daring investigator of language, verse, and oral tradition. The schedule of activities discussed at that meeting by students of some eighteen or twenty - the seven founders and two further members of the Circle, L. I. Bazilevi and G. G. Dinges - adhered closely to Kors's investigatory precepts: a collective inquiry into the verse and language of
collection), detailed investigation of the
folklore,
Russian linguistic
531
I.
member and
Vinokur,
reported in the
MLK "from
the beginning of
viewed as
its
as
laboratory
During the
first
years of
its activities
MLK met
at the
homes of
its
members and
1917, shortly
tried to
maintain
its
after the
revolution,
became the
the
official
its
own
all
attracted
young searchers
fifth
in
Moscow
or
visited there.
On its
to axmatov,
under the
difficult
conditions of the
war. 3
On
W.
new
to elaborate
poetic function.
The founda-
and
fruitful discus-
M.
Brik,
Bobrov, B.
I.
Jarxo,
S.
I.
Berntejn, S.
M. Bondi, and
others.
The
by B. A. Kuner, who
in 1919
approached
in B. V.
new
, . . ,
vistas in
phonemic
to the poets
532
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
poem "150.000.000"
in
the
on Xlebnikov's poetic language, Gurskij's on abbreviations in industrial terminology, Brik's on questions of new poetry). A. E. Kruenyx
lectured in 1921
on supraconscious language
(//7</-
in
poetry,
and
a meeting
in
methods
The Moscow
Circle
linguistics
4
vehement disputes on linguistic as language in its aesthetic function. and the strictly empiricist aplanguage phenomenology of essentials
proach; the place of phonetics and semantics
the problem of the
tion of poetic
in the science
of language;
Humboldtian
and ordinary language; or finally the relation between language and culture - the Moscow team lost its former unity of purpose and
principles.
and
in the
institutions, like for instance the State Academy for (GAXN), attracted the most active workers of A //.A', summer of 1924, during the tenth year of its existence, the
New
formally dissolved. 5
P. Bogatyrev, "Slavjanskaja filologija v Rossi
i
Cf. R.
Jakobson and
I
za gg. 1914-
1921", Slavia,
(1922), p. 458.
6 As to the end of Opojaz, its gradual extinction Tynjanov to compose a telling epitaph
,
:
N.
. , , . , ,, ,
""
""
533
was
because of economic and most of the valuable studies connected with the kruok unfortunately remained unpublished and were
technical difficulties during the early 1920's,
many
Moscow
The
familiar
in the West. 6
who
since 1920
was
On
was held in Mathesius' study at Charles University. The paper "Der europische Sprachgeist" read by a young German visitor, Henrik Becker, was heard and commented by the first five members
Linguistic Circle),
J.
some in the same study, some in the homes of the fellows; later, with the number of participants increasing, the meetings were held in lecture halls of the university and finally in private rooms of Prague cafes in order to reaffirm the independent and unconventional character of the association. Papers delivered by the ancient members of MIX and MDK (such as P. G. Bogatyrev, S. I. Karcevskij, B. V. Tomaevskij,
gatherings -
N.
of
S.
I,
and
scientific
such leading
and
L.
Vanura. In
;,
6
As R. M. Cejtlin states in her instructive monograph Grigorij Osipovi Vinokur (Moscow, 1965), p. 15, "the typographic output gives no complete insight into the creative atmosphere of the twenties. It was a period when diverse learned societies and searchers' associations became unusually active, and their largely original lectures and debates rather than books and journals determined the scholarly opinions of that
epoch."
.
MLK,
. Teige,
534
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
role,
PLK
and R. Carnap for deliberations on the phenomfrom Russian, was Czech the word krouek
self-education,
by Bohemists
who
stressed that in
young
PLK members
in his
home. Similar
in
criticism
arose
when
title
the
first
publications of the
rourek appeared
French
Prague
French
felt
de Tarascon
au cercle - with
its
culmination: "L-dessus
le
brave
homme
PLK
at the
International
Congress of Linguists
in
Geneva, Danish
linguists
the
word kreds, and five years later, the Travaux du Cercle Linguistique de Copenhague was inaugurated. Active cooperation and mutual discussion
was
was
first
paragraph of
its
statutes
signed by seventeen members, the aim of the association was "to further
the progress of linguistic research based on a functionally structural
method" {Zprva o innosti Praskho linguistickho krouku za prvn destilet hejo trvn, Brno 1936). As Mathesius intimated in his majestic
decennial survey (Slovo a slovesnost,
II,
was
535
was discarded by a wide application of linguistic methods to poetics and ethnology; and narrow-minded fear of teamwork was counterbalanced by
compelling collective tasks. The joint efforts of the krouek proved to
and
Slavists. In
in its plenary
an
alluit
it
was
of the Congress' Transactions, which encompassed its plenary meetings, was the only one that was never published, and even the materials pre-
pared for
this
The
self-liquidation of
PLK
pressure of
slanders
antistructuralist biases
and
was a pathetic
among
all
krouek (or
in the
synonymous term "the Prague linguistic school") still enjoys West and in the East. We refer to two
napravlenija strukturalizma
book Osnovnye
U.S.S,R.) and
(Academy of Sciences of
in
the
J.
Linguistics, followed
by
7
his
summary book of
The
slanderer Petr Sgall. His amazingly illiterate and base denunciations published in the
slovesnost,
Prague journal Tvorba of 1951 and forced upon the periodical of the Circle, Slovo a defamed PLK for propounding structural linguistics. The latter, according to Sgall, "has served only to prolong the domination of the bourgeoisie and to justify this domination". He condemned the Circle also for the "mendacious" recognition of a difference between the poetic and referential functions in language and for succumbing to the vicious influences of Saussure, Husserl, and Carnap. Yet, according to Sgall, "the genuine evil spirit of our linguistics is Roman Jakobson, who deceived and deluded many of our excellent linguists *** The role of Jakobson as the chief pillar of structuralism in linguistics *** is one of the refined ideological weapons used for the disorientation of the outstanding representative intellectuals of the left and for a struggle against the proletarian Weltanschauung." This "cosmopolitan enemy who endeavored to devastate our science by his pseudo-theories" naturally found "his last refuge in the den of American imperialists." Thus "the veiled enemy Jakobson ends up in the dustheap of history." The unscrupulous prosecutor finishes by calling for the crushing rout of "cosmopolitanism in our linguistics" and by summoning the former structuralists to repent of their blunders and "by means of criticism and self-criticism to eradicate both the false theories of structuralism and their survivals". This coerced "self-criticism" resulted in the disastrous self-destruction of the krouek, a ruin which caused real bewilderment among the linguists of the West and East.
536
TOWARD A NOMOTHETIC
after the cole Libre des
SCIENCE OF LANGUAGE
in
Soon
New
York, several linguists connected with this school and with Columbia University "started a movement to form a group and hold regular meetings to discuss linguistic problems" (see Word,
tion, incorporated after some delay,
I,
95),
and
a free associaactivities
commenced
York).
its scientific
on
October
30, 1934,
New
each with a
valent.
city
name
it
Once again
as modifier, was supplemented by an English equiwas questioned whether the term circle was appro-
In 1945 the
young
linguistic science in
late
all its
first
aims
and harmoni-
ous strengthening of labors on urgent problems which demand co-ordinated collective efforts", strengthening of "co-operation between American
and European linguists of different schools', and struggle against both European and American isolationism in present-day linguistic thought
{Word,
I,
3f.).
First the
name of
its
the
title
of
extralinguistic con-
notations of the English vocable "word" inhibit the use of this term as a
Why
WORD?
a focal point of
this assertion).
linguistics
but also sociology, anthropology, and logic deal with the word. With the
title
WORD we
linguistic reality
and the necessity for studying language in all the fulness of its various functions and relations." This attitude was exemplified by opening the sequence of articles with two interdisciplinary studies - one
the social frame of language (Alf Sommerfeit) and the other
on
on the
title,
and anthropology
fret
(Claude Lvi-Strauss).
over the
which
earlier
reflects the
name
PLK ten
years
as
537
teenth century by V.
the
title
Hanka and
J.
between
the
word and
it
linguistics
and
poetics,
also
met
initially
A number
its
in
and the
1945, 9 to the
in 1961 sub
si Stilistic
Rumanian Academy
volume of
(cf.
the debut of
and publishing its valuable Papers and Monographs since 1963. 10 Thus the terms Czech krouek, Slovak krok, Danish kreds, French cercle,
English
circle, Italian circolo,
Rumanian
cere,
Our
The
and
their
names
is
note-
anniversary of the
Moscow
krok, the
fortieth of the Prague krouek, the thirty-fifth of the Copenhagen Kreds, and the twentieth of the Bratislava krok and of the Florentine Circolo,
the Kreds
and Circolo
its
still in
flore,
New
York, in
crisis.
fourth decade,
I
is
May
See
its
tique de Bratislava,
journal Slovo a tvar, I-IV (1947-50), ed. by E. Pauliny, and Recueil LinguisI (1948); cf. M. Darovec's testimony in Slovensk poMady, LXXXII,
No. 9
9
(1966), p. 53 ff. This circle organized by C. Battisti, G. Devoto, and B. Migliorini has no chart and its informal, weekly meetings (870 till early 1967) debate chiefly research in progress. 10 The new Circolo Filologico-Yinguistico Padovano, according to the preface of its president G. Folena to its first Quader ni - Ricerche sulla lingua poetica contemporanea (1966) - has been built "per favorire ogni volta che possibile l'inconto con studiosi
lontani, e soprattutto per incoraggiare
indirizzi diversi e
i giovani a esprimersi, a confrontare metodi e a scegliere fra questi liberamente la propria via, in un contatto non
sole interdisciplinare,
com'
di
moda
dire oggi,
ma
personale e umano".
538
TOWARD
common denominator
of several convergent
f.).
revised
in
for
Omagiu
P. S. to p. 536f.
of
Onnovember 9, 1968, the Executive Committee o( the Linguistic Circle New York made the pompous decision to change the name of the
and
its
President's cir-
cular of
December
comment
on
this decision:
Ours is no longer a circle. Dictionaries usually define circle as 'a pleasant Little group/ and give club, coterie, and set as s\ non> ms. Furthermore, the relationship that could have been drawn years ago between our organization and the circles of Prague, Copenhagen, and Paris no longer exists.
nome
pi volte
il
comparso
nella
stampa
van
gruppo
lasceremo da parte
il
le
opere di
Praga
in generale cecoslovacchi
cui valore
non
dovuto
novit teoretica,
ma
namento dei metodi tradizionali nello studio di questo materiale (per citae un solo esempio, ricordiamo le brillanti scoperte di B. Hrozn nel dominio dlia lingua hittita). D'altronde bisogna sottolineare che quello che chiamiamo un nuovo complesso di princip metodici non un seguito
di dichiarazioni astratte e di vacui manifesti
:
si
traita di
un sistema
teo-
rico
bene sviluppato,
all'
non vuol perdere il contatto con empiria linguistica, fondo, che un esame di fatti linguistici in quanto entit.
non
, in
Un
che
A questo
non avevano p ovocato reazioni critiche nella proposito, mi ricordai le tristi parole
Ma la scienza
Durante
un dialogo,
da noi non
si
fa che
una
si
serie di
mono-
loghi.
la
linguista polacco
qui
non
si
poteva
540
I tre
TOWARD A NOMOTHETIC
giudiz che
SCIENCE OF LANGUAGE
abbiamo
ricordati
di
partenza lo
stesso fenomeno:
la
cultura d'un piccolo paese esige una disciplina eccearte degP inliniti
paesi minori
uno spreco La
messa a
nudo
in
modo
XIX,
la linguistica
da
risolvere:
si
materiali per la
grammatica
a cui
stolica
e per
il
compiuto
Gebauer,
si
deve
un
edificio
la
tore.
Non
non
non
il
lampo
che basta a se
stessa,
la lineare
mule
si
nasconde
la soggettivit dlie
costruzioni, che
le
presentano sotto
forma
di verit pedagogiche,
prsenta che
come
norma
la
scientifica a
revisione.
Al pi piccolo tentativo
i
discussione fermava
lavori di costruzione.
Gebauer
si
sia
la
dovesse
Ed
AI tempo di Gebauer,
la lotta
per smascherare
falsi
monumenti
delia
le
forze vive nel dominio delie scienze delio spirito. Occorreva armare
il
pi
Cosi
primo luogo
541
filologi
degli allievi di
che
lin-
Il
ventesimo secolo
il
uno
slancio
meraviglioso, quale
le
non
s'
mai avuto
si
dotto eminente,
Vernadskij.
:
La concezione
notevolmente
chite
la linguistica
le
ricerche scientifiche
arric-
da nuovi materiah
(la
lazione
fatti linguistici
La
un grande lavoro
il
collettivo
le
d' ordine
sono mobilitate
tratto caratteristico
contemporanea
aile consi-
il
dialogo
la
manca sempe.
si
conosce
ricchezza di
si
gamme
abbondanza
di delicate
sfumature che
le
suole ammirare
Per contro,
mirano
modo compensa
la
mancanza
i
di ardire individuale,
Da
il
Ma
il
congresso degli
a Praga, esso
si
e disciplinata,
con
tesi
programmatiche
La novit
dlia struttura
di questo Circolo, in
tifiche,
di
metodo
si
attivit d'
un membro
programma
organizzazione.
Appunto
il
ha per-
messo
di prendere parte
542
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
la
campagna
vittoriosa del
la
la
dottrina che
le
dominava
la linguistica
tesi del
Circolo possono sembrare un elemento estraneo insinuatosi nella scienza cca. Ma non bisogna dimenticare che la linguistica ha in quel paese un
ricco passato. Fin dal secolo
cchi, e al confine tra
sui
il
XIV,
si
hanno
secolo
fonemi e
le lettere
i
bauer ha nascosto
nella
passato Bolzano,
alla
le
grammatica generale
Queste
mondo
mondo
Praga insegnI.
ava
alla
met
J.
Hanu poneva
stilistica
campo
della
e della semantica.
Poco dopo
si
collocano
le
ricerche semantiche
del cco
ercl,
contemporaneo Bulgakov.
princip del Circolo trovano numerosi addentellati nei periodi antedella linguistica cca.
riori
La
tesi
dell'
Ma
la
formula pro-
grammatica
(cio sincronica)
la
questa
Masaryk
si
ricol-
linguisti cchi
due
discipline la concezione di
il
Masaryk
molto pi vicina
il
Circolo che
punto
di vista saussuriano.
Non
si
caso, dicono
i
metodi sincronici
considerano in linguistica
1 Ueber subjektlose Stze und das Verhltnis der Grammatik zu Logik und Psychologie {Gesammelte Schriften, II 1 ) (Halle, 1918). 2 Zkladov konkrtn logiku (1885); Versuch einer konkreten Logik (1887).
543
di vista delia subiti dalia
punto
loro funzione,
non
si
potrebbero giudicare
cambiamenti
E Masaryk
scriveva nel
1885:
La
dell'
- non
la
pu
ripeterlo
con bastante
la
le specialita.
legame fra
Masaryk
con
i
interpretazione
Saussure
mutamenti sono
Non abbiamo
il
La questione
alla
va dbitrice
concreta di Masaryk,
gi
owero
poco dopo
il
dinamica,
infine al
Cours
di F.
de Saussure?
A chi si ricollega
il
Circolo
autonomia
alla
all'
lavori del
sua dialettica.
da un rcente
ed
sempe
sulle
stata produttiva?
la
Hegel
un
M.
grammatica cca {Potky vdeck mluvnictv eskho) il metodo empirico grossolano, che trasforma 1'oggetto studiato in un mucchio
di sabbia in cui ogni granello resta separato. II Klcel
non ha
cessato di
il
vero
cammino
delia
scienza delia lingua consiste nella fusione dialettica deli' analisi e delia
sintesi.
anche per
Ci che
non
il
ma la
544
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
che essenziale che casta ona
si
tratta. 3
fuor
di
dubbio che
la
scuola
Praga
il
risultato di
una simbiosi
come
la linguistica
fuori di
dubbio che
scuola di Praga ha
i
dell'
lavori
le
moderna,
tutto codesto
non poteva
nuove
e nella loro
unione nella
totalita
tempo
il
Che
poranea,
lo
si
due
libri
pi caratteristici
dlia
J.
dlia
moderna
filosofia
Teleologia
le
come forma
eonoscen/a
Fischer,
5
scientifica di
K. Engli, 4 e
L.
malgrado tutta
molto vicine
la differenza dlie
aile
turalista Fischer
mira a mostrare
ii
non vede
che rapporti
di
che
condotta
si
umana va
tratta d'
un rapporto di mezzo e di
il
metodo
teleologico.
i
Dai processi
lati,
metodo
fa risaltare
postu-
cio
ci
metodo
dell'
ma una forma logica non soltanto un individuo fisico, ma anche p. es. concepito come soggetto d' un postulato. La nascita dlie
teleologica, che deve tener
conto del
di
concorrenza dei
il
fini e
Le qualit
cui
si
occupa
Quantunque
gi
la
indipendenza dlia
4
6
Travaux du Cercle linguistique de Prague, II, p. 98. Teleologie jako forma vdeckho poznn (Praga, 1 930). Zklady poznani (Praga, 1931).
545
rimaneva
cio-
conto che
questione dello
scopo
non
dlie
cause
la
Le lingue pi volute
ai
neogrammatici
norma
sociale, e
un sistema
di valori relativi
Ma
la
egli
non ha
tratto
da ci
tutte le
cio la nascita d'una norma, dev' essere affrontata, del pari che la statica,
dal punto di vista teleologico. Perci
il
applica-
zione nel
campo
Ma
ne
l'
concepivano
la
lingua
come un idioma
d'
non
si
trattasse che
I
una catena
si
di percezioni acustiche
si
sprowiste di senso.
suoni del
linguaggio
fisico,
registravano e
di vista fisiologico e
con
Ma si dimen-
hanno uno scopo, e che le innumerevoli differenze di suoni che appaiono nella parola non hanno, tutte, le medesime funzioni e lo stesso grado d' importanza. Fra queste differenze vanno messe in rilievo le
opposizioni volute (postulait nella terminologia di
Engli), capaci di
differenziare in
significati.
Una nuova
zioni e
il
repertorio dlie
come
le
si
opposizioni
confronti la
un
solo esempio,
ma esse non
si
mentre in latino
breve a
546
TOWARD A NOMOTHETIC
legi
SCIENCE OF LANGUAGE
allora che la quantit in italiano
un perfetto
con
lunga.
Diciamo
pu
ma non
per
la
fonologia.
L' analisi fonologica dell' inventario dei suoni di una data lingua
differisce
tica.
radicalmente
si
occupa
la
la
fone
ma
mentre
prima
una
fonemi
una determinata
ii
punto
di vista
natura-
listico
serve.
la
Abbiamo
parte
la
Ma
meno
attuata.
non si tiene abbastanza conto che le forme puramente oppositivi, e che si tratta veramente
di
un sistema
non
di
un conglomerato
forme,
signifcati
fondamentali
dlie
identificati
eon
signifcati stati-
esperienza della
ma
anche
di applicare le
si
con-
nuova
occupano
dotti
musica.
eon
che
analogo orienta-
mento,
Scritto a
tali
sono
Brno
1933).
"PRAGER SCHULE"
in
den
Gruppe
von V. Mathesius
auf
Prague" gegrndet
dem
auch nicht
Tradition nachzugehen.
unter
Wenn auch
kurzem
dem
man
mhung um
eine
und fruchtbaren Prager Disputationen der Realisten und Nominalisten an der Wende des XIV. und XV. Jahrhunderts, die Panglottie des Comenius und die eigenartigen Betrachtungen ber Sprachkultur im Barock, die Prager Ttigkeit Bolzanos und seiner Schler, die Bestrebungen tschechischer und slovakischer Hegelianer im Sinne einer Dialektik der Sprache, endlich die bahnbrechende Unterscheidung von historischer und statischer sprachwissenschaftlicher Problematik in den Arbeiten Masaryks
aus den 80er Jahren, die fr die Unterordnung der sprachlichen Diachronie unter die Synchronie
und fr teleologische Auffassung des sprachlichen Werdens eintreten. Doch Eigenart und Schpfertum erweisen sich nicht nur im rein bodenstndigen, sondern ebensosehr in der Auswahl und Verknpfung bernommener Elemente. Die Lage am Scheideweg verschiedener Kulturen
ist
zeichnend. Es wird auch niemand leugnen, dass die "Prager Schule" das
ist,
und dass sie auch die Erfahrung der westeuropischen und amerikanischen
548
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
der modernen Entwicklung der
Auch mit
Verwendung des
ist
Wohl
"Wozu"
bedeu-
Aber
sinngebenden Zwecken abgesehen. Nicht genug daran, es wurde merkwrdigerweise den akustischen Gegebenheiten eine
viel
geringere Auf-
merksamkeit geschenkt
Voraussetzungen. Die
der
zum Brennpunkte
Forschungs-
geworden war, sucht die Lautlehre mit der Bedeutungslehre zu verknpfen und sie somit effektiv in die Sprach-
wissenschaft einzugliedern. Das phonologische System einer Sprache wurde dabei notwendigerweise als ein System der sozialen Lautwerte
aufgefasst.
und
Raum- und
Zeitachse (phonologische
Whrend
mannigfaltig
ist.
sinngebenden Lautmittel,
satzgliedernden und expressiven Mittel) von den wortunterscheidenden Lautmitteln, die als blosse Bestandteile von Zeichen fungieren, streng
auseinanderzuhalten.
Die phonologische Forschung steuert mit ihrer reichen Erfahrung zum Aufbau der beiden grammatischen Teilgebiete der strukturalen Sprachlehre, Morphologie und Syntax, bei. Obzwar theoretisch anerkannt, wird doch allzu oft in der Forschungspraxis vergessen, dass die sprachlichen Zeichen und im besonderen die grammatischen Formen reine GegensatzWerte sind, dass diese Werte durch den Bau des gesamten Systems be-
als die
Lautlehre
von der Bedeutungsfrage absehen darf. Die allgemeine Bedeutung eines grammatischen Gegensatzes in einer gegebenen Sprache (z.B. des Gegensatzes zweier Kasus, zweier Rede- oder Satzteile oder von Wort und Wortgefge) wird zum Grundproblem der strukturalen Grammatik. Die teleologische Auffassung der Sprache hat die zielbewusstesten
Sprachzweige, wie es die Schriftsprache und die dichterische Sprache sind,
549
zum dankbarsten
(Marty); aber es gibt in unserem Verhltnis zur Sprache mehrere Situationen, in welchen die Sprache zum unmittelbaren Gegenstand unserer Aufmerksamkeit wird. Diese Umwandlung der Sprache aus einem blossen Mittel in einen selbstndigen Gegenstand unserer Wertung und Absicht
kann
als
die These
ihre Gltigkeit.
Mit der Erweiterung und Erhhung der Forderungen der Sprachpdagogik, -kritik und -politik wchst die Planmssigkeit der Sprachentwicklung.
lichen Fragen
und
ihrer praktischen
Anwendung auf
die tschechoslo-
vakische Sprachkultur schenkt der Prager Cercle besondere Aufmerksamkeit. Als Kriterium bei der Beteiligung der Linguisten an
dem
Sprach-
aufbau kann nur die Frage nach der Angemessenheit der gegebenen
Sprachmittel zu
Der archaisierende Purismus wird scharf bekmpft. Den Bau des dichterischen Werkes linguistisch zu beherrschen, war
die Aufgabe, die sich die russische formalistische Schule vor zwei Jahr-
zehnten folgerichtig
terische
gestellt hatte;
Werk
als
Summe
um
eine mechanische
Summe, sondern um
im Rah-
Wortkunst zu den brigen Aussagetypen. Durch die Aufrollung dieser Aufgaben gab die Poetik der ganzen Sprachwissenschaft mehrere fruchtbare Antriebe, sie stellte die grundlegende Frage nach dem gesetzmssigen Verhltnis zwischen
dem
Teil
eine
in-
dem
sie
550
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
sondern auch der Synchronie angehrt: die Verschiebung wird unmittelbar erlebt,
sie ist ein
wesentlicher Kunstwert.
Funktionen - der darstellenden and der dichterischen - besteht die beiden Funktionen sind jedoch miteinander untrennbar verbunden. Fehlt die
darstellende Funktion, d.h. die Einstellung auf den Gegenstand, hrt
das Zeichen auf, Zeichen zu sein; damit aber das Zeichen den Gegenstand
vertreten kann,
dem
die
bezeichneten Gegebenheit
Zeichens
selbst.
So wird
die dichterische
Semantik, bzw. die Semantik der anderen Kunstarten aufgebaut und ein
lehrreiches Material zur allgemeinen Zeichenlehre (Semiotik) zustande
Elemente fr die dichterische Sprache und fr das sprachliche Zeichensystem selbst spezifisch sind und welche hingegen Allgemeingut der
Zeichenwelt berhaupt sind.
Vortrag im Kopenhagener Linguistischen Zirkel am im Bulletin du Cercle Linguistique de Copenhague,
12.
I.
Deutschen Universitt
schaftlichen
Der Vortrag, den G. Becking, Professor der Musikwissenschaft an der in Prag, jngst im Prask linguist ick krouek
Lebens der letzten
Juli d.J.
Kongre, der im
in
Amsterdam
phonologischen
J. van Ginneken Rede den auffallenden Parallelismus zwischen den Grundproblemen und den Grundproblemen der
modernen Musikwissenschaft
spielt eine
viele Schwierigkeiten
ihm endlich
Tonhhen
und
er
ist
Tne
beachtet hat.
Nun
Tonhhen gem dem abweichenden Bau des neuen Instrumentes vollkommen gendert haben aber der Eingeborene schwrt, es sei dasselbe Stck. Der Unterschied liegt darin, da fr den Afrikaner die gleiche Klangfarbe die Hauptsache ist, wogegen fr den Europer die Tonhhe. Das Wichtige in der Musik ist nicht die naturalistische
Gegebenheit, nicht diejenigen Tne, die
die
realisiert
werden, sondern
die,
gemeint werden. Der Eingeborene und der Europer hren denselben Ton und meinen dabei ganz verschiedene Dinge, da sie ihn in
552
TOWARD
fungiert in der
Bezug auf zwei verschiedene musikalische Systeme auffassen; der Ton Musik als "System-Ton". Die Realisationen knnen mannigfaltig sein, der Akustiker stellt es genau fest, aber das m um kaiisch
da das Musikstck als identisch erkannt werden mu. Es besteht also zwischen einem musikalischen Wert und seinen Realisierungen genau das gleiche Verhltnis wie in der Sprache
Magebende
ist,
zwischen einem
Phonem
in
der Rede vertreten. Der Unterschied zwischen den mittelalterlichen Neumn und den modernen Noten ist kein bloer Schriftunterschied, sondern spiegelt den
wichtigen
Unterschied
zweier
musikalischer
Systeme
wider:
im
um
die
Tonhhe, sondern
um
die
Tonbewegung. Der enge Zusammenhang zwischen dem phonologischen Bau einer Sprache und der entsprechenden Schrift, der besonders in den
Vortrgen N.
wurde,
S.
bildet eine
nahe
Parallele.
ist,
"zweidimensionale Systeme",
wo
im Tonmaterial bedie
hauptet,
"dreidimensionale
Systeme",
die
durch
Funktion
im
Zusammenklang
Systeme",
in
und endlich "vierdimensionale denen der Einzelton auch noch die Funktion seines Akkordes
charakterisiert werden,
vertritt.
im harmonischen Tonalittssystem
Typus
die
Musik der
komposition.
An
als eine
Auch
Vortrag
Musiksystems
weder wird
findet
das Gegenteil
Zum
553
Musik und der Sprache. Zwar gibt es in der Musikgeschichte Einzelflle, gewisse Musikformen zu einem eindeutigen Ausdruck werden (in der italienischen Oper, bei Wagner usw.). Es ist bemerkenswert, da die
wo
ist
in der
Musik im Unterschied
ist.
Musik
und
in
und der
Schrift, die
Stmme
Bnde"
musikalisches System, das sich nach Becking durch die Ausntzung einer
interessant,
ungemeinen Menge von kleinen Intervallen auszeichnet. Es ist hchst da es dieselben Vlker sind, die einen "phonologischen
Bund"
bilden,
welcher durch
das
not-
wendig, die Grenzen und die Merkmale der einzelnen musikalischen und
und
darin,
da ihre Gesamt-
Die Musikwissenschaft
mu die
So wre
z.B. die
Werte immer ein Gegensatz eines merkmalhaltigen und eines merkmallosen Wertes ist, auch fr die Musikwissenschaft von Bedeutung.
korrelativer
Verffentlicht in der Prager Presse, 7.XII.1932.
There
is
only one
have to sum up
its
linguistic results.
First, I
could
begin with the statement that the Conference was extremely successful.
However,
tion.
know
that
a two-choice situais
But for a
it
man who
no two-choice
situation:
successful.
I
can never be heard from him that the Conference was not
should
of
this
Conference as
see them.
Of course,
that, as
will interpret
them and
literally.
shall not
be the translation
machine
Once
there
is
interpretation,
I will try,
how-
can.
What in my opinion is the most important result of this Conference? What has struck me? First, the great unanimity. There was an amazing unanimity. Of course, when I say unanimity, it doesn't mean uniformity. You see, it was a polyphonic structure. All of us here - I might say - sounded differently, but we all were like allophones assigned to one
and the same phoneme.
fact was a clear-cut liquidation of any kind of isolationism, and isolationism is just as hateful in scientific
Of
course, the
most symptomatic
life.
as
it is
in political
guistics versus
View versus Mentalism and so on. This does not mean that there no tasks of specialization and that there is no need of focusing upon certain limited problems, but these are mere ways of experimentation
nistic
are
555
we
them.
If
we
treat
them separately in the process of linguistic analysis, we must continue to remember the artificial character of such a separation. We can discuss language on the morphemic level without reference to the phonemic level.
We
level
level,
simply like an
low frequencies,
ment.
It is
we can exclude high frequencies or, on the contrary, but we know that it is only a method of scientific experi-
how
does
a person act when blindfolded? we don't know its meanings? Again, it is very instructive to observe a person run when his movements are hampered as in the so-called sack races, but no one will say that it is more efficient to run with a sack than without one. Thus we realize ever more clearly that our optimum goal is the observation of language in all its complexity. To paraphrase Tersay about language
ence's saying, Linguista sum; linguistici nihil a
What can we
when
me
alienum puto.
is
Now,
if
we study language
most welcome and stimulating, because again and again anthropologists repeat and prove that language and culture imply each other, that language must be conceived as an integral part of the life of society, and that
linguistics is closely linked to cultural anthropology.
I
But
should like
to second D. Bidney
is
in
what he contributed
noon
the
discussion: there
language.
Language
is
name
who
indeed
when
specifying language
we must, with H.
L. Smith, observe
by F. Birdwhistell. It presents, I agree, instructive similarities to language and - let us add - not less prominent differences. In the impending task of analyzing and comparing the various semiotic systems, we must remember not only the slogan of F. de Saussure that linguistics
science of signs, but,
first
is
part of the
and foremost, the life-work of his no less eminent contemporary, and one of the greatest pioneers of structural linguistic analysis, Charles Sanders Peirce. Peirce not only stated the need
for a semiotic but drafted, moreover,
its
basic lines.
ideas
and devices
556
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
symbols, when carefully studied, will be of substantial support for the investigation of language in its relation to other systems of signs. We
will
Now,
that there
one can only agree with our friend N. McQuown who is no equality between systems of signs, and that the basic, the most important semiotic system is language: language primary, the
realized perfectly
really is the
Language
is
the
principal
N. Wiener and R. M. Fano, or of the excellent London group. We have involuntarily discussed in terms specifically theirs, of encoders, decoders,
redundancy,
etc.
What,
precisely,
is
communiconflict be-
Is
some
tween these two approaches? Not at all! As a matter of fact, structural linguistics and the research of communication engineers converge in
their destinations.
Then what,
actually,
is
the use of
communication
that, in
We
must confess
some
gineers a
language and
immense experience of linguists with them to expose the inconsistencies dealing with linguistic material. Along when engineers and failings of the with the cooperation of linguists and anthropologists, I believe that most productive will be a consistent cooperation of linguists, and perhaps
the other hand, the
its
On
structure permits
with
used.
it
and four items connected the topic of the message, and the code
is
The
the linguistic
phenomena
its
topic
is
far
from being
on
its
At
other
557
factors begins to attract greater attention among linguists both in this country and abroad, in particular the emphasis on the communicators -
and
his attitude to
what he
listener.
Sometimes these
normally there
very important to
I
know what
is
the the
all
which
found on
this
problem
I
agree on this
New
new branch of a science. I now prefer to avoid too many new terms. When we discussed phonemic problems in the twenties, I myself introduced many new terms, and then I was by chance liberated new
science or of a
from
When
was
like
in
Sweden, B. Collinder,
to
who
dislikes
me
do a book
I
for the
no phonemics!"
was just
completing
and aphasia,
:
and
it's
"Now
The book was, in fact, widely understood, and I, in turn, understood that it was possible, even in discussing totally new problems, to emancipate the work from new terms. I don't care whether I say "linguistics" and you say "micro-linguistics". I call the different sections of linguistics by traditional terms - you prefer the compounds "microlinguistics" and "metalinguistics". Although the traditional terms are perfectly satisfactory, "microlinguistics" does no harm. The coinage "metalinguistics" is - 1 agree with Y. R. Chao and others - a little bit dangerous, because metalinguistics and metalanguage mean other things in symbolic
fine!"
logic.
Since
it
is
better to
with logicians, one should rather avoid such ambiguities. Besides, you
would be surprised if a zoologist, in describing what a certain animal eats and in what part of the world it is to be found, would call such questions meta-zoology. But I don't object - I still follow my late teacher
A. M. Pekovskij
who
about terminology;
if
you have a weakness for new terms, use them. You may even call it 'Ivan Ivanovich', as long as we all know what you mean." Returning now to the linguistic functions - I mentioned the emphasis
on the
things
topic,
receiver;
and we
see
we
are able to
do when analysing
this
paramount problem of
558
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
is
Moreover, there
the message.
on the code or on
own
Conference at
it
was
of the discussion.
A.
