Language Change: Faces and Facets

Contents 5 Contents List of contributors................................................................................................ 7 Editors’ preface ...................................................................................................... 9 Anna Bloch-Rozmej Back consonants in Ukrainian: a diachronic overview ........................................ 13 Anna Bondaruk, Aleksandra Bartczak-Meszyńska Dative or accusative in disguise? The study of the Double Object Construction in English........................................................................................ 25 Magdalena Charzyńska-Wójcik Transitivity à la Old English ................................................................................ 43 Magdalena Charzyńska-Wójcik, Rafał Charzyński Listen to the text – on translation strategies in two historical Italian Psalters ...................................................................................................... 77 Krzysztof Jaskuła A sign of the times – a brief note on voiceless vowels and word-inal devoicing of consonants in emphatic Polish ........................................................ 99 Konrad Klimkowski Assessment as an instrument of change in translator and interpreter Education .................................................................................................................. 111 Kinga Lis The latinity of the Wyclifite Psalters ................................................................ 129 Anna Malicka-Kleparska Competing grammars or diachrony at work: a case of Polish anticausatives ..... 173 Ewelina Mokrosz The ambiguous status of Polish demonstratives ................................................. 195 6 Contents Bogdan Szymanek Money in word-formation: the English sufix -age ............................................. 217 Jerzy Wójcik Morphophonology or how linguistic concepts rise from the ashes...................... 237 Sławomir Zdziebko What the 18th- and 19th-century sources tell us about the implementation of Aitken’s Law ................................................................................................... 247 Guohua Zhang Objecthood and the general direction of the historical change of the Chinese Double Object Construction .................................................................. 261 List of contributors List of contributors Aleksandra Bartczak-Meszyńska Academy of Finance and Management in Białystok Anna Bloch-Rozmej Department of Applied Linguistics John Paul II Catholic University of Lublin Anna Bondaruk Department of Theoretical Linguistics John Paul II Catholic University of Lublin Magdalena Charzyńska-Wójcik Department of the History of English and Translation Studies John Paul II Catholic University of Lublin Rafał Charzyński Department of Philosophy John Paul II Catholic University of Lublin Krzysztof Jaskuła Department of Phonology and Phonetics John Paul II Catholic University of Lublin Konrad Klimkowski Department of the History of English and Translation Studies John Paul II Catholic University of Lublin Kinga Lis John Paul II Catholic University of Lublin Anna Malicka-Kleparska Department of Contrastive English-Polish Studies John Paul II Catholic University of Lublin 7 8 List of contributors Ewelina Mokrosz Department of Theoretical Linguistics John Paul II Catholic University of Lublin Bogdan Szymanek Department of Modern English John Paul II Catholic University of Lublin Jerzy Wójcik Holy Cross University, Kielce Sławomir Zdziebko Department of Phonology and Phonetics John Paul II Catholic University of Lublin Guohua Zhang School of Humanities, Zhejiang University, School of Foreign Languages, Zhongnan University of Economics and Law, China Contents 9 Editors’ preface This volume is a collection of papers dealing with various aspects of language change. The collection is a good illustration of the place occupied by historical linguistics in modern linguistics as aptly captured by Joseph (2001) ‘while not in the center of the ield of linguistics, historical linguistics nonetheless draws on virtually all aspects of the ield in ways that other subields do not’.1 This wide array of different aspects of modern linguistics that historical studies embrace can be seen in the papers included in the present volume. There are papers by Bloch-Rozmej, Jaskuła, Wójcik and Zdziebko, which deal with phonology and phonological theory. Syntactic analysis forms a major part of the contributions by Bondaruk and Bartczak-Meszyńska, Charzyńska-Wójcik, Malicka-Kleparska, Mokrosz and Zhang. Papers by Charzyńska-Wójcik and Charzyński and a contribution by Lis deal with the historical evolution of the lexicon, while Szymanek deals with historical morphology. Finally, a contribution by Klimkowski is an interesting and inspiring inquiry into the nature of change in general. The present collection can also be viewed as a relection of the age-old divide of the historical study of language into historical linguistics and philology. Broadly speaking, the historical linguistics approach is theory-oriented, while the philological approach is data-oriented. The former can be seen in the contributions by Bloch-Rozmej, Bondaruk and Bartczak-Meszyńska, CharzyńskaWójcik, Malicka-Kleparska, Mokrosz, Wójcik and Zhang. The latter shows up in the papers by Charzyńska-Wójcik and Charzyński, Lis, Szymanek and Zdziebko. Anna Bloch-Rozmej discusses the rise of velar consonants in Ukrainian and the change of palatalisation, which affected them in the course of their development. Her investigation, employing the technical apparatus of a nonderivational phonological model of Government Phonology, focuses on the internal structure of Ukrainian velar consonants and the interplay between subsegmental categories responsible for palatalisation. Anna Bondaruk and Aleksandra Bartczak-Meszyńska explore the properties of the Double Object Construction (DOC) in English from the point of view of Minimalist Syntax. The authors call into question the traditional analyses of the DOC and postulate that both objects in the DOC have their case valued structurally as the accusative. They ind support for the new analysis of the DOC in 1 Joseph, B. D. 2001. Historical linguistics. In M. Aronoff, and J. Rees-Miller (eds.), The handbook of linguistics, 105–129. Oxford: Blackwell. 10 Editors’ preface a diachronic account of the changes that this construction was subject to in the history of English. Magdalena Charzyńska-Wójcik looks at the notion of transitivity in an attempt to ind out how different theoretical models build transitivity into their technical apparatus and how successfully they account for the body of data found in Old English. She concludes that none of the available approaches to transitivity can fully account for Old English data – a situation which calls for a revision of the traditional understanding of this notion. Magdalena Charzyńska-Wójcik and Rafał Charzyński provide a detailed analysis of translation strategies employed in the production of two Italian renditions of the Psalter. The authors further compare their indings concerning the Italian Psalters with translation strategies used in the historical translations of the Psalter into the English language with a view to identifying some general properties of Biblical translation. Krzysztof Jaskuła looks at a relatively recent phenomenon of vowel deletion in word-inal position in Present-day Polish from the point of view of Government Phonology. The analysis concentrates on the phonological processes of devoicing and palatalisation accompanying the truncation of word-inal vowels. Konrad Klimkowski focuses on the nature of change in a broad educational context. The author explores the way in which different theories and pedagogical schools deined change and concludes that educational change should always come from within the learner and the teacher if it is to succeed as a means of realising educational tasks. Kinga Lis studies the etymological make-up of nominal equivalents in two versions of the Wyclifite Bible on the basis of the irst ifty Psalms. The Wyclifite Bible, a late 14th-century translation from Latin, is often viewed as heavily dependent on Latin. The inding of the paper is that, contrary to the claims found in the literature, Latinisms are only sporadically encountered in the texts of the Wyclifite Bible Psalters. Anna Malicka-Kleparska explores the history of anticausatives in Polish, tracing the development of analytic and synthetic forms of anticausatives which persisted in the language throughout the history of Polish. The author concludes that the history of Polish anticausatives raises some general questions concerning both the nature of grammar change in general and the existing generative model of change in particular. Ewelina Mokrosz discusses the status of demonstratives in Polish from the Minimalist Syntax perspective. She inds out that both the DP/NP and head/ speciier status of demonstratives in Present-day Polish may be questioned. What seems problematic from the synchronic perspective, however, may be resolved if Polish diachronic data are analysed. The author proposes a solution Editors’ preface 11 whereby Present-day Polish demonstratives display an ambiguous status since Polish undergoes a diachronic change affecting these categories. Bogdan Szymanek looks at the English sufix -age encoding the concept of ‘money’ that is paid, for instance, as a toll, duty, tax, etc. What the author inds out is that the sufix in question was subject to a gradual demise in the history of English, starting from approximately 150 instances of -age nouns with money-related semantics in Middle English to just a handful of items attested in Present-day English. The paper suggests both language-external and language-internal causes of the observed diachronic development. Jerzy Wójcik provides an overview of the history and use of the concept of morphophonology in phonological theory. The author concentrates on the different ways of understanding morphophonology within various theoretical approaches. The paper tries to identify the causes for the renewed interest in morphophonology observed in recent works within the theoretical model of Government Phonology. Sławomir Zdziebko deals with the changes affecting vowel length in Scots, i.e. Aitken’s Law and its interaction with the historical process of the Great Vowel Shift. He investigates six sources from the 18th and 19th centuries whose authors comment on the realisation of vowels in dialects of English used in Scotland with a view to demonstrating the details of Aitken’s Law. Guohua Zhang investigates the Double Object Construction (DOC) in Chinese. The author provides a detailed analysis of the diachronic development of the DOC between Archaic and Modern Chinese, sketching the evolution of its syntactic and semantic properties. The paper proposes an explanation for the observed diachronic development of the Chinese DOC. We would like to express our gratitude to all the contributors to the present book, whose willing and active cooperation made this publication possible. We hope that the volume stands as a good example of the vibrant and stimulating nature of the discipline of historical linguistics. Magdalena Charzyńska-Wójcik Jerzy Wójcik Anna Bloch-Rozmej 12 Editors’ preface Back consonants in Ukrainian 13 Back consonants in Ukrainian: a diachronic overview Anna Bloch-Rozmej Abstract: The article focuses on the problem of back consonants in Ukrainian seen from a historical perspective. The discussion of the inventory of Ukrainian back consonants will be presented along the selection of linguistic phenomena that have affected their quality throughout the history of the language. We shall look for the ancestors of the sounds in question and identify the paradigms for diachronic changes. Also, some most important sources will be presented that shed light on the diachronic investigation into the development of back consonants. Special attention will be focused on the occurrence of the velar fricative in Slavonic languages. Further the 1st, 2nd and 3rd palatalisations will be subject to discussion with a view to indicating the effects the processes had on velar consonants in Ukrainian. The theoretical model adopted in the phonological interpretation of the relevant data will be that of Government Phonology. Key words: back consonants, change, phonological representation, Ukrainian 1. Introduction The aim of the forthcoming article is to present a general diachronic overview of the selected developments which affected some back consonants in Ukrainian. This mostly theoretical excursus will be conducted through the optic of the Government Phonology framework and occasionally, GP-based representations and interpretations of the discussed phenomena will be attempted. However, we refrain ourselves from discussing the phonological model since any explanatory analysis of the historically extensive sound evolution would require the employment of the theoretical apparatus in its entirety. The discussion of the whole model deinitely exceeds the limits of this article. Hence, occasionally, some reference to the GP-based analytical devices will be made, whereas a detailed presentation of Government Phonology can be found in Kaye, Lowenstamm and Vergnaud (1985, 1990), Harris (1994), Cyran (2010), Bloch-Rozmej (2008), to name just a few sources. The paper is structured as follows. We start with specifying the inventory of back consonants in Ukrainian (Section 2) and deining the paradigms for diachronic changes that led to the rise of the back consonants in contexts they occupy in Present-day Standard Ukrainian and some of its dialects. Further, the most important sources for the historical investigation of the Ukrainian phonological system will be described (Section 3). This presentation is succeeded by the discussion of the occurrence of the velar fricative in Slavonic languages as well as the 1st, 2nd 14 Anna Bloch-Rozmej and 3rd palatalisations of velar consonants in Ukrainian (Sections 4 and 5). As indicated above, some government-oriented interpretations will also be proposed. 2. Ukrainian back consonants The inventory of the Ukrainian back consonants is richer than that of English or Polish as it contains four members. (1) [g] [k] [x] [H] voiced velar plosive voiceless velar plosive voiceless velar fricative voiced glottal fricative This set does not correspond to the one proposed by Vasylenko (2001: 72), where also the palatalised variants of the above segments are included. It has to be explained that the velar nasal or a voiced velar fricative seem to appear in Standard Ukrainian only in strictly speciied contexts, which suggests their derived status. Still, the two consonants are found in the western dialects, while [V] is frequent in Belorussian and southern Russian where they are not contextdependent (Shevelov 2002: 644). The data in (2) below illustrates the occurrence of the segments under discussion in different word contexts. We have also included the palatalised consonants here. (2) a. [x] b. [x’] c. [ɦ] chata chlib chram chutro pchaty mucha chidnyk chid archiv harno hazeta hostryj hra hrib hlyna hluchyj ‘cottage’ ‘bread’ ‘temple’ ‘fur’ ‘push’ ‘ly’ ‘pavement’ ‘walking’ ‘archives’ ‘beautifully’ ‘newspaper’ ‘sharp’ ‘game’ ‘grave’ ‘clay’ ‘deaf’ puch ptach usmich much komach chmara ‘down’ ‘bird’ ‘smile’ ‘ly-GEN.PL’ ‘insect-GEN.PL’ ‘cloud’ Boha knyha doroha ‘God-GEN.SG’ ‘book-NOM.SG’ ‘way-NOM.SG’ 15 Back consonants in Ukrainian d. [Ɣ] Boh druh dorih vah stih e. [Ɣ’] hilka hihant hist’ hidnyj f. [k] komacha hirka chimik g. [g] ganok ‘God’ ‘friend’ ‘way/gen.pl.’ ‘weight’ ‘rick’ ‘twig’ ‘giant’ ‘guest’ ‘worthy’ ‘insect’ ‘hill’ ‘chemist’ ‘porch’ bereh rih ‘river bank-NOM.SG’ ‘horn-NOM.SG’ berehi nohi ‘river banks-NOM.PL’ ‘leg-NOM.PL’ The velar plosive, in terms of its distribution seems to be free to occur in different domain contexts. The same holds for the velar fricative [x]. Seen from the point of view of the traditional concept of the syllable and its constituents, i.e. onset, nucleus and coda, the two sounds tend to take up onset sites. Similar to [k] or [x], the voiced glottal fricative [ɦ] will be bound to occur in sites classiied as onsets, whereas [Ɣ] takes up codas. Within the GP framework, the latter will be claimed to occupy prosodically weaker contexts. Positions followed by a word-inal empty nucleus or the rhymal complement point governed by the following onset are perceived as prosodically weak (Harris 1994).1 This is depicted in (3) below, where (3a) illustrates the voiced fricative licensed by an empty nuclear position, whereas in (3b) a full vowel serves as a licenser of the laryngeal [ɦ]. (3) (3) a. a back C in a weak context a. a back Cin a weak context O R O N 1 O N x x x b o Ɣ Boh ‘God’ R b. a back C in a strong context b. a back Cin a strong context x R O N x x R N x x b o ɦ a Boha ‘God-GEN. SG’ For a more detailed synchronic study of the Ukrainian back fricatives within the Government Phonology framework, see Bloch-Rozmej (2008). 16 Anna Bloch-Rozmej Without going into unnecessary detail, the speciic distribution of the two back fricatives could be indicative of their differing segmental strength. More precisely, we can predict that the stronger melodies are those that are more complex in terms of the number of elements they are composed of as well as possess a headed status.2 To round up this section, the back consonants that are attested in Standard Ukrainian and its dialects today can be perceived as outcomes of complex changes they have undergone throughout many centuries of the language evolution. In what follows, we shall look into some of the more signiicant phases of their development and present the most comprehensive sources documenting sound change in Ukrainian. 3. Stages and sources: a few remarks on the history of Ukrainian The evolution of Ukrainian dialects is rather weakly evidenced in the medieval written sources. Still, there is general agreement that features characteristic of Ukrainian originated in the south-western part of East-Slavonic dialects in the 10th (or 11th) century (Zhovtobriuch 1980: 6). The evolution of the spoken language, which can be labelled as Old East Slavonic, took place on the territories of Volyn, Poldilia, Pokuttia, Subcarpatia and the neighbouring areas where Ukrainian emerged. That was accompanied by the development of the literary form, which led to mutual inluence of the two varieties (Shevelov 2002: 718–9). The beginnings of the Ukrainian language date back to the period of Kievian-Rus between the 9th and 14th centuries. During that period two languages used to function simultaneously: Old Slavonic based on Old Church Slavonic and Old Ruthenian – a local equivalent of OCS (Zhovtobriuch 1980: 5–6). However, before the 11th century neither of these languages exhibited properties typical of the spoken variety. They were employed for oficial, formal purposes. The Lithuanian period between the 14th and 16th centuries, also referred to as the Old Ukrainian period, is characterised by considerable inluences of dialects on the written language. The OCS underwent a signiicant reform and transformed into Sloveno-Ruthenian used only in juridical texts, the canon law as well as theological and philosophical works. Old Ruthenian, in turn, came to be affected by common speech, the result of which was its development into the so-called 2 It is noteworthy that within segmental expressions asymmetrical relations can be established based on the preponderance of one of the elements recognised as segmental head with the other primes having dependent status. The model also recognises headless melodic expressions. Back consonants in Ukrainian 17 ‘simple speech’ or ‘mova prosto’ in the 14th century (Shevelov 2002: 720). In the 16th century ‘mova prosto’ became the oficial language of the Great Lithuanian Duchy into which the Byelorussian and Ukrainian territories were incorporated (Serczyk 2001: 51–3, 68). In 1596 the Ukrainian territory found itself under Polish government, which resulted in a strong impact of Polish on Ukrainian. Starting from the 16th century, Sloveno-Ruthenian and ‘mova prosto’ began their transformation into Belorus and Ukrainian varieties respectively. The diachronic sources documenting the development of Ukrainian include Lexis by L. Zizanij (Vilno, 1596) (see Citko 2012), a handbook of OCS by Patriarch Evtimij (see Ivanova 1980), Grammatika by M. Smotryc’kyj (1619), the Sloveno-Russian Lexicon by P. Berynda (1627) (see Citko 2012), Lexicon by E. Slavinec’kyj (1642) and dictionaries (Serczyk 2001: 67, 89). It was also at that time that Romanian texts on the literary language of Ukraine appeared, among which Codex Studzanus (1670) and Codex Teodorescu can be found. The period in question also brought about the creation of some ine literature in both Sloveno-Ruthenian and ‘mova prosto’ (also referred to as ‘knyzhna mova’, or book language, indicating its speciic usage (Łesiów 1995: 8). The spoken language of Ukraine was subject to a more detailed study in the second half of the 18th century, which culminated in the publication of F. Tumans’kyj’s (1793) dictionary and the appendix to I. Kotljarevs’kyj’s (1798) Eneid. 4. The change of velar plosives Any analysis of the consonantal system of Old East-Slavonic (OES) should also entail some insight into the sounds of Common Slavonic (CS). One of the Ukrainian back consonants – [x] – originates from [k] and [s]. According to one theory, Proto-Indo-European (PIE) dialects that evolved into Common Slavonic (CS) did not possess a voiceless velar fricative. Its development involved the evolution of PIE [kh], which, similar to other aspirated plosives, was gradually eliminated from the Proto-CS system. (4) PIE *khold ° CS *xold ° OES xolod ‘cold-NOM.SG’ When analysed in terms of the segment structure advocated by Government Phonology, the change would be interpreted as a weakening modiication resulting in the loss of the occlusion property (encoded by the element in the melodic structure) from the make-up of the plosive. This effect is depicted in (5) below. 18 Anna Bloch-Rozmej (5) The second source of the velar fricative, as indicated above, was the post-dental [s]. Zhovtobriuch (1980) argues that the shift from [s] to [x] was due to the close front vowels [i] and [i:] as well as the close back [u] and [u:]. Moreover, the change took place also after the approximant [r] and in the [s+k] combination (Zhovtobriuch 1980: 31). (6) OES [tixj] [suxj] [verx] [muxa] ‘silent-NOM.SG.MASC’ ‘dry-NOM.SG.MASC’ ‘hill-NOM.SG’ ‘ly-NOM.SG’ other languages Lith. [teisu#s] teisu~s Lith. [sau&sas] sau&sas Lith. [virs#us# ] virs#us# Latv. [muska] musca ‘just-NOM.SG.MASC’ ‘dry-NOM.SG.MASC’ ‘hill-NOM.SG’ ‘ly-NOM.SG’ As for the nature of the alleged [s] to [x] change, it is easily accountable for in terms of the element-based segment structure. The modiication is effected through the loss of the resonance element A deining the coronal place of articulation of the fricative, which leaves the segment empty-headed. This is exactly the typical speciication of the place property of the velar [x] structure. A more challenging task is the identiication of the change trigger. Different hypotheses can be put forward here. Yet, to choose the most likely one, the system of the language would have to be carefully examined. That task, however, seems too complicated to be achieved within the limits of the present discussion. Our suggested solution, as the data in (6) reveal, should take into account a special site where the fricative undergoes modiication. More precisely, [s] is either intervocalic or inds itself in a governed position, as in musca. As argued in Harris (1994), both these contexts are prosodically weak and likely to exhibit lenition effects. Element loss which characterises the change described is beyond doubt an example of consonant weakening. The resonance element A, though delinked from the slot, does not Back consonants in Ukrainian 19 disappear from the representation but loats unassociated. It is noteworthy that elements are pronounced once they are licensed and attached to the prosodic position. As long as A remains unattached, it is mute. Still, when a licenser appears in the structure, A is authorised to be linked to a slot, thus contributing to the phonetic interpretation of the relevant segment. Notice what happens in the following examples: (7) OES/Ukrainian dialects [muxa] Myxa [mox] Mox OES [mus’e] [mos’e] Ukrainian dialects [mus’i] MYci ‘ly-LOC.SG’ [mos’i] Moci ‘sack-LOC.SG’ Without going into unnecessary detail, we can clearly see that the velar fricative appears before [a] and in the word-inal position (in the present model this would be the site licensed by an empty nucleus). In the [s]-containing items, [s] is found before the front vowels [i] and [e]. Notice that in both vocalic structures the element I is part of the structure of the vowel that follows. Therefore, we shall stipulate that A needs to ‘be licensed by I, which is a language-speciic property. (8) A-licensing in Ukrainian A as head must be licensed by the following headed I. The implementation of the above proviso makes the attachment of the loating A possible before the high front vowels [i] and [e], which contain I. It has to be remembered, however, that the existence of this constraint in the system of OES needs further substantive evidence and for the time being has to be treated as a working hypothesis. 5. Velars versus palatalisation processes It is noteworthy that in OES the velar consonants [g], [k] and [x] were hardly ever targeted by palatalisation since they almost never preceded front vowels – the regular palatalisation triggers. The only exceptions were infrequent Greek loans, as in [k’ipar’isъ] ‘Cyprus’, [k’esarъ] ‘emperor’, [x’itonъ] ‘a sort of fabric’ or [ang’elъ] ‘angel’. In the late CS period, before the year 300, the velars underwent the process of ‘softening’ in positions preceeding [j]. This development represents the so-called 1st palatalisation (Gussmann 1978, Rubach 1981, Shevelov 2002). Zhovtobriuch (1980) indicates that the modiication proceeded in certain stages which we depict in (9) below. 20 Anna Bloch-Rozmej (9) Early CS I II gj g’j kj k’j xj x’j III Z’j tSj S’j IV Z’: tS’: S’: OES V Z# tS’ S’ A closer look at the clusters that constitute input to the palatalisation operation reveals that in terms of constituent structure proposed by Government Phonology, they are well-formed branching onsets. It seems that the palatalisation effect is achieved by means of element sharing, whereby the onset governee contributes to the melodic structure of its left-hand governor. O (10) x x I h H [h] [j] The structure in (10) depicts the spreading of the palatal element I, which when attached to the onset point, is manifested as a glide. However, once it has spread to the preceding position and become delinked from its original slot, the prime takes up the empty head of the velar fricative, thus leading to the phonetic output of [S]. It is dificult to determine the exact time of the 2nd palatalisation. Zhovtobriuch (1980: 45) maintains that according to some researchers it took place between the 2nd and 3rd century, whereas others argue for the period between the 3rd and 5th centuries. The change was a common Slavonic phenomenon, though producing different effects in different linguistic systems. The details of this modiication can be found in Bartula (1987) and Brajerski (1995). The general pattern of the change is depicted in (11) below (Zhovtobriuch 1980: 44). (11) g > z’ k > ts’ x > s’ Back consonants in Ukrainian 21 The palatalisation of this type was triggered by the adjacency of [e#] and [i], which developed from the CS [aj] and [oj] respectively. This process can be exempliied with a shift *[gojl] > [dze#l] > [z’e#l]. The second palatalisation was typically found in inlected forms. This is substantiated by both the OES works and the items attested in Present-day Standard Russian, Byelorussian or Ukrainian (Shevelov 2002). A handful of illustrative OES examples are provided in (12). (12) [drug] [tS ’love#k] ‘comrade-NOM.SG’ ‘man-NOM.SG’ > > [druz’i] ‘comrade-NOM.PL’ [tS’love#ts$’i] ‘man-NOM.PL’ The existing sources indicate that the 2nd palatalisation was realised in a different manner than the previous type. Zhovtobriuch (1980: 45) describes the consonants resulting from the process as phonetically not palatalised but rather ‘close to palatalized’. In element terms, such an effect seems to suggest a different form of the integration of the palatal element into the structure of the affected segment. In the ‘deeper’ type of palatalisation it might be proposed that I captures the head position of the palatalised velar, while in the output of the 2nd palatalisation, the prime could enjoy the dependent status only. Structurally, this difference can be depicted as follows: x (13) a. I head b. x I dependent The outcome of the 3rd palatalisation constitutes the biggest challenge for the phonological analysis since it is the preceding vowels that trigger the change. The process targets velars turning them into coronal fricatives and affricates. The change is illustrated in (14) below. (14) early OES [liko] [ovika] [vъxe] [dr ’gati] ° OES [lits$e] [ovъts$a] [vъse] [dъr’zat] ‘face-NOM.SG’ ‘sheep-NOM.SG’ ‘all’ ‘shiver’ It can be noticed in the items speciied in (14) that the element responsible for the palatalisation process is still the palatal prime I. It is part of the melodic make-up of both the preceding vowel [i] and the consonants which appear as palatalised, e.g. [r’]. From the perspective of the framework used in this study, the situation is complicated 22 Anna Bloch-Rozmej in the sense that there is no licensing or governing relation binding the onset and the preceding nucleus. Admittedly, in consonant clusters it might be argued that the right-hand one performs the governing role, thus enabling the transfer of the palatal prime from its governee. However, the spreading of I rightwards could be possible either as a manifestation of spontaneous element propagation to the right affecting the neighboring segments or as a manifestation of the existing inter-nuclear licensing relation. The former type of operation, though theoretically possible, raises an important question why the element propagation targets only the consonant to the right of the donor, leaving the following vowel intact. The internuclear licensing relation emerges as a more likely candidate for a palatalisation trigger. This could be schematised as depicted in (15). (15) N O N x x x I Beyond doubt, the palatalisation changes adhered to in the above discussion have a much more complex character. Notice that the affected melodies become not only enriched with a palatal prime but other modiications of their segmental structures do occur. A clear example documenting this observation is a transformation of a plosive into an affricate. Another piece of evidence revealing the intricacy of the development is the appearance of the element A in the velar segments targeted by palatalisation, which seems surprising in the light of the fact that velars are empty (neutrally)-headed. These questions have to be left unanswered in this article since their closer analysis would require a thorough exploration of both the vocalic and consonantal systems of OES, which surpasses the limits of a single paper. 