Hill's
that the problems of poetic language enter into the foreground of Ameri-
can
linguistics.
am
happy
pamphlet
finally
and
The proper
sage.
from
is
The conception
will
different, but
where
function necessarily exists and plays a palpable role both in the syn-
same time
as the
and
in this
is
D. B. Shimkin on proverbs
We mentioned
we did not
these factors.
The most
to both
is
common
No
communication
and
call
is
especially
linguists
among them,
When
was written by the communication engineers, especially American and English (in particular E. C. Cherry, D. Gabor, and MacKay), on message and code, I realized of course that both these conjoined aspects have been for a long time familiar to the linguistic and
read
that
logical theories of language here
names such
as
langue-parole,
Pattern-
559
same time I must confess that the Code-Message concepts of communication theory are much clearer, much less ambiguous, and much more operational than the traditional presentation of this dichotomy in the theory of language. I believe that it's preferable to work at present with these well-defined, measurable and analysable concepts without replacing them by new, once again somewhat vague terms, such as the
"common
core".
to
me
the inter-
receiver,
between
There occur
As
already mentioned, individual speech doesn't exist without an exchange. There is no sender without a receiver - oh, yes, there is, if the sender
is
so-called
inner speech,
explicit,
only an
elliptic
and
more
from Peirce to L. S. Vygotskij. With the customary great interest I read the paper on Idiolect, distriF. Hockett. This paper confines the idiolect buted by my old friend
speech, as demonstrated
to a single individual's habits of speaking at a given time, not including
his habits of understanding the speech of others. If
my Cambridge utterwhen
ances over a longer period were observed and tape-recorded, one would
never hear
me
use the
I
word
"idiolect".
I
Nevertheless now,
use
it
because
am
adapting myself to
I
my
potential
use
many
:
same way. Everyone, when speaking to a new person, tries, deliberately or involuntarily, to hit upon a common vocabulary either to please or simply to be understood or, finally, to bring him out, he uses the terms of
his addressee.
There
is
no such a thing
everything
is
socialized.
and
idiolect proves to
what perverse
fiction.
linguists
from the
He knows
The message
is new to him, but, by virtue of this code, he interTo comprehend this operation we now have the great
560
TOWARD A NOMOTHETIC
One of the most
SCIENCE OF LANGUAGE
pleasant experiences
help of psychology.
this conference
we had during
was
analysis of decoding
The
code.
The
who
deduce the code from the message thus he is not a decoder; he is what is called a cryptanalyst. The decoder is a virtual addressee of the message. The American cryptanalysts who, during
know
is different.
He
tries to
the war, read the Japanese secret messages were not the addressees of these messages. Obviously, the linguist must develop the technique of cryptanalysts; and, naturally,
when one
the
it is
such a procedure
tion,
is
communica-
and even the task of a linguist is up as a normal decoder of this language. His ideal is to become like a member of the speech community studied. The cryptanalyst observes allophones and looks for the phonemes. But the phonemes, the
analyst but to end
invariants, are
much more
intimately
known
member
in
He
He wants
phonemic contrasts
order
(By the way, the terms "allophone" and "confurther examples of the verbal adaptation of the
I
my parlance
We
levels, the
two participants
speech communication. As we
well
know, one of the essential duties of language is span distance - to create a spatial continuity - to
there emerge
If there are
still
to bridge space - to
find
and
establish a
dialectal
differences.
same, but
This
still
two neighboring speech-communities, the code is not the there is no hermetic isolation of either speech community.
may
As
rule, there is
community, and we heard the illuminating paper of my tried friend Twaddell, which showed us how such a mechanism works. This is the
"code switching" of the communication engineers.
W.
F.
Twaddell
always senses not only the problem of present-day linguistics but also the
his
monograph on
defining the
phoneme
561
phonemic
analysis, his
new
calls for
linguistic
problem of
code-switching.
We
proceed
now
J. B. Casagrande. We are still on the same problem Here almost nothing stems from a common core. The codes become still more and more different. But there is always a
of bridging space.
people.
for
me
departments
Italian,
etc.
is
problem of linguistics, because the division into - the department of French, the department of
in
complete segregation?
If there
how easily such a curtain is penetrated communication. We know that there exist
and the sociology of
What
is
then
There
is
phenomena stimulated by bilingual people among non-bilingual people. As was pointed out in that most important paper of A. Sommerfelt's, we face the question of the diffusion of patterns - of phonemic patterns, of grammatical categories, of what Sapir called the grammatical processes. We shall see how enormous this diffusion is when we obtain the Atlas begun in Oslo before the last war, the atlas of such phenomena, cartographed regardless of the boundaries and relationships of the languages carrying these phenomena. I spoke with one of the most sober among linguists, Haas, and with one of the most sober among anthropologists, Ray. The extent of such a phonemic and grammatical diffusion among
neighboring languages of clearly different origin appeared to us so surprising, so difficult to explain that
we were unanimous
in stressing the
all
problem of
affinity is
is,
no
what
affinity
we
will
must confront the factor of time. It was Conference, but it was examined in the luminous
Now we
562
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
mimeographed paper by
linguistics.
We
were accustomed to
as
two
two
This
is,
my
am in complete agreement with the views of Hill: the history of a language can only be the history of a linguistic pattern, a linguistic system, which
undergoes different mutations. Each mutation must be analysed from the
point of view of the pattern as
it
after
it.
Here we come to an important point. I formulate it in other terms than Hill, but I hope that we will be no less in accord. It seems to me that the great mistake and confusion, the sharp separation between synchrony
and diachrony, was to a high degree due to a confusion between two dichotomies. One is the dichotomy of synchrony and diachrony, and the other
is
is
not equal to
the
static.
When
at a
movie
moment on
screen,
you won't
is
Only on the
billboards.
bill-
The
billboard
static
Suppose a
it is
And
completely
it
what
is
static in linguistic
would
Indo-
Hahn
if I try
to define
unchangeable, immu-
table in Slavic
from the
early
Common
European,
This
same time
I
a diachronic one.
I'll
my
change
in the
two phonemes
lance of our
one
/i/.
tinction
For the intermediate generation, that of our parents, this disis optional. What does this mean? It means: the intermediate
When discrimination
clear,
both
phonemes
be omitted
may
speech becomes
less explicit.
and the
finish
and, moreover,
when
becomes a symbol
itself
and
563
may
be used as a
stylistic
conservative way,
we use
the generation of our parents did not use the distinction between unstressed /e/ and /i/ in familiar talk rather the newer fashion of fusing both phonemes was followed to produce the impression of being younger than
:
tion,
Suppose that one generation always makes this distincand the succeeding one doesn't make it at all, But it can never happen that only one generation exists, and that the whole preceding
one
really was.
Thus both patterns must for a and is some intercourse between the two generations, and the receiver of one of them is accustomed to recode the message from a sender of the other generation. Thus a
time coexist,
usually there
change
is,
we
don't
linguistic
We
much in this country and abroad and which is still at the laboratory stage. I mean the problem of linguistic typology - the typology of patterns and the universal laws that underly this typology. What elements may occur together and what elements may not? What elements necessarily occur
together?
Which element
The discussion introduced by E. Osgood touching upon aphasia and the related problem of children's language bring us directly up
against the general laws of patterning.
When
says: but we don't know all languages, so how can you tell that a certain structural phenomenon doesn't occur? Very well, but we know a high enough number of languages to be able to say that if we subsequently find one exception to
it
who
will
of a weighty
still
of patterning where
will
it is
initial
564
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
matical systems,
we
will
There
will
For the
possibility of a change,
state thai
no changes achieving a
would contradict the general structural laws. This higher validity of static versus dynamic laws is not confined to linguistics. The developments
of modern science record a similar conclusion
in diffrent fields.
is
Thus we
morphically deter-
states, are
in
comparison with
classical
it
To
I,
those
who
reaching analogies
retort that
me
fruitful.
Whether such
this
interdisciplinary
Conference was
that
we
lengthily
own agenda. One cannot discuss everythose who say that questions of meaning when they say "no meaning" they either
their
know what
I
it
excellent. I should
differential.
Linguistic
meanings are
differential in the
same sense
that
phonemes
are differential
sound
units.
linguist
knows
nemes, contextual and optional, situational variants (or, under other labels,
"allophones" and "metaphones").
level
we observe
But
On
the level of
is
meaning
as well as
invariants
These invariants, puzzling for the cryptanalyst, are familiar to the habitual decoder who listens to a new context and nevertheless knows beforehand
what
and
its
is
tokens through the phonemes, and the meanings of words and mor-
565
phemes
it is
in the given
message through the word-designs and morphemehowever, you dislike the word "meaning" because
let
If,
less
important for
linguistic analysis
gift
Smith,
who
with his rich uncle in the charming story he told us, said that we must
find out whether the
realizes as well as
meaning
is
the
same or
different.
He
certainly
and Otherness than to resolve whether actually two Sign-Events implement the same Design, or whether the two Tokens are to be assigned to two different Sign-Types. Identification and differentiation are but two sides of one and the same problem, the main problem of the whole of linguistics on both its levels - signans and signatum, to use the good old
terms of
christens
St.
them
work.
This problem of
identifi-
true that
lation
things.
between
what
two
is
some theoreticians claim that syntax deals with the reand semantics with the relation between signs and Let us, within the framework of synchronic linguistics, examine the difference between syntax and semantics. Language entails
signs,
:
axes.
Syntax
is
one
son", then the relations between "the", "father", "has", "one", and
relations.
compare one son", "the father has one daughter", "the father has two sons",
substitute certain signs for others,
the contexts "the father has one son", "the mother has
I
relations
we
deal
with are no
less linguistic
Concatenation
implies substitution.
When
is
I insist
on the
it
of semantics,
this novel?
No,
has been said very clearly but things that have been
It
was
insistently
from 1867 by
Peirce,
who,
I repeat,
must be regarded
as a genuine
structural linguistics.
As he
an "interprtant". According to
prtant
is
an
inter-
566
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
it.
Her
is
on
We
F.
learn
still
more how
S.
to incorporate
structural
discussion
G. Lounsbury and R.
Wells revealed.
But even
less
and confine
its
this
meaning
is
still
enters within
sentence -
A is ,
is
also a context;
illumi-
the sign
perI
When
"OPA
but
personally don't
know what
OPA
is
is,
do
can
know
How
"Pork
speech community, as well as the reverse statement that pig meat used
as food
is
There are
in other signs.
We
used a
circumlocution, and
we always may:
any
main
another
sign in
which
it
is
more
fully developed.
Instead of an intralingual
word pork into another language. The method would be intersemiotic we would resort to a non-linguistic, for instance, to a pictorial sign. But in all these cases we substitute signs. Then what about a direct
relation between sign
and thing?
To
in the
paper distributed by Z.
may
contribute a
want
what
conclude?
He
know whether
more
mean
this
package
in particular,
or a package in general, one cigarette or many, a certain brand or cigarettes in general, or,
sally,
still
generally, something to
smoke,
or, univer-
He
selling,
He
567
what Chesterfield
is,
and what
it is
under discussion.
In Gulliver's Travels, do you
remember
who
would be more
convenient for
all
men
to express the particular business they are to discourse on"? There proved
by
Swift,
who was
as
upon
back" and he
risks sinking
under
would be
difficult to
commu-
Even
if
one miraculously
succeeded in collecting
in things that they
all
were indeed
As symbolic
reminded
us, "linguistic
to
meaning
from
linguistics.
For years and decades we have fought for the annexation of speech sounds to linguistics, and thereby established
of give-away must end.
phonemics.
linguistic
Now we
my
I realize
Peirce
is
right in stating
may
more
explicit sign.
Concluding report at the Conference of Anthropologists and Linguists, Indiana University, July 21-30, 1952, published in the supplement to Int. Journal of American
Linguistics,
XIX, No.
2, April,
1953.
INTRODUCTION TO THE SYMPOSIUM ON THE STRUCTURE OF LANGUAGE AND ITS MATHEMATICAL ASPECTS
of linguists,
mutual
interest.
The need
great
and mathema-
tics was clearly understood at the threshold of our century by the two
anticipators
ment exprimables dans leur nature fondamental par des formules mathmatiques", and somewhat later, discussing the problem of simplest
expression for linguistic concepts, he stated: "L'expression simple sera
Finally, in 1911,
when working on
his
"On
dmontrer."
Attacking, since the 1870s, the crucial questions of the relation between continuity and discreteness in language, Baudouin de Courtenay attempt-
ed to
of language some of the basic notions of conin his historical survey of linguistics,
it
become ever closer to the exact sciences. Upon the model of mathematics would, on the one hand, deploy "ever more quantitative operations" and, on the other, develop "new methods of deductive thought". In
particular "just as mathematics converts
sets
all the infinities to denumerable amenable to analytic thought", Baudouin expected somewhat similar
"from improved qualitative analysis". While Baudouin referred to the mathematical model for the analysis of language, at about the same time, before the 4th International Congress of Mathematicians in 1909, E. Borel discussed the antinomy of the deresults for linguistics
569
in
commun des millions d'hommes, et avec lequel ils s'entendent peu prs entre eux, nous est donn comme un fait, qui impliquerait un
s'il
fallait le crer
"mathematics
common
basis
alike.
must be of primary
for mathematicians
and
linguists
in
by the manifold
theory of
babilistic models.
J.
Hadamard, who
in
New York City, April 14-1 5 th' and sponsored by the American Mathematical Society, the Association for Symbolic Logic, and The Linguistic Society of America, appeared in the Proceedings of Symposia in Applied Mathematics, XII (1961).
LINGUISTICS
problems of our philologists". 1 There appear indeed striking coincidences and convergences between the latest stages of linguistic analysis and
the approach to language in the mathematical theory of communication.
is
concerned, although
in different
and
autonomous ways, with the same domain of verbal communication, a close contact between them has proved to be of mutual use and undoubtedly will become ever more beneficial.
in the case
2
of a
finite set
of discrete constitu-
ents, as presented
by written speech.
came
are aligned into simultaneous bundles termed "phonemes", which in turn are concatenated into sequences.
Thus form
in
is
The primary aim of information theory, as stated for instance by D. M. MacKay, is "to isolate from their particular contexts those abstract
features of representations
tion".
3
The
linguistic
which can remain invariant under reformulaanalogue to this problem is the phonemic search
The diverse possibilities for measurement of the amount of phonemic information which are foreseen by the communication engineers (distinguishing between "structural"
and "metrical"
Journal of the Acoustical Society of America, vol. 22 (1 950), p. 697. C. E. Shannon and W. Weaver, The Mathematical Theory of Communication (Urbana, The University of Illinois Press, 1949), pp. 74 ff., 112f.
3
(New York,
Josiah
Macy
Jr.
LINGUISTICS
571
historical
information content)
linguistics precious
may
and to
level.
The dichotomous
and has
found corroboration
manteau,
engineers.
bits)
minimum number
basis of the
daa
perfectly applicable to
As soon as "the way of recognizing universale through their invariants" had been attempted
the role of distinctive features in verbal communication.
and an
proposed by
linguists "into
was raised
in
Ungeheuer
offering a
binary patterning. 6
The notion of "redundancy", taken over by communication theory from the rhetorical branch of linguistics, acquired an important place in
the development of this theory, has been challengingly redefined as "one
minus the
relative entropy",
and under
its
this
new
crucial topics.
The
is
necessity of a
now realized
in
communication as well as in linguistics, where the concept of redundancy encompasses on the one hand pleonastic means as opthe theory of
posed to
rhetoric)
sis.
nomenclature of
On
problems as redundan-
and conditional
probabilities in
communication theory
Communication Theory, ed. by W. Jackson (New York, Academic Press, 1953), p. 2. Communication Theory (Massachusetts Institute of Technology, Cambridge, Mass., 1951), p. 82.
Lectures on
6
572
tic classes
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
features.
A
The
phonemic
analysis,
when
tics that
some theoreticians unconversant with linguis"there remain no good reasons for the distinction between disis
tinctive
patently contradicted by
innumerable
between advanced vowels and their retracted counterparts is always accompanied by the difference between preceding consonants, which are
palatalized before the advanced vowels
if
not confined to a
in
Russian
retracted
Distinctiveness
and
and delimited
treating
in language.
The
and
it
prejudice
the
and
treatment of
their biased
transitional probabilities,
which helps
linguists to
overcome
attitude
distinctive
features as irrelevant
and
in
relevant respectively.
Preconceived
possiblitities,
according to
MacKay,
"is the
key phrase
linguistics.
In role
of selective operations
in verbal activities.
system" of prefabricated
possibilities
and provided for" 8 implies a code, conceived by communication theory as "an agreed transformation - usually one-to-one and reversible" 9 - by which one set of informational units is converted into another set, for
7
LINGUISTICS
573
its
phonemic sequence and vice versa. signatum and the signatum with its
communication theory, the Saussurian dichotomy langue/parole can be restated much more precisely and acquires a new operational value.
Conversely, in
modern
its
linguistics
find illulin-
stratified structure
of the intricate
code in
various aspects.
linguistic
is
still
and phonological
constituents,
and phonological
cation
rules of combination.
Only
this
may
On
opportune to
not con-
fined to
and the
combination
In his
program
Peirce stated:
"A
Legisign
is
a law that
is
This law
is
usually
established by men.
a legisign."
10
Verbal
linguistic
common
makes
between
code
is
their
communication
Here
sciences,
and
has been
distinctly
and repeatedly
by
its
especially
cation between the theory of communication and of information. Nevertheless, this delimitation, strange as
linguists.
it
seems,
is
sometimes disregarded by
as Colin Cherry wisely
"The
stimuli received
from Nature,"
stresses, "are
build our personal models." 11 While the physicist creates his theoretical
construct, imposing his
10
own
hypothetical system of
p. 142f.
11
Op.
cit.,
p. 62. Cf.
W.
574
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
the extracted indices, the linguist only recodes, translates into symbols of
The
literally
Both for
the receiver
and
M. Fano
The
set
features
is
actually
made
is
by the addressee of the message, insofar as the need for their recognition
level,
may
practice
some of the
its
features, or
even
some of
set
their bundles
and sequences.
is
But
ellipsis, too, is
governed by
codified rules.
Language
never monolithic;
subcodes and their comparison as to the amount of information requires both a linguistic and an engineering examination. The convertible code
of language, with
all
all its
fluctuations
from subcode
to
is
to
communication theory.
language,
involving
An
insight
into
the
dynamic synchrony of
must replace the
the
space-time
coordinates,
The
linguistic observer
is
who
is
possesses or acquires a
command
of the
language he
observing
among
right
the
members of
the
member of
that
"some
onto the scene" and when holding with Cherry that "the participantobserver's description will be the
more complete". 13 The antipode to most detached and external onlooker, acts as a
who is
12
The Transmission of Information (Massachusetts Institute of Technology, Research Laboratory of Electronics, Technical Report No. 65) (1949), p. 3f. 13 For Roman Jakobson (The Hague, Mouton & Co., 1956), p. 61f.
LINGUISTICS
575
He
As
internal
must be merely a preliminary stage toward an approach to the language studied, when the observer becomes adjusted to the native speakers and decodes messages in their motherits
code.
As long
capacities
as the investigator
has access to nothing but signans he willy-nilly has to strain his detective
and obtain any possible information about the structure of this language from the external evidence. The present state of Etruscology is a good example of such a technique. But if the linguist is familiar with
the code and has mastered the conventional transformations by which a
set
of signantia
is
it
becomes super-
fluous for
him
mock
:
scrutiny.
in
must be
be exactly
identified.
First, as
collect
depends upon
if
Furthermore,
the observer
communication system, language presents two considerably different aspects when seen from the two ends of the communication channel. Roughly, the encoding process goes from meaning to sound and from the
lexicogrammatical to the phonological
displays the opposite direction
to symbols.
level,
While a
set
- from sound to meaning and from features {Einstellung) toward immediate constituents
a stochastic process.
The
homonymy
does not
exist.
is
When
saying /sAn/,
Cf. R.
&
15 16
& Sons,
958), p. 30.
Basic Books, 1956), p. 54. 17 See International Journal of Slavic Linguistics and Poetics, vol. 1/2 (1959), p. 286f.
576
TOWARD
many
property foi
the output.
No
doubt there
These two
distinct aspects of
both are equally essential and must be regarded as complementary in Niels Bohr's sense of this word. The relative autonomy of the input
pattern
is
documented by the widespread temporal priority of a passive and adults. L. Scerba's request
and elaboration of two grammars - "active" and
is
equally
important for linguistic theory, for language teaching, and for applied
linguistics.
When
made between the output and grammar discussing general output an example,
promises frequently
encoder. At present, linguistics
tions
is
operations without
MacKay warns
messages and the extraction of information from the physical world, both
abusively unified under the label "communication"; this
word has
for
him an
sion". 19 There
human
inter-com-
Attempts to construct a
make
18
See
I.
Gos. Ped.
19
Revzin, Tezisy konferencii po mainnomu perevodu (Moscow, Pervyj Moskov. Inst. Inostrannyx Jazykov, 1958), pp. 23-25.
(New York,
1952), p. 221.
LINGUISTICS
577
phenomenon known in communication theory under and into the theoretically and pedagogically
it.
and communication theory for a certain any concern with meaning as a kind of
semantic noise and to exclude semantics from the study of verbal messa-
At present, however, linguists display a tendency to reintroduce meaning while utilizing the very instructive experience of this temporary ostracism. Also in communication theory a similar trend may be observed.
ges.
According to Weaver, the analysis of communication "has so penetratingly cleared the air that one
is
first
time, ready
handng "one of the most significant but difficult aspects of meaning, namely the influence of context". 21 Linguists are gradually finding the way of tackling meaning and in particular the relation between general and contextual meaning as an intrinsic linguistic topic, distinctly separate from the ontological
for a real theory of meaning",
and
problems of reference.
Communication
information,
phonemic
may approach
amount of gramis
matical information, since the system of grammatical, particularly morphological categories, like the system of distincitive features,
ostensibly
based on a scale of binary oppositions. Thus, for instance, 9 binary choices underlie over 100 simple
English verb which appear, for example, in combination with the pronoun
7.
22
and noun of various languages the relation between the morphological and syntactic information in English has to be compared with the equivalent relation in other languages, and all
English
noun or on
the verb
20
21
See particularly E. Haugen, Nordisk Shannon and Weaver, op. cit., p. 1 16.
Cf.
Books, 1956).
22
1.
determined,
6. contingent, 7. potential, 8. assertorial, 9. passive. Cf. R. Jakobson, American Anthropologist, vol. 61, no. 5, Part 2 (1959), pp. 139-141 [above, pp. 489ff.]; W. F. Twaddell, The English Verb Auxiliaries (Providence, Brown University Press,
1960).
578
linguistic
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
universals.
is
(statistics
amount
occurrences of the various grammatical forms within a corpus of messages. Any attempt to ignore this duality and to confine linguistic analysis
to the
The
in its use
The semiotic
intra-
definition of a symbol's
meaning
as
its
translation into
of
and
interlingual translation,
and
this
which
is
invariant under
all
briefly, as
When
we must
of language.
There
is,
however, a substantial
and deviation.
We
which are subcodes of an overall code, and within such a subcode there
is
to an abstract
nothing deviant in Marvell's figurative assignment of a concrete epithet noun (properly a hypallage) - "a green Thought in a
animate noun into the feminine class - "the morning opes her golden gates" - or in the mtonymie use of "sorrow" instead of "sorrowful
while", which Putnam's paper excerpts
I
grief
ago
saw him
agrammatical construc-
(New York,
1951), p. 157.
Mouton
&
Co., 1957).
Language (New York, Henry Holt & Co., 1933), p. 149. Proceedings of Symposia in Applied Mathematics, XII (1961).
LINGUISTICS
579
ingful sentence can be submitted to a truth test, exactly in the as the statement, "Peter
is
same way
Peter
is
ellipsis
structures; they,
style
to
which they belong, are merely lawful derivations from the kernel
explicit
standard.
Once
is
again,
this
"code
which
clarifies
why
the standard
more by
linguists
than by the
less
To sum up, there exists a wide range of questions calling for cooperation we are discussing. The
steps in that direction were actually lucky.
until recently,
May
I finish
by quoting
between
on
the other.
internationally
echoed achievements to the fact that some forty years ago such students
as B.
fully
skill-
statistical investigation
of verse
these
on a
I
scientific basis.
am
in
and
analysis,
and
to
many
Let us anti-
Symposium on Structure of Language and Its Mathematical Aspects, York, 15 of April, 1960, and published in Proceedings of Symposia in Applied Mathematics, XJJ (1961).
Presented in the
New
Cf. Tomaevskij, stixe (Leningrad, 1929); R. Jakobson, O eskom stixe (Berlin-Moscow, 1923), and "Linguistics and poetics", Style in Language (New York, The Technology Press of Massachusetts Institute of Technology, 1960). 29 I should like to dedicate this paper to the memory of the engineer O. A. Jakobson.
28
No
doubt the
linguists
who
has
and the
humanities, but
it
Hermann Helmholtz
grammar
is
a position to supply".
This great
German
scientist
of
the last century was aghast to find evidence of a "certain indolence and
vagueness of thought"
in
his
laws.
The grammatical
rules, in
deduction from a
strictly
universal
law."
According to Helmholtz,
recognized
the best remedy for these defects "is to be found in mathematics, where
there
is
is
own intelligence". Our century has witnessed the gradual stages of a spectacular rapprochelinguistic
ment between
been applied
was
finally
expanded to
Memorandum
it
prepared by
diversity, all
J.
Jenkins - "amidst
languages are, as
same
pattern".
We
we
are
happy
to recognize that
number of appearance
in the bibliography.
581
This outlook
is
any typological comparison of languages which was current among American linguists during the 1940's and mutatis mutandis corresponded
ban on comparative historical by the then dictatorial Marrist dogma. The tension between two polar trends - parochial particularism and all-embracing solidarity - which Saussure observed in language, (15,
to the simultaneous Soviet Russian
studies
205 ff.)
is
true
for
linguistics
as well:
"individual-language-oriented
definitions"
and concentration on
a search for
grammar
as there are
languages; whereas in the 13th century, grammatica universalis was considered indispensable to give
grammar
est
a scientific status.
Roger Bacon
in
eadem
secundum substantiam
omnibus
have
methodological prerequisites
for constructing
The
strictly relational,
invariants under study has been repeatedly pointed out in the course of
fail.
There
is
an inventory
of simple relations
common
Such
relations
in those types
compact/diffuse (universally displayed in vocalism, and for most languages also in consonantism), grave/acute (universally displayed in consonan-
To
among grammatical
classes of
'existents'
universals,
we may
cite
and
'occurrents' respectively,
p.
This difference
is
and predicate.
class,
pronouns
(or in Charles Peirce's terms, 'indexical symbols' (10, p. 275 ff.) ; the cate-
582
TOWARD A NOMOTHETIC
its
SCIENCE OF LANGUAGE
and personal forms, which in turn include an opposition of addressee ('second person') and addresser ('first person'): the two numbers and the three persons are universally displayed by pronouns, as J. H. Greenberg
observes.
Another and much richer inventory of universals consists of implicational rules which state a compulsory connection between two different
relational properties of language.
Thus
in
restricted
and deterrules.
For
A compact
nasal consonant
(/ji/
(/n/)
(/m/).
/n/) implies
vs. /k/).
The acute grave opposition of compact an identical opposition of comAny further tonality opposition of nasal
and any opposition of nasal vowels implies a corresponding opposition of oral vowels (cf. Ch. A. Ferguson's "Assumptions about Nasals").
phonemic
of further
The more complex a phonemic entity, the less susceptible it fissions. The important role assigned by the late Viggo
in the
grammatical structure of
105 ff.)
is
491
ff.).
the
in the diffuse/
why
among
5).
On
acute and compact/diffuse, the former takes primary place in the phone-
mic
stratification
diffuse opposition
shown above
in
its
(cf.
tinctions present in
583
the relational
The grounds
structure of the
for
lie in
in languages without
the opposition of stops and corresponding continuants, the obstruents are always implemented exclusively or primarily as stops, because
precisely the stops
it is
which stand
in
maximum
contrast to vowels.
When
we
to the
same isomorphic
and thus
terns
phonemic patmainin
and
The tenacious
belief that
phonemics than
grammar
Dutch
The
"logical operations"
which H.
J.
do indeed give the purely formal bases for a and universals. Sol Saporta's
from references
terms",
is
to nasals, as a "class of
phenomena
defined in substance
presupposes that
possessing one
we
identify
phonemes
common
phonemes
sensuous data.
The
i.e.,
distinction of
phonemic
by
definition,
phoneme, from those "universally present by empirical observation", like the syllable, makes no sense whatever. Saporta affirms that "in a language in which all syllables are
universally necessary", like the
exactly one
phoneme
and phoneme
Saporta's assumption
is
as aimless
some imaginary language where all phoneme contained but one feature. The hierarchy of universal linguistic units, from the utterance to the distinctive feature, must be a formal definition applicable to world-wide verbal experience.
We are faced with the question of general laws which govern the relations
between
linguistic units differing in their rank.
com-
584
TOWARD A NOMOTHETIC
word
SCIENCE OF
LANGUAGE
higher
J.
is
According to
Krmsk
is
the lower
Should
this
toward a universally constant frequency in the corpus. On the grammatical level, J. H. Greenberg's list of 45 implicational universals is an impressive achievement. Even if advancing research
universals
sum
pensable preliminaries to a
new
reminders about numerous as yet unexplored languages are hardly convincing. First, the number of languages analyzed or available to
analysis
is
if
there
may
possibly occur
in-
of the inquiry.
Statistical uniformities
less significant
of one.
We may
methods there
will
be discovered many
new grammatical
new
near-universals.
We
fre-
dominance
is
is
For example, of the six mathematically possible relative orders of nominal subject, verb, and nominal object - SVO, SOV, VSO, VOS, OSV, and OVS - all six occur in Russian: The sentence, "Lenin cites Marx", can be
SVO (Lenin citiruet Marksa), SOV (Lenin Marksa citiruet), VSO (Citiruet Lenin Marksa), VOS (Citiruet Marksa Lenin), OVS (Marksa Lenin citiruet), and finally OVS (Marksa citiruet Lenin); yet only the order SVO is stylistically neutral, while all the "recessive alternatives"
rendered as
are experienced by native speakers
phasis.
and listeners as diverse shifts of emword order initially used by Russian children; and in a sentence like Mama ljubit papu 'Mama loves papa', if the order of Sand Ois inverted - Papu ljubit mama, small children are prone to misinterpret it: 'Papa loves mama', as if one had said, Papa ljubit mamu.
SVO
is
the only
Correspondingly, Greenberg's
first
585
precedes the object. If in a language like Russian the nominal subject and
object are not distinguished by morphological means, the relative order
SO
is
compulsory -
Ma
ljubit
do\
of the nouns would mean, 'The daughter loves the mother'. In languages
SO
The cardinal task of deducing empirical universals "from as small a number of general principles as possible" - already achievable by and
phonemics - has been courageously approached by Greenberg on the grammatical level with more than promising conclusions. Partilarge in cularly fruitful are his remarks
terminology
(I.e.),
on what we would call, in Charles Peirce's word order: "The order of ele-
ments
in
knowledge." The
reflect
position of a
unemphatic speech can time but also priority in rank (the sequence
in
is
word
far
the
may
reflect
Marks
ruetsja
cituruetsja
alternatives
citiruet Marksa 'Lenin cites Marx' and Leninm 'Marx is cited by Lenin' (with the recessive Marks Leninm citiruetsja, Citiruetsja Marks Leninm, Citi-
citiruetsja
first
Leninm Marks, Leninm Marks citiruetsja, and Leninm Marks - each variety with its own stylistic shade), only the
is
may be
left out.
The
nearly universal
not by chance
particular
grammar "with
a zero
affix
unmarked
category.
is no language in which the plural does not have some non-zero allomorphs, whereas there are languages in which the singular is expressed only by zero. The dual and trial never have zero
among
its
intransitive verb")
is
treated
586
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
numbers.
Briefly,
language lends
on the one hand, and regular pairs of zero/non-zero compound grammatical forms) on the other hand.
affixes (or
of simple/
yield
some useful
one may
expect the order of children's acquisitions and of aphasie losses to throw new light on the stratification of morphological and syntactic systems.
As we have already observed, the unaccountable fear of a slip into may hamper the phonemic typology of languages
in
fiat
One must
it
would
languages of differing
criteria".
its
Morphological and
groundwork deal
It
is
pri-
ob-
no conceptual opposition without a neither on the intralingual nor on distinction, formal but corresponding the interlingual level is this distinction supposed to use one and the same
is
grammar
"grammatical process".
plural
is
Thus
in
boys;
man
only and another only by vowel alternation, nonetheless the basic distinction of
to be
common
to both
languages.
grammar Greenberg
One must
fully
approve
we had only a
universals",
for a conference
on phonological
and, again, that isolated truisms about the universal semantic properties
much
to go on".
realistic
approach to
this
587
however,
generalizations.
is
the consistent
(or, in
7),
Fortunatov's
terms, the formal and the real meanings: see (11, Ch.
which, despite
and confuses
to be nonplussed
and does
it
The
great mathematician A.
an expert also in the science of language, has judiciously defined grammatical cases as those classes of nouns which express "wholly equivalent
states" in regard to their referent (absoljutno kvivalentnye sostojanija
We
and
treat these
componential
i.e.,
properties just as
we do
distinctive features in
phonemics:
we
define
as
variants dependent on
(styles
different
contexts or
it
on
different
subcodes
would be a sheer misunderstanding to imagine that these occasional redundancies might invalidate to any extent the search for the general
meanings of grammatical
'to'
cases.
It is
implies the dative case subsequent, but the Russian dative does not
meaning when preceded by the adjective peklevannyj 'wholemeal', although xleb is the only noun one can expect after this
In a sequence of two English obstruents,
if
attribute.
the
first is
voiceless
In this instance,
588
TOWARD A NOMOTHETIC
SCIENCE OF
LANGUAGE
however, the apparent analogy between the grammatical and phonemic sequences is misleading. Redundancy does deprive the phonemic feature
of
its
it
their
proper
sense.
Naive attempts to deal with variations without attacking the problem of invariants are condemned to failure. Such ventures change the case
system from a hierarchic structure to a summative aggregate and hide the implicational universals which actually form the pivot of the
declensional pattern.