6. Conclusion In this article our attention was focused on the rise of velar consonants in Ukrainian and selected changes they underwent in their historical development, the three palatalisations in particular. We have illustrated the developments with relevant examples and suggested possible explanations concerning the element-based operations that might be involved in producing the palatalisation output. Our Back consonants in Ukrainian 23 proposals should be treated rather as indications for further advanced analyses than ultimate solutions. Too many questions still await answers, pertaining both to the internal structures of the segments involved and the nature of the implemented modiications. The article has also discussed the literature sources that should be adhered to once a more advanced diachronic analysis of the Ukrainian velars has been taken up. References Bartula, C. 1987. Podstawowe wiadomości z gramatyki staro-cerkiewno-słowiańskiej na tle porównawczym. Warszawa: Państwowe Wydawnictwo Naukowe. Berynda, P. 1627. Slavo-Russian Lexicon and Names Commentary. 1st edition. Kiev. Bloch-Rozmej, A. 2008. Melody in Government Phonology. Lublin: Wydawnictwo KUL. Brajerski, T. 1995. Język starocerkiewno-słowiański. Podręcznik dla polonistów. Lublin: Towarzystwo Naukowe Katolickiego Uniwersytetu Lubelskiego. Citko, L. 2012. U źrodeł leksykograii zachodnioruskiej. Studia Wschodniosłowiańskie 12: 199–210. Cyran, E. 2010. Complexity Scales and Licensing Strength in Phonology. Berlin: Mouton de Gruyter. Gussmann, E. 1978. Contrastive Polish-English Consonantal Phonology. Warszawa: Państwowe Wydawnictwo Naukowe. Harris, J. 1994. English Sound Structure. Oxford: Blackwell. Ivanova, K. 1980. Žitieto na Petka Tǔrnovska ot Patriarch Evtimij. Iztočnici i tekstologičeski beležki. Starobǔlgarska Literatura 8: 10–36. Kaye, J., J. Lowenstamm, and J.-R. Vergnaud. 1985. The internal structure of phonological elements: a theory of charm and government. Phonology Yearbook 2: 305–328. Kaye, J., J. Lowenstamm, and J.-R. Vergnaud. 1990. Constituent structure and government in phonology. Phonology 7: 193–231. Kotljarevs’kyj, I. 1798. Eneida, na malorossiiskifj azyk perelicovannaia I. Kotliarevskim. Petersburg. Łesiów, M. 1995. Шкилъна гpaмamuкa yкpaїнcькoї мовu (Shkyl”na hramatyka ukrayins”koyi movy). Warszawa: Wydawnictwa Szkolne i Pedagogiczne. Rubach, J. 1981. Cyclic Phonology and Palatalisation in Polish and English. Warszawa: Wydawnictwa Uniwersytetu Warszawskiego. Serczyk, W. A. 2001. Historia Ukrainy. Wrocław: Ossolineum. Shevelov, J. 2002. Icmopuчнa фoнoлогiя yкpaїнcькoї мовu (Istorychna fonolohiya ukrayins”koyi movy). Kharkiv: Akta. 24 Anna Bloch-Rozmej Slavinec’kyj, E. = Nimčuk, V. (ed.). 1973. Leksykon latyns’kyj E. Slavynec’koho, Leksykon slovenolatyns’kyj E. Slavynec’koho ta A. Korenc’koho-Satanovs’koho. Kiev: Akademija nauk Ukrajin’skoji R.S.R. Smotryc’kyj, M. 1619. Hrammatiki slavenskija pravilnoe syntagma. Vilnius or Jevje in Vilnius. Tumans’kyj, F. 1793. Iziasnenie malorossiiskikh rechenii v predshedshikh listakh. Petersburg. Vasylenko, V. 2001. Українська мова. Поглuблeнuй npaкmuчнuй кypc (Ukrayins”ka mova. Pohlublenuj npakmuchnuj kypc). Poznań: Wydawnictwo Naukowe UAM. Zhovtobriuch, M. A. (ed.). 1980. Icmopuчнa гpaмamuкa yкpaїнcькoї мовu (Icmopuchna hpamamuka ykpayinc”koyi movu). Kiev: Vyshcha Shkola. Zizanij, L. 1596. Лексис Сирěчь Реченïа (Leksys Syrěch” Rechenyia). In L. Zizany, and S. Zizany (eds.), Science of Reading and Understanding of Slavonic Writing. Vilnius. Dative or accusative in disguise? 25 Dative or accusative in disguise? The study of the Double Object Construction in English1 Anna Bondaruk Aleksandra Bartczak-Meszyńska Abstract: The paper has aimed at providing a structural representation of the Double Object Construction in English. Another aim has been to offer an account of Case and φ-feature valuation in this type of structure in the Minimalist Program of Chomsky (2000, 2001, 2007, 2008). Special emphasis has been laid on the way passivisation operates in the DOC in English, in particular on the ability to form both the direct and indirect passive in this language. It has been argued that the presence of the symmetrical passive in English can be easily accounted for if we reject the traditional approach to the Case marking of objects in the English DOC, in which the indirect object is treated as bearing the inherent dative and the direct one – as being associated with the structural accusative. Instead, evidence has been adduced that both objects are marked for the structural accusative and can therefore undergo passivisation. The arguments offered in support of this claim have relied on the close analogy between the passivisation possibilities of the German double accusative DOC and the English DOC, and the differences in the passivisation possibilities between OE, in which the dative case was marked morphologically, and Present-day English. It has been emphasised that the indirect passive was absent in OE, but started to appear in ME, the period when the dative was no longer marked with a unique morphological ending. This makes it possible to claim that the emergence of the indirect passive is closely linked with the dative object turning into the accusative. Key words: Double Object Construction, dative, accusative, German, English, Minimalist Program 1 1. Introduction The aim of the paper is to discuss the syntax of the Double Object Construction (henceforth DOC) in English.2 An attempt is made to put forward a structural representation of the English DOC and to provide an overview of how Case and φ-feature valuation proceeds in this type of structure. We also focus on how passivisation operates in the DOC in English. The structure of the English DOC proposed here draws heavily on the slightly modiied analysis of the DOC offered by Citko (2011), and is carried out within the Minimalist Program of Chomsky (2000, 2001, 2007, 2008). 1 2 We would like to thank Professor Magdalena Charzyńska-Wójcik for her invaluable comments on the earlier version of this paper. We focus on those DOCs in which both objects in either order are realised by nominal phrases, which is acceptable only in certain dialects of British English. 26 Anna Bondaruk, Aleksandra Bartczak-Meszyńska The paper argues for an innovative approach to the process of Case valuation in the English DOC. In contradistinction to traditional accounts, in which one object in the DOC has an inherent case, most frequently dative, and the other has a structural accusative (cf., for instance, Cuervo 2003), it is advocated here that both objects in the English DOC have their Case valued structurally as the accusative, as suggested in Bartczak-Meszyńska (2013). This proposal is supported by the diachronic analysis of the changes that affected the DOC in English, and a comparison of facts from the history of English DOCs with the passivisation processes found in Modern German. The paper is divided into ive sections. Section 2 contains an overview of the relevant English data. Section 3 focuses on the properties of the German DOC. Section 4 contains an analysis of the structure and derivation of the English DOC, as well as arguments supporting our proposal. The precise mechanism of passivisation in the English DOC is characterised in Section 5. Section 6 concludes the paper. 2. The data In order to characterise the Double Object Construction, we need to establish a deinition thereof. According to traditional grammars, (see, for instance, Downing and Locke 1995; Huddleston 1985; Huddleston and Pullum 2002; Quirk et al. 1985) the ditransitive Verb Phrase is constituted by two objects – Direct (henceforth DO) and Indirect (henceforth IO) – that complement the same verb and are not in a co-referential relation with each other. For example: (1) a. Bob gave [Mary]IO [a book]DO. b. Sue baked [us]IO [a cake]DO. In English, when the inanimate object (DO) occurs irst, the animate one (IO) is realised by a PP, as in (2), and the whole structure is then called a Prepositional Construction (henceforth PC) (see Larson 1988), rather than a DOC. (2) a. Bob gave [a book]DO to Mary. b. Sue baked [a cake]DO for us. How are the two structures exempliied in (1) and in (2) related? Before addressing this question, let us note that Modern English has a relatively poor system of inlectional morphology, manifested in the lack of inlectional endings on nouns, articles, or adjectives. This morphological impoverishment began in Dative or accusative in disguise? 27 Middle English and resulted in the use of the Dative Alternation in English.3 Before the loss of case marking, word order in English was relatively free – the Goal and the Theme, realised by nouns, appeared in either sequence with visibly different cases, signalled by inlectional endings on the nouns, articles or relevant forms of pronouns. The exact development of these changes is described by McFadden (2002), who discusses the increasing use of the Prepositional Construction in Middle English, with the Goal PP following the Theme, and the parallel emergence of the preference for interpreting the irst post-verbal DP as a Goal and the second as a Theme in the DOC. Nowadays, the grammaticality of Theme-Goal DOCs seems to be mostly dependent on the part of speech acting as the Theme. Although some speakers ind unacceptable the DO-IO sequence realised by nouns or a DP Theme with a pronoun Goal, as illustrated by (3c) and (3d) respectively, the acceptability of Theme-Goal DOC increases if the Theme is realised by a pronoun with a DP Goal, as in (3e).4 (3) a. b. c. d. e. The woman gave the boy a book. The woman gave a book to the boy. %The woman gave a book the boy. %The woman gave the ball him. %The woman gave it the boy. The Theme-Goal word order in the DOC is most widely accepted when both objects are realised by phonetically weak elements, such as pronouns, as in (4a), or even reduced pronouns, as in (4b). (4) a. The woman gave it him. b. The woman gave it ‘im. One remark is in order here: the fact that some speakers accept the ThemeGoal DOC does not entail that the Theme passivisation is attested in their idiolect. 3 4 The term Dative Alternation is used to describe the alternation between the DOC, where both objects are realised by nominal expressions, e.g. nouns or pronouns, and the PC, with one of the objects realised by a PP. The acceptability of the Theme-Goal DOC varies among English dialects. It is ruled out as unacceptable in American English. We ind support for our analysis in an in-depth study of this aspect of British English, based on the judgments of native speakers of different dialects with different backgrounds and levels of education, carried out by Haddican (2010). He claims that (3c) is considered grammatical in the variety of English spoken in the Manchester area; also Hughes and Trudgill (1979: 21) list similar sentences as grammatical. Anna Bondaruk, Aleksandra Bartczak-Meszyńska 28 However, the opposite is true: speakers allowing Theme passivisation accept the Theme irst DOC.5 Let us now consider the possible passivisation patterns in (5) below. (5) a. b. c. d. The book was given to the boy/him. The boy/He was given the book. %The book was given the boy. %The book was given him/’im. In English both objects can become subjects of passive sentences.6 However, when the DO becomes the subject, the IO is preferably realised by a PP, as in (5a) or, with a slightly diminished acceptability, by a pronoun, see (5d). 3. The properties of the DOC in German There are several types of DOC in German, depending on the case marking of the objects. The most commonly attested are: dative-accusative (DAT-ACC), as in (6), accusative-dative (ACC-DAT), illustrated by (7), double accusative DOC (ACC-ACC), as in (8), and the structure where one object is realised by a PP, exempliied in (9).7 (6) Der Mann gab der Frau the man-NOM gave the woman-DAT ‘The man gave the woman the pencil.’ den the Bleistift. pencil-ACC (7) Der Mann hat den Jungen dem Sturm ausgesetzt. the man-NOM has the boy-ACC the storm-DAT exposed ‘The man exposed the boy to the storm.’ (8) Der Trainer lehrte den Jungen the coach-NOM taught the boy-ACC ‘The coach taught the boy the trick.’ 5 6 7 den Trick. the trick-ACC Haddican and Holmberg (2011) present in detail the outcome of an experiment they conducted among native British English speakers, as well as their conclusions concerning the relation between the acceptability of Theme-Goal sequences in active and in passive sentences. Our observations concern the give-class verbs. There are other ditransitive verb classes, which exhibit a different syntactic behaviour, e.g. allow only one passive, or require the second object to be realised by a PP. The following abbreviations have been used: ACC=accusative, DAT=dative, and NOM=nominative, PL=plural, SG= singular, 3 – 3rd person. 