An
does not affect the equivalence of invariant oppositions. Though the genitive of negation exists in Polish and Gothic but not in Czech or
Ancient Greek, the genitive does act as a quantifier
languages.
in all
four of these
At present "there
system
in their
is
own
right".
universals
based on "semantic criteria" eloquently proves the failure of the traditional belief cited by Weinreich, that "the semantic mapping of the universe
by a language is, in principle, arbitrary". The most profitable part of Weinreich's paper "On Semantic Universals" is his effort to answer the question. "What generalizations can be
turing
made about any vocabulary as a structured set, imperfect as the strucmay be?" The thoughts on language by Weinreich's six-year-old
and
realistic
supplement to
his
argumenta-
"The standard works on semantics," Weinreich states, "are on the whole preoccupied with the one semiotic process of naming." His daughter, surprised to learn that there are thousands and thousands of
words
in a language, surmises that
high number of
is not so overpowering, since they go by pairs (of antonyms), and down, man and woman. Water, the little Shifra reasons, must be countered with dry, and to buy with to make oneself (since she is accustomed to buying but not to selling, there is no word alternation
buy
sell in
her thought).
The
its
two important
properties of vocabulary:
status of diverse
character of the
The study of
if it
lexical patterning
would be
easier
began not as usual with nouns but with more closely circumscribed
589
Then the bonds between semantic subclasses and their different syntactic treatment would prove particularly revealing. Thus the research started by Professor Gerta Worth (UCLA) within the frame of our Harvard teamwork (Description and Analysis of Contemporary
word
classes.
all
may
or cannot be
combined with
a given case or with an infinitive results in a set of verbal classes, substantiated both formally
and semantically.
is
still
For instance,
can
class of
nouns designating an
extent of time
syntactically
grounded by the
be used
'was
ill
in the accusative
for a week')
An
intralingual
problems of
lexicology and
grammar
We
this
common
when
the
it is
and univer-
sal cannot be removed from the agenda, and since without continuous
collective effort this research
may
propose at
least
We
and prosodie - their types of concurrence and concatenation grammatical concepts and the principles of their expression. The primary and more easily accomplishstructural properties: distinctive features, inherent
;
phonemic
an international
suspended at the
by the remarkable community of Oslo linguists, but were German invasion. Today our linguistic section of the
like to
inaugurate
would require the wide cooperation of the Social Science Research Council and of its Committee on Linguistics and Psychology. Linguists of different centers in this country and abroad are to be enlisted in the work of our team. The number of languages and dialects whose phonemic make-up is
work on
this atlas,
but to realize
this project
is
fairly high,
but -
let
us admit - at the
590
TOWARD A NOMOTHETIC
SCIENCE OF
LANGUAGE
beginning there will be controversial questions, and some blanks will remain on our maps. Nevertheless, the existence of unexplored areas
can never be used as an argument against mapping. The isophones obtained, even if they should be only approximate, will be immensely useful
and anthropology. Matched with one another these isoglosno doubt, reveal new implicational rules and present the phonemic typology of languages in its geographical aspect. The phonemic affinities of contiguous languages due to the wide diffusion of phonemic
to linguistics
ses will,
Work on phonemic
ofthat vast
inter-
and grammatical
atlases of the
is
world
by our conference.
To conclude:
We
all
linguistics
is
bare study of variegated languages and language families, through systematic typological research and gradual integration, to become
a thoroughly universal science of language.
For centuries
this field
- from the medieval treatises on grammatica speculative], through John Amos Comenius' Glottologia (9) and the rationalist essays of the 17th and 18th centuries, to Husserl's (4) and Marty's (8) phenomenological meditations, and finally to the modern works in symbolic logic have ventured to lay the foundations for a universal grammar.
When
questioned by
my
examiner
I
at
Moscow
possibility of a universal
grammar,
my own
replied by advancing
equipped as they
own and
they should revise and correct the extant theoretical constructions; but
abundant
philosophical hints of the past and of the present with the dubious
now and
realities.
is
hardly warrantable.
and syncategorematic
grammar even
some of
its
untenable".
591
grammar may be an
effective auxiliary in
measure against uneconomical, superfluous rediscoveries and against the dangerous fallacies with which the so-called creeping empiricism
is
various
when
The
particular
and inner
its
side of
any verbal
Lin-
becoming aware of
strives to deits
intimate
affinities
problem of the
is
The
psychologists in the Conference on Language Universals indicates that the present-day linguist
is
about to
reject the
the editors of Saussure's Cours added in italics: "The true and unique
object of linguistics
is
language studied
in
and for
itself" (15; 2)
itself"
Do we
and simul-
M. Hoenigswald and
The quest
organically linked
linguistics.
at the Conference on Language Universals, Dobbs Ferry, N.Y., April 1961, and published in its Report (1963) jointly with the other papers of the same conference which are cited above.
Concluding Remarks
592
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
REFERENCES
1.
2.
Gode.
Brondal, V., (1943). Essais de linguistique gnrale. Copenhagen. R., (1957). Les sources manuscrites du Cours de linguistique gnrale de
3.
4.
5.
Genve. Helmholtz, H., (1900). Popular Lectures on Scientific Subjects. New York. Husserl, E., (1913 2 ). Logische Untersuchungen, II. Halle a. S. Issatschenko, A., (1937). "A propos des voyelles nasales," Bulletin de la Socit
F. de Saussure.
6.
7.
de Linguistique de Paris. 113. 267ff. Jakobson, R., (1962). Selected Writings, I. The Hague. Krmsk, J., (1946-1948). "Fonologick vyuit samohlskovch fonmat,"
Linguistica Slovaca. 4-5. 39ff.
8.
9.
A.
Komensk,"
Philologica
10.
Peirce,
Ch.
S., (1932).
Collected Papers.
IL Cambridge, Mass.
11. 12.
Porzeziski, W., (1913 8 ). Vvedenie v jazykovedenie. Moscow. Pos, H. J., (1939). "Perspectives du structuralisme," Travaux du Cercle Linguistique de Prague, VIII. 7 Iff.
Sapir, E., (1930). Sapir, E., (1949).
Totality
13. 14.
6).
15.
Course
General Linguistics.
New
York.
5.
16.
"K
opredeleniju padea po A. N.
17.
Louvain.
numerous students gathered here I am one of the few who have taken part in most of the previous linguistic Congresses, beginning with the inaugural assembly of 1928, which only eleven members of the present Congress attended. Hence a comparison of the latest Congress with the earlier ones and especially with the Hague prologue inevitably suggests itself. Of course I have no intention of grading the Congresses that would be like the bias lampooned in the recent comedy of the Polish philosopher Koakowski any successor is better than the predecessor, but the predecessor too was all right! I shall merely try to elicit using my favorite label - the distinctive features of the Congresses com-
Among
the
pared.
The
famous Dutch
its
initiators
Congress, although originally the plenary meetings were intended to deal with practical problems.
in
Indo-European
field.
And
general linguistics,
seven
Against the forty papers delivered in the Hague, The Ninth Congress
schedules 158 reports and communications, two-thirds of which discussed
While over 90 % of the Hague papers treated questions of diachrony, at the present Congress only about one quarter of the speakers dealt with this field. The few data quoted
problems of general
linguistics.
shift in the
May
First
scant
594
exceptions,
teristic
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
It is
was a gathering of West European scholars only. indeed that such outstanding American and Russian
charac-
linguists as
erba
Members
appear
in
The Hague.
no
in
annoying mishaps
in the input
and output of
scientists, or, to
put
it
Thus,
on the one hand, our Congress has been deprived of such prominent PL, who was world scholars as Wolfgang Steinitz, member of the
I
unable to land in
requests
this country,
all
the
and
efforts
tatives of the
"...
was
seems to
me
and oppressive bureaucratism, the cross-world "red tape": Noli lngere circules meos. give only one dignified, Archimedian retort to blind
I
Gaps
in
my
these days I have often recalled the satiric lines of the Russian poet
in
two meetings
at
To
performance.
As
thesis
summary, may
se
from one of the plenary reports: "Le sens d'une unit linguistique dfinit comme sa capacit d'intgrer une unit de niveau suprieur."
The concept of integration is one of the focal concepts in present-day science and life. The conflict of two polar ideologies - Integration and
Segregation - has been thoroughly discussed in Chatterji's socio-linguistic
paper.
itself,
one may
state
If
we
in 1948, at the time of the Paris Congress, the latter period can be charac-
a segregation especially
life
of the
USA
I
and the
USSR.
should like
595
memory
made
in the closing
:
and isolationism
linguistics
now we
but,
prehension,
In
both
or
cities
preceptors are losing their exclusiveness and forgetting their recent dissensions.
hardly a
vital part in
The
paralleled
by a similar process
in time.
Yesterday
linguistics,
to a synthesis be-
tween the immediate and the remote past. This rehabilitation of the latter,
must not be mistaken for an The ancestors would descendants, even though the latter claim that
at this Congress,
The
integration in time
means a
of Linguistic Studies".
It
modern
still
Congress was said to be "un acte d'mancipation", at autonomy of linguistics is definitely ensured, and the question of bridges linking this autonomous area to other sciences can and must be advanced - a question of cooperation without any capitulation. The contact gradually growing closer between linguistics and logic found its clear-cut expression this week in two portentous papers - Saumjan's and Chomsky's - each entitled "The Logical Basis of Linguistic Theory", and today we have faced the crucial question, "whether or where one can draw a natural bond between grammar and 'logical grammar' in the sense of Wittgenstein and the Oxford philosophers". It is gratifying that the
If the First
present the
596
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
in a
Congress
and prospects
and foremost
were
to as an aid
its
statistical aspect,
Quantification was
recommended
and
in general as a useful,
mathematics and
in the science
"glottochronology", and
and morphological
We
we must
in
turn give
is
prone to
reject
even such
linguistic analysis
dancy and
utilizing
in
Kenneth
Pike's communication.
in
problems.
is
even disregarded,
science.
It is
when
Chao
said,
same time essentially different pattern, namely, machine translation. Whatever the practical outlook of this novel, worldwide experimentation,
the emergence of machines as agents in verbal output and input, hitherto
exclusively interhuman operations, has yielded rich information about
coding and recoding processes and about the make-up of the verbal code.
It is
as
one of the
on
this subject
full
597
we missed was
One can
only share
Hammerich's confidence that the technical experiments with language, speech, and writing which have been displayed during the Congress and
which are sometimes scorned today as mere circus
be of theoretical and practical usefulness.
tricks, will
prove to
When
nobody
believed
it
it
long time
and music
halls.
life,
toward finding an
he and his American opponents have matured and changed, and there
is
prospect of a
in perfect
common
parlance.
is
drift
this Congress.
or esthetic theory of language can and must be integrated with the structural
we observe
our meetings
how
strongly linguists today are absorbed precisely with the structure of all
these "peripheral"
just a
phonology with particular reference to the manifold function of communication", "emphasis as a grammatical category", "the emotion in a sentence", sound-symbolism,
ative
pitch, the non-intellectual "spheres of
"the development of
grammar
in child language".
where
it
was
stated,
is
"A
theory of
of language
of only marginal
This suddenly
spreading emphasis on creativity finds another, even more radical expression in the report on translation, where the attempted creation of an
artificial,
now we
linguists
dared only
chief
now
HT
(human
598
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
thorough integration of linguistic studies requires an earnest concern with the diverse functions of language. For the first time a special section
of a linguistic congress has dealt with stylistics and poetics: the study of poetry has been conceived as inseparable from linguistics and as its
pertinent task.
in
poetics
is
the eloquent fact that even on the stairs of the large Kresge
left
"The description of a poem" has become an appropriate and honorYeats. Tennyson, and Moses
ibn Ezra were analyzed and talked over (by de Groot, Halliday, Schramm),
and, according to the spirited conclusion of Benveniste, henceforth any
periodicals or societies of linguistics should carry the supplementary
that diversity
among and
within languages
can and must "be studied along three synchronic dimensions - geographical, social,
stylistic", in
borders, contacts,
in-
Several instruc-
promising development of
outlined by
Lvy-Bruhl
we approach
linguistics as just
one among
of communication
may
nomadic and
space and time have been confronted, and their explicative study "beside
a purely descriptive one" has been demanded. In addition to his sound
now
one
will
variations
far
from being
apprehended
in recent treatises
on
historical
phonology.
research gave the
599
new
and
types.
was convincingly
The
and Indo-European
urgently requires,
Grundriss and a
new etymological
up
"On
the
Methods of
Internal
us a fascinating
These
may
on the
levels
of linguistic
syntagmatic
first
past.
one and no
less
important,
be distinctly hierarchical
and
it is
not
unmarked opposites
been exhibited as an
ment.
in language again
in the course
The
is
panchronic foundations of
That
means a
limit
definitive rejection of
antiscientific
well, simply such paradoxical, defeatist - slogans as "Languages can differ from each other without
and in unpredictable ways". Such an alleged want of predictability would have meant inevitably the ruin of linguistic science. The bankruptses
600
TOWARD A NOMOTHETIC
SCIENCE OF LANGUAGE
word
order (Greenberg) and intonation (Bolinger) were examined from this point of view.
Benveniste's report devoted to the levels of analysis and splendidly
coded
systme dc
distinctive feature - or
mcrism, as he
proposes to term this ultimate entity - to the highest, the sentence, which
at the
no longer coded
this
discourse.
some problems of
and
their
(Seiler).
verbal
phenomena transcending
the sentence and
its
the sentence
relationships between
context,
compare the two reports dealing with the fundamentals of language analysis, we remark that Chomsky's courageous lesson on "The Logical Basis of Linguistic Theory" starts with syntax and descends to the lower
levels,
If we
their constituents
from the
level.
about the
procedure,
The former
descendantes de Vanalyse,
is
pointed toward
upon
method,
autono-
mous
or
would be quite
arbitrary,
dare say, to
more adequate,
as Niels Bohrs to each other.
more
efficient
would
say,
stand in a
underlies, for instance, the development of morphophonemics, which, as several speakers have disclosed (e.g., Lehiste, Harms, Graur, and Rosen), occupies an ever more important place in the build-up of scientific grammar, both synchronic and diachronic.
On
Malmberg
brings
new
system
itself.
One cannot
questions
"as
syntactic description
falls increasingly
601
demand
Barbara M. H. Strang).
procedures
honest
if
It
use "of semantic categories, we are less than we dismiss these as mere 'heuristic guides' ". In the identification of morphemes, "the attempt to do without semantic criteria" has been
all
of us
make
besides.
Briefly
is
meaning
It is
indica-
no one
mechanin
distributionalism.
its
monopoly
no
way
denies the experimental value which this working hypothesis and tech-
nique have had for linguistic analysis, and the possibility of approaching
upon.
necessarily
accom-
and of onomastics
As soon
and
an
internal sides of the verbal sign were expressly raised, the corollary,
homonymy, was
evinced
by the assembly, and these questions promise to become one of the focal
topics of a future Congress.
The idea of semantic value furthered consense and nonsense, and the latter
:
sinn, etc.),
in linguistic analysis,
to speech recognition,
society,
far
and
and to the
our science
more how
now from
to Ferdinand de Saussure:
"La
linguistique a
pour unique
et vritable
pour elle-mme."
not only "for
No
doubt
itself", yet
itself",
but also
and molders, because language is a tool, and of a tool would be a contradiction in terms.
602
TOWARD A NOMOTHETIC
(or, in
SCIENCE OF LANGUAGE
relation between
and
is
integration).
The mode
in
tification
symptomatic
come
the hierarchy
o\'
levels
in
language, a
of abstraction
itself,
in linguistic analysis.
Each
unit
whole and
as a
confine himself to
Done of the
is
ranks
may be
omitted or expunged by
linguistic science.
precisely
the unrestricted scope of this multifarious science which has been patently
PHILOLOGICAL GLEANINGS
DIE
REIMWRTER ECH-LECH
Die hoffnungslos skeptische Stellungnahme A. Brckners zur Deutung des Volksnamens ech scheint uns unberechtigt bertrieben zu sein. 1 Das
bisherige etymologische
Suchen
bunten Meinungseine
Man
kann
im Appellativum ech
J. Hoek abund Sutnar wieder aufnahm, 6 erwiesen sich als leider unhaltbar; vollkommen unmglich vom lautgeschichtlichen und semantischen Standpunkt ist auch die von Brckner erwhnte Gleichung zwischen cech und
dem
russischen
() "Niesen".
Das Wort ech ist somit am ehesten als eine hypokoristische Bildung mit Suffix -ch zu werten. Es wird meistens an einen gekrzten Eigennamen gedacht: eslav, 8 estislav, 9 doch hat schon J. Hoek
richtig eingewendet, wir
Nach ihm
sei
cech eine
Krzung von
Mikkola den
J.
jzyka
Die Liste der betreffenden Erwgungen ist bei J. Sutnar in der Jagi-Festschrift Novotn, esk djiny, II (1908), 235f., bei Niederle, Slovansk staroitnosti, III (1919), 202f., und bei M. Noha in Morava (1925), 132f. zu finden.
(1908), 612, bei
3 4
und
..
I,
.
und
1910, 170 f.
5 e
7
(1891), 216.
61
f.
So schon Jungmann,
Slovnk,
268,
spter
Jagi
in AfslPh. (1887), 21
f.,
und
V. Flajhans,
9
10
N jazyk matesk (Prag, 1924), 56. Fr. A. Slavk in as. es. Mus. (1890), 570 ff. as. Mat. Mor. (1891), 216ff. Auch Noha (loc.
cit.)
606
PHILOLOGICAL GLEANINGS
der Tschechen aus
ist
Namen
genosse". 11 brigens
Der
:
= Der Vergleich der beiden bereinstimmenden Benennungen zweier westslavischen Nachbarvlker ist ein genehmes Prinzip. Auch Sobolevskij {loc. cit.)
:
eta gebildet im Sinne "Schar- oder Truppeneta dem mittelalterlichen Wortschatz der west-
(-) ".
"^
:
betont mit Recht, ohne allerdings diese These in der eigenen Praxis
als
gleichartig
gebildet
Namen
einen gleichen
Suffix, dieselben
Doppelformen des Wurzclvokalismus lechjlach und ech j each. Die Spielart each ist, wie schon Sobolevskij hervorgehoben hat. im Altrussischen
und ist in einigen alten Ortsnamen bekannt, wie cech. achbor, achovec, achov (neben echov), achovici (neben echovici), kroat achovici, altpoln. Czachw. 12 Mikkolas Gegenberstellung der beiden Wrter ist an sich richtig, doch ist die Proportion ungenau aufgebaut.
blich
annehmen, da lechjlach leNd- = ech/ach .v, so ist dieses x (der Ableitungsstamm) - eNd- und nicht et-. 19 Der doppelartigen Krzung le[ch] < leNd- und la[ch] < leN\d- entFalls wir
: :
spricht
gleichfalls aus
Auch
das eimi
"Tschechen"
berief, 1 6
Sutnar war der Lsung nahe, als er sich auf die Wrter
ech verkannt
lie
und
eine phantastische
Ur-
und
der
Erluterungen" 17
kann
parallel
zur
hypokoristischen
Bildung
11
.
12
..
IL
(1902), 273.
Wrterbuch,
I,
H (1915),
185.
Vgl.
W. Bogusawski,
Dzieje
Sowiaszczyzny pnocno-zachodniej,
II
(Pozna,
1889), 78 f.
13 14
Ich verwende hier N. Trubetzkoys Transkriptionsweise - eN anstatt des blichen . Vgl. die aus ert entlehnten neutschech. hypokoritischen Doppelformen ejchmant
und erjchmant.
16
16
Siehe Niederle, op. cit., 201. Loc. cit., 613 f. Der Versuch an sich wird unter
dem
in
inhaltlichen Gesichtspunkt
von Novotn mit vollem Recht zustimmend gewertet 17 So J. Pt in ZjF(1909), 296; vgl. auch P. Va
(op. cit.,
235 f.).
(1909), 310.
DIE
REIMWRTER ECH-LECH
607
koristikum
Form eNd- {eNdo, eNdb, eNdbskb) einfach als Vorbild des Hypoechjach festgesetzt werden. Falls eNdo zu -eNti gehrt,
(loc. cit.)
und Berneker 19 vermuten, so gibt unsere Etymologie der Auffassung von Dobrovsk, soweit sie cech mit -eNti in Verbindung brachte, 20 recht. Das altkirchenslavische fungierte als Kollektivum zu (Mensch); vgl. z.B. im Mhrisch-Pannonischen Leben des heiligen Methods u.a.; die Spuren dieses gemeinslavischen Gebrauches sind bes. im Altrussischen und Serbokroatischen deutlich. Auf Grund der Sprachdenkmler des Altrussischen und
Russisch-kirchenslavischen
Wort
()
fest:
stellt Sreznevskij folgende Bedeutungen des "Menschen, Volk, Mitgenossen, Gefolge"; auch
"menschlich"
ist
hier angezeigt. 21
Da gerade
er-
Selbstbenennungen
nrdlichen
"Menschen" bei den Giljaken. 22 Das urgerm. theudo- mit der Bedeutung "Volk" liegt bekanntlich im Grunde der ethnischen Selbstbenennung
deutsch.
eNdb
Volk" und das entsprechende Hypokoristikum cech im Sinne "tschechischer Mensch" gebraucht werden. Das Wort wre eine der tschechischen hypokoristischen Bildungen mit der Bedeutung einer Zusammengehrigkeit wie brach "Bruder", kmoch "Gevatter", tch-n
sches
zum
Koll.
"West-
die Adjektiva
eNdb "Knabe,
dem
18
19
Jngling"
(vgl. alttschech.
tschechischen
adsk
die
hbsch" inne und hnlicherweise dem slovenischen eden. Auch das von
Siehe Vergleichende slav. Grammatik, Op. cit., 154. Siehe z.B. as. Ces. Mus. (1827 2), 7 f.
I (1924), 144,
350, 600.
10
21
"
. -.
I (1937), 7, 54,
III,
1469 f.
608
PHILOLOGICAL GLEANINGS
Sutnar herangezogene slovenische eh, welches seiner Bildung nach vollkommen der tschechischen Volksbenennung entspricht, aber "einen
und
zum dem
tschech.
nicht
dem eNdo, eNdb entnommen und hypokoristische Abstammung der Form ech
doch
ist
aus eNd-.
Ob
Die Wrter echjach und lech/fach werden mit Vorliebe in den mittelalterlichen slavischen Denkmlern einander gegenbergestellt. So erscheinen
ech
und Lech
als
Brder
in
insuper
Bohemorum
recolo
faetam post diluvium, varia loca, de quibus duo fr at res Slav i successu t empor um pro possessionibus
cupientes hinc inde habitacula quesierunt,
appelati. 23
principm Poloniae aus dem XIV. Jhd. In cronicis me legisse quod post divisionem linguarum ut in Genesi legitur, disperse sunt omnes gentes per
quorum unus Czech,
alter
Lech
dem Anfang desselben Jhs. 24 Die lteste reimt: V tj zemi biee lech, jemuto jm biee ech. "verruchten dem ber den unter Jahre 1019 schreibt russische Chronik
Die sog. Dalimil-Chronik aus
,
1512:
Svjatopolk":
npo6t)Ke
; .
25
;
in
ist
vermeintlich aus
(XIV. Jhd.):
, . , ,; ,
hnliche
dem
XIII. Jhd.:
In den Bylinen:
(XVI. Jhd.):
u.a.
28
Dal"s
Wrterbuch vermerkt
sorbischer
Ausdruck
setzt die
To
su moje
echi
a Lechi "das
Man
23
von Anfang an
24
J.
Reimwrter
Monumenta Poloniae
V. Mourek, Kronika Dalimilova podle rukopisu Cambridgeskho (Prag, 1910), 5. Gebauer {Slovnk staroesk, II, 220) deutet hier lech als "Huptling", aber diese
ist
Bedeutung
HAN (19040,
15f.
Ces.
Mus. (1827 2 ),
6)
Mann
I
und (1906 2 ),
as.
DIE
REIMWRTER ECH-LECH
609
Heide, der
weise zuspitzte. H. Gntert zeigt in seiner Untersuchung ber Reimwortbildungen im Arischen und Altgriechischen, da "bedeutungsverwandte
Wrter infolge der Klangassoziation sich im Sprachleben nher treten und in Form und Bedeutung ausgleichen". 28 In unserem Falle handelt
es sich
um
reimenden Lautgestalt geeignet waren, diesen Kontrast zu einem terminologischen Gegensatz auszuprgen. So entstanden zwei gleichgebildete
Hypokoristika, die
eine,
als
solcher),
behauptete
vielleicht
urprnglich nur
als
Selbstbenennung,
das
andere,
und
Nachbarsbenennung.
Die beiden
ihren
Namen waren
gleichklingenden
Schlu,
(vgl. cech)
tschech.
ciach;
30
-,
War
-, -, -, -, -.
und das andere mit
einer Liquida (vgl. lech) anfangen: z.B.
pol. lap-cap, lupu-cupu,
31
rach-
historischen Landschaften?
Der
um
Jakbs
das beste und an Lebensmitteln reichste von allen nrdlichen Lndern bezeichnet. Die grere Nhe der tschechischen Welt zur
als
Entwicklung im Vergleich mit Polen. "Erst beinahe 150 Jahre nach dem mhrischen Staat und ungefhr 100 Jahre nach dem Staat der tschechischen Pemysliden erscheint in den sechziger Jahren des X. Jhs. der
K.
L.
J.
6.
R. Jakobson, G. Vinogradov,
610
PHILOLOGICAL GLEANINGS
(leNdbska zemj)
mu
in
(1938).
83
dneku,
III,
620.
of Smolensk, there
mounds from the ninth, Gnezdovo in the was found an amphora (Old Russian
kbragd) with an inscription cut into the baked clay. Guided by archeological indications, D. Avdusin and M. Tixomirov 1 have placed it in the first quarter of the tenth century and read goruxa, which they believe
Old Russian goruxa 'mustard'. P. Cernyx 2 has pointed out the palographie and especially the linguistic unsoundness of this reading and has proffered his own interpretation of the into be an inept rendering of the
scription
:
'mustard
(seeds)'.
Czech expert,
from the
archaic character of
its letters,
it
in such
an application, a
most improbable substitution for the expected perfect pbsab. All three interpretations, moreover, operate with an unlikely ligature of two letters: x and (Tixomirov), and n (ernyx), x and ps (Mare).
1 2
voprosu o gnezdovskoj nadpisi", Ivzestija Akademii Nauk SSSR, Otdelenie literatury i jazyka, 9, 1950, 398-401. A reproduction of the vessel with the inscription is appended. 8 "Dva objevy starch slovanskch npis", Slavia, 20, 1951, 497-514. The second specimen discussed by the author is the Bulgarian Cyrillic inscription of 943, uncovered
in 1950 in
"
Nauk SSSR,
Dobruja and
still
awaiting verification.
612
PHILOLOGICAL GLEANINGS
controversial sign between the clear beginning of the inscription
letter
The
go/7/
mark
letter
may
N.
letter
in the inscription
under discussion
to render /gorunja/,
from a man's name G or um, attested in early Slavic onomastics. 4 The substantive unambiguously referred to and therefore omitted is
adjective
discovered in Preslav,
lolin
on a Kiev
slate
in
The
literally
appellative
name
priest
Upirb Lixyi,
who
Cyrillic characters.
out the omission of the substantive) was scratched in the twelfth century
nesa
...
a kbraga
6
si
and
is
inclined to consider
it
on
p.
198); idem,
"emeslo",
istorii
Istorija
(Moscow,
ductions on p. 110).
Trudy Gos. Istorieskogo Muzeja 5] above cited book, p. 370f., is unconvincing. Cf. also his article: "Nadpis' kievskogo gonara XI veka", Kratkie soobenija Inst ituta material noj kultury, 12, 1946, 134-8. Other examples of Old Russian inscriptions on objects, confined to possessive adjectives: nevstobe [prjaslo] in Vygorod = whorl belonging to nevstbka 'daughter or sister-in-law'; juriina [bbbvb or 'Jurisce's barrel' in Novgorod, XII-XIII century: A. Arcixovskij, Novgorodskaja kspedicija, Kratkie soobenija..., XXVII, 113-22 (with reproductions). The inscription on a boot-tree of the XIII-XIV century, excavated in Novgorod (ibid.), is mne.i, probably mneni [sapozi] 'Mbnenb's boots'; cf. Old Czech Mnen occurring in the Necrologium of Podlaice, XIII century, and derived, as well as Mata, from 'minor': for the suffix -en- in Slavic personal names examples have been collected by Miklosich, p. 8. The inscription on the lid of a bucket excavated in Novgorod and assigned by Arcixovskij roughly to the twelfth century (see below, footnote 7) presents a Glagolitic followed by a Cyrillic n: the Glagolitic letter apparently stands for its spelling-name myslite or rather myslete, and the whole sequence intimates mysljatem, originally mysljatbnb or or okovb] 'Mysljata's
*
Oerki po
byta
(Moscow,
1929), 38.
Rybakov's reading of
[1
VERNACULAR
613
known
if its relegation
The Arabic
a ritual part
dirhem of 907-908 found with the amphora gives only the terminus a quo:
it is
is
ceremonial interment
letters to
is
the Eastern
possible, however,
amphora itself was imported pagan Russia from the Christianized areas of the Slavic South or West. Striking similarities were noted between pottery found in the Gnezdovo barrows and Czech ceramics. Yet then we are again confronted
with a controversial question: were the Czechs familiar not only with
the Glagolitic but also with the Cyrillic alphabet? 7
The
results
recent discoveries in
The existence of this form of writing has been no samples were ever found before the Novgorod discovery. Found along with the documents was a tool for writing on birch bark, a bone stick, curved, well polished, sharpened, with an aperture at the top for fastening it to a belt. The excavations of 1951 within the limits of an ancient Novgorod street - Xolop'ja ulica - uninner side of birch bark.
known
previously, but
covered twenty-five layers of log road, one on top of the other, the
earliest
of which harks back to the tenth, and the last to the sixteenth
century.
The documents,
separate layers and, to judge from the place where they were
embedded
indications,
to,
or are close
the fourteenth century. Three, one lying over the sixteenth layer from
it,
by Arcixovskij to date from the eleventh or twelfth century. Of these oldest documents only the first,
are supposed
now
(cf. vladybttb, gospodbm). Finally, in some inscriptions the name of the owner or giver appears as a mere signature: such is the name molodilo on a whorl, discovered by Gorodcov in Rjazan' (see Rybakov, emeslo ...; 198). 7 See E. Kleinova, "Velikij Gnezdovskij mogil'nik", Niederlv sbornk (Prague, Horlek, "Rajhradsk Martyrologium Adonis a otzka esk cyrilice", 1925), 316ff.
bucket'
"Novye otkrytija v Novgorode", Voprosy istorii, 1951, 12, 77-87 (with the tracings of five documents; text No. 9 is reproduced on p. 83). Another variant of his report "Arxeologieskie otkrytija v Novgorode", Vestnik Akademii Nauk SSSR, 21:12,
:
two documents,
in particular
No.
9).
614
PHILOLOGICAL GLEANINGS
+
to
co*
gostty
vasilb(e)vi jee
mi
otbcb
dah
rod Sbdali a
za nimb a
nyn
izbivb
ruky pustilb e
is
ne vbdastb nibtoe
dobr sbtvore
Arcixovskij
The commentaries
less satisfactory.
to this letter.
published in the
F.
new Moscow
linguistic review
by V. Borkovskij 9 and
Kuz'min
10
are, unfortunately,
even
misunderstanding:
From Gostjata to Basil. What my father has given me and (what my) kinsfolk have added, is to his credit. Now, however, since he has taken a new wife, to me he will afford nothing. Having badly beaten me, he has got me off his hand(s), while he married another. Journey (here) if you would do well.
The male name Gostjata (Common
and
Poles.
Slavic */gostta/)
is
amply docu-
woman
(!)
"belonging
(!)
The accusative novuju enu and inuju refer, obviously, to one and the same woman, so that the accusation of bigamy raised by Arcixovskij
against Gostjata's father
is
struggle of a Gostjata,
who
is
all
three
commentators are to be rejected as making no sense: Arcixovskij, izbivb ruky, pustilb e 'having badly beaten my hands (although,
actually, this
me
forced
me
to
would mean the hands of more than one person) he let 'has badly beaten me and vz> ruky pustilb e submit' (although, actually, this would mean '...left me in
the hands of
9
person...');
Kuz'min,
1952,
10
"Dragocennye pamjatniki drevnerusskoj pis'mennosti", Voprosy jazykoznanija, No. 3, 131-136. "Novgorodskaja berestjanaja gramota No. 9", ibid., 137-140.
VERNACULAR
615
away the matrimonial hand-clasp agreement and divorced this would mean 'he has badly beaten into the hands of more than one person and let me go'). Certainly, the aorist was in Old Russian a living form with a specific, clear-cut grammatical meaning, but this very meaning of the historical
'tore
makes the aorist almost unsuitable for the language of the letter discussed.
Despite Borkovskij, ne vbdastb
is
The present
nor
is it
Borkovskij 's assertions, does not have here "the meaning of a past tense",
the oldest instance of such a
form
in the
language of documents.
As a matter of fact, this form, in our text, refers to the future, as in the treaty of Oleg with the Greeks quoted in the Primary Chronicle under
907:
Poidui
uia,
i
parusy,
carja vaego
na putb brano,
jakori,
'When the Russes return homeward, from your Emperor food, anchors, cordage and sails
12
and whatever
The
trite.
A man
has married for the second time, and his son by the
first
wife, feeling
maltreated and neglected, asks his addressee for support. This probably
if
preservation of
and
and the
all
elsewhere by e (doedi) lz 11
North Russian
Poves vremennyx let (Leningrad, 1950), 1.24 and 2.185. Cf. E. Hermelin, ber den Gebrauch der Prsens-Partizipien von perfektiven Verben im Altkirchenslavischen (Uppsala, 1935), where the ancient use of these forms in Slavic languages, and their "Zukunftsbedeutung" in particular, is discussed; M. Korneeva-Petrulan, "K izueniju sostava i jazyka dogovorov russkix s grekami", Uenye zapiski Mosk. Gos. Univ., 150 (1952) 255-81. 12 "The Russian Primary Chronicle", Harvard Studies and Notes in Philology and Literature, J 2 (1930), 150. 13 Cf. A. axmatov, Oerk drevnejego perioda istorii russkogo jazyka (SPb., 1915),
114f.
616
PHILOLOGICAL GLEANINGS
to the eleventh century, but
no
less to
zemleju
'there
is
nomu
a city
ede
nimb veze
gramotu nepsnu
it
between
()
This writing
is
is
in
ede, the
non-initial
becomes
in
North Russian
dialect. 14
The
veze.
is
According to Arcixovskij,
this
may
and song.
But
in
we
medu nebom
messenger
zemleju,
iz
nego ie
idet
posol
neset
city is
Noah's Ark
is
the
epistle
carries in
its
inscription contains a
of the same
reli-
gious riddle;
it is,
upon
of
vated especially
One
this genre, Beseda trex svjatitelej, extols the skill ispola tebe ***, to ty gorazd sny zagatki otgadyva
From
riddle
partly deviate
grd, while another variant russifies grd into gr od) na puti (!), nt
puti*** idt
region,
14
nem nem posl nm*** According to a variant from the Novgorod Poel posl nm (cf. Rybnikov's iz nego e), piel posl nm
i
Cf. V. Vinogradov in Izvestija Otd. rus. jaz. 174 ff., especially such Novgorod texts as the but poexali.
p.
16 16
slov. Ross.
letter
Pesni collected by P. Rybnikov, III (Moscow, 1910), p. 210. D. Lixaev, Russkie letopisi i ix turno-istorieskoe znaenie (Leningrad, 1947), p. 132 ff.
VERNACULAR
617
dlit
Ark macrocosm (v tom grode\celyj mr tolptsja,\\a za ogrdu\ stup botsja\\). The only stable image common to all variants is the messenger bringing an unwritten epistle. As to the rhythmical structure of the Novgorod inscription, it corresponds to the present verse pattern nmu of the Russian folk riddles: Es grd,\meu nebom zemlju,\\a de\posl bez put;\\sm nm\veze grmotu nepsnu.
to
Noah
(v
as a secluded
II
A. V.
Arcixovskij
bereste.
gramoty na
23 illustrations.
Moscow,
Academy of
Ten Old Russian documents scratched with a bone instrument on birch bark and found during the Novgorod excavations of 1951 by the noted
archeologist Arcixovskij have been excellently reproduced in photographs
and, moreover, for the sake of clarity, re-drawn along with nine inscriptions
in recent
Novgorod
accurate description of
basis of palographie
all
on the
these
text
all
and
word
and insertion
used for this
of missing
letters.
Unfortunately,
modern
spelling
is
reconstruction.
(p.
Old Russian
letters
and
inscriptions.
The new
commentary
this
(# 9),
wording of
proposed.
document, two equally fantastic alternatives are still The first of these surmises wants to see a female name in
gostjata, which, according to the editors, does not occur in other sources
17
zada (SPB,
1901),
#2180.
618
(p.
PHILOLOGICAL GLEANINGS
41). This typically male name is attested, however, in the oldest documents, both Czech (Host'ata) and Polish (Gocita), and a mere
it:
F. Miklosich,
;
p. 51
J.
Gebauer,
p.
473;
W.
osobowe,
St.
p. 67.
The
Novgorod Cathedral of
is
Vajs'
The other
is
we
(#
10) written
down towards
above,
spelling
p.
616), the
Moscow
and nomu. Any textbook of Old Russian, however e.g., A. Sobolevskij, Lekcii po istorii rus. jazyka (1907), p. 61 f., knows that old North Russian scribes, when rendering the combination of palatalized consonant and /o/, either do not note the rounding of the
forms
vowel and write traditionally nemu, or sometimes record the rounding of
the vowel but then
consonant: nomu.
The one-word
inscription
smova on
the
and excavated
in
is
Novgorod
in 1948,
(p. 49),
common
nouns.
smova
is
undoubtedly an adjective
aa
name Som
in
Russian personal names and, on the other hand, the Old Polish
personal
compound
also in the
Podlaick.
As
reports, the
more
thrilling results.
of them private
VERNACULAR
619
and
life,
much
more adequate
interpretation.
and sophisticated
literary
more ordinary and more exclusive specimens we have hitherto known. That these
is
until
how
this
unknown
Novgorod
so badly
it.
excavations of 1952.
is
Such
scrolls
it
among many
in, at least
may
turn out to be
They must be carefully examined with modern technical devices to ascertain whether faded ink may not be discovered in these scrolls, and new
and
all
other
rank
dictionary of Russian
last edition
was Gorjaev's
is
far
from
Of
the
was completed, and finally, since the first World War, when Berneker's work ceased forever, Slavic philology developed so strongly
as to
insufficiencies
in
Berneker's
attempt. A. Preobraenskij, Saxmatov's school-teacher, and a great amateur of the Russian language
history,
began
in his
retirement an
in
1918
work stopped
in stock to
at the
word
suleja.
when The
printed issues were sent only to the few preliminary subscribers, while
first
became a great rarity, particularly outside World War there were only a few subscribers.
When, soon after Preobraenskij 's death in his native village of the Orel region, we heard that his Moscow apartment with his rich philological library was being pillaged, a group of young Slavists from Moscow University went to save what was possible. To my surprise I found in the restroom the galley proof of one or two further issues and the manuscript
of the whole dictionary, converted into toilet paper.
find to Professor
I
transmitted
my
Russia,
Uakov to be sent to the Russian Academy. Soon I left and later, when reading in Russian journals that the end of
Max
1950-1958).
621
I wrote to Professor Vinokur and other Moscow Slavists reminding and informing them that the end must be at the Academy. My reminders were never answered. In 1949,
in the first
Instituta russkogo
There were two big gaps: the words from suleja to tug are missing,
and
Academy has
On
most of the words beginning with (after udrua) and those which begin with/and x are missing too, and as far as I remember, they had already perished when I found the rest. But also what was published from the manuscript shows that the end of the dictionary was
far
Many
entries are
merely
listed.
pioneering
that,
work will remain of great use. We must indeed be grateful due to the happy initiative of E. J. Simmons, we have been given a
all
phototyped reproduction of
print
and which,
libraries.
been available to
Western
This material
in 1951
fills
actually
It is
Moscow.
work were
and 9th
supplementary bibliographic
Had
the preparation of
Simmons,
The
and tug are not the only missing portion of the dictionary: besides this part, which was in the galley proofs salvaged for the Russian Academy but thereafter misplaced or lost, all the words
suleja
words between
between
udrua
this section
(cf.
of the manuscript
above). Also, the
Many
ja are
confined to the
word forms, while the explanatory notes were not even undertaken. Numerous basic words are entirely absent,
list
of Slavic
at times
(see, e.g.,
622
cvakat' and
PHILOLOGICAL GLEANINGS
u).
It
jaa
The addition of a bracketed unified pagination throughout the whole volume would most certainly have been of use, as well as a list of
143.
The introductory
it
precisely this
most neglected
in
Preobrazenskij's work.
One must
work,
e.g.,
by the American
Slavic
and East
European Review could have been applied. The simple and inverted e are
not distinguished; the mjagkij znak
is
not rendered at
/',
all;
the Latin
ij
j and
ij;
the
same ending
is
rendered partly by
literation
is
(etimologicheski), partly by
y {Obnorsky). Transtitles
new
spelling appears.
list
of
critical studies
on Preobrazenskij's
dictionary, the
are omitted.
Columbia publication must be warmly welcomed. Vasmer's work is on an incomparably higher level. There
first
is
from the
is,
much
richer,
though
still
dialectisms,
Old Russian vocables and modern loanwords. The literature consulted is abundant, even if some instructive sources, such as G. Kocin's reference book Materiay dlja terminologieskogo slovarja drevnej
Rossii (Leningrad, 1939), are omitted.
The entry word and its dialectal variants appear in present-day Russian Old Russian, Church Slavonic, Ukrainian, West and South Slavic variants are cited in Latin transliteration. When there is no reference to an Old Russian form, e.g. under the entries ves, artel\ a
spelling, while the
know whether
e.
the e cor-
and
in those
reference
623
artier (or ves,
would be desirable, as well as in forms with a stressed where it would be important to indicate whether the archaic dialects use in this (denoted by a circumflex in some Middle-Russian case a tense
manuscripts).
If the
its
in literary Russian, Vasmer The entry barxlo however deviates from the Moscow accent baraxl (properly boroxl from borx- < bors-)
key-word occurs
stress.
ordinarily notes
standard
and
by
avarja,
avrija,
The
inadequate),
bys
Old Russian form in spite of Vasmer's inclination to confine it to Church Slavonic only, and in spite of his subsequent spelling byst), bjax, bjaxu (with an unjustified switch from third person singular to other forms), bim' (superfluously added, because this Old Church Slavonic form never entered into Russian usage). As to the grammatical classification of these Old Russian forms, jes is the present, be the aorist, and bjae the imperfect of the imperfective aspect, while bude, bys and budjae are the corresponding perfective categories, as C. van Schooneveld
has convincingly shown. Beside the
Modern Russian
same
"conditional"
particle by, the dictionary should consider bylo, the pluperfect, generalized
form of the
auxiliary verb.
:
Interjections
and
which was
I)
with
xa
(intransitive
axVnyj 'foulmouthe,
axVnik).
As a
names
their study
selection
is
rather fortuitous.
is
an unquestionable advantage of Vasmer's work, even if the Tupikov's dictionary of Old Russian
not mentioned, and some current names are missing,
personal names
such as Anna (and anjtiny glzki 'pansy'), Anton (and antnov ogr
'feu d'Antoine'),
its reflex
in folklore, Anika vin, merit discussion. Among geographic names there are Azija, Afrika, Azerbejdan, but a new edition should add Avstrlija, Amerika (XVII, century Amerika), Baku, Batm, Beljv, Vzuza, etc. The internationally adopted ethnic name Aleut which originally was used by the Russians for the population of the islands
624
PHILOLOGICAL GLEANINGS
name
Aljtor which
With
the vast
and
by
Vasmer, a number of new questions naturally arises. I should like to dwell on some particulars. The most precious and miraculous stone (vsem kamnjam kamen') of Russian folklore, alty or lyr\ is undeniably an alternant of ltygor from Latygora 'Latgalia', and means 'Latvian (stone)', i.e. 'amber'. The colloquial idiom antimnii razvod 'talk at random; expatiate on
1
is
a pun-like contamination of
and
bba
'tall
Polish babka,
'pastern, knuckle-bone';
Polish),
babka
'edible boletus'
and
inferior
mushrooms
and
cited
in different
Of
a derivative in
standard Russian,
ostati nj,
from
molVnja
The lullaby forms baj, bj, bjuki and the corresponding verb bajka 'lull' are, as Brandt perceived, derived from the root baj- 'say';
cf.
bajka
'fable',
priba(j)tka
'ditty',
turn
is
linked,
meat)
compressed'.
After Menges'
monograph on
common
Slavic
is
name
reflected
'Bojan the seer' of the Igor' Tale with his magic play and
Bojan-magician.
in
mind,
striking, but
bred instead
or book
(late deverbative,
625
bbrnije 'clay,
'silt',
mud';
'earthy',
'afterbirth',
Bmen
(hrad),
belong to
same family
common
the root
is
and as the
supple-
mented by
log- 'couch'.
The loan-word buz 'millet-beverage' acquired a metonymical meaning whence various expressive vocables were derived: buz 'kick up a row', buzov; bzn 'thrash, brawl', buzatjr 'rowdy'. Vasmer ascertained that Turkic bus 'haze, smoke, foul weather' is the
'row, brawl'
source of Russian bus 'haze, drizzling rain, spray, dust', but as Dal'
sombre', and
maybe
'habituate' are
same roots
as the verbs
vod,
vazrC 'fortune,
good
luck',
from
kajaii, etc.
is
Vedeneckaja zemlja,
probably a
The separation of
traced to a
is
Velesb
from Volosb
is
is
evident.
common
Veles'
,
not supposed to have changed into tolt; this could explain forms such
as Vel
>
Velse
>
Velese
(cf.
voloi
ve\een\ polovypelevnja)
Veles-.
However,
neither the Balkan-Slavic place-name Veles nor the Middle Czech veles
quite improbable,
is
an
from
paper
come from
Velesb. [Cf.
my
The form
pronounced
vod-dia
>
voz-dia
>
vozia: the vicissitudes of the suffix -dia in East Slavic have been pointed
Most probably,
is
626
appearing
'gelder,
in
PHILOLOGICAL GLEANINGS
valj 'bring down, castrate an animal' or in konovl veterinary surgeon'. From vol are derived some names of fungi,
and perhaps volnxa, brought together with voln
such as
volj, volvjnka,
II
The
best
quality
rises
among
the existing
The author knows how to select the etymologies, and adds many new solutions, most
of them definitive.
In a few cases, single words discussed by the author could, without
undue
for exis
pressions chytati hejly 'to gaze' and povsiti hejla na nos 'to fool', and
goes back,
M. Vey, BSL LV, 55 ff. proved, to a compound *gujil- with *gii-, from *g w ow 'bull'. OChS. grano (and granb) 'verse, colon' should not be separated from gra" 'border, segment' (and from the Russian verb gran 'cut').
grebt 'trouble'
'scratch':
cf.
is
an obvious derivation from the verbal root greb'something which pecks', and Slovak
hryzota, Bulg. griza 'trouble', literally 'something eating out one's heart'.
'strike, crash,
burst, clank'
is
related to
grem
To
grib-
'scratch, scrape'
and
by Russian
and
dialectal griba
'alluvium'
and
gub
meanings, 'mushroom',
'lip'
'bay',
etymology.
One and
gusti 'play
the
same
words OR.
on a
gud
(OR.) bewitching' (cf. High Sorb, hudaf 'soothsayer', Pol. - from East Slavic - guslo 'witchcraft', guli 'bewitch'),
'leisurely,
627
and gud, gul 'howl' the representation of music was, on the one hand, hum and a roaring and, on the other, was easily associated either with fun or with magic and subsequently with fraud or jeering. gu 'tug' - together with Byelorussian huz 'loop' and Russian dialectal priyuz 'tie of a hand-flail' - is, as Fortunatov pointed out, related to zy
extended to a
'bonds', uzel 'knot' despite the prothetic velar, the
'caterpillar', derived
same
as in *gsenica
second
an explanation.
shedding coat,
rags'.
Church Slavonic degna 'scar' as well Slovenian dgniti 'burn' and Lith. dgti
as
go
'tar'
'burn'.
OR. dbna
'uterus'
(<
(<
*dbbno) and
dbb
daub 'gorge';
'hobble',
'gout'
dba
dbisja
'rear',
dba
'rack',
in the
meaning
(<
same
OR.
is
zirb, originally
both 'what
(ulcer),
cognate to
derived from uk
'beetle,
scarabaeus,
adornment'.
The etymological connection of zabobony 'superstition' and Babuni, a Church Slavonic sobriquet for the Bogomils, has been defended against Berneker with abundant evidence by J. Janko, XXVIII, 134 ff. kalina 'snowball tree, viburnum opulus', as well as kalga, kalja, klevo, all meaning 'marshy places', is derived from kal 'mud, wash',
MF
damp ground, as the folk-song line in "Pro kalina v struze stojT cf. the way through the swamp paved by the trunks
: ;
kleti, kaliti,
or R.
kalj
kol
'to
become
torpid', are
The West
kat, kat,
nomen
actionis,
628
PHILOLOGICAL GLEANINGS
'hit, strike, slap, beat',
and
kopota
'annoy'.
To
kljka
OR.
and klju
OR. kns
modern
mology
395],
dialectal
synonym
and
into knjazk
to the root
*- <
, , *-
(cf.
its
are related to
M.
Symposium of
the Russian
81.
Academy,
earlier, Sobolevskij,
is
RFV LXX,
The
a suffixed
form or a compound
with the same *aidh-s as the second component which Berneker, 275 f.,
discerned at the beginning of the Slavic *stja.
Or should
this
compotree'.
'bend, crook'
is
see
no reason
ethnic
from
The
t-
name Vjtii
cf.
is
from Wenden:
-
vet- in Izvestija
Any word-family,
is
to be
press' as
mka,
mka
,
',
emer, zemnnica,
zmu
em\ mak,
'a
zmka,
mot, mlja,
may be
supple-
mented by the
dialectal
The
alternants zarj
meaning
in
OR. -
'afterglow'
in
Sambinago's "second
veernjaja zarja, and
this
Mamaevom poboie:
Slavic.
po zore po
distinction originated in
Common
is
his
629
An eloquent example is the name which entered by three roads - from the East as zenzevV
,
zinzivj,
names
Thus
it is
natural
few remarks
may
be permitted.
gak has entered into Standard Russian with an initial [y] and with the meaning 'a little over', especially in the expression s gkom.
In connection with Devgnij, the acquaintance of
in a
is
in
some West
Slavic
I,
reflex
of *deiwos, and Bogb jointly shifted their meanings under the Iranian
influence. [Cf. Benveniste
and
E. Georgiev,
To Honor
R. Jakobson,
I.]
velars followed
by front
into
/'j/,
'squabbler, bully',
Like
OR.
for pocket;
swear-locution.
its
homonym, meaning
'a
long bread
roll' in
is
Moscow
Russian,
may be
once renowned
in
Moscow. Vasmer
and
presents
first,
karmora
'a
long-legged
fly'
as "dunkel", although he
recognizes the
in karkuli 'scroll',
in
kikimora
'goblin'.
in
in
its
The
river
Hypatian Chronicle
form Kal
the
630
PHILOLOGICAL GLEANINGS
ethnic
The
ex1
Word
VII,
p.
ff.
and 30 ff.
kondrka 'nervous stroke', as well as the dialectal kondr
'cry',
seem
hypochondria.
The
'dative'
from Greek, and as Jagic's comprehensive survey in the Church Slavonic grammatical tradition first in
later
than
and pad 'case'. Similarly znskij rod Vasmer connects with Lai in, is modelled upon vid 'aspect', zag 'voice', bduee vrmja 'future
and nearly the whole bulk of the grammatical terminology, which goes back partly to the late medieval South Slavie tradition and partly even to Old Church Slavonic. Both gramatik ija and gramatika occur
tense',
early,
New
asserts,
but
may
be
Church Slavonic
of John Damascene which opens with the sentence: azb esm' dialektika.
The term gipteza too leads directly to the Greek. Grmota 'reading and writing' is an early Church Slavonic adaptation from the Greek, being attested not only in Old Russian, but preserved also in the Old Czech Psalter; kolestvo 'quantity', like kestvo 'quality', is an Old Church Slavonic translation from Greek. The adjective zlobodnvnyj 'of present interest' is based on the Church Slavonic translation of Matth. 6:34,
"Sufficient unto the
day
is
Inter-Slavic borrowings
Glagolitic alphabet'
J.
is
the
Old
(see
slie-t
slovenskm hlaholem.
is
The
title
gospodr\ ospodr'
'ruler,
master'
from Czech
axmatov,
Oerk
drevnejego perioda
as
istorii rus.
jazyka, 178).
Similarly
komnata 'room',
grubijn 'churl'
to the popular
book
631
of the 16th century, Prva doktora Grobina, translated from the GermanLatin Grobianus; another popular Czech publication of the same time,
French or German, but through the West Slavic medium. The rich Polish
deposit in Russian deserves special attention. Such words as duxovnstvo
'priesthood',
registered,
the
more
special investigation.
ogem
cf.
synonymic adverbs
goVm, gVju.
be called in
may
The
a folk
zaznba iady-love',
erotic
literally 'inducing
one to
v
shiver': cf.
i
such current
ar
those entitled to wear the wedding crown (venc) which in Russian gives
the
name
to the
from *kle
nja,
and Zubat
28).
eevka 'blackberry' vs. ozina or oka, and elenc 'juniper' vs. oln\
as well as esenjs' 'last edinc 'lone
fall',
eserj 'in
fall' vs.
ser, osnnij,
difficulties, if
and edink,
the author
man'
vs. odin,
was confined to
TCLP
II,
38 ff.
v istoriju rus.
'at
and
and subsequently to gda or veera to v'cera. For the shift of the Russian alternation of veer 'evening' - adv. ver 'last evening' and correspondingly Cz. veer - ver (< veer). If a word is
accent
cf.
known
to have
two
different accentuations,
e.g.,
inaccurate.
632
PHILOLOGICAL GLEANINGS
III
issues of
M.
-
).
'rustle',
slag',
and korvyj
'dry,
hard
hardened'
all
belong together.
krza
may
chrastiti,
chramostiti
chramostl
'rustler'
'dragon-fly'.
koroun
penetration into
Hungarian may be
Krok, Krak.
West Slavic
cut',
kos
of kosit' 'mow,
and kos
the goal of
es
origin.
lock', are
of the same
symbol of
virginity'
could be mentioned.
krep
'dawdle',
krop
cf.
'botch',
kropot
'putter',
same word
family.
kresjnin 'peasant':
this
term by
P. B. Struve,
Instituta v
Prag,
Smintheus
et
le
le
(Brussels, 1950).
dish,
is
to
OCz. and Pol. kuklik, a bread term originating in Latin cucullus. kudV 'tow' is a technical term which before the loss of the nasal vowels
in Eastern Slavic, penetrated
kuderma
OR
'executioner'
suffixation
from kur
kulebjka
cf.
'
stuffed
633
-a
'ear-bread'.
origin o
the Russian
dough
dishes.
dough is homonymous with ear, and even the character for this term (Giles No. 3343 rlr: see below), as Professor Y. R. Chao has
A
informed me, includes the symbol for food on the
left
hand
side
and the
right.
all
There
/c,
is
/,
names
contain
doughnut'.
names
Vogul koles
1941
;
'gruel'.
Lumr
was
satisfactorily explained by
OCS
borrowing from Greek Kopui, Koupui 'trunk, body', along with the
synonomous
'skeleton,
istukn,
carcass'
(Annuaire de
de philologie
et
d'histoire
was originally
customary
in Slavic
wedding
corresponds
kta
origin.
'hide'
and
OR
'cabin'.
disclose
their
common
its
is
prob-
ably due to
lada 'beloved'. Cf. ladi "clapping palms' and lady, lduki, personified
palms
in child folklore.
le 'bream', one of the few examples of the loss of the initial *dl. preserved in OCz. diese. The same onomatopoetic root is in *dlesk (see
634
PHILOLOGICAL GLEANINGS
cf.
ness of
OR
one of the cases where the author underestimates the elaboratescholarly terminology. Far from being a borrowing from
this
in
loanword and the loan translation from Greek were familiar to the Old Russian bookmen: Kniga glagolcmaja logika - sir slovesnica.
lno iap, bosom,
womb' has
the
it
same root as
le
'lie'
'crown of an
animal's head' are akin to lob 'forehead, skull': ulybsja would literally
mean 'smooth
la
'ski'
is
the brow'.
evidently cognate with lotka,
skje.
'soft
Norwegian ski
malnovyj zvon
OR
'spoon':
cf.
timber of
bells',
mology with malina 'raspberries', referred originally, as noted by Trubetzkoy, to the famous bells from the Belgian town of Malines. mat in kri blagtm mtom 'cry violently' is connected with matasisja 'throw oneself about', mati 'harass', sumatxa 'bustle' and
mot
'shake'.
mga can
It
is
reduced vowel:
cf.
Low
Cz. mlha. In
mga
meVkt
'quiver',
mle
'faint,
root:
mexrnok, mixrjtka,
mka as
The
Moko,
root
mok-
and
is
moist earth'. The Slavic goddess corresponds to the Iranian Ardvi (moist)
Sr Anhit
in
name and
1027.
molok: the deviating unvoiced consonant of *melko 'milk' as compared with *melzivo 'beastings' is explainable by taboo, which frequently
causes distortions of words designating milk.
morda
'muzzle',
635
tail'.
mrdas
'tail'
merda
'wag the
mri
'wrinkle,
Cz. mrskati
'trash, twist'.
Moskva: Vasmer
river
is
rapprochement of
this
name
etc.
mzga
'rot,
is
mould, damplocal
mzgnu
"I
is
'to rot'.
There
the noteworthy
testimony of Trediakovskij
common
'smelly
Moscow
River]
i.e.
Moskve-reke Smorodine".]
motros a
,
moros
'drizzle', is
latter
mot
'shake'.
mdryj
mud 'testicles'
primitive belief
virility,
wisdom.
muxomr 'fly-agaric'
this
compound, common
and Western
to
its
synonym
however,
"lautlich schwierig".
The
pair,
nanie
Pskov
from the
Igor' Tale, in
which
its
scribe confuses
with
II,
c.
The
Sreznevskij's dictionary,
adjective nicb.
naxtem
nigilisf.
document of Godunov)
goes back, together with baxtarm, to the Turkic bastyrma (see p. 624),
the terms nihiliste, communiste, and socialiste were coined in
M.
poque de
la
Rvo-
Brunot, Histoire de
la
2nd part, pp. 834, 1123). nolg 'lodging': the dialectal variant naslk, widespread in North Russian (cf. Trediakovskij 's rhyme naslkom elovkom), awaits an
explanation.
obls, oblask 'raft'
is
'pebble'.
636
ovrg,
PHILOLOGICAL GLEANINGS
OR
vragb:
(cf.
cf.
R.
B 'i Vrki
kunj
'be drowsy',
Cz. okounti
'stare',
okun
'dip'.
due to a
dialectal change:
ox
>
oxv parallel to
oy
>
CIX-CX,
is
104).
pad
pkos,
dialectal variant
and Ukr.
kpos
'harm, ailment,
filth'
may
go back to the Iranian Kapasti, a pestilent female demonic being. palc 'executioner' could be connected with OR palati 'flame' and thus
originally refer to execution
by burning.
paskda,
pask
name of
ptrasja
'soil oneself,
somehow
its
Czech synonym
pax
smell',
in its
meanings
'to
zpax
'smell'
and pax
pax
may be
treated as cognate.
Perun
is
aptly regarded by
Vasmer
as a
common
among
Sarajevu, 1948, 63
The connection of
is
the
OR
place
name Peryn
(cf.
also
material'noj kul'tury, L,
192ff.).
Furthermore,
Grimm to
The
the
Common
Vedic Parjanya, the Norse Fjorgynn, the Albanian Peren-di and the
Hittite Perun- (see
in the
The rhymeword substituted for a tabooed *perauns. The communality of name and functions attached to this deity, along with
Latin quercus 'oak', the tree traditionally consecrated to this deity.
Greek Kepauvo
is
striking correspondences in
its
it is
of Indo-European origin.
637
name Perun
Novgorod Chronicle,
Porun
in the
OR
Pripegala in the Latin sources on the religion of the North Western Slavs;
Peron,
in
Parom
in
finally, e.g.
modifications,
An Old
Russian sermon
:
to Peperuda in Bulgaria
/).
It
bookman
distorted the
'swindler'.
name
pun connecting
hill',
The
and
Common
Slavic *pergyni
'wooded
reflected in
in
OCS prgynja
in Polish
OR
as peregynja (or
who
linked
it
wooded hills were sacred is evident from the fact that the Christian preachers condemned their worship: moljaix elovk rodu i roenicam *** i mokoi i peregini i vsjakim bogom merz' kim trebam ne pribliajsja (FF Communications XLIII, 305). Thus it can hardly be denied that there is some genetic relation of *peregynja with such names for the sacred wooded hill as the Gothic fairguni and the Celtic Hercynia. pirg 'pie': the connection with pir is questionable. Were the name
originally confined to a tall pie,
Greek rcupyoc;
cf.
Pirogoa from
.
:
On
dumpling'
should be examined.
podraa,
OCS
is
close to
*podorgb 'hem'.
poaluj 'perhaps, presumably' meant literally 'permit [me to say]'. polovj 'waiter'
is
worker who shares one half of the income with the owner,
polovnik, polvik:
abstract
cf.
polvnia and
the
noun
ispolov'e.
K. H. Menges, The Oriental Elements of the Oldest Russian Epos, The Igor' Tale (New York 1951, llff.).
ethnic
see
name
cf.
land'.
638
If a
PHILOLOGICAL GLEANINGS
Common
is
and carrying no
in
rising
intonation
Slavic dialect
y was
axmatov,
several
Oerk
58 f. ). culinary
Pol.
can be mentioned.
Rus. pravbda in the meaning 'right, law' was
German.
IV
is
There follow a few corrections, additions (pp. 511-522), and indexes of non-Slavic words cited in his lexicon. Thus we are finally in possession of
a detailed and highly scholarly attempt at an etymological dictionary of Russian. Despite Berneker's
skill
his
uncompleted
publication of F. Sawski's
eskho a slovenskho (Prague, 1957), 620 pp.; the gradual Sownik etymologiczny jzyka polskiego, vol. I
tively Bruckner's
(Cracow, 1952-1956), 599 pp., far surpassing qualitatively and quantitabook with the same title, reprinted in Warsaw, 1 957 and
;
this
inquiries
;
by
cf.
J.
his
in his
his
dictionary will be used for the elaboration of a new, revised etymological dictionary of Russian. This attitude of the author has stimulated
continue
tions
my
on the
-.
me
to
639
shell' are
'crawfish, shellfish'.
Rededja, the
Revugi, tribal
name
and dd 'grandfather,
dad'.
rka 'latticed
tail
game
orljnka
aV
retol)
Greek
XLII,
p4<xi
'forearms'
p. 146f.).
rod in
OR
means
god of
nativity
and
tribe,
of the tribe - *teut (Vendryes), Umbrian Vofionus, god of growth and community - *leudhyon (Benveniste), Latin Quirinus, god of procreation and tribe - *co-wiriy (Dumzil). Cf. Russian dialectal rod 'ghost', rody 'ancestral spirits'. The name of the corresponding Karelian spirit untu, literally 'birth', is a loan translation of Russian Rod (see J. Kalima in Mmoires de la Socit Finno-ougrienne, LVIII, 275 ff.) Cf. the feminine
counterpart of this Slavic
Rojenica.
spirit:
is
CS
roske sja 'to become free of ice during the from ki 'to swarm, to team with'.
with
spring' (Olonec)
is
derived
kox 'to enjoy oneself, to luxuriate, to revel, to love' is undoubtedly cf. kokot, koet 'cock', kko 'hen',
'egg',
kk, koka
kknu
'crack',
kokot
'cackle',
,
kok (kk)
'to
thrash, squabble'
trunk, stalk,
kokisja 'to swagger', koen' kon, 'head of cabbage, penis', koksn 'shoveller duck'. The Slavic words *koxati
'cock'
<
cf.
and *kury
its
'hen'.
540
rub 'border, limit'
forest'.
PHILOLOGICAL GLEANINGS
is
CS form
run'
'autumn
fields'
be separated from runo 'fleece, sheaf, run 'tatters, rags'. rpi 'to trouble', rup 'grief belong to the same family as Slavic
*rupa
'ditch', *rypati 'to dig'; cf.
'to
grebt
worry',
grba
'to abhor'.
Rus applied
to
Islam, LV (1937); and France: V. Minorsky, "Rus", L' Encyclopdie de d'aprs les Occident Vikings en des incursions premires Les A. Melvinger,
ryba
'fish',
as
Vasmer
rightly notes,
is
ry
;
'to dig'
etc.
is
but also
OHG
rppa 'caterpillar'
doubtful.
is
The
I,
derivation from
attested
seems to
me the most
Selected Writings,
>
primitive Slavic.
<
su
<
osu
<
sdr
<
osudf
<
gosudr"
<
gospodr
is
in
Stimulating
may
be found
in
L.
Uspenskij, Slovo
samodervie,
samodrestvo,
samodrzie,
samoderztei'stvo,
and
samodervnyj were translated into Church Slavonic from Greek. santrapl 'scoundrel' (enkursk) is a modification of antrap 'riffraff.
slezerf 'drake'
and seleznka
change
*telt
>
te let
Common
Slavic deity
which
logical
This mythosfarog
name
survives furthermore
in the
Rumanian loanword
'ember'.
in the light p.
M. Konek
in Listy filologick,
LX,
28 ff.,
and by V. Machek
641
and High Sorbian raroh, Slovak rroh, Polish rarg, Ukrainian rrih 'falcon, hawk, demon' also Slovenian rrog, jrog 'palinurus vulg.',
further taboo modifications in
god Vrthragna-. Czech folklore are closely connected with the myths of the Iranian Vrthragna- vragna- and his Armenian duplicate Vahagn. Vrthragna- and likewise vragna- etymoiogically mean 'breaker of resi-
stance'.
The
'to
answer', Gothic swaran 'to swear', Latin serm 'discourse', could rather
vara-
'defense,
resistance,
obstruction'.
Svarogb
is
consonants.
OCS
svobodb
'free'
V Institut
p.
41
ff.
OR
synonym
marriage' and
known
name.
a pejorative noun,
OR sob, tob: cf. a similar change robnok > rebnok, topre > tepr'
also the analogy of the genitive-accusative seb, tebe.
latter
and
In part of the
sebj, tebj
:
under the
in-
genitive desinence -a
-e.
Russian tends
name of
North Russian rivers, is not related etymoin the Dmitrov dialect the two words have a /s,ostr/ 'sister' and /s,stra/, affluent of the
5, p.
137, rightly
joki
'river
currant'
642
Simarbglb,
PHILOLOGICAL GLEANINGS
OR
deity,
goes
XLV
(1925), p. 69,
and K. Trever,
ff.
I:\cstija
(1933), p. 293
Cf. A. Christensen,
),
p.
66 f.
sip
'to
(Tambov, Vorone), sipga or sipuxa 'whirling 'retroverted vagina' are words of the same family.
sipvka
OR
in
modern
vex',
',
sgonot\ or
skondbi 'to complain about povern', skonodosgi 'to save for old age, to hoard, to
the
trouble oneself, to
gonobsja, gonosja
parsimonous'.
'scram'.
be ready for a
trip, to hurry',
kandji
'to
be
Cf.
the
Moscow
slang expression
kat*
kandberem
skli
'to
from klok
like
'tuft'.
OR
skpati
'to
split'
<oi, while in
North
see, as shown by Durnovo, RES, VI, p. 216ff. (cf. TCLP, II, p. 46). The pair epa 'to twist' and C:pa 'to pinch, to pluck' presents the alternation *skoip-j*skeip-. The grade skip is in epo, eptka 'pinch', epet 'trifle, detail' (< bpbtb); cf. OR
bpb
hair'.
'wane'.
is
obviously an alternant of
e, etna 'animal
Vasmer denies
tt
Schrader's, Bruckner's
and
Slavic origin of such forms as the Gothic skatts, "weil auf diese Weise das
germ,
The geminate of
this
word, however,
cf.