29 Dative or accusative in disguise? (9) Der Mann schrieb den Brief the man-NOM wrote the letter-ACC ‘The man wrote the letter to his son.’ an den Sohn. to the son-ACC In German, passivisation targets the object marked with the accusative, which is structural, and it changes into the nominative as a result of passivisation. The dative object remains unaffected, as its case is inherent and hence cannot be affected by structure changing syntactic operations. The sentences in (10)–(12) below contain the passive variants of the respective active sentences in (6), (7) and (9). They illustrate passivisation in the DAT-ACC DOC, as in (10), in the ACC-DAT DOC, as in (11), and the passive of a structure with a PP, as in (12). (10) Der Bleistift wurde der Frau the pencil-NOM was the woman-DAT ‘The pencil was given to the woman.’ (11) Der Junge wurde dem Sturm the boy-NOM was the storm-DAT ‘The boy was exposed to the storm.’ gegeben. given ausgesetzt. exposed (12) Der Brief wurde an den Sohn geschrieben. the letter-NOM was to the son written ‘The letter was written to the son.’ However, there is a structure in German exhibiting a similar behaviour to the English DOC where either object can become a subject in the passive, namely the double accusative DOC, as in (8), repeated for convenience as (13a) below. The passivisation of the German double accusative DOC is presented in (13b) and (13c) below. (13) a. Der Trainer lehrte den Jungen den Trick. the coach-NOM taught the boy-ACC the trick-ACC ‘The coach taught the boy the trick.’ b. Der Junge wurde den Trick gelehrt. the boy-NOM was the trick-ACC taught ‘The boy was taught the trick.’ c. Der Trick wurde den Jungen gelehrt. the trick-NOM was the boy-ACC taught ‘The boy was taught the trick.’ Anna Bondaruk, Aleksandra Bartczak-Meszyńska 30 Since the passivisation of either object in the double accusative DOC in German is not only acceptable but fully grammatical, precisely as in English, we assume that the double accusative DOC in German and the English DOC must share certain structural properties. This parallelism needs to be considered when providing an account of Case valuation in the English DOC. 4. The syntactic structure and feature valuation in the DOC in English Our aim is to provide a representation of the distransitive structure that would account for the ability to passivise either object (cf. (5) above). Since researchers agree that English lacks High Applicatives (e.g. Georgala 2011; Grashenkov and Markman 2008), we would like to apply Pylkkänen’s (2008) structure of Low Applicatives to the English DOC. It has also been employed by Citko (2011) for Polish. Citko’s (2011: 145) structure is reproduced in (14b) below. (14) a. b. The woman gave the boy the book. vP v VP APPLP V IO APPL' APPL DO Citko (2011: 145) This structure might seem to be problematic, as the DO is situated further away from the phase head v and this could lead to locality violations – any syntactic operation from the phase head v or above targeting the DO would have to cross the IO. However, if combined with additional assumptions concerning Case valuation, this structure proves to be an eficient tool to account for the passivisation possibilities in the English DOC. In order to prove that, let us now turn to the issue of Case valuation in the English DOC. 4.1 Case valuation in the English DOC The issue of Case valuation is far more complicated in English than in languages with morphological case marking. No doubt nominal expressions in English must have their Case valued in the course of derivation but determining just the Dative or accusative in disguise? 31 Case of a particular expression, not to mention the additional characteristics of this Case (inherent vs. structural), is extremely dificult, as English has lost most of its morphological case markers.8 Additionally, due to the case syncretism of the dative and the accusative (which took place in Middle English), it is extremely dificult to determine which case is at issue, even when some remnants of morphological case marking are present. What we would like to do irst is to determine the case of both objects. Since accomplishing this task by analysing modern data is impossible, we need to resort to examining the behaviour of the DOC in the earlier stages of English and also the historical development of this type of structure in English. 4.1.1 Case marking in the DOC in the history of English9 It is essential to begin our discussion as early as Old English (henceforth OE).10 In OE, each case was morphologically marked, thanks to which the case form of a particular nominal expression, whether a DP or a pronoun, could easily be recognised. As has already been mentioned above, in this period both IO-DO and DO-IO DOCs have been attested. Thanks to the visible differences in case marking, the linear order of these objects did not matter in the process of identifying the Theme and the Goal/Recipient/Benefactor, etc. Since the word order was much freer in OE than it is nowadays, both objects could easily be fronted in active sentences (actually afirmative clauses often began with objects, and structures with fronted objects were not as stylistically marked as they are today). An example of an object-initial sentence is provided in (15), where the dative object đem acennendan Cynige ‘the born king’ appears in the clause-initial position: (15) Đem acennendan Cynige we bringað gold. the born king-DAT we bring gold ‘To the born King we bring gold.’ (ÆCHom. I 7.118.4) 8 Actually, morphological case marking on DPs has been lost, except for the Saxon Genitive. However, some remnants of morphological case marking can be observed in pronouns. 9 One remark is in order here: all the observations and comments that are made in this section are valid for the ‘standard’ DOC with nominal complementation. The clausal objects of ditransitive verbs may exhibit different properties, as mentioned, e.g., by Allen (1995). For a detailed analysis of clausal DOCs in Old English see Charzyńska-Wójcik (2002, 2007, 2013). 10 Our discussion of the diachronic processes is based on Denison (2004) and other works cited therein. Denison (2004) is also the primary source of the historical data we employ to support our proposal. 32 Anna Bondaruk, Aleksandra Bartczak-Meszyńska In OE, the passive voice of the DOC looks totally different from the passive in Modern English (henceforth MnE). First of all, OE had the impersonal passive – a structure no longer present in MnE. The impersonal passive consists of the verb in the third person singular without a nominative subject – the dative and/or genitive object is retained. Compare the following example, taken from Bondaruk and Charzyńska-Wójcik (2003: 344): (16) Forgyfaþ & eow byđ forgyfen forgive and you-DAT.PL be-3SG forgiven ‘Forgive, and you will be forgiven.’ ForgiveAgs. Gosp. Luke iv.37 (OED) Example (16) shows that in the OE impersonal passive, the dative object does not change into the nominative under passivisation. Whereas the dative (and the genitive) objects remain unaffected in the impersonal passive, this kind of structure is unattested with accusative objects in OE (for a detailed discussion of this issue cf. Bondaruk and Charzyńska-Wójcik 2003: 345–349). This type of passive contrasts with another structure present in OE, namely, the direct passive where the Theme becomes the subject, changing its case into the nominative, as can be seen in (17), taken from Bondaruk and CharzyńskaWójcik (2003: 344): (17) þu eart on eallum þingum wel gelæred. you-NOM are in all things well taught ‘... you are well instructed in all things.’ <s id=”T06080016300” n=”16.23”> ApT; B4.1 (CCOE) Sentence (16) above differs signiicantly from the one in (17) as regards verbal agreement. The pronoun þu in example (17) changes its case into the nominative and shows explicit agreement with the verb, which is the second person singular, whereas in (16) the dative case marked plural pronoun eow does not trigger the plural agreement on the verb. The structures in (16) and (17) represent the most common ways to express the passive in OE with dative objects, as the indirect passive was neither attested nor used. It is worth noting that contemporary German shares with OE its ability to form the direct passive, as can be seen in (18b). It is also possible to front the dative object to the left periphery of the clause, as in (18c), which, however, does not affect the verbal agreement, controlled by the nominative DP. Dative or accusative in disguise? 33 (18) a. Jemand gab ihr die Geschenke. somebody gave her-DAT the presents-ACC ‘Somebody gave her the presents.’ b. Die Geschenke wurden ihr gegeben. the presents-NOM were her-DAT given ‘The presents were given to her.’ c. Ihr wurden die Geschenke gegeben. her-DAT were the presents-NOM given ‘To her, the presents were given.’ In German, as in OE, only the accusative object can change its case into the nominative and become the subject of a passive sentence, which is illustrated in (18b) (cf. (17) above). The dative case remains unaffected by passivisation; even if the dative object appears at the beginning of the sentence, as in (18c); it is the accusative object which always undergoes passivisation. The situation, however, begins to change in Middle English (henceforth ME). The distinctive inlectional endings of DPs and verbs begin to disappear, the remaining forms start to represent two cases, for example, him could equally well stand for the accusative or dative marking of the object. Other important changes affecting the DOC in ME involve the ixing of the object sequence, the emergence of a PP as a realisation of the IO, and the appearance of the indirect passive. The irst two processes are closely connected. In some dialects, the ixed word order in the DOC was realised by the dative followed by the accusative. However, if the DO directly followed the verb, the IO was realised by the PP, headed by to. This is the contemporary situation in American English and those British dialects which do not allow the DO-IO sequence. The irst occurrences of the indirect passive date from as early as early ME. First, due to the disappearance of the distinct case marking of objects, monotransitive verbs with originally dative objects began to form the passive with the object changing its case into the nominative – original dative objects adopted the existing passivisation pattern. Then this phenomenon also started to appear with ditransitive verbs, allowing either object to become the subject in the passive. The occurrences and acceptability of the indirect passive were increasing gradually, beginning with verbs like do (somebody good) or let (somebody blood), as in (19a) and (19b), respectively. The paradigm spread and affected more and more verbs throughout the ME period. 34 Anna Bondaruk, Aleksandra Bartczak-Meszyńska (19) a. ʒef me is iluuet mare þen an oþer… mare idon god if one-NOM is loved more than an other… more done good oðer menske or honour ‘If one is loved more than another, done more good or honour.’ (ANCr 48b) b. þa he was þus ilete blod when he-NOM was thus let blood ‘When he was thus let blood.’ (ANCr 31a) The acceptability of the indirect passive increased in ME (cf. Visser 1963–1973), but it was still sometimes perceived as a somewhat degraded form as late as in the early MnE period (Visser 1963–1973 discusses the criticism of indirect passives in early 20th-century grammars in great detail). Jespersen (1909–1940) regards the following sentence – He was written a letter – as unlikely. The language developed further – nowadays, instances of the indirect passive are fully grammatical. To conclude the discussion presented above, we would like to propose that the change in the properties of the objects in the DOC and the ability to build the indirect passive relects the change in the case of the IO – what initially represented the dative in OE, in the course of history turned into the accusative. Apart from the resulting changes in the passivisation possibilities of the English DOC, and the properties parallel to those of the German double accusative DOC, as in (13) above, there is another argument to support the claim that the original dative changed into the accusative – the change in the behaviour of dative objects with monotransitive verbs. Compare the following: (20) Ac ðæm mæg beon suiðe hraðe geholpen from his lareowe but that-one-DAT may be very quickly helped by his teacher ‘But that one can be very quickly helped by his teacher.’ (CP 225.22) The example in (20) illustrates the fact that in OE the behaviour exhibited by dative objects is identical to the properties of dative objects of contemporary German monotransitive verbs – even when fronted in the passive, the object does not change its case. Compare (20) with the German sentence in (21) below: (21) Ihm kann von seinem Lehrer geholfen werden. he-DAT can by his teacher helped be ‘He can be helped by his teacher.’ Dative or accusative in disguise? 35 However, the syntactic characteristics of dative objects of monotransitive verbs in Old English, like helpan ‘to help’, soon changed and it was already possible for the object to become the subject of a passive sentence by Chaucer’s times, as illustrated in (22). (22) Ne hadde he ben holpen by the steede of bras not had he-NOM been helped by the steed of brass ‘Had he not been helped by the steed of brass.’ (Chaucer, v. 666) Hence, the changes dative objects underwent in the ME period suggest that their syntactic properties must have been altered and what was the dative in OE, in ME was behaving as if it were the accusative. Although the IOs, even in MnE, are still most often referred to as datives in the majority of contemporary linguistic works, we believe that this fact relects the semantic properties of IOs (the theta roles like Recipient, Benefactive, etc.) rather than their actual morpho-syntactic makeup. The development of the English DOC, in a way, illustrates a metamorphosis from a structure equivalent to the German DAT-ACC DOC into the German double accusative DOC, discussed in Section 3. 