La gemination
p. 606].
from
slovo, like
OR kliane 'participants
their screams'
is
is
to scare
up the prey by
'cry, shout'.
The opposition
sloven -
nmci raises
the
in Pul-
643
Od slova
nebo od slov
nazvni js
ti
lid Sloven
(FRB, V,
p. 211).
I.
Malysev,
Poves Poves
and
in the
first testified
by
S.
Okolski in
1638: see
M.
Scherer, Les
dumy
Annuaire de
pp. 144, 349.
Dnepr
its
basin.
slon 'elephant',
Rahder.
smertVnyj 'mortal'
is
may
be connect-
ed with the Iranian and Slavic dog worship, since most of the Iranian
loanwords
CS gram-
Grammar
CS
translation,
traditionally
by
its
'trash',
root of which
O jmnech
nech (Bratislava, 1955), p. 102ff.; esk a slovensk jmna rostlin (Prague, 1954), p. 109 f.
motl
slovenskch
V. Machek,
sojz,
OR
sbuzb 'conjunction'
is
into
CS
and
cf.
spsob 'mode'
ia
an
OR
deity,
:
stands by
stbri
name and
imperative of the
verb *sterti
'to
disseminate';
cf.
Dabbogb and Stbribogb are the traditional IE couple of giver and cf.L. R. distributor of wealth, like the Ancient Greek Alaa and
Palmer, Transactions of the Philological Society, 1950, p. 165ff. strigVnik 'Old Novgorod sectarian' could be a derogatory nickname
644
PHILOLOGICAL GLEANINGS
>
strigoVnik; strigoVnik as
OR
which ment (cf. the OR expression kaplja vazni 'a drop of luck') like this word usually translates: see V. Pisani, "Mytho-etymologica", Revue
des tudes indo-europennes,
sjabr
I,
section V.
'member of the community': its connection with Gothic haims 'home' is corroborated by the Creto- Mycenaean ke-ke-me-na 'communal
property'
(cf.
I,
p.
43
f.).
meaning
'gift, talent'
to
and North Russian torokan owes its origin to a pejorative use of the Turkic tarkan 'dignitary' the same form appears in the proper names well interpreted by Vasmer. Zeitschr.f. si. Phil.. I. and a personage in the byliny 165 ff. the OR town
:
:
OR
Toroknik.
tari
axmatov,
tarisja
'to
with torisja
Oerk
tausn, usn' -
New
songs - can hardly be separated from tausinyj 'dark blue', tusin 'peasant
shirt
made of
OR
OR
names of January and December in other languages. There seems to be an alternation of and / as in snb
Cf. the ethnographic data compiled
and
sijati.
by V.
I.
ierov,
Zimnij
kalendarja
XVI-XIX
vekov (Moscow,
tvrg: the connection of this loan translation with tvor 'to form'
is
an
enclitic dative
the
and
its
still
follows
Wackernagel's law.
OR
*tiv-r
'man
Vocabulary of
bogac
o Lazare".
645
tuVj 'crown of a
ha
txnu
'to rot, to
become
related to ta 'carcas'.
tjurljurlj,
di
'to
mature, to swell'
'udder'.
the
Modern Russian
military term
ed from Turkic.
war cry borrowed directly from Turkic. borrowed from West Slavic (Pol. figlarz, Czech figl), has been derived by L. Spitzer from German Vogler 'rake' {For Roman Jakobson, The Hague, 1956, p. 503).
ur
is
in Russian primarily a
'trickster',
figljr
it
World War
society.
It
airs and imitates urban comes from German frau or perhaps from Swedish fru.
I)
xal
uxalpit,
'to
die',
xlpi
'to kill'
'to
kill',
'lifeless',
uxaljsta
may
'to die'
xaltra,
clerical
came
to
mean
usual stage', later 'slovenly performance done for mere profit'; in this
meaning of
'negligent, unfair
in
work
for easy
was generalized
contemporary Russian.
xamanja 'nonsense' comes from xomonija, the traditional name for the artificial preservation of the weak yers in liturgy and for the conventional pronounciation of any
liturgical
as o: the
name xomonija
alludes to the
as
-xomo.
xmlet,
known
to
me from
Hamlet on the
serfs' stages
xpa
language.
xvost
'to
'tail'
646
PHILOLOGICAL GLEANINGS
-t-, -st-, -j-: cf.
xit
shake', xvost
'tail',
xytati 'to
to wave',
latter
xin
<
*chym>,
OR
name of
in
in
Herzegovina.
It
kingdom of the Huns". It is possible that the pejorative verb xni and the corresponding South Slavic verbs are derived from the same
"the
ethnic
name.
as
xlabnja in the Tula dialect means 'lout' and belongs to the same
word family
Xorivb, the
'loafer'.
name of one of
like the
whole
legend, one of the puzzles in the Chronicle. This story of three princely
brothers, the oldest of whom built Kiev, closely corresponds to the legend
in
In his tale of
called
the
town
is
named
the Russian version cannot go back to Glak's legend since Kiev and Poljane
are historical realities, whereas neither Kuari nor Paluni exist in Armenia.
On
to the
Primary
Both
about
name
OR
Persian
correspondent of the
Xurd
'the
worshipped radiant
The
solar character of
documented both by the identification of with Dabbogb in the Primary Chronicle and by the sun imagery linked with Xbrsb in the Igor' Tale, where the path (pu) of Xbrsb recalls the path of the
Xbrsb
is
()
Avestian Hvard-xsda.
>
eta
'pair, union',
'quarter'
647
ex,
OR ax 'Czech'
is
herdsman' and
p. 605-610],
edb
'people'.
p.
Cf.
"Die
lOff. [see
above,
this
I,
Ak. znanosti
umeinosti v Ljubljani,
p. 355,
and by R. Nahtigal,
pornyj
'to flaunt'
'stiff,
'to
show
off'
eprisja
epnat
;
and are perhaps derived from epec 'ornate cap worn by married women' cf. the Czech epili 'to dress the bride'.
ort
'line,
'devil'
is,
limit',
ert
synonym of
is
which something
is
marks the
so-called
cf.
ur is a ki: ur
The expressions ne
stupj za
ur
erezr 'beyond bounds' correspond to the Czech pes ru. x, ka 'pig' belongs to xa 'to sniff, to smell', uja 'to
al
scent'.
'hu
:
the origin
of
silk
OCS
maybe also tory 'junk' - the connotation of vacuum being common to them all. Cf. pustobj 'windbag', pustoslvi 'to twaddle', pust f 'vacant
land', ppustu 'in vain, to
no purpose', pustjaki
'trash'.
egl
'goldfinch'
'to shrill', as
Vasmer does with ad 'to spare' and skdnyj 'scanty', ben'' 'crushed stone' and skobl 'to scrape, to splinter, eV 'chink' and osklok
'splinter',
em
'skin'.
'to
pinch' and
skom
'scar'
'to
cramp',
ep
in
'to splinter'
and skop
'to castrate',
erb
and skorV
'affliction',
'hide'
'to
and skor
The same
alternation
may be shown
ekot
648
PHILOLOGICAL GLEANINGS
cf.
Turgene\ \
potom opja v goruT Cf. also erlpa OR tbskb 'cliff' and skorlup 'shell', evrnok and skovornok Mark'. 'hurry', tbska 'longing, anxiety' do pertain to the same family as tbii
drob\
to
li
'to
hurry, to
Mod.
Russ.
toni <
'vain',
tbbniti
cramp', dialectal
'idler',
av <
vyj
a(v)l
ali
avV
'sorrel,
OR
avbnb
'sour'
and seems
to
imply *sbb as an
alter-
nant of sokb
'juice'.
ur
in
on the shores of
rivers
and
hopper, cricket, scorpion; the prefixed form prur means 'dead ancestor'
mander,
and the prefixed jur, jurkay jauric signifies 'lizard, salaotter, doormouse'. The variant form guer, guerica found
amoung Southern and Western Slavs, is perhaps linked with gu- 'horned cattle' (cf. gumn 'threshing floor') and the traditional belief that the lizards are cowmilkers. The verb ur it' 'to squint' is probably connected
with the supposed weak eye sight of chthonian beings; the secondary
meaning is IE *skeur-
'to
ur 'concealments,
ruses'.
buch, X, 1958).
pronounced
the jakarie.
OR jadrb,
Serbocroatian jdar
'full,
which
Machek shrewdly
stantial'
and to Russian jadro 'kernel', jadra 'testicles', OR jadro 'womb', and corresponding words in other Slavic languages where they likewise
denote the
vital
source of growth.
in
OCS
but in
all
Old Czech and OR means primarily 'to speak a dialect where before stress the vowels /o/ and /e/ or only /o/ changed into /a/ after soft consonants'.
in the
vernacular.
jka
649
meaning of
'speaking too
much about
oneself.
jarga 'policeman,
rascal',
'vagabond', erg
'fidget',
erga, erza
'to fidget',
jar\ jar 'seeds sown in spring' and Pol. jarz, jar 'spring' are etymo-
same words as jar' 'fervor, fury, passion, brightness, radiance, power transferred, according to the people's belief, from the trees and grasses to the mushrooms' (Dal') and jar 'heat, flame, ardour'; jryj is both 'vernal' and 'ardent, violent, fierce'; jarov jar sja means 'to be in heat, or infuriated'; Bulg. jar means both 'spring' and 'glow'. Old Lekhitic Jarovit 'deity making radiant both people and earth'
logically the
vegetative
is
summer
cult of
M.
Filipovic, "Jailo
p. 5ff.
*jar-
vocables referring to
copo
Greek dbpo
'time, year'
and
corresponding words designating 'year' in other IE languages. The jarvocables denote rather the
itself: jar, jara,
spirit
common
Slavic vesna.
XI
This paper sums up four review articles published in Word VII (1951), VIII (1952) (1955), and the International Journal of Slavic Linguistics and Poetics I/II (1959).
TEMPUS
<-
ROTATIO - ADULTERIUM
The outstanding
Slavonic writings,
investigator
J.
of Moravia's and
Bohemia's Church
Anonymous Homily ("adhortation to judges") preserved in the Clozianus; and the Nomocanon - which, according to the
arguments, are
tivities
all
and
legislative ac-
terminoin
and only
XXXI,
p.
1962, p. 144,
f.).
and
25
quotation
vrme
otbputati en svoj,
is
taken,
na
in the
words po (or na) vbskoi vin, and a secondary version of the Zakonb
vbskb grxb
vbsko vrme.
Nomocanon which
illicit act,
in
the earliest
by dlo, a
literal
equivalent of epyov).
Methodian
juristic
vrme
repeatedly signifies
"fornicatio, adulterium".
and no literal Slavic substitutes of aftia and epyov are to be expected. Vaica wonders how the word vrme "time"
their slavish translation,
fidelity
and
as
TEMPUS
<-
ROTATIO
-*
ADULTERIUM
651
assumes that
this
term
reflects
taboo interdiction.
The etymology of the Old Church Slavonic vrme and Old Russian
veremja "time" seems, however, to give a key to the semantic change of
this
noun
in the archaic
ly utilized
by the Cyrillo-Methodian
According
to the current
and persuasive interpretation offered, e.g., in etymological K. Brugmann, C. Uhlenbeck, A. G. Preobraenskij, R. notes of Trautmann, V. Vondrk, A. Brckner, S. Mladenov, J. Pokorny, M.
Vasmer,
J.
J.
Kuryowicz,
Knobloch, V. Georgiev
vert-men
is
et al.,
<
OCS
vrtiti,
vratati, vrbtti,
OR
Old
voroati, vbrtti,
etc.,
and
it
Indie vrtman
"turns,
drives,
"tum of
a wheel, track
vrtate
etymology,
M.
etymon of the Primitive Slavic *verm with the traditional view of time: "c'est un mouvement circulaire et rgulier des priodes qui
alternent et retournent dans
<
*vrt-t,
with
its
and
*qeb "turn"
name
the other hand, for motion sideways, swerve, deviation, veer, shift,
deflection,
aberration,
detour.
,
may
;
on
primarily
dodge";
in Russian,
also signify
is
not only
these rotatory
"a continuous, unalterable motion; or, on the contrary, "a violent and
radical change".
652
PHILOLOGICAL GLEANINGS
In the vocabulary of customary law, the Primitive Slavic *verm, *vert-, could still *vertmen intimately linked with the verbal root
easily
same root
in
Rus.
vert.xa,
vertka
in the
The
*verm
in Slavic
languages
may
tery"
be explained
for "time"
their
and "aduletymology
became opaque; (2) by the substitution of Christian coinages such as ChSl prljubodjanie and Old Czech cuzoloistvie for the heathenish term; and (3) by its isolation after the loss of connection between *verm and *vert-. Perhaps it was the same loss that caused the territorial restriction of this noun also in its temporal meaning. It appears to be limited chiefly to the South and East Slavic areas.
Written in 1965 for the volume in honor of Marcel Cohen.
E
INTERDISCIPLINARY OUTLOOKS
Claude Lvi-Strauss
...
Jacques
Monod
I.
the noted
Dutch
linguist
J.
C'tait un coup
et
essai,
une
La
linguistique a,
au grand jour
devant
le forum
du monde
propres causes***
(1, p. 97).
science.
At present, however, we
interdisciplinary
teamwork
to be
In particular, the
The
necessity to
combine the
its
substantial widening of
an immewhether
He
argued that
linguists,
become increasingly concerned with the many anthropological, sociological, and psychological problems which invade the field of language.*** It is difficult for a modern linguist to confine himself to his traditional subject matter. Unless he is somewhat unimaginative, he cannot but share in some or all of the mutual interests which tie up
they like
it
or not, "must
linguistics
656
INTERDISCIPLINARY OUTLOOKS
Let us add that unless these two complementary notions - autonomy and integration - are linked intimately with each other, our endeavor
autonomy
degenerates into an isolationist bias, noxious as any parochialism, separatism, and apartheid, or one takes the opposite path and compromises the
sound principle of integration by substituting a meddlesome heteronomy (alias "colonialism") for the indispensable autonomy. In other words,
equal attention must be paid to the specifics in the structure and development of any given province of knowledge and, furthermore, to their
common
dependence.
Recently the interdisciplinary rally of the law-seeking (nomothetic) man- whether labeled "social sciences" or "humanities" - has
sciences of
been brought forward by the Panel of Special Consultants attached to the Department of Social Sciences at Unesco, and the modalities of such a
cooperation underwent a stimulating discussion. The spontaneous and
many-sided
interest manifested
Linguists (Bucharest, 1967) for the ties between the science of language
disciplines
is
It is
symptom-
interrelations
man
ap-
due primarily
to the un-
lin-
guistics is recognized both by anthropologists and psychologists as the most progressive and precise among the sciences of man and, hence, as a methodological model for the remainder of those disciplines (cf. 101,
9).
As Piaget
states,
"La
bien que par la prcision de son devoir, et elle entretient avec d'autres
disciplines des relations d'un
p. 25).
Already at the
and splendidly
the "studies
among
to
271).
other sciences of
man and
some natural
modern
few earliest branches of knowledge. A keen outline of Sumerian, the most archaic among the extant grammatical writings, is separated from us by almost four thousand years; both linguistic theory and praxis have
displayed a varied and continuous tradition from ancient India and Greece
657
finally, the
manifold
which impels us
what place does it occupy among the sciences of man and what is the outlook for interdisciplinary cooperation on a strictly
to raise the questions
reciprocal basis
interdisciplinary collaboration"
could actually be matched by the sciences of man, in view of the fact that
a firm logical
filiation
and a hierarchical order of underlying concepts in and complexity are manifestly present in the
among
the
man
(137, p. 2).
those early classificatory attempts which did not take into account the
science of language.
If,
is
man,
affinities
The
man,
in turn,
demands
their serial
words" (108, Book IV, Ch. XXI, 4). Charles Sanders Peirce, convinced that many passages of the Essay Concerning Humane Understanding "make the first steps in profound analyses", took over Locke's term
"semiotic (auueicTiKf))" which he redefined again as the "doctrine of
II, 649, 227). This pioneer and "backwoodsman" in the work of clearing and opening up "the new discipline" issued the first of his numerous attempts toward a classification of signs in 1867 (I, 545 ff.) and devoted a "life-long study" to "the doctrine of the essential nature and fundamental varieties of possible semiosis" (V, 488). Since his drafts of the nineties, where the name "semiotic" was first introduced for the new branch of knowledge, were published only in the posthumous
signs" (136,
known
to Ferdi-
nand de Saussure when, like his American precursor, the Swiss linguist in turn conceived the need for a general science of signs which he tentatively
named
tation of language
and
all
658
INTERDISCIPLINARY OUTLOOKS
language: "Puisqu'elle n'existe pas encore, on ne peut dire ce qu'elle sera: mais elle a droit l'existence, sa place est dtermine d'avance***. Par
l,
non seulement on
clairera
le
comme
des signes,
un autre
les
jour, et
on
grouper dans
(156, p. 33).
la
smiologie et de
expliquer par
de cette science"
The
first,
tive science
d'une science
trs
gnrale, qu'il appelle smiologie et dont l'objet serait les lois de la cration
de
la
et
est
une
is
as Naville
comments,
Comme
le
hommes,
du langage***. La
linguistique est,
ou ou du moins
We
new
discipline
On these grounds
Leonard Bloomfield
vital significance for
stated (1
1, p. 55).
of
some or
language
all
are.
The
signs
may
is
One
variety
Such
writing,
which
is
(e.g. 66).
However,
former
al-
entities, the
ways functions
and the
latter as
a signatum.
On
the other
autonomous
scientific analysis
659
The
drumbeats
Morse code
its
153,
More
or
less
artificial
constructs for
may
be termed transforms of
The comparative study of formalized and natural languages is of great interest for the elicitation of their convergent and divergent characters and requires a close cooperation of linguists with
logicians as experts in formalized languages.
According to Bloomfield's
a branch of science closely
linguists
reminder, which
is still
opportune, logic
"is
to
precision
and
explicitness.
On
A serious
impediment
in such
is
the
still
persistent view
As Chomsky
"artificial"
sensitivity
The
shifts,
which induce
activities
its
creativity
creative
in the
One
pointed to the decisive role which "language of the ordinary kind" plays
in the "birth of
new
was
certainly
tive Gestalt
The Freudian concept "id" prompted by the es-Stze; the German conspicuous derivafavored the kneading of a new trend in psychology. As
It is just
natural
660
INTERDISCIPLINARY OUTLOOKS
human
The
must be respected by the experts in the one or the other variety (cf. 135,1 38). Andersen's tale about the ugly duckling is not to be reenacted, and the logician's contempt for the synonymy and the homonymy of the natural
language
is
Throughout the long history of linguistics, criteria peculiar to technical constructs are imposed arbitrarily upon natural language not only by logicians but sometimes by linguists themselves. For example, we run up against heteronomous and forced
tautologous propositions of logic.
attempts to reduce natural language to declarative statements and to view
requisitive (interrogative
alterations or para-
by logicians are based on the formalized languages, whereas pure linguistics can only proceed from a consistently intrinsic analysis of natural
languages.
As a consequence, the entire approach to such problems as meaning and reference, intension and extension or the existential propositions and the universe of discourse is quite different; but these distinct views may be interpreted as two true, while partial modes of description
which face each other
by Niels Bohr.
matics
in a relation safely defined as
"complementarity"
The formalized language of highest refinement is attained in mathe(cf. 14, p. 68), and at the same time its deep embeddedness in
is
ordinary language
upon
de
la
"has to
in the colloquial
language" (183,
clusion
p. 118).
from
this relation
is
stated that
"since mathematics
mathematics and customary language are the two polar systems, and each
of them proves to be the most appropriate metalanguage for the structural
analysis of the other one
(cf. 117).
to
meet both
linguistic
and mathematical
and, therefore,
661
on the
two
disciplines.
The
set theory,
Boolean
and
information theory
(cf.
gives a transcription
may
be cited as an eloquent
example
(62).
Gesture accompanying
the
two
all
systems of communication.
from language and performable also out of touch with verbal means, must be subjected to a comparative analysis with special regard for the convergences
and
diver-
The
classification of
:
human
sign systems
must
dance with Peirce's triadic division of signs into indices, icons, and symbols
with the transitional varieties); discrimination between sign production
and mere semiotic display of ready-made objects (cf. 132; 150); difference between merely bodily and instrumental production of signs; distinction
between pure and applied semiotic structures; visual or auditory, spatial
or temporal semiosis; homogeneous and syncretic formations; various
relations
Each of these divisions must obviously take into account diverse intermediate and hybrid forms. 1 The question of presence and hierarchy of those basic functions which
we observe
in language
upon
A special study by the present author is to be devoted to the classification of sign systems, with particular reference to the versatile inquiry into semiotic problems which
1
662
INTERDISCIPLINARY OUTLOOKS
upon the
arts
message
verbal,
(artistic
musical,
choreographic,
theatrical,
and
filmic
belongs to the most imperative and fruitful duties of the semiotic science. Of course the analysis of verbal art lies within the immediate range of the
linguist's vital interests
atten-
may
be depicted
and
with respect to the poetic function of language as well as to the artistic The comparative study of poetry
latter
and other arts as a teamwork of linguists and experts in all the fields stands on the agenda, especially in view of the speech which
feres in
inter-
and sound
(On the
human
sign systems
eminent
over
all
and
in
and
all
(8, p. 28).
signs in regard to
all
other deliber-
gestures
after
the rudi-
movements of the
speechless infant.
is
field
of linguistics
human communi-
of semiotic disciplines
is
wider concentric
cf communica-
tion disciplines.
When we
serves as a
means and ends. In was often overlooked that besides the more palpable, interits
intrapersonal aspect
is
equally im-
663
and
cf.
and future
(136, IV, 6;
linguistics
foimulation, "every cultural pattern and every single act of social behavior
involves communication in either an explicit or an implicit sense".
Far
partial or
16).
is
clearest delineation
of
this subject
most promising attempt " interprter la socit dans son ensemble en fonction d'une thorie de la communication" (101, p. 95, and especially 103). He strives toward an integrated science of communication which would embrace social anthropology, economatter and
who launched
the
mics,
and
linguistics,
or
let
tion - semiotic.
in
One can
exchange
of messages, exchange of
services),
and
ex-
change of
women
(or,
perhaps, in a
more
generalizing formulation,
linguistics (jointly
the
to the
same kinds of problems on different strategic levels and really pertain same field". All these levels of communication assign a fundamental role to language. First, both ontogenetically and phylogenetically, they imply the prexistence of language. Second, all forms of communication mentioned
are accompanied by
Third,
verbal
some verbal and/or other semiotic performances. all of them are verbalizable, i.e. translatable into messages. Here we do not dwell at length on the still controversial
if
non-verbalized,
(cf.
101, p. 396)
discipline.
and we
of
treat
both of them as
the science
man
as a talking animal,
and sociology
is
the science of
man
as a
two
664
INTERDISCIPLINARY OUTLOOKS
whole network of
social
communi-
cation.
If
of coded verbal units on the one hand, and of discourse on the other
(cf. 8, p.
structure of
oral tradition
becomes obvious.
ready-made.
in his notes
qu'en allant au
le
comme
dans
domaine
les
que toutes
les
comme
The
le
mot, ou
lettre
de
verbal aspect of
(cf. 25),
field
of research
and a consistently
their syntactic
down
the foundations
may
also give
101,
new
noted by Leach
(96), there
however, always
phenomena it functions as their substructure, groundwork, and universal medium. Therefore, "it is obviously easier to abstract linguistics
from the remainder of culture and define it separately than the reverse" (91, p. 124; and especially 178). Certain peculiar features of language are
connected with
this particular position
neither the ancient nor the contemporary languages of the world which
are
known
logical
show any difference whatever in their phonoand grammatical structure between more primitive and more
to the linguist
progressive stages.
665
at a tangled
and
creative interplay
between the array of our grammatical concepts and our habitual, sub-
and poetic imagery, but without authorizing as to imply some foremost compulsory relation between this verbal pattern and our purely ideational operations or to derive our system of grammatical categories from an ancestral world-view. The linguistic framework of courtship, marriage, and kinship rules and
taboos
is
their indispensable
implement.
The
careful
and exhaustive
is
and
religious life of a
community
a telling
illus-
domain of
anthropology
(26).
One may
recall that
economists of the Enlightenment Period used to attack linguistic problems, as, for example, Anne-Robert- Jacques Turgot,
who
did a study on
etymology for the Encyclopdie, or Adam Smith, who wrote on the origin of
language. G. Tarde's influence
circuit,
well-known.
Many common
developments in both
fields.
and its continual motion, undergo similar Fundamental economic concepts were
I.
Posokov, the
not
silver,
a ruble
is
Law
taught
on the
prince's signature.
At
money
economic transactions as
of messages", and the monetary system as "a code in the grammaticalsyntactical sense".
Ke avowedly
applies to the
studio di quel settore del segnico non-verbale, che consiste nella circola-
(148, p.
con una formula: Veconomia studio dei messaggi-mercV 62). In order to avoid a metaphorical extension of the term
it is,
"language",
money
as a semiotic
666
INTERDISCIPLINARY OUTLOOKS
of communication.
Since, however, "the
medium
language",
lin-
analysis.
linguistic
most helpful model for such an reasons for connecting economics with further are Yet there studies: the exchange of utilities "converted" into words (134,
concomitant role of language
in all
monetary
trans-
actions
and the
translatability of
money
(cf.
67, p. 568).
i.e.
the study of
sheer messages
and
wherein
messages play a relevant yet solely accessory role. In any event, semiotic
occupies a central position within the total science of communication
and underlies
all
comprises linguistics as
central section
which influences
all
other
Study
in
and anthropological
still
lin-
guistics represent a
frequent survivals
by individual linguists or linguistic teams on their own investigatory program should not be labeled "pernicious"; any particular emphasis
upon some
restriction
is
perfectly
is
legitimate.
What
would
be,
from
lin-
proper.
Linguistic experimentation
may
Such were,
ments
in
American
from
and
later at least
from grammatical
analysis.
Saussurian propensities to
667
performance).
None of such
eliminative experiments,
instructive
The various
tasks
and questions
all
advanced and
many
form an
same
structural analysis as
I
any other
By
the way,
factional dissensions
among contemporary
of
linguists
and
their divergences
in terminology, technique
of linguistic
structures
currents,
is
the
common denominator
all
four or five
decades from the main ways and targets of linguistics in the early twentieth
sociolinguistics
Hymes - must
p.
and
isolated
human
Any
tinct
verbal code
is
convertible
and
subcodes
or, in
Any
disposal
1)
more
explicit
and more
elliptic
explicit-
ness to an extreme
newfangled dictions,
3)
formal and informal, slovenly speech. The areally distinct and manifold
sets
mar.
Our
linguistic
performance
is,
of our linguistic code and border directly upon the grammatical categories
and accurate
scientific
description of a given language, and the place of these rules in the total
verbal pattern raises a challenging linguistic question.
668
INTERDISCIPLINARY OUTLOOKS
The diversity of interlocutors and their mutual adaptability are a factor of decisive importance for the multiplication and differentiation of subcodes within a speech community and within the verbal competence of its
individual members.
The
and
exchange of messages and usually creates multidialectal and sometimes multilingual aggregates and interactions within the verbal pattern of individuals and even of entire communities. An exact comparison of the usually wider competence of the individual as hearer and
his
is
68; 177).
in
world
linguistics.
The
and changes
new
illustrations to
factor.
The
ning
and plan-
(cf. 63; 170), and herewith to put an end to the last survivals of the neogrammarian noninterference in the life of language belongs to the
vitally
radius of communication.
Our
and ethnolinguistics (see particularly 75;59;17;106;29;58;46;48) shows that all of these questions require a strictly and intrinsically linguistic
analysis for they are a pertinent
and inalienable part of linguistics proper. William Bright shrewdly points out the common denominator of these
is
cf. 73).
may
be characterized
its
endeavors to
static,
uniform system of
mandatory
struct
rules
and to supplant
this oversimplified
and
artificial
con-
diversified, convertible
As
far as this
narrow conception
again,
we must
conclusions so long as
we do not
take the
lin-
guistic reality.
669
Since verbal messages analyzed by linguists are linked with communication of nonverbal messages or with exchange of utilities
linguistic research is to
pological investigation.
and mates, the be supplemented by wider semiotic and anthroAs foreseen in Trubetzkoy's letter of 1926 (174),
communication
is
and
commune
la
langue
et
la socit,
les
les
commandent
ces
"Nous sommes
conduits, en
effet,
nous demander
si
divers
phnomnes dont
la
mme du langage*** il
vie sociale assez
passage
communes aux
structures
tre
spcifiques relevant de
lgitime
il
s'agira
de
les
comparer.
On
se
l'on a atteint
profonde
ou non en
ralits
du mme
relations
He
on
and
his paternal
admonition to build up a
Until now, however, the initial steps in this direction were taken
precisely
by linguists,
correlation of language
linguistic literature
76).
and sociocultural problems made in Russian on the threshold of the 1920's and '30's (cf. 179; 140;
Sociologists
language can do more for sociology than sociology can do for linguistic
studies,
The variable radius of communication, the problem of contact between the communicants - "communication and transportation" - aptly
advanced by Parsons as the ecological aspect of the systems, prompts
670
INTERDISCIPLINARY OUTLOOKS
and societ>. Thus, the striking homogeneity of nomads' languages bears an obvious relation to
nomadic roaming. In hunting tribes, for long periods hunters remain out of communication with their women but in close
the wide radius of
Hence, their language undergoes a noticeable sexual dimorphism reinforced by the multiform taboo changes which hunters introduce in order not to be understood by animals.
The
relation
linguistics
or,
generically,
from the interrelation of the three concentric circles discussed above: communication of verbal messages, of any messages, and communication in general. Psychology of language, or, under the label current nowadays
- "psycholinguistics" (which translates the inveterate
German compound
and to the
latter's
monograph of 1855 on
the
between grammar and psychology, although we still hear authoritative assertions that until recently psychologists remained indifferent to language, and linguists to psychology. Blumenthal is right when
he states that
this current belief "belies historical facts" (12), but he, too,
has been unaware of the true scope and longevity of such interdisciplinary research. In the world history of science since the mid-nineteenth century
one could hardly name a psychological school which did not endeavor to apply its principles and technical devices to linguistic phenomena and
which did not produce representative works devoted to language. Furthermore, all of these successive doctrines left a significant imprint on con-
temporaneous
modern
linguistics with
no
temporary alienations.
In the
first
the science of language, there arose a strong need for applying strictly
and
guistics
warned his disciples against an excessive dependence of linon psychology and insisted expressly on a radical delimitation of approaches (see, e.g., 54, p. 52). The Husserlian phenomenology with its
struggle against the
was another
complained and
671
at that time
little
Sapir's expectation
still is
was soon
fulfilled by Karl Bhler's book (24) which most inspiring among all the contributions
psychologists dealing with language began to realize that mental operations connected with language
essentially different
from
any other psychological phenomena. The necessity to master the foundations of linguistics
Miller's
evident.
However, George
linguists.
mind deployed by the and elucidation. Among relevant questions, partly discussed by psychologists and partly awaiting an answer, one may cite speech programming and speech perception, the perceiver's attention and fatigue, redundancy as an antidote against psychological noise, immediate memory and simultaneous synthesis, retention and oblivion of verbal information, generative and perinward aspects of speech, the so-called
interlocutors,
strategies of
ceptive
memory
different
mental types
less status
ments and
language for
cognitive operations as
prelingual status.
communication and
is
to
communication
in
In
all
and so long
do not
psychology can and must derive genuine benefit from mutual lessons.
One
concepts - in short,
require,
first
and
interpretation.
672
INTERDISCIPLINARY OUTLOOKS
still
The
doomed
the linguistic
grammar as an "explanatory and interpretative discipline" opposed to grammar which he believes to be merely descriptive and
misconception
p. 63). in
1,
the use of conjunctions in a given language the psychologist can infer "die
and
analysis. Similarly,
no
psychological contrivances
may
growing mastery of
called to correlate
language; this inquiry demands a careful application of a purely linguistic technique and methodology, but the psychologist
is
and behavior (cf. 120). The communication science en all its three levels is concerned with the multiple rules and roles of communication, the roles of its partners, and
the rules of their partnership, whereas psychology
is
and
internal
Psychology of language
is
utter
One
and both theory and therapeutics may find a stimulation in Lacan's attempts to revise and reinterpret the correlation between signans and
signatum in the mental and verbal experience of the patient
linguistics guides the analyst, the latter' s
(94).
If
the signans'" may, in turn, deepen the linguist's insight into the twofold
II.
LINGUISTICS
anthropological sciences
673
vaster field
of
human communication become a mere section of a much may be entitled ways and forms
:
of commua decisive
all
the
communication systems of
differ
mankind each system of communication is corand within the over-all network of human communication, it is language that takes the dominant place. Several essential pioperties notably separate verbal signs from all kinds of animal messages: the imaginative and creative power of language; its ability to handle abstractions and fictions and to deal with things and events remote in space and/or time, in contradistinction to the
creatures, because for
hie et
stituents
which was labeled "double articulation" in D. Bubrix's peneabout the uniqueness and origin of human language
tive
into the
units vs.
finally,
The numThe
is
tantamount to
totally unfa-
confined to
human
(4).
now
of primates
to
On
we cannot share objections raised recently on the linguistic "studying animal communication systems within the same
framework as human language" and motivated by a presumable lack "of continuity, in an evolutionary sense, between the grammars of human
languages and animal communications systems" (31,
p. 73).
semiotic structures
and a systematic comparison of men's speech and their other and activities with the ethological data on the
all
communicative means of
674
of these two distinct
INTERDISCIPLINARY OUTLOOKS
fields (cf.
substantial homologies
tive analysis will
signs.
and no less important differences. This comparapromote a further broadening of the general theory of
and descriptions of animal communication belonged until recently to the neglected tasks, and records made were usually fragmentary, unsystematic, and superficial. At present we For the most
part, observations
possess
ever, in
and
sill;
how-
addressed simultaneously to
(cf. 2).
The nature-nurture dichotomy (cf. 40, p. 55) offers an utterly entangled problem. The buildup of animal communication implies, in Thorpe's
terms, "an elaborate integration of inborn and learned components", as
in eggshells
from
171;
They
still
inborn blueprint of the song proper to the habit of their species or even
to the dialect of the subspecies,
this
"is
corrections and ameliorations. If hearing has been left intact and the bird
returns to
its
no ameliorations and additions are achievable in the warbling skill of a chaffinch when it is more than thirteen months old. The lower the organism, the more nature prevails over nurture, but even lower animals can benefit from learning (118, p. 316). As Galambos states, learning is common, for example "to octopus, cat, and bee despite the large differences in their neural apparatus" (50, p. 233).