4.1.2 Case valuation in the Present-day English DOC Since we have established that what seems to be a DAT-ACC DOC in English is in fact a double accusative DOC, we would like to adopt Citko’s (2011) approach to the Case valuation mechanism in the double accusative DOC. Let us now look at the representation of what we call the double accusative DOC in English. vP (23) v VP V APPLP IOAcc APPL' APPL DO Acc As both objects can become subjects in the passive, their Case has to be structural. Consequently, we need to have two Probes to value the two occurrences of structural Case. Following Citko (2011), we assume that v is one source of Case in this kind of structure, the other one is the Applicative head. The Applicative in Anna Bondaruk, Aleksandra Bartczak-Meszyńska 36 English is not entirely typical, since it does not value the dative but the structural accusative. This proposal differs from traditional accounts in yet another way: v values the Case of the IO and the DO has its Case valued by the Applicative. As we shall soon see, this approach is capable of accounting for the existence of the symmetric passive in English: the passive morphology absorbs the Accusative either on v or on the Applicative and the relevant object is then forced to enter into Agree with T. The exact analysis of how passivisation works in the English DOC is offered in the subsequent section. 5. Passivisation in the English DOC Both objects in English DOCs (direct and indirect) can become passive subjects, which is illustrated in (24a) and (24b) below.11 (24) a. The book was given the boy. (passivised DO) b. The boy was given the book. (passivised IO) The derivation of the sentences in (24a) and (24b) is captured by the diagrams in (25a) and (25b) respectively. (25a) illustrates the passivisation of the DO in the DOC, while (25b) below shows the passivisation of the IO. (25) a. CP TP the book T' T was vP v' v given VP v APPLP IO APPL' the boy APPL 11 DO Bruening (2010) notices that examples like (24a) are considered grammatical by some native speakers. Dative or accusative in disguise? 37 In (25a) the derivation proceeds in the following manner: the ability to value the Case of the Applicative head is absorbed by the passive morphology and the DO has to seek a different Probe to value its Case, as otherwise its uninterpretable Case feature would remain unvalued and the derivation would crash. The Probe that the DO enters into Agree with is T, which values the Case feature of the DO as the nominative. However, in order to become a goal closer to T than the IO, the DO has to move to a position c-commanding the IO. We propose that this position is Spec, vP. This movement is triggered by the Edge Feature (henceforth EF) of v, which has not lost its ability to value the accusative and hence can be treated as a phase head, equipped with the EF (cf. Chomsky 2008). Since the DO is now closer to T than the IO, it moves to the Specifer of TP to satisfy the EPP feature (or EF feature in Chomsky 2008) of T without violating locality – otherwise the accusative marked IO would trigger the Defective Intervention Effect. Although the IO has its accusative Case valued in the course of Agree with v, it still counts as an intervener for the Agree between T and the DO. There are a few problems with the derivation just sketched. First of all, as has been noted above, v in the passive is treated as a phase head, although it lacks an external argument. We believe that this claim is justiied as v is transitive, because in (25a) it has not lost its ability to value the accusative, and transitive v’s normally constitute phase heads (cf. Chomsky 2000, 2001). Secondly, v triggers the movement of the DO to its speciier although it has not entered into Agree with it. To solve this problem, we can assume that v enters into multiple Agree (cf. Hiraiwa 2002) simultaneously with the IO and the DO, but since the former is a closer goal, it wins out and values the φ-features of v and ends up with the accusative Case, whereas it is the latter, still active by virtue of its unvalued Case feature, that moves to Spec, vP to satisfy the EF of v. However, if the IO moved to Spec, vP, then the DO would end up with an unvalued Case feature, and likewise the φ-features of T would remain unvalued. This would cause the derivation to crash. Consequently, the convergent derivation of (25a) occurs only if the IO, having entered into Agree with v, stays in situ, whereas the DO moves to Spec, vP, whereby it becomes an accessible goal for the T Probe. The other scenario, where the IO becomes the subject in a passive sentence is demonstrated in (25b) below. Anna Bondaruk, Aleksandra Bartczak-Meszyńska 38 (25) b. CP TP T' the boy T was vP v given VP APPLP V t APPL' APPL DO the book The derivation of this sentence is less complicated than the derivation in (25a) above. In (25b) the ability of v to value the accusative Case is absorbed by the passive morphology, so this time the IO must seek a different Probe to value its Case feature. Since the IO is the highest argument in (25b) and there is no intervener involved, it enters into Agree with T, which values its Case feature as the nominative and subsequently, the IO moves to Spec, TP to satisfy the EPP feature (or EF) of T. This time v, having lost its ability to value the accusative and lacking an external argument, does not count as a phase head and therefore is not equipped with the EF as in (25a). Therefore the IO, having undergone Agree with T, moves directly to Spec, TP. Let us now proceed with the passivisation of the object in the PC.12 Sentence (26a) illustrates the passivisation of the DO in a PC, whereas (27) instantiates the displacement of a PP containing the IO from the PC. (26) a. The book was given to the boy/him. b. CP TP T' the book T was vP v given VP V' t V PP to the boy/him 12 The structure of the PC lacks an applicative head. The function of both the PP and the applicative is to introduce an additional argument in the vP, hence they are mutually exclusive. 39 Dative or accusative in disguise? A few remarks are in order here. As has been previously observed, the passivisation of the DO (as in (26a)) does not cause any controversies. The passive v does not have the ability to value Case (absorbed by the passive morphology), hence the DO searches for another Probe to have its Case feature valued. It undergoes Agree with T, which values the Case of the DO as the nominative. The DO moves to Spec, TP; this movement is triggered by the EPP feature of T. However, the PP cannot target Spec, TP, as illustrated by the ungrammatical sentence in (27a) below: (27) a. *To the boy/him was given a book. b. CP TP to the boy/him T' T was vP v given VP V' the book V PP The derivation in (27), where the DO remains in its irst Merge position and only the PP gets fronted, is excluded, because the PP cannot value the uninterpretable unvalued φ-features on T, which inherits its φ-features from the phase head C in Chomsky’s (2008) model. Since the PP cannot enter into Agree with T, it cannot satisfy the EPP feature of T. Secondly, the movement of the PP would violate locality – the PP would have to cross the DO on its way to Spec, TP, since the DO is a closer Goal for the Probe T than the PP. Additionally, since T values the nominative Case of the book in the course of Agree, it is the book that is expected to move to Spec, TP. 6. Conclusions Since morphological case marking is virtually non-existent in contemporary English, there are two ways to determine it: either by analysing the historical development of the case properties of particular DPs, or by comparing their behaviour with their equivalents in other languages. The diachronic characteristics of the DOC in English and the comparison with their German counterparts has 40 Anna Bondaruk, Aleksandra Bartczak-Meszyńska resulted in the proposal that the Case of both objects in the DOC in English has to be treated as the structural accusative. Our proposal radically departs from the traditional perception of the DOC, in which the DO is typically regarded as being structurally marked with the accusative case, whereas the IO is supposed to exhibit the inherent dative or genitive. The traditional approach is unable to account for the availability of the symmetrical passive in the dialects of British English discussed in the paper. However, treating both objects as accusative, as proposed here, has opened up the possibility of viewing them as targets for passivisation. The structure proposed for the English DOC mimics that put forward by Citko (2011), in which both v and Appl can value the accusative. The passive morphology absorbs the accusative of either Appl or v, which is responsible for the passivisation of either a DO or an IO, respectively. It has been argued that the passivisation of the IO is unproblematic, as it is the highest argument in the structure. In the case of DO passivisation, it was necessary to posit that the EF of the phase head v triggers the movement of the DO to a position higher than the IO, which makes it an accessible goal for the T Probe. The analysis just outlined has forced us to claim that in passives, too, v is a phase head, equipped with an EF, which can enter into multiple Agree, probing IO and DO simultaneously. Sources ÆCHom I = Thorpe, B. (ed.). 1844–46. The sermones catholici or homilies of Ælfric I. London: Ælfric Society. ANCr. = Tolkien, J. R. R. (ed.). 1962. The English text of the Ancrene Riwle, Ancrene Wisse, CCCC MS 402 (EETS 249). By folio and line. 3.15, 3.63. Chaucer = Benson, L. D. (ed.). 1988. The Riverside Chaucer. 3rd edition. Oxford: Oxford University Press. CP = Sweet, H. (ed.). 1871. King Alfred’s West Saxon version of Gregory’s Pastoral Care (EETS 45, 50). CCOE = Cameron, A., and R. Frank. (eds.). Complete corpus of Old English: the Toronto dictionary of Old English Corpus. University of Toronto Centre for Medieval Studies. The Oxford Text Archive. Available at: http://ota.ahds.ac.uk/. OED = Simpson, J., and E. Weiner. (eds.). 1989. Oxford English Dictionary. 2nd edition. Oxford: Clarendon Press. Dative or accusative in disguise? 41 References Allen, C. L. 1995. Case marking and reanalysis: grammatical relations from Old to early Modern English. Oxford: Clarendon Press. Bartczak-Meszyńska, A. 2013. The double object construction in English and German. Structural position, case valuation and movement of objects. Ph.D. diss., Lublin, John Paul II Catholic University of Lublin. Bondaruk, A., and M. Charzyńska-Wójcik. 2003. Expletive pro in impersonal passives in Irish, Polish and Old English. Linguistische Berichte 195: 325–362. Bruening, B. 2010. Ditransitive asymmetries and a theory of idiom formation. Linguistic Inquiry 41(4): 519–562. Charzyńska-Wójcik, M. 2002. The evolution of impersonal constructions and the status of the subject in the history of English. Ph.D. diss., Lublin, John Paul II Catholic University of Lublin. Charzyńska-Wójcik, M. 2007. The syntax of Old English clausal ditransitive verbs. In E. Cyran, and B. Szymanek (eds.), Verb structures: between phonology and morphosyntax, 75–109. Lublin: Wydawnictwo KUL. Charzyńska-Wójcik, M. 2013. The ca(u)se for a clause – a fresh look at Old English clausal monotransitive verbs. In A. Bondaruk, and A. Malicka-Kleparska (eds.), Ambiguity. multifaceted structures in syntax, morphology and phonology, 111–132. Lublin: Wydawnictwo KUL. Chomsky, N. 2000. Minimalist inquiries: the framework. In R. Martin, D. Michaels, and J. Uriagereka (eds.), Step by step, 89–155. Cambridge, MA: MIT Press. Chomsky, N. 2001. Derivation by phase. In M. Kenstowicz (ed.), Ken Hale. A life in language, 1–52. Cambridge, MA: MIT Press. Chomsky, N. 2007. Approaching UG from below. In U. Sauerland, and H-M. Gartner (eds.), Interfaces + recursion = language?: Chomsky’s minimalism and the view from syntax- semantics, 1–29. Berlin, New York: Mouton de Gruyter. Chomsky, N. 2008. On phases. In R. Freidin, C. Otero, and M.-L. Zubizaretta (eds.), Foundational issues in linguistic theory. Essays in honour of JeanRoger Vergnaud, 134–166. Cambridge, MA: MIT Press. Citko, B. 2011. Symmetry in syntax. Merge, move and labels. Cambridge: Cambridge University Press. Cuervo, M. 2003. Datives at large. Ph.D. diss., Cambridge MA, Massachusetts Institute of Technology. Denison, D. 2004. English historical syntax: verbal constructions. London: Longman. Downing, A., and P. Locke. 1995. A university course in English grammar. Hemel Hempstead: Prentice Hall International UK. Georgala, E. 2011. Why German is not an exception to the universal base order of double object constructions. In M. Byram Washburn, K. McKinney-Bock, 42 Anna Bondaruk, Aleksandra Bartczak-Meszyńska E. Varis, A. Sawyer, and B. Tomaszewicz (eds.), Proceedings of the 28th West Coast Conference on Formal Linguistics (WCCFL 28), 96–105. Sommerville: Cascadilla Proceedings Project. Grashchenkov, P., and V. Markman. 2008. Non-core arguments in verbal and nominal predication: high and low applicatives and possessor raising. In N. Abner, and J. Bishop (eds.), Proceedings of the 27th West Coast Conference on Formal Linguistics, 185–193. Somerville: Cascadilla Proceedings Project. Haddican, W. 2010. Theme-goal ditransitives and theme passives in British English dialects. Lingua 120: 2424–2443. Haddican, W., and A. Holmberg. 2011. Object movement symmetries in British English dialects: experimental evidence for a case-based approach. In C. Jaehoon, E. Hogue, J. Punske, D. Tat, J. Schertz, and A. Trueman (eds.), Proceedings of WCCFL 29, 72–80. Somerville: Cascadilla Proceedings Project. Hiraiwa. K. 2002. Multiple agree. Paper presented at GLOW Workshop: tools in linguistic theory, Utrecht Institute of Linguistics. Huddleston, R. 1985. English grammar: an outline. Cambridge: Cambridge University Press. Huddleston R., and G. Pullum. 2002. The Cambridge grammar of the English language. Cambridge: Cambridge University Press. Hughes, A., and P. Trudgill. 1979. English accents and dialects: an introduction to the social and regional varieties in the British Isles. London: Arnold. Jespersen, O. 1909–1940. A Modern English grammar. London: Allen and Unwin. Larson, R. 1988. On the double object construction. Linguistic Inquiry 19(3): 335–391. McFadden, T. 2002. The rise of the to-dative in Middle English. In D. Lightfoot (ed.), Syntactic effects of morphological change, 107–123. Oxford: Oxford University Press. Quirk, R., S. Greenbaum, G. Leech, and J. Svartvik. 