Also in the child's acquisition of language, nature and culture are
interlaced: innateness constitutes the necessary basis for acculturation.
However, the hierarchy of both factors is opposite: learning for children, and heredity for fledgelings, cubs, or other young animals acts as the
determining factor. The infant cannot begin to talk without any contact
is
provided he has
(cf.
675
animals and for human beings can take place only between two chronological
maturation
limits.
This puzzling
universally
phenomenon and
exclusively
is
human and
human
the
property imperatively
call for
among
special
branches of science,
sociology, and psychology, on the other" (11, p. 55) is most opportune. The complete failure of mechanistic efforts to transplant biological (e.g.
Darwinian or Mendelian) theories into the science of language (157; 51) or to fuse linguistic and racial criteria led linguists temporarily to distrust
joint designs with biology, but at present,
and the study of life have experienced continuous progress and stand before
new, crucial problems and solutions,
this skepticism
The
ment"
Language and other means of human communication in their various operations - mutatis mutandis - offer many instructive analogies with the
transfer of information
among
"The
multiform
varieties,
which has
been outlined pithily by Wallace and Srb (184, Ch. X), involves two correlate genera - self-adjustment to the environment and the adjusting of the
environment to one's
own
needs.
Indeed, it becomes one of the "most and - again mutatis mutandis - it is also a
concern of present-day
linguistics.
The
life
of language and in animal communication merit a diligent and comprehensive exploration and juxtaposition beneficial both for ethology and for
linguistics.
the
first
mutual suggestions
attracted
it
was in
which
676
INTERDISCIPLINARY OUTLOOKS
of language as well as biology more and more. The usual manifestations of such a linguistic nonconformism, particularism or "parochialism"
{esprit
analogues, and biologists investigate and describe what they call "local
dialects" that differentiate animals of a single species, for instance,
crows
fireflies
From
the testimony of
many
same bird
Thorpe
"these are true dialects and are not based on genetic discontinuities".
During the
last five
decades
many
significant universals
have been
among
no one
any
structural features
which would
inborn
abilities to
acquisition.
Human
any
as biologists term
it,
species-specified.
There are
in
lernt nur,
was er
and no extant phonological or grammatical laws overstep capacities. How far the inherited potentiality to grasp, adjust and
an
utterly speculative
and
sterile question.
It is
evident
:
they
and complement each other. Like any other social modeling system tending to maintain
its
its
dynamic
and
self-
self-regulating
embedded
and do not
in his
and
some
us
and
in verbal plays
- private
677
deepened
all
(1
00 56
;
severly limited
Hoffmann's
laws
is
fairy stories.
To
collective consensus
(13).
human
behavior"
is,
"such regularities as
emphasized by
or, inversely,
modern
biologists,
is
One of
the
most
striking
is
examples of the
intensive adjustments
needed
Children's
gift
first
language
command
germ
cell,
For example,
in the
and
children, as
it
comprehend these grammatical processes and concepts and to penetrate, step-by-step, into the numerous intricacies of the adults' code. All the devices needed for its attainable mastery are used by the beginner: its
initial simplification
demands
of language" (98, p. 379). But the question of genetic endowment arises as soon as one deals with the very foundations of human language.
678
INTERDISCIPLINARY OUTLOOKS
spectacular discoveries of the last few years in
The
molecular biology
lin-
The
title
information fully
deciphering of the
justifies the
DNA
much
that
is
a language
on the gradual breakthrough of the DNA code Yanofsky's (191) Crick's (34) and in molecules embodied "the four-letter language accounts of condensed of nucleic acid", we actually learn that all the detailed and specified genetic information is contained in molecular coded messages, namely in their linear sequences of "code words" or "codons". Each word comprises
From
out the genetic message". The "dictionary" of the genetic code encompasses 64 distinct words which, in regard to their components, are defined
as "triplets", for each of
letters.
Sixty-one
of these
triplets carry
"
l'ancienne notion
du
com-
donc succd
celle
d'une squence de
un message chimique inscrit le long des chromosomes. La surprise, c'est que la spcificit gntique soit crite, non avec des idogrammes comme en chinois, mais avec un alphabet comme en franais, ou plutt en morse. Le sens du message provient de la combinaison des signes en mots et de l'arrangement des mots en phrases.*** A posteriori, cette solution apparat
bien
comme
la seule logique.
Comment
une
telle simplicit
de moyens?" (78,
p. 22).
may
arouse doubts
among some
geneticists
in-
mere
679
guage, and the Morse alphabet is but a secondary substitute for letters, the
subunits of the genetic code should be compared directly with phonemes.
Hence, we
may
state that
among all
genetic code
discrete
and the verbal code are the only ones based upon the use of components which, by themselves, are devoid of inherent meani.e.
entities
endowed
les
Confronting the
:
"Dans
deux
langage, soit
un
The
however,
much
farther.
All
posable into several binary oppositions of the further indissociable distinctive features.
thymine
(termed
size relation
T and
and A.
On
two pyrimidines
(T
vs.
to Freese's
Thus T:G = C:A, and T:C = G:A. Only the twice opposed bases prove to be compatible in the two complementary strands of the DNA molecule T with A and with G. Linguists and biologists display a still clearer insight into the consistently hierarchical design of verbal and genetic messages as their fundamental integrative principle. As pointed out by Benveniste, "une unit linguistique ne sera reue telle que si on peut l'identifier dans une unit plus haute" (8, p. 123), and the same device underlies the analysis of the "genetic language". The transition from lexical to syntactical units of different grades is paralleled by the ascent from codons to "cistrons" and "oprons", and the latter two ranks of genetic sequences have been equated by biologists with ascending syntactic constructions (see, e.g., 144), and
orders of the donor and acceptor.
:
DNA
message the "words" are not separated from each other, whereas specific
limits
680
INTERDISCIPLINARY OUTLOOKS
between the cistrons within the operon. They are metaphorically described as "punctuation marks" or "commas" (77, p. 1475) and actually
correspond to the delimitative devices used in the phonological division
of the utterance into sentences and of the latter into clauses and phrases
(Trubetzkoy's Grenzsignale: 175).
ly
If,
explored
field
is
its
words display a variety of dissimilar contextual meanings. The recent observations of changes in the meanings of codons, depending on their
position in the genetic message (33),
may
The
strict
and
decoding operations characterizes both the verbal language and the basic
phenomenon of molecular
message
who, by collating the original messages with their peptidic translation, detect the "synonymous codons". One of the communicative functions of
verbal
synonyms
its
is
homonymy
(e.g.
utterances
substituting adjust for adapt to prevent the easy confusion of the latter
word with
partial
homonym
adopt),
and
biologists question
whether a
de
synonymous
l'criture
Linguistics
and cognate
and
who
gives either
an overt or
at least a silent
it
As
said to be irreversible
circuits disclosed
by
119,
slight
straight,
68
information in
programming role of language bridging and the future is now on the agenda. It is
(9, p.
compared the molecular codes which "reflect the processes of the forthcoming development and growth" with "language as a psycho-biological and psycho-social structure" endowed with an anticipatory "model of the
future".
between
same
in all organ-
isms" (185,
p.
codes of
all
human
substitutes?
becomes particularly
instructive
The
momentous
stores of
two fundamental
The outlined
properties
common
and genetic
When
and that without speciation there would be no diversification of the organic world and no adaptive radiation (1 19, p. 621 cf. 43, 45), similarly, languages, with their structural regularities, dynamic equilibrium, and
;
99)
other.
itself, is
Now,
since "heredity,
682
INTERDISCIPLINARY OUTLOOKS
tion" (184, p. 71), and since the universal architectonic design of the
verbal code
is
Homo
sapiens, one could venture the legitimate question whether the isomor-
phism exhibited by these two different codes, genetic and verbal, results from a mere convergence induced by similar needs, or perhaps the foundations of the overt linguistic patterns superimposed upon molecular communication have been modeled directly upon
its
structural principles.
The molecular
in the
There
is,
The study of these physiognomic characteristics was inaugurated by Eduard Sievers under the label Schallanalyse and developed by him and
his disciple, the ingenious musicologist
first
and musicians
proved to belong to one of the three basic types (with further subdivisions)
expressed in the entire exteriorized behavior of any individual as specific
mapped
Hauptschlag:
spitz spitz
Nebenschlag:
spitz
(Heine-type)
rund rund
(Goethe-type)
(Schiller-type)
rund
If
recite, sing,
or play a
work of a poet
to
the author
two
mungen).
It
motor activities, such as the manner of bodily, manual, and facial movements, gait, handwriting and drawing, dancing, sport, and courtship. The attractions and repulsions between different types act not only within a single motor sphere but also across the diverse spheres. Moreover, the effect of certain auditory and visual stimuli is akin to one of the three motor types, and, correspondinginterrelations apply to all kinds of our
683
these incentives
may
was
experienced by readers
when
now
of a coincident and
now
of an
opposite type.
In his notable summarizing report
asserts "dass sie das konstanteste sind,
mag
es
auch
zum
knnen),
und dass
allein
bei ihrer
bertragung
vom Individuum
ist
zu Individuum die
die
es
auch
zu verstehen,
wenn ganze Stmme oder gar Vlker sich manchmal fast bis zur Ausschliesslichkeit nur einer und derselben Beckingkurve bedienen" (160, p. 74). The innateness of the three "individual curves" seems probable
but
still
of the two inquirers, yet which originally lacked any theoretical foundation, unfortunately
Sievers'
and Becking's
as attraction
types in the
these variations
upon
relations
The
physicist Niels
biologists
He
684
INTERDISCIPLINARY OUTLOOKS
acknowledges (27, p. 5), "make a useful introduction" to the latter's book - and, one could add, to many other cardinal works - on organic,
especially
human,
evolution.
is
The
for
all
of vital interest
activities,
and the
judgments advanced may serve to corroborate a consistent application of a means-ends model to the language design, to its self-regulating maintenance of integrity and dynamic equilibrium (homeostasis), as well as to
its
mutations
(cf.
same
labels
in
haphazard,
random changes,
still
stances" - are
and
I).
Wallace
and Srb
are
to
no longer
related to
any
belief in
an lan
According
He
sees
quotation
marks"
the
(45, p. 207)
same thing"
(44, p. 162).
As the leading Russian biologist of our time, "numerous observations and data in all the areas of biology have shown already for a long time an indisputable purposiveness in the structures and processes peculiar to the living organ168) biological studies.
N. A. Berntejn recently
stated,
isms.
from any objects of inorganic nature. In how and for what reason,
supplemented by a third, equally relevant question for what purpose" (9, p. 326). "Only the two concepts introduced by biocybernetics, the code
way out of
this
seeming deadlock"
327).
"All the
embryology and
ontogeny as well as on the phylogenetic scale show that the organism in its development and activities strives for the maximum of negentropy
685
compatible with
no psychologization" (p. 328). "The biological relevance pushes the indispensable and unavoidable question for what purpose into first place" (p. 331). The discovered ability of organisms to build and integrate material codes which reflect the manifold forms of activity and extrapolative performances from tropisms to the most complex forms of influence upon the environment enables Berntejn "to
'purpose' requires
etc.
of any organism
whatever, perhaps starting with the protists", without any risk of sliding
An
of
life
even more resolute claim for the autonomous status of the science
was expressed by the eminent Harvard biologist George Gaylord Simpson: "The physical sciences have rightly excluded teleology, the
principle that the end determines the means, that the result
is
retroactively
is
in
any
Simpson repeatedly insists that and that the reductionism "omits the bios from biology" (161, p. 86).
them"
(p. 371).
is
incontrovertible"
but
is
essential".
He
explains "that
it is
organism to
be oriented for the change that occurs. The intrinsic nature of the organ-
ism influences the range and direction of change that can occur; the
all
word
purpose'" (152).
scientific
onomy" for
"teleology" in order to
make it
freed
and
description of end-directedness"
from undesirable associations metaphysical dogma. The new term carried the idea
is
life "is
relative
and end-directed", and that any randomness is "the converse of organizaThe new term proved to be opportune (cf. 190), and, in Monod's view, "la Tlonomie, c'est le mot qu'on peut employer si, par
686
INTERDISCIPLINARY OUTLOOKS
objective,
si les
pudeur
on prfre
viter 'finalit'.
Cependant, 'tout
se passe'
comme
vue d'une
fin; la survie
celle
de l'espce" (125,
p. 9). Monod describes the central nervous system as "the most evolved of teleonomic structures" and ventures to interpret the emergence of the
superior, specifically
human
language which changed the biopshere into "a new realm, the noosphere, the domain of ideas and consciousness". In other words, "c'est le langage
qui aurait cr l'homme, plutt que
If the questions
l'homme
still
le
langage"
(p. 23).
of goal-orientation are
under discussion
in biology,
any doubts are misplaced as soon as we approach human being, lifeways, and institutions, in particular, human language. The latter, like man him-
MacKay's sagacious formulation, "is a teleological or goaldirected system" (114; cf. 71). The obsolete belief that "purposiveness
self in
(98, p.
human
still
last survivals
of a
sterile
reductionism. As
we may
cite
no place
subject to
is
all
part of the
36
cf. 67).
categorically rebuffed
by
As
As
for animalism,
Dobzhansky condemns
man
is
that
"human
have
and processes that do not occur in conjunction in nonorganic materials and reactions" (162, p. 367). While biology has realized
fully that the units
of heredity are discrete and, hence, nonblending, the of reductionism, endeavors to explain
same
the emergence of the discrete constituents of the verbal code through the
687
(!)
"phenomenon of blending"
(69, p. 142).
as "the only
(!)
logically
(!)
possible
way"
The ultimate phylogenetic question of linguistics, the origin of language, has been proscribed by the neogrammarian tenet, but at present the emergence of language must be brought together with the other changes which mark the transition from prehuman to human society.
Such a juxtaposition can also give certain clues for a
between language and visual
the presence of language
art (22; 143).
relative chronology.
earliest vestiges
of representative
quem.
the solely
Moreover, we
achievements:
1.
may
among
human
2. rise
of phonemic,
meaningful
units,
3. incest
taboo, con-
by anthropologists (115; 188; 105; 151) as the indispensable precondition for a wider exchange of mates and hereby for
clusively interpreted
men's "solidarity transcending the family" (133). As a matter of fact, all of these three innovations introduce pure auxiliaries, secondary tools
which serve to construct the primary tools necessary for the foundation of
human
society with
its
material, verbal,
and
spiritual culture.
An
abstract
mediate principle
all their
lies in
three aspects
the idea of secondary tools, and the emergence of must have been the most cardinal step from "ani-
of these
of articulate speech for the formulation of rules which define and prohibit
incest
and inaugurate exogamy (187) prompts a further specification of the it, "distinctions between
are permitted or favored as mates
who
naming
mastered by one
who can
handle a
human language"
The
may
be likewise assumed.
its
former piecemeal,
688
INTERDISCIPLINARY OUTLOOKS
instructive
Among
on
cite
Zinkin's comprehensive
New
York,
programmed and
controlled
acts,
auditory effect and to the purpose they serve in language, requires coordinate efforts of experts in
the facets of phonic
As soon
as such
team work
achieved, the
its
thoroughly
relativistic
sientific
field of modern research (14, p. 71). The deepest discernment of the relation between the human organism and its verbal abilities and activities is achieved by the mutual help of
NEUROBiOLOGiSTS and
lesions of the cortex
linguists in a
and the
An
intrinsisix
types of aphasia which have been delineated by Luria (110) and corro-
(cf. 64).
The
classification of aphasie
impairments based on
patently coherent
and symmetrical
relational pattern,
proves to
coincide with the topography of the cerebral lesions responsible for the
diverse impairments (84).
inter-
language
may
aphasia, on the one hand, and into agraphia and alexia, on the other, must throw new light on the interrelation between spoken and written
language, their
ties
from a
masia"
parallel research in
(cf. 84, p.
and divergences, while general semiotic will benefit language disorders and other forms of "aseis
So
known about
communication and,
in particular,
689
and input of distinctive features; let us hope that in the near future neurobiology will provide an answer to this question of primary interest for the
comprehension and further study of the ultimate
transmission obtains a
linguistic units.
Their
who
their intrinsic
sets
This research
becomes
particularly productive
when
matched with the psychophysical data, as, for instance, with the recent findings of H. Yilmaz who has disclosed a basic structural homology not only between the vowels and consonants but also between the speech
sounds perceived by the
eye (192).
human
human
subject
Acoustics
is
common
matter with the science of language. Yet the gradual reorientations both
in physics
and
linguistics
common
Saussure
to both sciences
still
and questions which turned out to be and deserve a concerted discussion. F. de believed that "dans la plupart des domaines qui sont objets
question des units ne se pose
p. 23); at that
de science,
la
mme
d'emble" (156,
protagonists
elementary units.
Today
form the nucleus are not built from even smaller discrete units labeled "quarks", and the underlying principles of these physical and linguistic debates are of mutual interest and use also for other fields of knowledge. Although the interaction between the object under observation and the
observing subject and the dependence of the information obtained by the
observer on his relative position, briefly, the inseparability of objective
content and observing subject (14, pp. 30, 307), are realized nowadays
from
this
for instance,
when mixing the speaker-hearer's standpoints, investigators The possibility and desirability of applying Bohr's
was brought out already by
his
690
INTERDISCIPLINARY OUTLOOKS
outstanding compatriot Viggo Brndal (19), but it still awaits systematic examination. Many more examples of new, common, theoretical and
as, for
symmetry and antisymmetry which acquire a still more important position in linguistics and in natural sciences, as well as questions of "temporal" or "morphic" determinism and of reversible fluctuations or irreversible changes
(cf.
common
to
sciences
particular
the
new
prospects.
The
Niels
joint seminar
Bohr over
ten years
conclusion that
is
one-sided.
Actually, the information obtained from the outer world by the physicist consists merely of one-way "indexes", and in their interpretation he
own code
exists
of "symbols", an additional
"work of imagination"
(in Brillouin's
community
as an indispensable
and
a factual
in the interpretation
of the
phenomena observed.
Since, in the end, science
(70, p. 15), the interaction
is
demands control of
and
these tools as an
sum-
moned
to
Based on the report in the Plenary Session of the Tenth International Congress of Linguists, Bucharest, 30 August 1967, and written as a part of the author's survey "Linguistics" for the Unesco publication Main Trends in Social Research; reproduced with the kind permission of Unesco.
2
The author gratefully acknowledges valuable discussions with George Beadle, Emile Benveniste, Suzanne Bourgeois, Jacob Bronowski, Jerome Bruner, Zell ig Harris, Franois Jacob, Claude Lvi-Strauss, A. R. Luria, Andr Lwoff, Leslie Orgel, David McNeill, Talcott Parsons, Karl Pribram, Jonas Salk, Francis Schmitt, and Thomas Sebeok, as well as the assistance of the Research Laboratory of Electronics (M.I.T.), the Center for Cognitive Studies (Harvard), and The Salk Institute for Biological Studies, all of which have graciously furthered the researchwork connected with this study, and thanks Bevin Ratner for her help in its preparation.
691
.
1.
SOURCES CITED
2.
3.
4.
Actes du Premier Congrs de Linguistes du 10-15 avril 1928 (Leiden, 1928). R.D.Alexander and Moore, "Studies on the Acoustical Behavior of Seventeen-Year Cicadas", The Ohio Journal of Science, LVIII (1958). H.Alpert, Emile Durkheim and Sociology (New York, 1939). S.A. Altmann, "The Structure of Primate Social Communication", Social Com-
..
munication
5.
among
D.L.Arm
G.
(ed.),
Journeys
6.
& M.Beadle,
of Genetics
(New York,
7. 8.
1966).
als Erkenntnisquelle
(Augsburg, 1928).
E.Benveniste, Problmes de linguistique gnrale (Paris, 1966), Chap. II: "Coup d'uil sur le dveloppement de la linguistique" Chap. X "Les niveaux de l'ana;
:
lyse linguistique".
9.
10.
T. Bever,
1968).
N. Berntejn, Oerki po fiziologii dvienij ifiziologii aktivnosti (Moscow, 1966). W.Weksel (eds.), The Structure and Psychology of Language (New York,
L. Bloomfield, Linguistic Aspects of Science (Chicago, 1939).
11.
12. 13.
A. L. Blumenthal, "Early Psycholinguistic Research", see 10. P. Bogatyrev, R Jakobson, "Die Folklore als eine besondere Form des Schaffens", Donum Natalicium Schrijnen (Nijmegen-Utrecht, 1929).
.
14.
15.
16. 17.
18.
19.
20.
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5.
see
122.
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gist,
127.
Ch.V.
128.
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F. S.
Understanding:
130.
131.
132.
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133.
T. Parsons,
"The
Incest
of the Child", British Journal of Sociology, VII (1954). 134. T. Parsons, Sociological Theory and Modern Society (New York, 1967). 134a. T. Parsons, "Systems Analysis: Social Systems", International Encyclopedia of
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La psychologie,
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142.
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(eds.),
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Social Life of
"Human
Purpose
see 167.
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III
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180.
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182. 183.
184.
185.
186.
187.
188.
The Nature of Life (London, 1961). C.H.Waddington, The Strategy of the Genes (London-New York, 1957). F.Waismann, Introduction to Mathematical Thinking; the formation of concepts in modern mathematics (New York, 1951). B.Wallace, A. M.Srb, Adaptation (Englewood Cliffs, N.J., 1964 2 ). J.D.Watson, Molecular Biology of the Genes (New York- Amsterdam, 1965). H.Weyl, Symmetry (Princeton, N.J., 1952). L.A.White, The Evolution of Culture (New York -Toronto -London, 1959); Ch. IV: "The Transition from Anthropoid Society to Human Society". L.A.White, The Science of Culture (New York, 1949): "The Definition and
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B.L.Whorf, Language, Thought and Reality (New York, 1965). G.C.Williams, Adaptation and Natural Selection (Princeton, N.J., 1966). C.Yanofsky, "Gene Structure and Protein Structure", Scientific American,
CCXVI (May
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196.
N.inkin, "An Application of the Theory of Algorithms to the Study of Animal Speech", Acoustic Behaviour of Animals (Amsterdam, 1963). N.inkin, "Issledovanija vnutrennej ei po metodike central'nyx reevyx pomex", Izvestija Akademii pedagogieskix nauk RSFSR, CXIII (1960). N. inkin, Mexanizmy (Moscow, 1958). English The Mechanisms of Speech (The Hague, 1968). N.inkin, kodovyx perexodax vo vnutrennej ei", Voprosy jazykoznanija,
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"
1964,
197.
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Roman
Edward
it is
is
the communicative
science of language
known
society."
The
makeup
The
communication,
and thus
linguistics
may
commu-
We
message
itself, its
virtual recipient.
We
study the character of the contact between these two participants in the
we
seek to
elicit
the code
common
to the sender
and
to the
and we
and the
differences
recollected
and we
When
we
and the cardinal and a monologue. A question to be studied is the increase in the "radius of communication", e.g. the multipersonal exchange of replies and rejoinders or the extended audience of
activities in the interlocutors,
a monologue which
may
it
whom
it
may
is
concern".
On
becomes ever
logical,
and above
all,
language
a vehicle not
698
INTERDISCIPLINARY OUTLOOKS
after
now, especially
S.
which anticipates, programs and closes our delivered utterances and in general guides our internal and external behavior, and which shapes the
silent retorts
seen by Charles
Sanders Peirce with a much greater sagacity than by his contemporaries were the substance and pertinence of the inner dialogues between the silent sayer and "that very same man as he will be a second after". The
verbal intercourse which bridges the spatial discontinuity of
its
partici-
pants
is
and
future.
in
human communication
society
a dominant role,
we have
of messages employed in
human
and
and functional particularities without forgetting, however, that language is for all humanity the primary means of communication and that this
hierarchy of communicative devices
other, secondary types of
is
ways dependent upon language, namely, on its antecedent acquisition and on the human usage of patent or latent verbal performances to
accompany or
interpret
is
made of
signs whatever
label smiologie,
all
kinds of mes-
whose
research field
is an integrated science of communicawhich embraces social anthropology, sociology, and economics. Again and again one may quote Sapir's still opportune reminder that
"every cultural pattern and every single act of social behavior involves
communication
in either
an
It
must be
re-
LANGUAGE
IN RELATION TO
699
membered that whatever level of communication we are treating, each of them implies some exchange of messages and thus cannot be isolated
from the semiotic
guage.
level,
which
The question of semiotic, and in particular, inherent in any pattern of human communication
guideline for the forthcoming inquiry into
nication.
linguistic ingredients
is
all varieties
of social
commu-
is
The present author's survey of "Linguistics in Relation to Other Sciences", to appear in the Unesco volume Main Trends in Social Research (see above, pp. 655-696) has touched upon some questions of
the relationship between the study in communication of verbal as well as
Here attention
be focused upon the need for classification of sign systems and cor-
Without
efforts
and
especially of verbal
Greek terms. In
to revise the
in-
traditional conception
or at least to alter
remains the soundest and safest base for the newly developing and
The multifarious
offer
between the
still
to force
all
scheme without attention would be and are detrimental, as on discard any common denominator for the
linguistic
damage
and general
semiotic.
The
first
advanced by Peirce
700
out his
life, is
INTERDISCIPLINARY OUTLOOKS
actually based
on two substantial dichotomies. One of them is the difference between contiguity and similarity. The indexical relation between signans and signatum consists in their factual, existential contiguity.
The
is
is,
a typical index.
in Peirce's terms,
The
iconic relation
"a mere community in some quality", a relative likeness sensed as such by the interpreter, e.g. a picture recognized as a landscape by the spectator.
We
preserve the
and even contradictoriness of meanings term other labels used for the same concept
forefinger's pointing
seem no
gesture,
less equivocal.
and to the
it,
factual resemblance
is
this car
diagram of
no
factual proximity
tied to its
The
indexes and
The
full
process.
No
painting
projection of the three dimensions onto a single plane through any kind
of pictorial perspective
picture
is taller
is
an imputed
quality,
and
if
in
the signans
signs,
and
in fact,
we observe such
Any attempt
Iconicity plays
tratingly glimpsed
by
Peirce,
On
The indexical aspect of language, penebecomes a more and more relevant problem the other hand, it is difficult to adduce a
ingre-
deliberate index
dient.
The
at
LANGUAGE
IN RELATION TO
701
(=
human
society.
Among
innumerable
cite
touch, perfumes and incense for smell, the selection, succession, and
taste.
would be
full
it is
human
on
and hearing.
An
from
visual ones.
two
axes, sequence
and
factor, as in the
motion
picture.
The prevalence of icons among purely spatial, visual signs and the predominance of symbols among purely temporal, auditory signs permit us
to interconnect several criteria relevant in the classification of sign patterns
and further their semiotic analysis and psychological interpretation. The two particularly elaborate systems of purely auditory and temporal signs, spoken language and music, present a strictly discontinuous, as physicists would say, granular structure. They are composed of ultimate discrete
elements, a principle alien to spatial semiotic systems.
These ultimate
hoc shaped
devices.
and instrumental. Among visual signs, gestures are produced by bodily organs, while painting and sculpture imply a use of instruments. Among auditory signs, speech and vocal music belong to the former type and instrumental music to the latter one. It is important to distinguish between instrumental production of signs
and mere
phonograph, telephone or radio does not change the structure of speech rendered the sign pattern remains the same. However, the wider diffu:
and time does not remain without influence upon the relation between the speaker and his audience and herewith upon the makeup of messages. Thus changes in the media of oral communication and the
sion in space
702
rise in the role
INTERDISCIPLINARY OUTLOOKS
of these new media can have their effect on the evolution of
discourse and
investigation.
become a
and sociological
radio,
which deprive our auditory perceptions of visual support, could hardly remain without consequences both for the perception and for the production
mere technical means of reproduction in such modern contrivances as the cinema, which from a mere mechanical reproduction of various visual
images has swiftly changed into an intricate and autonomous semiotic
system.
To
some
part of the
human body
either
directly or
through the
medium
which the Czech inquirer into this peculiar form of communication, Osolsob, has labeled ostension, may be illustrated by the exhibition and compositional arrangement of synecdochic samples of shop goods
in
show windows or by
theatric
sign of love.
A particular
kind of ostension
is
the
as signantia (actors) of
interpreter.
men
as signata (personae).
Any
sign requires
an
addressee.
condenses the addresser and addressee into one person, and the
forms of intrapersonal communication are far from being confined to verbal signs alone. The mnemonic knot on a handkerchief made by
Russians to remind themselves to accomplish an urgent matter
typical
self.
is
earlier
and
later
A
tion.
traditional code of
influences
flight
upon human
of birds
who
their addressers.
stance,
evoke a phallic
defined, in
image.
may be
oral tradition
(cf.
LANGUAGE
IN
703
by animals for the hunter's use but nevertheless serve as signantia enabling him to infer their signata and thus to identify the kind of prey as well as the direction and recentness of its passage. In a similar
way symptoms of
semiology
signs
(alias
which indicate and specify a physical disturbance, could be included if one follows Peirce in
The need
mere unintended indexes as a subspecies of a vaster semiotic for their interpretation as something that serves to infer
we must
from the smallest components to their interchange act always and solely as
phenomena
must take into consideration
instance, architecture, dress, or cuisine.
Language
is
entire utterances
and
The study of
signs,
we do not dwell
On the one hand, it is true that and on the other hand, it is like-
wise evident that builders' tasks are not limited merely to providing us
Any
edifice
is
simultane-
some
sort of refuge
and a
Similarly,
at the
garment responds to
pioneering
folk dress.
art
definitely utilitarian
requirements and
any same
monograph of P. G. Bogatyrev on
and geographical study of fashions and culinary from a semiotic standpoint could lead to many revealing and surhistorical
The
and their different hierarchy in the and metalingual diverse types of messages have been outlined and repeatedly discussed. This pragmatic approach to language must lead mutatis mutandis to an analogous study of the other semiotic systems: with which of these or other functions are they endowed, in what combinations and in what
phatic, poetic,
hierarchical order?
704
INTERDISCIPLINARY OUTLOOKS
or (to avoid the term relating chiefly to verbal art) with a dominant
esthetic, artistic function present
was made
level
to
two
first
fundamental factors
of
language.
The
and antonymity",
while the second, combination, the buildup of any chain, "is based on
contiguity".
When
became
is
language,
it
Equivalence
promoted
Nicolas Ruwet,
verbal art, with a
who combines
syntax
is
answer to the
aiming at
soi-
some extrinsic object, music appears to be un langage qui se signifie mme. Diversely built and ranked parallelisms of structure enable
interpreter of
the
infer
and
anticipate
series)
and the
Or
Stravinsky's
may
suffice:
"All music
is
The code of
whole
is
imputed
set
The
classification of relations
between
and
contiguity/similarity
and factual/imputed
The
which
signifies
and
dominates not only music but also glossolalic poetry and nonrepresenta-
LANGUAGE
tional painting
IN RELATION
705
Dora Valuer
states in her
mono-
graph
reste.
U Art
But elsewhere
and
in the
and
component is either absent or minimal in musical messages, even in soprogram music. What has been said here about the absence or scantiness of the referential, conceptual component does not discard the emotive connotation carried by music or by glossolalia and nonrepresentational visual art. Sapir's question remains opportune: "Does not the very potency of music reside in its precision and delicacy of expression of a range of mental life that is otherwise most difficult, most elusive of
called
expression?"
distinguish between
homogeneous
and
We observe specific
faced with the task
we hardly
find primitive
spoken but only sung verse; and, on the other hand, vocal music seems to
be more widespread than instrumental music. Thus syncretism of poetry
and music is perhaps primordial as compared to poetry independent of music and to music independent of poetry. Bodily visual signs display a propensity toward a combination with auditory sign systems: manual gestures and facial movements function
as signs supplementary to verbal utterances
or as their substitutes, whereas movements involving the legs and the bulk
Modern
most complex
and and
making
units,
compounds
signals, are
is
tanta-
706
INTERDISCIPLINARY OUTLOOKS
in social
com-
and other
insignia, trade
guished from
all
human
society.
In
all
other systems
may
be
makeup
is
relatively
independent of
though the
rise
language
is
phylo-
genetically
Two
typical substitutes,
audibility,
into
drum
in
common
of features to be retained.
transposition into another
medium
is
writing,
stability
and an
system render
single
phonemes,
language. Nonetheless, as
it
was
of linguistics and as
it
graphemic aspect
prone to develop
its
history of
two chief
dialectical tensions
speech and letters, is rich in and alternations of mutual repulsions and attractions.
linguistic varieties,
last decades the former diffusive dominance of the written and word has met the ever stronger competition of oral speech broadcasted by radio and television. The decisive difference between listeners and readers and correspondingly between speaking and writing activities
During the
printed
lies in
the transposition of the verbal sequence from time into spatial signs
which strongly attenuates the one-way character of the speech flow. While
the hearer's synthesis of a sequence
is
made
after
its
elements have
may
LANGUAGE
IN RELATION
707
motor accompaniment,
scientific
and technical
written variety.
inquirers into the
opaque and
irrational
to light
many
and John's
which can
signify
common
friend(s).
common
But the
depends precisely on
compliance of its meanings with the textual constraint. Just these semantic variables,
The uniqueness of natural language among all other semiotic systems its fundamentals. The properly generic meanings of verbal signs become particularized and individualized under the pressure of
is
manifest in
The exceptionally rich repertoire of definitely coded meaningful units (morphemes and words) is made possible through the diaphanous system of their merely differential components devoid of proper meaning (distinctive features, phonemes, and the rules of their combinability). These components are semiotic entities sui generis. The signatum of such an entity is bare otherness, namely a presumable semantic difference between the meaningful units to which it pertains and those which ceteris paribus do not contain the same entity. A rigorous dualism separates the lexical and idiomatic, totally coded units of natural language from its syntactic pattern which consists of coded matrices with a relatively free selection of lexical units to fill them
up.
still
greater freedom
and
still
more
elastic rules
of organization
Both
lexical
figures
an
effective narrative
by the
selective cuts
rules of
montage.
708
INTERDISCIPLINARY OUTLOOKS
If the motion picture competes with the craft of verbal narration, there one substantial type of syntactic structure which only natural or formalized languages are able to generate, namely, judgments, general and
is
It is
language deploys
communication.