1985. A comprehensive grammar of the English language. New York: Longman Group Limited. Pylkkännen, L. 2008. Introducing arguments. Cambridge, MA: MIT Press. Visser, F. 1963–1973. An historical syntax of the English language. Leiden: Brill. Transitivity à la Old English 43 Transitivity à la Old English Magdalena Charzyńska-Wójcik Abstract: The paper is devoted to analysing how the evolving notion of transitivity in its various theoretical guises deals with the Old English data. In the irst part it introduces two different classiications of OE verbs, both representing traditional approaches to transitivity, albeit based on different deining criteria. The empirical accuracy and theoretical status of these classiications are subsequently critically evaluated. The second part of the paper attempts to show how the theoretical apparatus available within the major current linguistic theories: formalism and functionalism fares with respect to the OE data. The strengths and weaknesses of all the presented approaches are brought together in the concluding part of the paper, which additionally presents the desiderata concerning prospective analyses of OE transitivity. Key words: verb, transitivity, passivisation, case alternations, valency alternations, Old English, traditional grammar, formal grammar, functional grammar 1. Introduction The paper will analyse how the evolving notion of transitivity in its various theoretical guises deals with the Old English data. In order to achieve this, it would be best to offer a diachronic survey of accounts dealing with OE phenomena related to transitivity. However, due to the fact that OE transitivity has not been subject to any systematic study, this is impossible. What is available, instead, are two traditional treatments of Old English verbs – one from the late 19th/ early 20th century and one from the third quarter of the 20th century, and a few isolated papers devoted to OE transitivity in the last 30 years. Apart from that, the linguistic literature offers only occasional references to OE data in detailed studies devoted to the transitivity of some other language(s). Therefore, I will try to make the best of what is available and will start by presenting the two traditional approaches to transitivity in the irst part of the paper (Section 2). Since the two accounts differ in what they consider the deining property of transitivity, each view will be discussed in a separate subsection (2.1 and 2.2). As can be expected, each of the two approaches has its advantages and disadvantages, so by way of evaluating them, I will put forward the OE data which will test the validity of either approach (Section 2.3). Next, I will further analyse the same data by applying to them the theoretical machinery proposed in the current literature (Section 3), with each of the two major linguistic trends, 44 Magdalena Charzyńska-Wójcik i.e. formalism and functionalism presented in a separate subsection (3.1 and 3.2) together with the few existing accounts of OE transitivity representing them. The strong and weak points of all the approaches emerging from this evaluation will be presented in Section 4, which will also draw more general conclusions from the analysed data and present the desiderata concerning prospective analyses of OE transitivity. 2. Traditional accounts of transitivity1 There are two main types of traditionally understood transitivity: broad and narrow. In languages with morphological case, where OE belongs, the former is deined with respect to the presence of a nominal object regardless of its case, while under the latter understanding it is limited to accusative objects only (cf. Beedham 2010: 23). In effect, the former relies on the number of arguments (a quantitative approach), while the latter makes reference to a particular object type (a qualitative approach). The two approaches to OE data will be presented in Section 2; with 2.1 devoted to the broad view and 2.2 offering the details of the narrow variant. Section 2.3 will adduce independent OE data which will enable us to evaluate the correctness of the two accounts. 2.1 The broad (quantitative) view The oldest source where OE transitivity is tackled in any comprehensive way is Bosworth and Toller’s (1898) Anglo-Saxon Dictionary and Toller’s (1921) Supplement to the dictionary (abbreviated as B&T and BTs respectively in the presentation of examples). The Supplement often expands the information contained in the main volume, corrects it or supplants additional examples; therefore, every lexical item needs to be checked in both volumes. It has to be clariied that, as stated in Charzyńska-Wójcik (in press), Bosworth and Toller’s work does not offer a proper classiication of OE verbs but, being the most comprehensive 1 The idea of writing this paper emerged when I was working on my earlier paper devoted to Old English transitivity, albeit approached from a purely traditional perspective (Charzyńska-Wójcik in press). It occurred to me that it would be interesting to contrast this picture with the accounts of transitivity available in the two major approaches to linguistic data available in the current literature – formal and functional – with a view to juxtaposing the strengths and weaknesses of each of the three approaches: traditional, formal and functional. As a result, this section offers in a broad outline the essence of that earlier article as a necessary starting point for the comparison. Transitivity à la Old English 45 dictionary of Old English, it classiies most OE verbs into two major types: verba activa vs. verba neutra or transitive verbs vs. intransitive verbs.2 While the latter set of terms requires no clariication, the former set is unfamiliar to readers of the current linguistic literature and therefore, calls for an explanation.3 The terms verbum activum vs. verbum neutrum derive from a grammatical description of Latin. The contrast originally referred to the (non) availability of a verb to appear in the passive voice, thereby indirectly conveying information concerning the presence of an object. In particular, verbum activum implied a possible contrast with verbum passivum, which, in turn, signalled the presence of an object, while verbum neutrum indicated that no such contrast was available. Importantly, after their irst appearance in the grammatical description of English in the 16th century, the terms verbum activum vs. verbum neutrum started to be replaced with a rival nomenclature, i.e. transitive vs. intransitive verbs, but one can still come across them until the late 19th century, as evidenced by their presence in Bosworth and Toller (1898). Interestingly, the terms verbum neutrum and verbum activum, though only restricted to the irst part of the dictionary (abandoned in later parts in favour of the familiar transitive vs. intransitive classiication), are not consistently used there, as shown in (1) below, which presents the relevant uses of the verb beornan together with the accompanying classiications. (1) beornan ‘to burn’ a. v.n. Heofoncandel barn4 heavenly-candle burnt ‘The sun burnt.’ Cd. 148; Th. 184, 31; Exod. 115. (B&T) 2 3 4 The remaining complete dictionaries of Old English are too concise to be of use for this study. Hall’s (1916) A Concise Anglo-Saxon Dictionary, apart from providing the verbs’ meanings, does not supply any accompanying classiications; similarly, Sweet’s (1897) The Student’s Dictionary of Old English, Skeat’s (1879) An English-Anglo-Saxon Vocabulary or Napier’s (1906) Contributions to Old English Lexicography. One cannot, of course, ignore here the huge project whose aim is to produce a comprehensive dictionary of the language based on the Complete Corpus of Old English Texts in Electronic Form. The Dictionary of Old English (available at: http://www.doe.utoronto.ca), however, is still under construction with complete entries only covering the letters A to G. For the details of the history of the terms and their uses see Michael (1970) and Charzyńska-Wójcik (in press). Throughout the paper the examples quoted after Bosworth and Toller include the textual information supplied in the dictionary, but the actual linguistic forms are quoted after the Complete Corpus of Old English (henceforth CCOE) in order to ensure consistency in the format of the quoted OE data throughout the paper: both the main volume of the dictionary and the supplement present the OE text with length marks, while CCOE does not. 46 b. Magdalena Charzyńska-Wójcik v. trans. swa … fyr wudu byrneđ as ire wood burns ‘As the ire burns the wood’ Ps. Th. 82, 10. (B&T) As can be seen, the two types of uses exhibited by beornan are classiied by an eclectic pair of terms: neutrum vs. transitive. However, an examination of the verbal entries in both parts of the dictionary makes it clear that the change from active/neuter to transitive/intransitive (or the choice of a particular term in favour of the rival nomenclature) is of a purely formal nature and does not entail any modiication of the deining parameters of transitivity. In effect, a verb is classiied as active/transitive if it is accompanied by a nominal object in any of the verbal cases which were available in OE, i.e. the accusative, dative or genitive. This can be observed in the individual entries of verbs classiied as active in the main volume of the dictionary or transitive in the supplement volume, as shown in (2) and (3) below. (2) a. b. c. B&T búgan ‘to inhabit’ – v. a. acc. cwéman ‘to give pleasure, please, delight, propitiate, satisfy’ – v. a. dat. brúcan ‘to use, make use of, to pass, spend, enjoy, have enjoyment of, to eat, bear, discharge’ – v. a. gen (3) a. b. c. BTs bregdan ‘to pluck, pull, draw, drag’ – trans. with acc. derian ‘to injure, hurt, harm, damage’ – trans. with dat. éfestan ‘to strive after, endeavour to do, undertake’ – trans. with gen. This approach to transitivity, which does not discriminate between the verbal cases, seems very well motivated in view of the data adduced below: (4) case alternations a. DAT~ACC blissian ‘to make to rejoice, to gladden, delight, exhilarate’ – v. trans. dat. acc. (B&T) b. ACC~GEN earnian ‘to earn, merit, deserve, get, attain, labour for’ – v. trans, gen. acc. (B&T) Transitivity à la Old English c. d. 47 DAT~GEN miltsian ‘to have or take pity upon a person, shew mercy, be merciful, pity’ – dat. gen. (B&T) DAT~ACC~GEN fandian ‘to try, tempt, prove, examine, explore, seek, search out’ – v. trans. gen. dat. acc. (B&T) As can be seen, an OE verb can appear with an object which exhibits case alternations, without an accompanying change of meaning.5 This is further illustrated in (5) below, where the verb blissian ‘to gladden, rejoice’ is shown in three clauses and each occurrence is accompanied by an object in a different case: (5) a. ACC Þa se halga ongann hæleđ blissigean then the saint began man-ACC to-gladden ‘Then the saint began to gladden the man.’ Andr. Kmbl. 3213; An. 1609. (B&T) b. DAT þu,… god, eallum blissast you God all-DAT gladden ‘You, God, make all rejoice.’ Hy. 7. 34; Hy. Grn. ii. 287, 34 (B&T) c. GEN đis … folc micclum blissian wile mines deađes. this people greatly to-rejoice will my death-GEN ‘The people will greatly rejoice over my death.’ Hml. Th. i. 86, 32. (BTs) In conclusion so far, OE (mono)transitive verbs, under the interpretation of transitivity assumed by Bosworth and Toller, fall into as many as seven types, summarised in Table 1 below. 5 As noted by Plank (1982: 84), ‘[w]hat strikes one, nevertheless, is that very frequently different predicates have to be employed in Modern English translations to bring out the differences expressed by alternative case choices in Old English. But one still has the feeling that the relevant meanings, though different, are always semantically related, which deinitely speaks against positing numerous homonymous verbs in such cases (e.g. hieran1, hieran2). Moreover, the differences in verbal meaning corresponding to the different object markers also seem to have something in common, rather than varying arbitrarily from one verb to the next. These observations must be taken into account in any reasonable interpretation of the Old English dative/accusative opposition.’ Magdalena Charzyńska-Wójcik 48 No Type 1. V-ACC 2. V-DAT 3. V-GEN 4. V-ACC/DAT 5. V-ACC/GEN 6. V-DAT/GEN 7. V-ACC/DAT/GEN Table 1. Types of (mono)transitive verbs according to Bosworth and Toller In contrast to transitives, which are differentiated into several types on the basis of the case(s) assigned by a given verb, if a verb is marked as neuter or intransitive, there is no further subclassiication in the dictionary, as shown by the partial exemplary entries of intransitive verbs given in (6) below. (6) a. belgan ‘to swell with anger, to be angry, to be enraged’ – intrans. (B&T)6 b. blówan ‘to blow, lourish, bloom, blossom’ – v. n. (B&T) c. búgan ‘to bow or bow down oneself, bend, swerve, give way, submit, yield, turn, turn away, lee’ – v. intrans. (B&T) d. eardian ‘to dwell, live, feed’ – intrans. (B&T) e. elcian ‘to put off, delay’ – v. n (B&T) f. forhtian ‘to fear’ – intrans. (BTs) As clearly transpires from an examination of the accompanying examples, a verb is classiied as intransitive if it is not accompanied by a nominal object. This, however, does not automatically imply homogeneity, as structures where a verb 6 Inconsistent as they are, the classiications are in each case represented in the way they appear in Bosworth and Toller. Transitivity à la Old English 49 is not accompanied by a nominal object do, in fact, fall into several types. In particular, apart from instances where a verb is never accompanied by an object of any type, in some of the clauses contained within the entries classiied as intransitive/neuter, the verb is accompanied by a prepositional object, as shown in (7) below.7 (7) a. belgan ‘to swell with anger, to be angry, to be enraged’ ge belgaþ wiđ me you-PL are-angry with me ‘You are angry with me.’ Jn. Bos. 7, 23. (B&T) b. blówan ‘to blow, lourish, bloom, blossom’ hio grewđ & blewđ & westmas bringđ. it grows and blossoms and fruits produces ‘It grows and blossoms and produces fruits.’ Bt. 33, 4; Fox 130, 6. (B&T) c. búgan ‘to bow or bow down oneself, bend, swerve, give way, submit, yield, turn, turn away, lee’ (i) Hi bugon and lugon they gave-way and led ‘They gave way and led.’ Chr. 999; Erl. 135, 25. (B&T) (ii) Hi bugon to đam they submitted to that ‘They submitted to that.’ Jos. 9, 27: Chr. 975; Erl. 125, 24. (B&T) d. eardian ‘to dwell, live, feed’ (i) Þeah hi … somod eardien though they together should-dwell ‘Though they should dwell together.’ Bt. Met. Fox 20, 292; Met. 20, 146 (B&T) (ii) Abram eardode … on þam lande Chanaan Abraham dwelled in the land Canaan ‘Abraham dwelled in the land of Canaan.’ Gen. 13, 12. (B&T) 7 Importantly, I do not wish to claim that the supplied examples represent the only types of (intransitive structures) attested with these verbs. Instead, these are to be treated as examples which prompted the dictionary classiication. 50 Magdalena Charzyńska-Wójcik e. elcian ‘to put off, delay’ (i) Ic latige on sumere stowe, ođđe ic elcige I linger in some place or I delay ‘I linger in some place or delay.’ Ælfc. Gr. 25; Som. 27, 14. (B&T) (ii) Ðæt he leng ne elcode to his geleafan that he longer not delayed to his belief ‘That he no longer delayed his belief.’ Homl. Th. ii. 26, 1. (B&T) f. forhtian ‘to fear’ þa ongan he forhtian & sargian. then began he to-be-afraid and to-grieve ‘Then he began to be afraid and to grieve.’ Mk. Bos. 14, 33: Boutr. Scrd, 21, 22. (BTs) Another type of intransitives are verbs, such as beornan ‘to burn’ given in (1) above, which show transitive uses next to intransitive ones.8 They represent valency alternations of the type discussed in Levin (1993). Next, there are verbs, or rather usages of verbs, which Bosworth and Toller classify as absolute. The very term absolute has a long and complex history, which I will not pursue here in view of the dificulties it causes even without this additional diachronic dimension. It is in fact hard to say what differentiates structures classiied by Bosworth and Toller as absolute from those classiied as intransitive. Both types can either appear in object-less structures or in structures with a prepositional object. The examples below represent clauses classiied in Bosworth and Toller as absolute and, as is clear, the example in (8a) is objectless, while the one in (8b) features a prepositional object. (8) a. Ic smegu I meditate ‘I meditate.’ Ps. Surt. ii. p. 185, 3. (B&T) b. he smeađ on his mode ymb þis eorđlice lif. he meditates in his spirit about this earthly life ‘He meditates in his spirit about the earthly life.’ Bt. 39, 7; Fox 224, 4. (B&T) 8 Some of the verbs illustrated above also exhibit this alternation. Transitivity à la Old English 51 Moreover, some structures are classiied as absolute when one object type is missing, while the other one is present, as in (9) below: (9) se đe swerađ nehstan his he who swears neighbour his ‘The one who swears to his neighbour.’ Ps. Spl. 14, 6. (B&T) (10) Se gerefa (...) đa (...) þone ađ him swor, the steward then the oath-ACC him-DAT swore swa he hyne sylf stafode, be hys sunu wifunge. as he himself dictated about his son’s marriage ‘Then the steward swore him (Abraham) an oath concerning his son’s marriage, as Abraham himself had dictated it.’ <s id=”T06210051700” n=”24.9”> Gen; B8.1.4.1 (CCOE) Swerian ‘to swear, make oath’ is a ditransitive verb, which can appear with an accusative Theme and a dative Recipient, as shown in (10). In (9) above, swerian appears without the accusative Theme and the clause is classiied as absolute, which might suggest that it is the non-expression of a nominal object that qualiies a structure as absolute. It can, therefore, be concluded that while some structures which are classiied as absolute are characterised by the absence of an object which normally accompanies a given verb (as in (9) above), many structures can be classiied either as intransitive or as absolute since there does not seem to be an underlying principle behind these classiications. This conclusion is further strengthened by the fact that one can come across instances of identical structures which receive these two different types of labels even in the case of one and the same verb, as illustrated by the partial entries of blissian ‘to rejoice’, from the main volume of the dictionary and the supplement volume. (11) blissian a. main volume: I. v. intrans. ‘to rejoice, exult, be glad or merry’ II. v. trans. dat. or acc. ‘to make to rejoice, to gladden, delight, exhilarate’ b. the supplement: I. absolute II. ‘to rejoice at’ (with gen.) 52 Magdalena Charzyńska-Wójcik Now the impression of confusion concerning the notion absolute is complete. Thus, the only observation that can be made with any certainty is that Bosworth and Toller acknowledge the fact that OE allowed the non-expression of a verbal object but their system does not clearly set apart instances of ambitransitive verbs (also referred to as verbs of dual membership or labile), such as those illustrated in (1) above, from instances of object-drop. In conclusion so far, Bosworth and Toller’s classiication of verbs is binary, and is based on the presence of the nominal object. Leaving aside the terminological inconsistencies, this means that a verb is considered transitive if it is accompanied by a nominal object, regardless of its case and intransitive if it is not accompanied by a nominal object. This is, in essence, a broad understanding of transitivity, i.e. an understanding based on a quantitative criterion. When it comes to evaluating this approach, it has to be said that its major empirical asset consists in accommodating the variability of the case-marking properties of verbal objects. Moreover, it recognises the existence of labile verbs and acknowledges the availability of object-drop, though the resulting (identical) structures are not, as noted above, clearly formally differentiated – an aspect which certainly constitutes a serious drawback. Ambitransitives result from an operation affecting the inventory of Thematic roles and cases available for the verb, while object-drop is a purely syntactic process conditioned by the context, to the effect that an object can be omitted if it is suficiently implied and can easily be inferred. In addition to that, as already indicated, the system fails to clearly mark verbs which never take an object of any type. In effect, the binary division into transitive and intransitive verbs fails to formally differentiate between the various subtypes of OE intransitive verbs and, as will be shown in the course of the paper, putting all of the subtypes of transitives on a par obliterates an important distinction between them – a distinction which will be brought to light in Section 2.3. Let me now move on to the theoretical status of the quantitative criterion. It is true that ‘all human languages classify actions into two basic types: those involving one obligatory participant, which are described by intransitive sentences, and those involving two obligatory participants, which are dealt with by transitive sentences’ (Dixon 1979: 102). But deining transitivity solely on the basis of the number of core arguments is circular, as pointed out by LaPolla et al. (2011). The traditional syntactic deinition of transitivity says that a language has one or more constructions where two arguments are given special status in the clause as core (obligatory) arguments, as opposed to only one argument being given that status. This is straightforward, but deining transitivity in this way doesn’t help us understand very much about the language given the circularity of identifying a clause as transitive because it has two arguments, and saying that it has two core Transitivity à la Old English 53 arguments because it is a transitive clause. The traditional view also does not recognise the diversity of morphosyntactic phenomena that show that clauses with two core arguments are not all alike (…). LaPolla et al. (2011: 471) 2.2 The narrow view The other traditional type of approach to transitivity, though with a slightly different focus, is represented by Visser’s (1963–1973) An Historical Syntax of the English Language. It is the only source presenting a comprehensive classiication of OE verbs, as later works, for example Mitchell (1985) or Ogura (1996), rely heavily on Visser’s indings. In addition to these, there have been a few isolated attempts at interpreting some selected aspects of OE transitivity, as will be shown in Section 3, but none of them has aimed at a holistic typology. In effect, despite important advances in linguistic theory, Visser’s view on OE transitivity remains the deinitive word on the matter. As indicated at the outset of Section 2, the narrow view takes the presence of an accusative object as the deining parameter of transitivity. In agreement with that, Visser classiies a verb as transitive if it is accompanied by a direct object; and by a direct object (a term used ‘for want of a better’; Visser 1963–1973: §418) he means a nominal object in the accusative case. In consequence, a verb not accompanied by a direct object is intransitive. Note that this implies that OE transitives are a homogenous group (verbs with an ACC object), while intransitives encompass verbs with no object at all as well as verbs with indirect objects. To complicate matters further, Visser’s deinition of the direct object implies that indirect objects are both nominal objects in non-accusative cases, i.e. in the dative and genitive, and prepositional objects. In effect, OE transitivity is viewed in terms of a binary opposition, deined with respect to the presence of the accusative NP object. Note, however, that the importance of the accusative in deining transitivity necessitates taking a stand on the matter of case alternations between ACC and DAT/GEN (cf. (4) and (5) above). This aspect, however, is absent from Visser’s typology: the variability of case assignment exhibited by OE verbs, so pervasive throughout the period,9 is not discussed with respect to transitivity. This gives the impression that Visser classiies individual structures rather than verbs with a full array of their complementation patterns. That this, however, is not the case becomes obvious on examining Visser’s ‘syntactical units in Old English 9 Towards the end of the OE period, the genitive as a verbal case was more and more frequently replaced with the accusative but the DAT~ACC alternation remained very common. 54 Magdalena Charzyńska-Wójcik that consist of subject + verb without further complement’ (§129). It is clear that Visser’s classiication of objectless verbs makes crucial reference to alternative complementation patterns. In effect he recognises four different types of verbs, depending on whether these verbs can take an object and if so, of what type: direct or indirect.10 It can therefore be concluded that the crucial aspect of structure which, according to Visser, deines OE transitivity does not take into account one of the most important characteristics of the language, i.e. case variability. In effect, it is not clear how to treat verbs whose objects exhibit ACC~non-ACC case alternations, i.e. types 1. (V-ACC/DAT), 2. (V-ACC/GEN) and 4. (V-ACC/DAT/GEN) from Table 1 above. Let us now move on to another important property of the OE verbal system which a classiication of OE verbs must properly accommodate, i.e. verbs of dual membership, object- drop structures and inherently intransitive verbs (which never take an object of any kind). It has to be noted that Visser introduces a formal distinction between inherently intransitive verbs and verbs of dual membership in §129, though the implementation of this distinction suffers from a variety of defects. They are discussed in detail in Charzyńska-Wójcik (2013). Sufice it to say that inherently intransitive verbs are treated as a separate subtype of intransitives, which are set apart from the intransitive uses of verbs of dual membership. The latter are treated as ‘etymologically related homonym[s]’ of transitive verbs – a solution which, in fact, under the guise of a distinction, levels down the two types of verbs. The inal issue relevant now is related to object-drop structures. Visser (1963–1973: §129) formally distinguishes them from intransitives verbs (of both types mentioned above) by resorting to the appellation ‘absolute’. Again, the details of the implementation and individual classiications can be disputed but the underlying idea of differentiating between the types is certainly right. In sum, Visser’s qualitative criterion when confronted with OE data has its strengths (it formally differentiates between object-drop structures and inherent intransitives) and weaknesses (it does not accommodate object case variability and does not capture the relationship between labile verbs). What remains to be discussed is the theoretical status of direct-objecthood as the deining criterion of transitivity. First of all, as noted by LaPolla et al. (2011: 470), standard deinitions of transitivity involve the notion of the direct object, while ‘[n]othing is said in these deinitions about what a direct object is and how to identify it’. As noted in Charzyńska-Wójcik (in press), similar problems are encountered in modern counterparts of the qualitative approach to transitivity, such as those resorting to S (subject of an intransitive clause), A (subject of a transitive clause) 10 The shortcomings of this classiication are presented in Charzyńska-Wójcik (2013). Transitivity à la Old English 55 and P (object of a transitive clause)11 in deining transitivity. These terms ‘are often taken for granted’ (Haspelmath 2011: 535) but ‘there are substantial differences in the literature in the way these terms are understood’ (Haspelmath 2011: 538). Precise criteria deining (in)transitivity can often be found in individual languages, but transitivity-related phenomena are so diverse that these criteria cannot be generalised across languages (Haspelmath 2011: 542). Note that if transitivity is deined by the presence of a particular category in a particular language, then classifying clauses in this language as transitive on the basis of the presence of this category is, in effect, perfectly circular. Another very unwelcome relection following from the same set of observations is whether by applying different criteria to different phenomena approached from different perspectives linguists have not, in effect, deined a different category? Charzyńska-Wójcik (in press) To conclude, we have seen that the classiication of OE verbs based on the qualitative understanding of transitivity suffers from both empirical and theoretical deiciencies, in the same manner as the quantitative interpretation of OE transitivity. In order to offer a relative evaluation of the two approaches, we must irst of all see if transitivity is a valid notion for OE and if so, ind out what it entails. 2.3 Passive as a diagnostic of transitivity The phenomenon most immediately associated with transitivity, as already implied in the discussion of the terms ‘active’ verb and ‘neuter’ verb, is the availability of a given verb to appear in a passive structure. As noted by Kittilä (2002), the (non)availability of passivisation makes it possible (in most cases) to distinguish transitive from intransitive clauses. It cannot be treated as an iron-clad test, though, as other factors play a role as well but it is clear that ‘[t]he acceptability of passivization correlates to some extent with transitivity: the more transitive a clause is, the more readily it can be passivised’ (Kittilä 2002: 23). It is obviously the semantic understanding of transitivity that is directly correlated with passivisation (de Mattia-Viviès 2009: 105 and Toyota 2009: 11) but there are syntactic correlates as well. A transitive clause, i.e. a clause with a verb classiied as transitive, is expected to be passivisable, in contrast to an intransitive one, for 11 The terms S, A, P (or O), T, R (or G) irst appeared in the linguistic literature in the 1970s as tools of comparative linguistics. Only S, A and P are relevant for us now, while T and R (alongside A) represent relations within ditransitive clauses. With time the terms started to be used in descriptive linguistics. In consequence, the categories took on different meanings. 