Lecture delivered October 14, 1968 in Milan at the International Symposium "Languages in Society and in Technique" under the sponsorship of Olivetti. Reproduced from the Reports of this Symposium with the kind permission of the publishers.
RETROSPECT
RETROSPECT
Were we
its
most various
manifestations,
structuralism.
we could hardly find a more appropriate designation than Any set of phenomena examined by contemporary science is
and
the
basic task
is
system.
What
scientific
preoccupations
is
no longer
now
the
mechanical conception of processes yields to the question of their functions. Therefore immanent structural considerations of language and literature were predestined to take a prominent place in the debates of the [Prague International
Slavistic]
The Prague Linguistic which has faced the Congress with a whole set of problems of structural linguistics, unites a number of young Czech and German researchers from Czechoslovakia as well as several young Russian linguists. The activities of the Prague Linguistic Circle are not a work of an isolated group, but are closely linked with the contemporary streams of Western and Russian linguistics. One must, moreover, take into account the relationship between these activities and the international linguistic life of our time, in particular, such events as the methodological achievements of French linguistics, the fertile crisis of German science, and the endeavors towards a synthesis of two schools, one of which had been founded by the Pole Baudouin de Courtenay and the other by the Russian F. F. Fortunatov... There were no substantial objections to the theses defended by the Circle at the Congress, and especially the resolution about the tasks of Slavic structural linguistics was accepted unanimously. If, however, it had been submitted to a secret ballot, it would have certainly provoked a few votes against it. Such was, at least, the impression gained from talks in the corridors.
entered into the resolution of the Congress plenum.
Circle,
But, as a matter of fact, do the votes against mean much when they are devoid of any attempt towards argumentation? Such silent voices belong to those who realize that the recognition of the principles of structural linguistics generates the necessity for fundamental changes in the field of synchrony, in linguistic history and geography, and in the description of literary languages, whereas
such a thorough reorganization does not suit the adversaries' temperament. Hence it is a resistance of a psychological rather than logical nature. Due to a weaker methodological elaboration of literary studies as compared to linguistics, these studies are in danger of a lengthier crisis and the transitional stage in
712
RETROSPECT
an inundation of hopeless attempts at some undergoing an evolu-
IN,
Although the
Biblical
above
account
still
remain opportune.
At
first
variety
by intensive contentions and tumultuous controversies. Yet a careful, unprejudiced examination of all these sectarian creeds and vehement
polemics reveals an essentially monolithic whole behind the striking
divergences in terms, slogans, and technical contrivances.
distinction between deep
linguistic phraseology,
cilable contradictions
To
use the
and
is
current today in
one may
whereas
in its
particu-
some
earlier
epochs of
and the
Factually,
or teams of inquirers as the most urgent and important. Indeed, sometimes such selection amounts to a rigid confinement of research and to an
abstention from the topics that have been ruled out.
At present, different sciences display similar phenomena. In the same way that general topology underlies and encompasses a wide range of
mathematical approaches, also the manifold treatments of language
reflect
its
is
among experts.
Thus,
Noam Chomsky
those major linguistic currents, one of which "has raised the precision of
discourse about language to entirely
new
levels",
is
New
York,
The
is
the undeniable
aim of contem-
RETROSPECT
linguistics in all its varieties,
713
principles of such a
common
and sectors of
this research
may
be defined as
bias
The habitual
branded
by Edward Sapir as a "dogged acceptance of absolutes" which "fetters the mind and benumbs the spirit", was gradually overcome. The scrutiny of the verbal system demanded an ever deepening insight into its intrinsic coherence and into the strictly relational and hierarchical nature of all its constituents, instead of their mechanical itemization condemned by the pioneers of a structural approach to language. The next indispensable request was a similar insight into the general laws governing all verbal
systems and,
laws.
finally, into the
Thus, the elicitation and interpretation of the entire linguistic network - or, in remodeled wording, "the concern for explanatory ade-
quacy" - has been the dominant theme of the movement that took shape
during the interwar period under the label "structural linguistics", coined
in
Prague in 1928-29.
strive
and factiousness
first
myth of
throughout
and ideas to
single phases of this period. Hence, for example, the structural trend in
and
early thirties is
now
its
supposed
movement had
close
and
effective
connections with
phenomenology
in its Husserlian
and Hegelian
one
versions. In the
Moscow
led
by Gustav pet -
in Husserl's opinion,
of his
most remarkable
students - were concerned with the linguistic use of the Logische Unter-
Edmund
Husserl's
avowed and
grammar
and anticipated by the medieval philosophers of language. T. G. Masaryk and Marty, both of whom, like their friend Husserl, had been molded in F. Brentano's school, exerted a wholesome influence on their auditor,
Vilm Mathesius, the
later
where Husserl's ideas and his memorable personal address of November 11, 1935 - "Phnomenologie der Sprache" - met with a responsive
714
RETROSPECT
welcome. Acta Linguistica, published by the Linguistic Circle of Copenhagen, were inaugurated in 1939 by Viggo Brndal's editorial
article,
which
language
"comme
objet
autonome
et
par
consquent
ni la
comme
somme;
c'est
pourquoi
il
possibles et de leur
It is
forme
comme
ends with a
on phenomenology" as an
list
(1958)).
left
a manifest imprint
again refer to the
linguistics.
One could
a reminder:
"De
considrable et
on ne va gure au del de la constatation. L'effort mritoire, qui a t employ la description des formes,
fait,
"Das Wahre
ist
inaugural issue of Acta Linguistica the sagacious French inquirer conceived "la ncessit dialectique des valeurs en constante opposition" as
the chief structural principle of language.
It
was, one
guistics
ski,
most prescient forerunner of modern linamong scholars of the late nineteenth century, Mikoaj Kruszew-
may
say, the
who
one,
in 1882
new
phenomenabove
ology of language". According to the proponent, "the permanent foundations of such a science are to be found in language itself" (see
The young linguist must have detected the concept of in Eduard von Hartmann's Phnomenologie des Unbewussten (1875), which H. Spiegelberg's History of The Phenomenological Movement (1965) views as "an isolated landmark on the way from Hegel to Husserl". Krusz wski's earlier statements disclose that it was
phenomenology
the "unconscious character" of linguistic processes which evoked his
book
as "tedious, boring"
and
unfit in its
RETROSPECT
715
to Kruszewski's search
and
to the lines of
modern
on the
his
commenda-
the
Mathesius presented the Humboldtian doctrine of language as a suband structural linguistics"; and - in a
sentatives of this
posthumous volume of inspiring precepts - one of the first French repremovement, Lucien Tesnire, extolling Humboldt as hautement cultiv et arm en particulier d'une culture universel "un esprit
scientifique approfondie",
spirit
de
la
grammaire compare
comme Bopp"
(lments de
in structural linguistics.
The legend of a "militant anti-psychologism", allegedly proper to this movement, is based on several misunderstandings. When phenomenologically oriented linguists resorted to the slogans of anti-psychologism,
way
as Husserl did
when he opposed a
model of a new, phenomenological psychology with its fundamental concept of intentionality to the orthodox behaviorism and to other
varieties
1
among linguists and with their readiness to cooperate as well. One may recollect the contact and convergences between the
well as
research
N.
S.
What seems
to remain particularly
warnings of both American experts in the relationship between language and mind, E. Sapir and B. L. Whorf, to the gestaltists who, as far as language is concerned, rather "let the matter drop" since
they "have neither the time nor the linguistic training required to penetrate this field"
and
716
RETROSPECT
aware that linguistics was destined to have a special value for configurative psychology, suspected that "a really fruitful integration of linguistic and
psychological study
lies still in
is
one of
and with
its
initiator,
C. von
Ehrenfels, the
first
been the
linguistic activity
group of American
linguists
mainly
in the forties
but
now
nearly vanishing.
The rigorously
however, as a
At any
from
all
the other
groups of linguists
structures
is
the
common denominator
currents;
and
this
targets
February
10,
mechanism" and interpreted structuralism as "the expression of a general tendency of thought that, in these last decades, has become more
and more prominent
in
almost
all fields
I).
The
late nineteenth
and very
language.
These
anticipations
and
efforts
culminate
in
Ferdinand
The
rise
five
and
and the
clearest
way
to
RETROSPECT
717
Saussurian doctrine, which has been viewed as the start of a new era in the
science of language.
Most of the
and Kruszewski; but in the Cours some of these notions were presented in a more perspicuous and expanded manner, and an effective emphasis was placed on the mutual solidarity of the system and its constituents, on their purely relative and oppositive character, and on the basic antinomies which
we
must be added, however, that the factual analysis of linguistic systems was a task passed on to the future researchers, and the elaboration of the most appropriate methods for
face
when we
It
vital
The
upon the antinomies "qu'on rencontre thorie du langage" is one of the greatest
realize these dichotomies, but as
was important to
was imperiled. In Husserl's terms, "Halbheiten oder unzulssige Verabsolutierungen von nur relative und abstraktiv berechtigten Einseitigkeiten" had to be overcome, and gradual efforts to bridge and synthesize
these "inner dualities" actually
guistics.
mark
At
the very end of his scientific activities, Saussure adopted the Stoic
He
two elements
are intimately united "et s'appellent l'un l'autre", but taught that the
bond between the signans and signatum is arbitrary and that "the whole system of language is based on the irrational principle of the arbitrariness
of the sign". This assumption has been submitted to a gradual revision
relative,
aspects of the verbal sign proved to be quite insufficient. Inner, iconic ties
of the signans to
its
of the linguistic
of relationship between the signans and signatum has been extended also
to the phonological aspect of language,
and grammatical
of
718
attention.
RETROSPECT
The
essential difference
which are rooted in the signans and the grammatical oppositions founded
in the signatum has
been apprehended.
"The
self-evident
phonemes into their concurrent components ("distinctive features"); and, on the other hand, the question of the successive order in the structure of the signatum regains the importance it had in the classical age, and the
increasing attention to the hierarchy of immediate constituents has
removed the shortcomings of the former, straightforward approaches to the sequence. Saussure's remarks on the irrelevance of the "substance" in which the linguistic form is expressed and on the arbitrariness of the relation between form and substance were put to the test, and have
finally yielded to a hierarchical
its
graphic
substitutes and to a tenacious request for an exhaustive, comparative inquiry into the distinct autonomous properties of the oral and written varieties of language; sound patterns utilized for the building up of
on a
strictly relational
and implicational laws of universal validity were inferred from it. A grammatical (morphological and syntactic) typology proves to be the
next urgent task of such an inquiry, with a watchful attention to the
multiple structural interrelations between these two dissimilar levels.
The Saussurian inner duality of langue and parole (which mirrors the synonymous distinction of jazyk and re launched by Baudouin de
Courtenay
in 1870: see above, p. 41 1) or, to use a
la
modern,
less
ambiguous
rise to
lis et se
on a
strict
and
even declares the former as the sole object of linguistics proper. Although
this restrictive
program
still
finds
its
the messages,
and no
vice versa.
an analysis of the code with due regard for Without a confrontation of the code with
the messages,
RETROSPECT
Saussure's definition of langue as "la partie sociale
719
du langage,
extrieure
which
confirms
the
social,
mutually adaptive
two
individuals.
"sensibly the
same"
members of
from time
still
recalled
to several speech
code
is
chosen by the speaker with regard to the variable functions of the message,
to
its
ticular, the
and narrational
referential
When
way
to
an examination of
subtlety
its
other, likewise
and multivalence.
in itself",
La
"must be studied
and
it
communication engineering,
etc., is
a natural
linguistic thought,
upon
'associative', 'intuitive', or
'paradigmatic',
terms 'paradigmatic' and 'syntagmatic' have entered into general use, but
the interpretation of these
que
le
grammairien
les
being supplanted by an
series
any
which displays a
720
set
RETROSPECT
of correlations between the lack and presence of 'markedness' or,
relatively nuclear ('deep')
in
and accessory,
secondary structures.
boundary between
structures.
For Saussure, syntax "rentre dans la syntagmatique", and no clear-cut facts of langue and parole may be found in syntactic
The
linguistics
tween the totally coded words and the coded matrices of the sentences;
so-called transformational
as
an auspicious
The dual
utterances
makeup of multi-sentential
and dialogues. The philological hermeneutic of entire texts enters gradually into the orbit of linguistics; the chasm 'between the two
sciences'
in the
Cours becomes
obliterated;
and on the
question of relationship
between the signans (expressed) and the signatum (meant) obtains a new
face
in
lexical
forms to entire
The heightened
interest in the
manifold
The pervasive grammatical and contextual meanings, disregarded or misinterpreted, finally comes to
linguistic attitudes
The
distinction
between two
- synchronic and
last third
pp. 398 f., 406 f., 437 f). Influenced by Brentano's lectures
on
descriptive
and chief
RETROSPECT
linguistic task
721
language (see
and as an indispensable prerequisite to the history of above, p. 471 f.). According to Saussure's Cours, the inner
duality of synchrony
difficulties
linguistics
with particular
:
and
calls for
is
what
can be investigated
or single successive
old, atomizing, neogrammarian dogma in His fallacious identification of two oppositions statics versus
by post-Saussurian
linguistics.
The
start
and
finish
them and
to
no language can be
its
changes in
progress.
"absolute
prohibition
to
study
is
simultaneously
its validity.
relations in time
and
losing
The diachronic
linguistics of
immutable,
static
The concentration upon the system and the application to diachrony of the same analytic principles as those employed in synchrony
elements.
focusing
upon
between
this
and the
adhere to the reminder which was quite opportune half a century ago,
when
it
of descriptive
linguistics:
diachronique
synchronique clate
we approach
phenomena, we leave
entire
affinities
'internal'
and enter
'external'
However, the
development of
linguistic
geography,
this
areal linguistics,
all
and study of
722
RETROSPECT
Saussure's coinage.
linguists
has prompted the conclusion that the code used by any representative of
convertible:
it
becomes ever
circuit of
messages
(or, in
Saussure's terms, force unifiante and force particulariste) both in the spatial
and
in the
isolate
development of
thus, the
arises necessarily
and
solely
common
patrimony became
now the
all
disintegrations.
way
in
restrictions
tion,
upon the
The
and
linguistics
and interpretation of such double constraints are on the agenda, is about to fulfil the crucial task wisely anticipated by
in all languages."
Ferdinand de Saussure, namely, "to search for those forces which are
permanently and universally at work
The
essential
de signes arbitraires."
INDEXES*
*AD
at
INDEX OF NAMES
Avril, P. 73
Akira, N. 77
Aksakov, K.
305, 329f.
4f., 8ff.
. 256
20, 105, 21
Iff.,
M. 628
Bales, R. F. 256
Bally,
Altmann, S. A. 673, 691 American Ethnological Society 482 American Mathematical Society 568f.
Anan'ev, B. 298, 305 Andersen, H. C. 660, 677 Andreev, A. 73 Andreev, N. 596f. Andrejin, L. 130, 146 Appel, 376, 386, 418 Aquinas, Thomas of 341, 395f. Archimedes 594 Arcixovskij, A. 612ff., 616ff. Aristotle 33, 395, 685 Arm, D. L. 691 Aronson, M. 334, 339f., 528f. Arsen'ev, Ju. 73 Artymovy, A. 552 Arzamas 532 Ascher, R. 686 Ascoli, G. I. 448 Aseev, N. 532 Association for Symbolic Logic. 569 Augustine, St. 267, 278, 345, 37 If., 565 Aurelius, Marcus 477
Monk
371
C. 537
J.
Baudouin de Courtenay,
181f.,
AD,
5,
104,
Beebe,
Bell,
Benveniste, E.
132,
146, 272,
348, 446,
726
662, 664, 669, 679, 690f., 714
INDEX OF NAMES
Bergsland,
. 263, 599
Berko, J. 292, 305, 332 Berneker, E. 17f., 606f., 620, 627f., 633f.
Broch, O. 148, 153 Brndal, V. 26, 28, 71, 214, 218, 487, 523, 534, 582, 592, 690f., 714 Bronowski, J. 674, 690f.
638
Berntejn, N. 684f., 691
Berntejn, S. 531
Brough, J. 394 Broughton, W. R. 73 Brower, B. 195, 291 Brckner, A. 443, 605, 638, 640, 642, 651 Brugmann, K. 409, 445, 448, 499, 508,
651
Bevzenko, S. 196 Beyn, E. 295, 305, 311, 332 Bhartrhari 343, 394 Bidney, D. 555 Bigelow, J. 683f., 695 Bikentaj, J. 474 Bilfeldt, G. 208
Birdwhistell, F. 555
Bruner,
J.
S. 687, 690f.
Brunot, F. 635 Bubrix, D. 17, 452, 523, 628, 673, 687, 691 Bucharest Circle of Poetics and Stylist ics. 537
Buchler,
I.
R. 664, 691
Budenz,
119ff.,
J.
529
10, 31, 71, 132, 147, 513, 671,
Bloomfield, L. 105,
130f.,
134f.,
Bhler,
691, 715
425,465, 569, 578, 594, 658ff., 675, 691, 716 Blumenthal, A. L. 670, 691 Boas, F. 130, 147, 264, 477, 489ff Bobrov, S. 531 Bogaty rev, P. 530, 532f., 677, 691, 703 Bogoraz, V. 134, 147, 504f. Bogorodickij, V. 60, 71, 403, 417, 439, 529
Bulaxovskij, L. 152
Bulgakov,
S.
542
Bulygina, T. 535
Bumke, O. 332
Burke, K. 664, 691 Burks, A. W. 131f., 147 Burljuk, D. AD, 495 Buslaev, A. 530
Buslaev, F. 10, 40, 71
Bolzano, B. 267, 542, 547 Bondi, S. 531 Bonfante, G. 112, 597, 641 Bonhffer, 320 Boole, S. 661 Bopp, F. 715 Borel, E. 568, 660, 691
, .
101
Bouda,
Braga, G. 663, 691 Brain, W. R. 194, 290, 305, 307, 332 Brandi, A. 464 Brandt, R. 624
Braun, M. 62, 71 Bremer, 510 Brentano, F. 468f., 471, 713, 720 Bright, W. D. 598, 668f., 691 Brik, O. 529, 531f.
Calame-Griaule, Genevive 665, 691 Campbell, G. 683f., 691 Cannon, W. B. 684, 691 Capell, A. 668, 691 Carnap, R. 131, 147, 247f., 534f., 590 Carroll, L. 24 If. Cartwright, D. 351 Casagrande, J. B. 561 Cassirer, E. 97, 716 Cassirer, Toni 97 Cejtlin, R. 533 Center for Cognitive Studies (Harvard). AD, 690 Chaney, R. B. 338 Chao, Y. R. 489, 496, 555, 557, 596, 633 256 Chaplin, Chatterji, S. 594 Cherry, E. 190, 572ff., 558 Chomsky, N. 494f., 496, 578, 595, 597,
Brillouin, L. 690f.
Brjullov,
K. 174
INDEX OF NAMES
Claparde, E. 715
Clark, B. F.
680, 691
727
Clarke, P. R. F. 333
Coates,
W.
Cohen, M. 114,652
Collins, P.
Duska, Maria 383 Dobrovsk, J. 607f. Dobzhansky, T. 674, 686, 692 Doroszewski, W. 312, 332
Dostoevskij, F. 55, 218, 512
M. 74
Dubislav,
W.
191
Dubois,
Universals.
J.
688, 692
Copenhagen Linguistic Circle, s. Linguistic Circle of Copenhagen Copernicus, N. (Kopernik, M.) 481 Crick, F. H. 678ff., 691f.
Durkheim, E. 669, 691 Durnovo, N. 61, 67, 71, 515, 531,631,642 Durych, J. AD
Ebeling,
L. 174
Critchley,
M.
Cummings,
E. E. 495
Curtius, G. 448
ech,
L. 474
ierov,
V. 644
P. 72
Eden, M. 679, 692 Ehrenfels, von 716 Einstein, A. 223, 427, 481 Eisenstein, S. 256 Efron, D. 361 jxenbaum, 334, 529 Ellis, A. J. 424, 459 Emeneau, M. 482 Emerson, A. E. 681, 684, 692 Emsheimer, E. 97
ievskij, D. 543
Engli,
ulkov, N.
Erben,
. .
544f.
J.
609
Esenin, S. 39
Estarac 378
Darlington,
D. 684, 692 Darovec, M. 537 Darwin, C. R. 365, 675 Daudet, A. 534 Davis, M. 692 Davydov, G. I. 75 Dejerine, J. 321,323,332 Delacroix, H. 284 Delafresnaye, J. F. 692
Delbrck,
Fano, R. M. 556, 574 Fant, G. M. 95, 199 Fenne, T. 203ff., 644 Ferguson, Ch. A. 582, 601 Feuchtwanger, E. 323, 328, 332
Field, J. 333
Democritus 395
Deutschbein, M. 26, 71 DeVore, I. 692 Devoto, G. 537
M. 636, 649 Fillenbaum, S. 196, 292, 305, 332 Firth, J. R. 457, 459, 466f. Fischer, J. L. 544 Fishman, J. A. 668, 692 Flajhans, V. 605 Florovskij, A. 608
Filipovi,
Fock, M.
Foerster,
Foix,
. 333
. 332
J.
von 528
5, 7,
728
INDEX OF NAMES
Grimm, J. 42, 527, 636 Grimm, W. 527
Grinker, R. R. 575, 692
390,415,453f.,499, 506ff.,511f.,514f.,
518,587,627,711
Frazer,
J.
92, 258
Frege, G. 282
Frei.H. 114 Freud, S. 195, 245, 258, 291, 305, 659, 702 Frey, M. 635 Froment, J. 194f., 290f. Fry, D. B. 198, 294, 305 Funke, 24, 71 Furet, L. 74
de Groot, A. W. 110, 160, 300, 305, 523, 598, 602 Grootaers, W. A. 108 Grot, Ya. 631
Gumperz,
J. J.
Gurskij, S. 532
Gusinde, M. 362
Gazzaniga, M. S. 688, 695 Gebauer, J. 473, 539ff., 608, 618 Gbelin, A. de 378 Georgiev, V. 599, 629, 638, 651 Geschwind, N. 320ff., 330, 332 van Ginneken, J. 239, 508, 551, 675, 692 Ginsburg, S. 692 Gladwin, T. 692 Glak, Zenob 643 Glehn, P. 75
Glinz, H. 601
Hahn,
Halle,
E. 562
Hall, V. E. 333
M.
412, 574f.
Godel, R. 398, 421 ff., 445, 447, 592, 601, 670, 692 Goethe, J. W. 520, 527, 676, 682 Gogol', N. 31
Goldstein,
. 195,
332 Gombocz, Z. 523 Gomperz, H. 345 Goodglass, H. 292, 295, 305, 309, 326, 332 Goody, J. 663, 692 Gorjaev, N. 620' Gor'kij, M. 518 Grnicki, L. 451 Graur, A. 184, 186, 188, 273, 600 Grec, N. 53, 59, 71 Greenberg, J. H. 350, 580, 582, 584ff., 600
320f., 324,
714f.
Havrnek, B. 17, 533 Hawes, H. 76 Head, H. 195, 239, 245, 250, 291, 297, 305, 320, 322, 332 Hcaen, H. 688, 692
Hegel,
INDEX OF NAMES
F. 470 G. 343 Hermann, E. 510
729
Herbart,
J.
Herder,
J.
Prague 522
Irenaeus 371
Irigaray,
Hermelin, E. 615 Herzen, A. 50 Heveroch, A. 230 Hill, A. 558, 562 Hintze, F. 273 Hippocrates 296 Hirsh, I. J. 330 de Hirsch, 324
M.
324, 332
I vano v,
A. 669, 693 Ivanov, V. I. 529 Ivanov, V. V. 195, 291, 305, 325, 332, 644, 720
Hjelmslev, L.
Jackson,
J.
H.
Hockett, C. F. 559, 666, 668, 686f., 692f. Hoenigswald, H. 112, 591 Hoffmann, E. T. A. 677
Hofstadter, A. 191
Jackson,
W.
571
Hora,
112 265 Horlek, 613 Horn, W. 112 Hornung, 531 Hornung, I. 529 Hoek, J. 605
J. J.
Jagi, V. 152, 369, 448, 510, 605, 630, 642f. Jakobson, 579
James, Janko,
W.
J.
270f.
627, 644
Jarxo, B. 531
Howes, D.
Hrozn,
325f.
Jenkins,
J.
580
. 539
Humboldt, A. von 446, 448, 481, 597 Humboldt, W. von 132, 345, 420, 532, 715 Hume, D. 430
Hunt, J. 295, 305, 332 Hus, J. 476, 542
Husserl, E. 34, 71, 132, 147, 280, 282, 476,
534f., 542, 590, 592, 670, 713T.,
496
Jdrzejewicz, Cezar ia 435 Jimbo, K. 426 Jrgensen, J. 190f.
717
John Damascene 630, 643 John the Exarch 643 Jones, D. 112,390,426
Jones, L. V. 196, 292, 305
Joos,
M. 599
J.
667f., 692f.
Jungmann,
537, 605
Ibn Ezra, M. 598 Ibrhm-ibn- Jakb 609 Ides, Evert Ysbrandszom 73 Igor', son of Svjatoslav 156 Il'inskij, G. 193f., 635 International Brain Research Organization
Kacnel'son, S. 37, 71
Kaganovi, N.
13
Kamieski-Duyk,
Kandinskij, V. 341 Kandier, G. 241
A. 72
AD
International Conference on Semiotic
(Warsaw)
AD
Congresses
International
of
Phonetic
Sciences 535
International Congresses of Slavists 522,
Karskij, E. 5
535, 71
Iff.
730
Kawyn-Kurz, Z. 388 Kazakova, N. 369
Kees,
INDEX OF NAMES
Labov, Lacan,
W.
J.
668, 693
672, 693
W.
661, 695
G. S. 21 Kimura, D. 338
Keller,
Kiparsky, V. 641
Klcel,
Kleist,
. 320
M.
F. 543
Kluckhohn, 225, 664, 693 Kniezsa, I. 202 Knobloch, J. 651 Koch, S. 693 Koin, G. 622 Koenig, H. 527
Lalande, A. 526 Landor, A. H. 361 Lange, 676, 693 La Prouse, Jean de 73 Larionov, M. 341, 360 Lashley, K. S. 328, 332 Lavrovskij, P. 448 Law, J. 665 Lazarus, M. 470, 670 Laziczius, Gy. 523 Leach, E. 664, 693 Lebedev, D. M. 73 Lehiste, I. 600
Koakowski, L. 593 Kolmogorov, A. 182, 587 Kolosov, M. 205, 430 Komensk, J. A. 547, 590 Kopczyski, 388
M. 114 Lenneberg, E. H. 197, 293, 305, 313, 332, 675, 677, 686, 693 Leonard, H. S. 191
Lejeune,
Korbut, G. 376
Korneeva-Petrulan, M. 615
Korsakov, G. M. 77 Kor, F. 511, 530,676,693 Konek, J. M. 640 Kosven, M. O. 72 Kouti, R. 166 Kozlov, A. 431 Krmsk, J. 592 Kramsztyk, Z. 387 Krejnovi, E. 69, 75ff., 84, 86,
134, 147
Lerner, D. 284
Leniewski,
Lessing,
S.
375
G. E. 343
Lvy-Bruhl, L. 598
L'Hritier, P. 693
90ff., 98,
M. 455 Kroeber, A. L. 77, 664, 693 Kruenyx, A. AD, 532 Kruszewski, M. (Kruevskij, N.) 196,
Kridl,
272f., 292, 305, 375f., 379, 384, 387,
403ff., 427, 429ff., 452f., 461, 467, 524,
Lieberson, S. 668f., 694 Liepmann, H. 320, 322f., 327, 332f. Lindsley, D. B. 328f. Linguistic Circle of Bratislava 537 Linguistic Circle of Budapest, s. Kruzsok Linguistic Circle of Canberra 537 Linguistic Circle of Copenhagen 534, 537,
550, 714
Linguistic Circle of Florence 537
Linguistic Circle
529, 7 4f
717, 719
J. 73f.
of Kazan 529
AD,
523, 527,
713
Linguistic Circle of
Linguistic Circle
New
York
536fT.,
716
Kuakowski, H. 387
Kul'bakin, S. 452
517f
713
Kuryowicz,
J.
Linguistic Circle
of Tokyo 537
523, 525, 578, 599 Kuner, 531 Kuz'min, F. 614 Kuznecov, P. 173, 365, 504
Linguistic Institute
AD
AD,
523, 569
of Uppsala 557
Lissauer,
H. 320
INDEX OF NAMES
Lixaev, D. 616 Ljapunov, A. 676, 694 Lobaevskij, N. 412f., 452, 481 Locke, J. 430, 657f., 694 Lotmar, F. 247 Lotz, J. 110,334 Lounsbury, F. G. 566, 601, 671, 694 Lucretius Carus 395 Lukasiewicz, J. 375 Lunt, H. G. 135, 147 Lur'e, J. 369
Luria, A.
195ff.,
731
694
Matusevi, M. I. 76, 81ff. Maupassant, Guy de 133 Mayer, J. 196, 292, 305, 332 Mayr, E. 680f., 694 Mazon, A. 498 Mead, G. H. 370
Meillet, A. 16, 21, 177, 348, 409, 425, 446,
497ff., 501f., 506, 510, 518f., 636,
Lyons,
J.
671,694
655
Macaulay, T. B. 465
647f.
MacKay, D. M.
570, 572, 576f., 686, 694 McKinsey, J. C. C. 191 McNeill, D. 672, 690, 694 McQuown, N. 556
Macris,
J.
538
319, 333 Majakovskij, V. AD, 34, 39, 48, 51, 157f., 532, 594
Magoun, H. W.
Maksimovi,
Malevi,
. . 341
.
I.
74f.
Malinowski, 375, 687, 694 Mallarm, S. 356 Mallery, G. 361,364 Malmberg, B. 600 Maison, J. 674, 694 Malyev, V. 643 Mandelbrot, 233f. Mandel'stam, 532 Manthey, F. 396 Marcie, P. 688, 692 Marcker, A. 691 Marcus, S. 660, 694 Mare, F. V. 611 Marie, P. 193, 289, 305, 322, 333 Marinetti, F. T. 360 Marker, K. A. 680 Markov, A. 336, 579 Marier, P. 674, 694 Marr, N. 76, 392, 535, 581, 646 Martinet, A. 112, 219, 514, 598, 642 Marty, A. 24, 71, 469, 471f., 542, 549, 590,592, 713, 720f. Maruszewski, M. 316, 333
Mel'gunov, N. 527 Melvinger, A. 640 Mendel, G. J. 675 Mendeleev, D. 513 Menges, H. 624, 637, 644 Meo-Zilio, G. 362 Meaninov, I. 77 Methodius, St. 650 Mtraux, A. 364 Mettler, F. 303, 305 Meyer, P. 446, 448 Meyer-Eppler, W. 573 Mierzejewska, Halina 316, 333 Migliorini, 537 Mikkola, J. 605f.
G. A. 313, 333, 343, 671, 506,511,608 Millikan, H. 694 Minorsky, V. 629, 640 Miron, M. S. 196, 292, 305, 333 Mironosickaja, A. 448 Mikovsk, V. F. 590, 592 Mladenov, S. 651 Moellendorf, P. G. von 75
Miller,
694f.
Miller, V. 503,
Monod,
J.
Moscow
Dialectological
Commission 509,
Mourek, V. 608
732
Moskvitin,
I.
INDEX OF NAMES
72
Pasternak, B. 265, 532
Pata,
J.
606
Patanjali 394
Mozart,
W. 339
J. 375T.
Mroziski,
Mller, F. 468
G. 10
Mukaovsk,
J.
455
Muller, H. 536
AD,
31f
. ,
Myklebust, H. 240
Nagel, E. 28 Iff.
Nait,
. 72
Peisker,
Pelc, J.
698ff., 702f.
Penfield,
W.
J.
Pervolf,
605 Pekovskij, A. 5,
Niederle, L. 605f.
Nilov,
I.
Nitsch,
. 539
53f., 60, 71
W.
B. 263
Noha, M. 605
Noreen, A. 104
Phillot,
D. C. 362, 364
J.
Norman, R. Z.
351
Piaget,
656f.,
694
Pike,
Pilch,
. 596
.
H. 660, 695
Pisudski, Pisani, V.
Pittendrigh,
, .
75f.
Podhorski-Okoow,
Pogodin, A. 646 Pojarkov, V. D. 72 Pokorny, J. 648, 651
Pokrovskij,
M.
507, 651
Polevoj, B. 74
Osgood,
.
I.
Polivanov, E. 70f., 420, 424, 426, 453f., 523, 531, 669, 695
694
Osolsob,
W.
665
G. 446
Potapov, L. 97 Potebnja, A. 23, 51, 71, 430 Pottier, B. 112 Powell, J. W. 484 Preobraenskij, A. 620f., 632, 635, 651
INDEX OF NAMES
Pribram, K. 303, 306, 318, 325, 333, 336, 690 Propp, V. 677, 695 Ptolemaeus, 483 Puchmayer, A. 34, 71 Puhvel, J. AD
733
Ruwet, N. 704 Rybakov, B. 612 Rybnikov, P. 616 Rypka, J. 533 Riga, V. 612
Sadnik, L. 638, 651 Sadovnikov, D. 616f. Sahlins, M. D. 687, 695 Salisbury, John of 358 Salk Institute for Biological Studies AD, 690 Salk, J. 685, 690, 695 Samarin, D. 505
Sapir, E. 77,
103f.,
Pumphrey, R.
J. 687, 695 Pukin, A. 34, 39ff., 49, 495, 502 Putnam, H. 578
Saussure, F. de
227, 243,
390f.,
AD,
581, 591f., 601, 657f., 664, 670, 676, 689, 695, 698, 716ff.
Saussure, R. de 259
Savel'eva, V.
Schelling, F.
N.
77f.
Savickij, P. 505
von 527
Schenk, V.
Scherer,
Schiller, J.
W. D. 239
Ch. F. 682
M. 643
Romain,
J.
356f.
W. 341 Rosenblueth, A. 683f., 695 Rosetti, A. 188, 523, 538, 632 Ross, A. S. 325, 333, 629 Rossi-Landi, F. 665, 695
Rovinskij, D. 629
Schramm, G. M. 598
Schrenck, L. von. 75, 91 Schrijnen, J. 655 Schrdinger, E. 225 Schuchardt, H. 446, 452
Schulte-Tigges, F. 660, 695
Rozwadowski,
J.
375, 629
Rudnyc'kyj, J. 638,651 Ruesch, J. 256, 575, 661, 695 Russell, A. W. 131f., 147, 260
M. P. 600 Sebeok, T. 690, 694f. Sechehaye, A. 348, 411, 420f., 446, 518, 716
Schtzenberger,
734
Secenov,
Seiler,
I.
INDEX OF NAMES
337, 342
Stevens,
W. 598
Stiber, Z. 197
M. H.
601
Serebrennikov, B. 595
Serebrjanyj, S. 677, 695
704
Struve, P. 632
Skowski,
J.
452
Struwe, H. 387
Sturtevant,
Sgall, P. 535
W.
C. 692
Shakespeare,
W.
578, 645
Stutterheim, C. F. P. 258
Sutnar,
Shimoyama, T.
295, 305
Siedlecki, F. 455
Sienkiewicz, H. 46
Sievers, E. 508, 682f., 695
567
V. 195
Simmons,
E.
J.
621
Symovy,
Szyfman, L. 379
Skok, P. 638 Slama-Cazacu, Tatiana 671, 695 Slavk, F. A. 605 Slotty, F. 523 Sawski, F. 638
Smal-Stockyj, S. 195
620,630,638,644
Smith, A. 665 Smith, F. 695 Smith, H. L. 555, 557, 564f. Smotrickij, M. 60, 71, 639
embera, A. V. 468 estakov, N. 405 klovskij, V. 530 Smal'gauzen (Schmalhausen), I. 684, 695 pet, G. 534, 713 Sternberg, L. Ja. 75ff., 91f., 504
646
Socit de Linguistique de Paris 396, 446
epkin, V. 453, 507, 514 erba, L. V. 76, 81, 390, 420, 423,
444, 453f., 464, 512, 576, 594
425f.,
Socrates 347 Sokolov, A. N. 269, 271, 314, 333, 663, 695, 698 Soloviev, A. 629, 639 Sommerfelt, A. 89, 97, 523, 536, 561 Spafarij-Melesku, N. G. 73 Spang-Hanssen, H. 596 Sperry, R. W. 688, 695 Spiegelberg, H. 714 Spitzer, L. 392, 645, 647
Spuhler,
Srb, A.
J.
N. 695
675f., 682, 684,
I.
M.
696
Sreznevskij,
Stang, C. S. 152
Staszyc, S. 380
Steinitz,
W. 594
Steinthal,
Steiler,
Stevens, S. S. 412
Takahashi, M. 72f., 77 Tarde, G. 665 Taszycki, W. 618 Tauli, V. 668, 695 Techmer, F. 447 Teige, 533 Tennyson, A. 598 Terentius, P. 555 Tesnire, L. 523, 647, 715 Theophilus 371 Thiebault, D. 378 Thomas, Dylan 578 Thomson, A. 36,40,61, 71 Thorpe, W. H. 674, 676, 684, 695 T'ing-Chieh, Ts'ao. 72 Tisza, L. 227 Titov, A. 73 Tixomirov, M. 611, 617 Togeby, K. 188
INDEX OF NAMES
Toivonen, Y. H. 633 Tostoj, L. 255, 494 Tomaevskij, 523, 531, 533, 579
Vejnberg, P. 49
Veiten, H. 112
735
Vendrys,
J.
348, 639
Vengerov,
S. 399,
420
Nauk 386
Trager, G. L. 155
Vey,
M. 626
Trnka,
. 533
M. 430, 435 Tronson, J. M. 74 Trubetzkoy, E. 501, 516 Trubetzkoy, N. 3, 6, 70f., 107, 219, 240,
Troickij,
Vinogradov, G. 609, 616 Vinogradov, V. V. 135, 147, 519, 536 Vinokur, G. 523, 531, 533, 621 Voegelin, F. 566, 664, 696 Voloinov, V. 130, 147, 669, 696 Vondrk, V. 607, 625, 651 Vostokov, A. 5f.
Vygotskij, L. 285, 314, 333, 559, 663, 696,
698
696, 715 Trubetzkoy, S. 501 f., 516 Truto vskij, V. 528 Tupikov, N. 618, 623 Turgenev, I. 14, 49, 71 Turgot, A. R. J. 665 Tuwim, J. 452 Twaddell, W. F. 412f., 560f., 577 Tynjanov, Ju. 523, 532f.
J. 16ff.,
644
Waismann,
Wales, R. Wallace,
J.
F. 660, 696
671, 694
Unbegaun, B.
Unesco AD, 656, 690 Ungeheuer, G. 571, 660, 695f. Uspenskij, B. 668, 696 Uspenskij, G. 257 Uspenskij, L. 640 Uspenskij, V. 587, 592 Uakov, D. 154, 530f., 620
Utley, F. L. 601
D. 681,696 Watt, I. 663, 692 Weaver, W. 556, 570, 577 Webster, J. C. 338 Weksel, W. 691 Weiner, N. 556, 570, 683f. Weinreich, Shifra 588 Weinreich, U. 586, 588, 590 Weir, Anthony 285ff. Weir, Ruth Hirsch 285ff. Wells, R. S. 566
Watson,
J.
Wepman,
J.
M.
Vachek,
Vajs,
J.
J.
535
618, 630
Vakar, Gertrude 333 Vallier, Dora 705 Vanura, L. 533 Vasil'ev, L. 152
Werner, H. 232 Wernicke, C. 197, 293, 320, 322, 333 Weyl, H. 679, 696 Whatmough, J. 409 White, L. A. 687, 696 Whitehall, H. 558 Whitney, W. D. 348, 470, 482f., 486, 559 Whorf, B. L. 131, 134f., 140, 145, 147,
262, 353, 407, 523, 665, 696, 715f.
650f.
Wiener, N. 556, 570, 683f., 695 Williams, G. 685, 696 Willman-Grabowska, H. 500
Winburne,
J.
600
736
Windisch, E. 508
Winteler,
J.
INDEX OF NAMES
Yanofsky,
Yeats,
. 678, 696
.
Wistinghauszen, H. 203
Witsen, N. 73
Wittgenstein, L. 595
W.
Wjcicki,
. W.
376f.
Wolfson, H. 371ff. Wolpert, I. 194, 290, 306 Worth, Gerta H. 76, 589 Wrenn, L. 456, 466
G. K. 233
J.
WUner, F. 27, 71 Wundt, W. 60, 71, 420, 446, 470 456f.,466 Wyld, H.
Xabarov, E.
P.
Zolotarev, A. 92
Zubat,
72
696
Xruev, N. 339
Ainu
73, 361
Dakota 356
Danish
95, 219, 220, 537, 577
Albanian 636 Algonquian 134 Altaic 622 American Indian 355, Arabic 364, 640 Armenian 641, 646 Avar 635 Avestan 508, 646, 649
Balinese 552
Baltic 115,
Dutch
544, 593
361f., 481,
493
East Slavic 401, 454 English 108, 131f., 134, 191, 221, 232ff., 24 If., 246ff., 260f., 263f., 266, 267, 278,
285ff., 311, 315, 352, 354, 396f., 424ff.,
Eskimo 607
Etruscan 575
Finnic 255, 507, 641 Finnish 632, 641
117,636,640
Basque
Finno-Ugric 503f. French 106, 108, 245, 253, 267, 311, 323,
116ff., 130, 135,360ff.,
401, 61
If., 624ff.,
Byelorussian
454, 475,
Ful
514
89f.,
108
14, 229, 246, 265, 267, 275, 331,
Caucasian
German
Chinese 72, 75, 108, 633 Chinookan 356 Chukchee 263, 504
Germanic
117,
160f.,
642
266,
Gold
90, 93
641f.,
644
Chuvash 632
Circassian 506f.
Greek
656
15ff.,
178,
Hebrew
108, 255
Hittite 539,
636
652
Hopi 130, 135 Hungarian 312, 330, 529, 533, 632, 646
738
Indo-European
21,
105,
111,
115,
117,
178, 181, 192, 228, 485, 499, 505f., 509, 511, 593, 599, 626, 636, 643, 647f., 651
51
If.,
597, 651
Samoyed
133, 263, 504, 607 Sanskrit 353, 394ff., 406, 439, 465
Kamchadal 504
Karelian 111,639 Kartvelian 507
Semitic 108
Serbocroatian
163,
178f.,
17f.,
21, 69,
116ff.,
153,
Kashubian Korean 75
17
652
Slavic
482f.,
AD,
16ff.,
Koryak
493
624f.
Slovak
17,
19,
Slovenian
Slovincian 116ff.
Sorbian
641
Low German
203ff.
Sumerian 656 Swedish 463, 557, 577, 645 Swiss 414f., 420, 452, 544
Tatar 632 Tocharian 643 Thraco-Phrygian 641 Tungus 74f., 101, 108
Norwegian
Tunica 131 Turkic 108, 624f., 629f., 633, 635, 637, 639, 644, 647 Turkish 364
Ukrainian
19ff.,
115f., 118,
190ff., 451,
Umbrian 639
Uralic 622
Ural-Altaic (Turanian) 75, 402, 416, 502f.
Polabian 502, 504, 514, 638 Polish 17, 19,26,43, 107, 115ff., 179, 181,
187f., 193,
Polynesian 364
West
537, 632, 640
113,
154ff.,
119ff.,
136ff.,
148ff.,
192,
195,
INDEX OF SUBJECTS
711,714
Agnostic attitude 719
Agrammatism
Agreement (concord)
187f.,
198,
245,
Abstraction 602
Accentuation 18ff,
63 If.
Acceptability 494
Accessibility 706
25 If., 294, 299f.,311 Agreement/disagreement 361ff. Algebra 401, 463, 568, 661
Alienability 132
Acculturation 674
85ff., 99ff.,
112,
Accusative
315, 589
30ff., 45ff.,
65ff.,
156,
194ff., 200ff.,
355,
384f.,
390,
397,
664,
67 If.,
7,
722
Active/passive
298, 313, 324, 489 Acute/grave 312, 581f. Addresser/addressee 53f., 130, 132f., 134,
137, 232, 492, 556ff, 574f., 661, 667f.,
Ambiguity 183, 576, 707 Amusia 323, 328, 688 Anacoluthon 494, 579 Analogy AD, 70, 112ff., 152, 154, 178, 194ff., 389, 402, 437, 448
Analysis/synthesis 296, 466, 520, 543, 591,
600
Analytic structure 29
697, 719
116,
118,
161ff,
60, 116,
Annex
298
186, 198
40ff., 46ff.
590f., 721f.
Afterimage 344, 706 Agglutination 12 Aggregation 23, 35, 513, 549, 557, 588,
681,
740
Antinomies
14f.,
INDEX OF SUBJECTS
370, 391, 520, 543, 717ff.
Atomization
23ff.,
37f.,
103,
227, 498,
Antonyms
Aphasia
Aorist 117,615
14, 132, 157, 193ff., 225f., 229T.,
586, 688, 722 Aphasia - afferent (kinesthetic) 299ff, 302, 304, 316, 318 Aphasia - amnestic 300, 302, 304, 316ff. Aphasia - decoding (receptive, sensory,
Audition 281,
701 f., 705f.
334ff.,
338ff.,
399,
661,
Augmentative 355f.
Autocategorematic/syncategorematic 1 32, 590
Automatism
173, 177f.
Autonomy
Aphasia - dynamic 297f., 301f., 304, 314, 3 1 8f. 330 Aphasia - efferent (kinetic, Broca's)
,
Autonymous mode
Auxiliary verbs
246, 623
131
118, 191, 206,
7, 20f., 115,
318
Aphasia - encoding (emissive, expressive, motor) 194, 196ff, 234, 244, 290, 292ff., 309, 323, 328 Aphasia - semantic 297ff., 301 f., 304, 315,
318f.
Baroque 548
Basic form 120ff.
6,
139, 142
Binary selections 489f. Biology 225, 379, 387f., 439, 469, 473,
477, 505, 672ff.
Biomechanics 681, 688 Bipolarity 238, 259, 517 Birchbark documents 613ff.
Bits of information 491, 571
Archaism 650
Architecture 703
Argot 645
Article 22, 187f., 198, 236, 251, 294, 299
Artificiality 341,
701
Artificial
Border signal 107ff., 680 Brachylogy 579 Brain 302ff, 309, 317, 322, Bundle 105, 214, 218
324f., 329,
688
Case
327f.,
Asemasia 289,
Aspect
688
Assertive 134
Assertorial (verdictive) modality 490f.
Change
389,
275, 283,
552f.,
525,
Assimilation 437
562ff.,591, 598f.,721
s.
Asymmetry
105
Chord 105
Choreography 266, 662, 705
105, 520
INDEX OF SUBJECTS
Circle
741
AD,
527ff.
Close-up 256
25, 130ff.,
Conceptual features 480 Concord, s. agreement Concurrence 242ff., 316 Condensation 285
Conditional 20, 117, 138, 207, 351 Configurational features 230
578,
584,
596,
662f.,
675f.,
722
Code - optimal 275, 574 Code - overall 275, 719 Code switching 249, 283, Code units AD, 234, 243,
Codons,
s.
560f.,
576
nucleic
words
719
Colinearity 680
Collective consensus 677
Collective activities 514, 541, 589f.
Conjugation 67, 115, 117, 119ff., 143ff. Conjunction 21, 80, 115, 118, 236, 251, 263, 520, 672 Connective 198, 246, 294, 310f. Connector 134ff., 145f. Consequential/nonconsequential 141 Conservative/progressive 421, 437 Constancy 591 Constituent 296, 283, 313, 548 Construct 659 Contact 232, 244 Context 183, 233ff., 242, 244f., 249, 252,
282, 284, 296, 298f., 301f., 310ff., 313f.,
324, 566, 574, 577, 600, 697
Collective
nouns
62f.,
152
Context-freedom 600,
Contextual meaning,
textual
659f.,
680
meaning, con-
Combination 196,
Contextual variant
316,
524, 704
569ff.,
573,
576,
598,
657ff.,
Commutation 105
Compact/diffuse 312, 384, 58 If.
Contiguity disorder 196f., 236ff., 250ff., 259, 292f., 301, 310, 310, 318, 326
Continuity/discontinuity 282, 673, 698,
701, 719
Comparative
linguistics
181,
432, 464,
Continuum
395, 524
Comparison 50
Compatibility/incompatibility 142f. 184f.,
Contraction 206
Contradictories/contraries 199, 213
490
Compensation 218, 229, 487, 552, 582 Complementarity 262, 278, 600, 660, 672,
689f.,
Contrast 232, 235, 266, 309 Control 690 Conventionality 132, 335, 347fT., 360ff.,
712
107, 118,
742
Conversion 572f.
INDEX OF SUBJECTS
697f., 707,
720
225, 244, 256, 301, 308f.,
Dichotomy
435, 571
5,
207f., 216f.,
298
45, 513f.
grammar 262
Cubism 256
Culinary art 703 Culminative features 548 Culture 479ff., 491, 499, 532, 555f., 591, 601, 664 Cut 707 Cybernetics 676, 684f.
oratio
52ff., 158, 170,
74f
. ,
179, 214
Discourse 235, 280f., 304, 314, 602, 664, 720 Discovery 414f., 460
Discreteness 336, 341, 395, 402, 524, 570,
686, 701 Discrimination 335, 338ff.
Disintegration, s. limitation/disintegration
162ff., 169ff.,
211,
493
Deixis216f.,287, 701
Dependence
294, 600
16,
19,
31ff., 80,
Derivation 109, 115, 252, 273, 281, 311, 520, 602 Description 464, 472f., 483, 487, 514, 554 Designator 134ff., 146
Divination 702
Desinence
143ff.,
17,
79,
108f.,
113,
U9ff.,
204ff.,
211,252
Dream
Determinism 227, 564, 690 Development 23 If. Developmental logic 473, 510ff. Diachrony, s. synchrony/diachrony Diagram, s. graph Dialectic 391, 515, 543, 667, 714 Dialectology 389, 414, 547, 676 Dialogue 297, 519, 539, 559, 667, 680,
665f.,
698
INDEX OF SUBJECTS
Egocentrism 48 Iff., 505 Elementary quanta 224, 689
Elision lOOf.
743
532, 591
Enclitic 12f., 16ff., 115, 118, 206f.
Feedback 321, 328f., 576, 684 Feminine 10, 161ff., 184f., 187ff.,
215, 264ff.
212f.,
Fictionalism/realism
in
linguistics
276,
28 If.
Figures 236, 258, 707
Filtering 555
599f
Energeia,
creativity
707
Eponym
643, 646
Equational proposition 246ff., 311, 324, 329, 494, 708 Equivalence 182, 233, 26 If., 274, 704 Ergative 37
Esthetic function 597, 704f.
Function
Ethnolinguistics 666ff.
Ethnology,
s.
anthropology
605ff., 623f., 628, 630, 635,
Ethnonymics
Game
661
116, 134, 136f., 142ff.,
620ff., 650ff.
505
161ff, 179,
184ff, 187ff.,
General
linguistics
General meaning,
contextual
s.
Meaning, general/
660
Generalization 433, 446, 712 Generation/Incarnation 370ff. Generations 389, 563 Generic meanings 707
Genetic endowment 68 If. Genetic fallacy 5, 416, 419, 432, 454, 459, 464, 487, 523, 549 Genetic psychology 507
Genitive
37ff.,
58ff.,
65ff,
1 1 5f.
148ff,
Extraposition 100
588, 631
744
INDEX OF SUBJECTS
Holophrase 198, 294, 310 Homeostasis 684 Homoeoteleuton 237 Homogeneous/syncretic 66 If., 705
Genitive second 60ff., 116, 173ff. Geography, linguistic 283, 477f., 486, 515, 530,548,711, 721
140f.
'Homogen'
Homology
360ff., 555,
674, 689
23f., 246, 253, 278, 313, 517,
Gesture 314, 326, 334, 340, 661f., 688, 705 Gift of tongue 370
Glossolalia 704f.
Homonymy
Homonymy,
680
Government
Grammar
600f.,
78,
103,
106,
155, 489,
546,
347, 349ff., 357, 361ff., 585, 661, 699f.,
672
3ff., 25ff.,
1
Grammatical category
12, 155,
706, 717
Grammatical concepts
112,
114,
136ff.,
Idealism 392
Identification 301, 552, 565, 602
Identity 664
Idiolect 248f., 559 Idiomorphic 66 If., 706 'Idiosynchronic' 722 Illiteracy 340 Imagination 502f.
Grammatical meaning,
grammatical
s.
Meaning,
114,
138,
Grammatical processes
140,
Grammatical rule 122ff., 297ff., Grammatical system 232, 241, 264f., 524 Grammatical unit 225, 304 Grammatical word 236
'Grammaticalness' 494f. Graph 350f., 353, 358, 700 Grapheme 515, 520 Graphemics 386, 706 Grave/acute, s. Acute/grave Gross sound matter 395, 402, 524
677 302
Immanent 711
'Immediate constituents' 282 Impairments 196ff., 292ff., 296, 671 Imperative 3, 8, lOff., 17, 107, 117f., 139,
190ff.,660
Imperfect 117
Imperfective,
s.
perfective/imperfective
Impersonal 9 Implementation
94f., 55 Iff.
662
Implicational law 94, 513, 563, 582, 584, 586, 676, 713
Inceptive/non-inceptive 138, 144
Incest taboo 687
Inclusive/exclusive 137, 139
Hermeneutics 720
Incorporation
77ff.
Index
Indicative 8, 138f.
Indicator 181
Individual speech 270, 391, 719
Individualization 681
Infinitive 7, 14, 142, 144, 252,
310
Historiosophy 505
INDEX OF SUBJECTS
Inhibition 682 Injunctive 139, 145f.
745
158, 181, 187, 681f.
702
Innervation 281
Inscriptions 611, 618
Institutional
Jargon 597, 676 265 Judgment 708 Judicial vocabulary Juncture 106
Jest
650ff.
model
527ff.
Instrumental 24,
Kernel/transform 578 'Kernel subject word' 236, 251 Kinematics 421 Kinship 93, 484f., 525, 561, 665, 687, 722
Intercommunication 690
Interaction of levels 11 Iff., 284, 718
Interdisciplinary research 655ff.
Interdialectal 283, 598, 668
Langue Iparole, s. code/message Lap dissolve 256 Laws, general and their order 358, 403,
431ff.,486f., 512, 713f.,722 Learning 520, 671, 674ff., 700, 719 Lesion 303, 337 Lesion - anterior/posterior 303f., 318 Lesion - anterotemporal/posterotemporal
303f., 318f.
Interiorization 671
Interjection 12, 219, 301, 520, 597, 623
Lesion - mediobasal/dorsolateral 303, 329, 337 Lesion - parieto-occipital 303f. Lesion - retro-central 303f. Letters 334, 613, 706 Lexicology 78, 155, 215, 241, 253, 255,
260, 263f., 270, 283, 294, 302, 353f., 422, 481, 484, 493, 515, 525, 588f., 601 Limitation/disintegration 297ff , 302, 3 1 7f
.
Location 491 Locative 55, 58ff., 65ff., 115f., 169ff., 179 Locative second 60ff., 116, 173ff. Logic 190f., 375, 403f., 407, 430f., 441f.,
468, 471, 524, 534, 536, 567, 569, 590,
595f., 659f.
Logical
grammar
397ff., 591,
595
Logos
370ff., 501
746
Lullaby 624
Lyric 255, 297
INDEX OF SUBJECTS
Metaphor, metaphoric constructions
4,
659f.,
702
Metonymy,
162ff.,
mtonymie
439
constructions
Mapping
589f.
58ff.,
Marginality 46,
158,
296f., 355,
181,214
51, 60,
Markedness
185f.
Minimum
units 105
Marker
171, 177
Mixture 389, 452, 485 Modi significandi 283 Modifier 16, 286 Molecular biology 678ff. Money 665
401f., 412,
Monologue 245, 297, 539, 667, 697f., 707 Monophonematic/polyphonematic 180f. Monoreme/direme 10, 20f., 673
Monothematic/polythematic 80 Montage 256, 708
Maturation 674f.
Meaning AD,
Mood
587
660
3ff., 23ff.,
1
Meaning - general/contextual
132, 155ff., 161,
Meaning - grammatical
Meaning 587f.
110,
160, 233,
Morphemic
subunit,
s.
Exponent
Morphology AD,
3f., 15,
Iff.,
Meaning - nuclear
56f., 136f.
Means-ends model
400
686
Mechanism of language
Morphophonemics (morphonology)
103ff.,
19,
HOff.,
176f.,
180,
192f.,
376,
600
Media
701 f.
Memory
Motor
types 682f.
Multidialectal
Merger 111
'Merism' 600
Message (parole), s. code/message Messenger 296 Metalanguage AD, 235, 247f., 258, 262,
265, 275, 286, 288, 295, 41
If.,
668 Mutability/immutability 421, 448, 721 Music, musicology 105, 266, 318, 334, 339, 395, 400, 444f., 501f., 546, 55 Iff.,
597, 662, 701, 704f.
493f.,
distri-
INDEX OF SUBJECTS
Mycology 624, 626, 635, 702 Mythology 265, 482, 504,
582, 585f., 586f.
624f.,
747
629,
Numeral
440
664
Naming 33, 248 Narrated event 133ff., 146, Narration 139f., 707f. Nasal /non-nasal 58 Iff.
Nationality 474f.
198f.
Object 32ff, 40f., 52ff., 56, 80, 351, 584f. Object-language 247f., 262
Objectivity 41 If., 419, 432
Obligatoriness 481, 489, 491f. Oblique/direct 159, 162ff, 169ff., 177, 179
Natural language 659f. Natural sciences 276, 389, 399, 429f., 469,
477, 483, 573, 656f., 672ff.
Onomatopoeia
Naturalism 477, 483f., 505, 507, 544ff., 548 Nature/nurture 674 Near-universals 581f., 584 Negation 311, 360ff., 490 Negentropy 684f., 690 Neogrammarian trend 103f., 112, 227,
389ff, 404, 418, 434, 452ff., 468f., 471,
Operon
679f.
105f.,
Opposition
717
Optative 117, 192 Oral tradition 664, 677, 702 Oratio obliqua/recta 130, 140
'Nest',
family
212
Nomads
598, 670
65ff, 115,
Pantomime 664
56ff.,
Paradigm
Paradigmatic/ syntagmatic
524f., 599, 601, 719f.
18,
244,
Nomothetic 379, 429ff., 506, 656, 658 Nonsense 495, 601 Noosphere 686
148ff.,
161ff.,
184ff.,
Nucleic alphabet 678f. Nucleic binary oppositions 679 Nucleic code/message 678ff. Nucleic dictionary 678f. Nucleic
letters 678f.
Paragoge 11, 13, 194ff., Parallel developments 464 Parallelism 111, 255ff, 704 Paraphrase 248, 267, 494, 659 Paregmenon 237 Parochialism 597, 656, 676 Paronomasia 266, 354f.
Partial
homonymy,
s.
Homonymy,
partial
Nucleic punctuation marks 680 Nucleic syntax 679 Nucleic words (codons, triplets) 678f.
Active/passive
Number 9,
148ff..
748
Pattern 223ff.
INDEX OF SUBJECTS
Pitch 597
Pauses 78
Pejorative 184, 188
Perceptibility 274,
280
Perception,
s.
Production/perception
493
Pluripersonal 661
Poetic function 286, 288, 356f., 525, 549,
558f., 703f.
completive)
6, 14, 4, 137,
144, 198ft\,
213,221, 264,623
Perfective present 520f., 615
Performer 133f.
Periphrastic 139, 144, 146
lt..
5301.,
If.
Person
Poetry/prose
AD,
185, 187ff.
Postpositive 97
Potential 490f.
Phoneme
405,407ff.,418ff.,422ff.,442f.,447,461,
480, 499,
512,
515,
34, 48ff.,
520,
552,
560f.,
679
Phonemic analysis 459ff., 531 Phonemic hearing 312 Phonemic information 570 Phonemic sequence 107, 304, 310 Phonemic structure of morphemes 273
Phonetics 546, 548, 717
2 1 ff
599
Prefix 87f., 106f., 115, 143ff., 199ff.
Phonology, phonemics
106,
114,
194ff.,197,218,220,224f.,231f.,240ff.,
2901T., 293, 2991., 308, 387, 390f., 394ff.,
Present
221, 358
Preterit 8ff., 14, 133, 137, 140f., 144, 185,
399f., 442f.,
452ff.,
457ff.,
480, 499,
Phonology
717f.
in
relation to
grammar
20,
Phrase 295 Phraseology 255, 493, 558 Phrase- word 242, 261 Phylogeny, s. ontogeny/phylogeny
Physics 106, 276, 395, 402, 412, 477, 655,
Proclitic
19, 115
Production/display 661
689f
278,
281,
312,
Programming 671
Progressive/non-progressive 490f.
700
Pronoun
10,
INDEX OF SUBJECTS
91f., 100, 109f., 117f., 132f., 148, 161T.,
749
Reflexive
7, 14, 11 7f.,
140
Proper
name
131, 268
Prosody
Regulative 297
Reification 340f.
310, 401f.,512
Protolanguage 515 Proverb 51, 138, 160, 355, 558 Psychiatry 229ff., 240, 309 Psychoanalysis 288, 659, 672
Psycholinguistics 670ff.
AD,
'Psychologism'/'antipsychologism' 417ff.,
435, 443f., 454, 470, 670, 715f.
Relative clauses 676 Relevance 462, 552, 572 Renaissance 595, 656
363
'Replica',
s.
sign-design
720
Repulsion 682f.
Retroinhibition 680
Requisitive 660
588 Quantitative linguistics 308 Quantity 480 Quantum mechanics 227, 564 Question 364f., 490 Quotative 131, 135
Rewording 261
Rhetorics 571, 707
Race 675 Radio 334, 339, 701, 706 Radius of communication 598,
697, 701
Root
668ff.,
295, 310
Randomness
684f.
Sandhi
192
Rationalism 590, 657, 698, 713 Reading 321f., 339, 706 Realism/romanticism 255, 258 Reason 370 Recoding 265, 278, 576 Reconstruction 423, 499, 509, 515, 525,
599, 720f.
Scale 341
Schallanalyse 682f.,
Schizophrenia 307
man
655ff.
Redistribution 229f.
Segregation 594
Selection 196, 198, 235f., 241ff., 245ff.,
273f., 292, 294, 296f., 299, 301, 304,
308f., 313, 315ff., 524, 574, 704,
Redundancy
718
Reference 15,
660
750
Self-determination 475
Self-regulation 676, 682
INDEX OF SUBJECTS
Simultaneous synthesis, simultaneous
Singular,
s. s.
Synthesis,
Semantic noise 577 Semantic shift 263 Semantics 24, 160, 181,225,275,391,454,
480, 482, 532, 542, 548, 554f., 565, 600f.
Plural/singular
Situation 282
Slang 597
Smell 701
Sobriquet 627, 635 Social anthropology,
Social institutions 479
s.
Semantization 444
'Seme' 347
Anthropology
Social psychology,
s.
Psychology
Socialization 559
302, 304,
600
Separation 244
404, 441
397ff., 409, 417, 436, 440,
Sequence 226, 410, 436, 443, 570, 718 Sequential/concursive 140ff., 718
Sequential synthesis,
tial
s.
Sound symbolism
Synthesis, sequen-
273, 397, 597 Source of information 483, 491 Space 244, 284, 336, 340, 343, 560f., 668,
701, 706, 721
Set-up 256
Sharp/non-sharp 385
Shift 549f.
Shot 707
Sign
14, 103f., 449, 468, 657ff.,
674
268,
(token)
Space-time coordinates 574, 706, 721 f. Speaker's attitude toward language 475 Speciation 681 Species-specified 676 Specification 308 Speculative thought 482, 492 Speech analysis 688 Speech event 54, 133ff., 146, 28 If., 370
Speechlessness 197, 293, 313, 340, 662,
Sign/object 542
673
Signansisignatum
AD,
Spell 430
Sphota 394f.
Split personality
257
663f.,
720
718
affinities
sound
Stammbaum
548
Standardization 668
Statics/dynamics 227f., 275, 391f., 398f.,
402, 421, 437, 471ff., 500, 520, 525,
547, 562ff., 574, 711, 721
Statistics 195, 233f., 291, 308, 401, 596,
Silence 667
Silent speech 269f., 698, 707
258, 266, 272ff., 292, 294ff., 297, 300, 308, 317, 325, 335, 347, 410, 421, 435ff.,
661
Status 134, 136f.
Stem
80,
117,
119ff.,
143ff.,
146,
155,
252
Simple/compound,
340ff.
s.
Compound/simple
Stereotype 430
INDEX OF SUBJECTS
Stochastic process 575, 579
751
Stoixeion 395
Stratification 284, 573, 586, 600, 719, 721
67ff.,
Syndrome
Synecdoche
702
Syntagma
Syntax
108, 519
275,283,298,411,573,598
Subcode275,278,283,525,574,587,667f., 719, 722
Subject 10,
32ff., 39f., 50, 56, 80, 198,
217,
Subjunctive 117
Synthesis,
Subliminal 677, 715 Subordination 80, 99ff., 118, 676 Substance/form 718
Substantive,
s.
671
noun
System 29,
Substratum 389
Substructure 664, 706
Successivity 273, 281, 299ff., 304f., 317ff.,
Taboo
Taste 701
330f.,336, 340ff.,436ff.,721
Suffix
Tautology 48,
115,
660
106ff,
334, 340, 344, 706 Supine 160 Suppletion 70, 144, 167 Suppositiones 707 Supraconscious {zaumnyj) 532, 704f. Surprise 365 Surrealism 256 Syllable 226, 395, 409, 583
Teleonomy 685
Teleology (goal-directedness) 392, 401 f.,
416, 454, 463, 473, 512T., 523ff., 543ff,
547, 683ff., 719 Tense 8, 13, 135f., 140, 142, 144, 146, 214, 587 Terminology 114, 700, 712
Symbol
335, 347,
706
502f.,
690
22, 70,
Symptoms 703
Synchrony/diachrony AD,
88ff., 94f.,
4ff., 18,
Theater 256, 661, 702 Thematic morpheme 79 Thermodynamics 690 Thought AD, 468, 708
Time
706,721
752
Topics 489
IM)! X OF SUBJECTS
Values 156, 55 Iff., 665 Variability 681
Variation,
s.
Topology 155, 223, 569, 581, 661, 712 Toponymies 625, 629, 634f., 636, 641, 644
Invariance
31, 46f., 53, 79, 81
Touch
701
Verb
3ff., 25f.,
463 Transformation 191, 224, 274, 342 Transforms 659, 7\4 Transportation 669 Transition, s. Nucleic binary oppositions
Transitivity 36, 56IT., 85f., 88ff., 94,
1
erbalization 672
s.
Verdictive,
Assertorial
12,
140
Translatability 262fT., 274f., 280
576
Transliteration 622f.
17f.,
135f., 14
706
145f.,
587
581ff.
Vowel/consonant AD,
Trinity 370tf.
Vowel harmony
Tropes lexical and grammatical 258, 707 Truncation 120ff., 143, 193f. Truth test 190f.,494f., 579 Typology 26, 70, 182, 226, 284, 317, 401,
465, 479, 487, 507, 513, 515, 525, 548,
552, 563, 571, 577f., 580f., 583, 586,
Whole/part
103,
280ff.,
421,
4
1
Word AD,
233f.,
241f.,
243ff.,
249,
251
Unconscious 403, 431, 714 Undergoer 133f. Underlying form 119f. Uniformity 6681T., 719
Unit 104ff., 706f. Unitarianism 292
Word class 298 Word concept ( Wortbegriff) 267, Word end 107f. Word family 410, 628, 632, 639f.
649
Univerbation 16,
Universal
19ff., 22,
206
713
Word finding 198, 235, 294, 311 Word group 27f.,71 Word order 16, 22, 27, 118, 217,
grammar
713 Universe of discourse 660, 697 Utilities 663 Utterance 104, 233f., 241, 243, 280, 297, 304, 720
599f., 676f., 687, 689,
718
1 1 1, 1
Zero
119f.,
585f.
Vagueness 659
UNIVKSITT OF
Zoosemiotic
673ff.
LOS ANGELES
608 765 3
12 6251