56 Magdalena Charzyńska-Wójcik which the opposite prediction holds. As the two deinitions of transitivity result in some verbs being classiied as transitive under one understanding and intransitive under the other, it will be interesting to see how the two classiications square with the passivisation facts. According to Bosworth and Toller, transitives are verbs which can take a nominal object regardless of its case. Therefore, all verbs meeting this condition are expected to produce passives under this understanding of transitivity. Naturally, verbs with no object at all or those accompanied by prepositional objects are not expected to appear in passives. In contrast, under Visser’s deinition, only verbs with accusative objects are expected to produce passives, as only these are classiied as transitive. Intransitive verbs, i.e. verbs with dative or genitive objects, prepositional objects or with no object at all are by a logical extension expected not to appear in passives. Note that the two deinitions make the same predictions for verbs with accusative objects, which are transitive under both views. Likewise verbs with no object at all and verbs with prepositional objects are classiied as intransitive both by Bosworth and Toller and by Visser. In consequence, it is the behaviour of verbs with dative or genitive objects under passivisation that will be of crucial importance here. Another aspect which needs to be tackled and which is underspeciied by Visser, is the membership of verbs with objects showing accusative vs. non-accusative case alternation. OE passivisation is a relatively well explored issue (Charzyńska-Wójcik 2002; Mitchell 1985; Quinn 2005), requiring no special corpus examinations, and the relevant facts can be summarised in ive points. First of all, OE verbs without an object are generally not passivisable, so there are no OE passives of the type encountered in many other Germanic languages, such as German, Icelandic, Norwegian, Dutch and Africaans: (12) a. German (Mohr 2005: 120) Es wurde getanzt. b. Icelandic (Mohr 2005: 120) (þađ) var dansađ. c. Norwegian (Mohr 2005: 159) Det ble danset. d. Dutch (Mohr 2005: 120) Er wordt gedanst. e. Africaans (Mohr 2005: 120) Daar word gedans expl was danced ‘There was dancing.’ or ‘People were dancing.’ Transitivity à la Old English 57 Secondly, the same holds without exception for verbs with prepositional objects: these do not form passives in OE (cf. for example, Allen 1980; Denison 1985; Fischer et al. 2000; van der Gaaf 1930; Goh 2000a, 2001; van Kemenade 1987), or in early Middle English, in contrast to the period after 1300. Thirdly, verbs with accusative objects invariably undergo passive transformation in OE, as shown below. (13) a. active – ACC Swylce eac in đæm ilcan gefeohte mon sloh Rædwoldes sunu moreover in the same battle one killed Rædwold’s son-ACC ‘Moreover, in the same battle somebody killed the son of Rædwold.’ <s id=”T06870025500” n=”9.132.10”> Bede 2; B9.6.4 (CCOE) b. passive – NOM … þæt we næfre ne geearnien þæt we slegene beon scylon. that we never not should-deserve that we killed be ought-to ‘That we should never deserve it that we ought to be killed.’ <s id=”T06900011100” n=”3.270.2”> Bede 4; B9.6.6 (CCOE) What we see here is a classic correspondence between the accusative object in the active and the Nominative subject in the passive. Next, there are verbs with non-accusative nominal objects. These undergo passivisation, albeit the resulting passive is of a different type than the one produced with verbs accompanied by accusative objects. This is illustrated in (14) below. (14) impersonal passivisation with a genitive and dative NP a. active clause with GEN and DAT For đæm þu him sealdest his modes willan, because you him granted his spirit’s wish and þæs þe he mid his weolorum wilnade, and that which he with his lips asked-for þæs þu him ne forwyrndest. that-GEN you him-DAT not refused ‘Because, you granted him the wish of his spirit and you did not refuse to him what he asked for with his lips.’ <s id=”T06320026200” n=”20.2”> PPs (prose); B8.2.1 (CCOE) 58 b. Magdalena Charzyńska-Wójcik passive and him wæs swa forwyrned đæs inganges syđđan. and him-DAT was so refused the entrance-GEN soon ‘And he was soon refused entry.’ <s id=”T03790012100” n=”480”> ÆHex; B1.5.13 (CCOE) Here, in contrast to (13), the case marking of the object NP is unaffected by passivisation, i.e. the dative and genitive of the active are retained in the passive. The resulting passive clause lacks a Nominative subject and shows the verb in the 3SG form. This type of passive is referred to as impersonal, as opposed to the passive illustrated in (13), which is classiied as personal. Finally, there are the troublesome verbs, i.e. those whose objects exhibit the relevant transformation. These undergo personal passivisation, i.e. the object of the active shows up as a Nominative subject of the passive and controls the form of the verb. 12 (15) a. active – GEN He ne geearnode nanes wuldres, he not deserved no glory-GEN ‘He deserved no glory,’ <s id=”T03350001800” n=”84”> ÆLS (Vincent); B1.3.35 (CCOE) b. active – ACC gyf hi hit geearnodon. if they it-ACC deserved ‘If they deserved it.’ <s id=”T03360004900” n=”200”> ÆHom 1; B1.4.1 (CCOE) c. passive Þurh đas seofon mægenu. biđ þæt ece lif geearnod; through the seven virtues is the everlasting life-NOM deserved ‘Everlasting life is earned through these seven virtues.’ <s id=”T02700006400” n=”167.205”> ÆCHom II, 17; B1.2.20 (CCOE) How do these facts relate to the broad and narrow view of transitivity? Note that the dividing line between verbs which form passives and those that do not 12 It needs to be borne in mind that the complementation patterns of OE verbs changed over time, to the effect that some verbs which were never accompanied by accusative objects in early OE started to appear with accusative NPs in late OE. In effect, the verbs which originally only appeared in impersonal passives started to produce personal ones. It is, therefore, crucial to remember this diachronic dimension of the OE period. Transitivity à la Old English 59 conirms the correctness of Bosworth and Toller’s approach: verbs which are classiied by Bosworth and Toller as transitive (i.e. verbs which can take a nominal object in any of the available verbal cases) can passivise. This view, however, in spite of correctly capturing the verbs’ ability to passivise, fails to accommodate the fact that there are two different types of passive – a consequence of there being different types of verbs, which are not distinguished within the broad interpretation of transitivity. Interestingly, the two verb types follow from Visser’s typology. His classiication, while not in accordance with the general passivisation possibilities of OE verbs, correctly identiies verbs which form personal passives. In effect, neither of the two classiications of OE verbs stemming from the two views on transitivity correctly captures the passivisation facts. However, the picture of OE passivisation emerging from a combination of the two approaches is complete and correct: Bosworth and Toller’s division between transitive and intransitive verbs coincides with the division between verbs which can passivise and those that do not. The internal differentiation between verb types which produce personal passives on the one hand and impersonal passives on the other is only derivable from Visser’s classiication, which sets apart verbs with accusative objects from verbs which are not accompanied by an ACC NP. It is only the former that produce personal passives. Let us now move on to the current approaches to transitivity to see how they fare with respect to the OE facts. 3. Current approaches to transitivity The view that transitivity is a universal phenomenon, central to the structure of all languages, ‘global within a single language i.e., relevant to all constructions of the language in the same way’ (LaPolla et al. 2011: 469) is omnipresent in the current linguistic literature.13 It is, however, accompanied by an equally strongly voiced assertion that the term is not clearly deined, as its content is in most works taken for granted (cf. for example, LaPolla et al. 2011: 469; Luk 2012: 4; Næss 2007: 2; Szupryczyńska 1973: 175; Toyota 2008: 10). As a result, many researchers discussing particular aspects of transitivity do not even attempt to deine it. In the current linguistic literature there are two basic approaches to transitivity: syntactic, concerned with the formal presence of a category (deined very 13 The volume devoted to transitivity, edited by Kulikov et al. (2006), offers a wide range of various transitivity-related phenomena addressed from a variety of theoretical perspectives, where transitivity is viewed as ‘a central overarching category’ (Kulikov et al. 2006: vii). 60 Magdalena Charzyńska-Wójcik differently within different accounts, ranging from a lexical projection – clearly a development of the traditional approaches to transitivity, to a functional projection); and semantic, concerned with the transfer of action between the elements of a clause. The former, by its very nature, can (at least seemingly) express transitivity only in terms of a binary opposition, i.e. the relevant element is either present, making a clause transitive, or absent, rendering it intransitive. The latter is inherently gradient, as the transfer of action can be expressed by means of degrees. These two major interpretations of transitivity correspond roughly to the two major types of approaches to grammar: formal (discussed in Section 3.1) and functional (presented in Section 3.2) respectively. Both are represented by a wide variety of different offshoots and it is neither possible nor necessary to present an exhaustive survey of how these approaches tackle the problem of transitivity. Instead, I will try to see how the basic machinery available within either approach deals with the most pertinent problems identiied in our discussion so far. In particular: (16) (i) valency alternations accompanied by a meaning change (of the bregdan type); (ii) alternations of object case which do not entail meaning changes; (iii) OE passivisation with further differentiation into two types. 3.1 Formal approaches to transitivity Over the many years of formal grammar’s development the deinitions of transitivity have always relected the most recent theoretical advancements. These have gone in various directions and focused on different aspects of structure. I will, therefore, not attempt an exhaustive survey here. Instead, I will present a very broad outline of the development of the term, which has lead to the current standard understanding of transitivity. Obviously, due to the fact that there is no single understanding of the notion of transitivity or its formal implementation, it is of course always possible to point to a researcher currently working in a formal approach whose understanding of transitivity and its deining characteristics will diverge from what is presented in this paper. 14 14 By way of illustration, let me point out Bowers (2002: 186), who works within a formal framework and explicitly states that his understanding of transitivity diverges from the mainstream. His own speciic understanding of the notion formalises it as ‘an independent property, separate from the property of having an external argument’. Transitivity à la Old English 61 In the early form of generative grammar, as proposed in Chomsky (1965), transitivity is related to the presence of the direct object – clearly a development of the traditional approach. Hence, verbs fall into two classes: those with the subcategorisation feature [+_NP], i.e. transitive, and intransitive, whose subcategorisation is [+_#]. Note that the deining parameter is the presence of the object. In other words, [i]n the standard theory of argument structure, the only structural difference between transitive and intransitive sentences is that transitives have both an external argument and an internal argument, whereas intransitives have either one or the other, but not both. Bowers (2002: 186) This formulation was subsequently reined to encompass the division of intransitives into unergatives and unaccusatives with no accompanying reclassiication of verbs but a reinterpretation of their structure. This interpretation of transitivity was further developed by Hoekstra (1984), who argues that a more sensible classiication of verbs could be made in terms of the property of selecting a Θ-subject. The traditional class of intransitives can be divided into two subclasses, one of which displays the properties of transitives, while the other share[s] its properties with passives of traditional transitives. I suggest that transitivity is regarded no longer as a property of combining with an NP to form a VP (or rather V’), but rather as having an external Θ–role. Hoekstra (1984: 227) This is not merely a reformulation, as was the case above, but a change of the deining parameter, with an ensuing change in the classiication of unergatives. Under the former view (in both its earlier and later variants), where transitivity is deined in relation to the number of arguments, they represent intransitives because they have only one argument: either external (the earlier version) or internal (the later one). The new approach classiies them among transitives, as transitivity is deined in relation to the presence of the external Θ–role, which is clearly present in unergatives. In effect, while some verbs retain their original membership despite the change of the deining parameter (those with two arguments and those with only one argument with an internal Θ–role), the verbs ‘in the middle’, i.e. showing characteristics of both types are classiied differently in the two approaches. The structures presented below (after de Swart 2007: 186) would therefore receive different interpretations under these two major approaches. Magdalena Charzyńska-Wójcik 62 (17) a. TYPE A b. Unergative: laugh Transitive: kill FP FP F DP subject F F DP VP subject V c. TYPE B F VP V V DP transitive verb object V unergative verb TYPE C Unaccusative: fall FP F F VP V V unaccusative verb DP subject Under the former understanding (in its later form), only the structure of Type A is transitive as it exhibits both an external and an internal argument. The structure of Type B has only an external argument and the structure of Type C only an internal argument, hence these do not qualify as transitives. In contrast, under the latter view, Type A and Type B are transitive, since both exhibit an external Θ-role, and Type C is the only structure without an external Θ-role, so it is not a transitive one. Note, that I intentionally avoided using the term intransitive, as together with the development of the notion of transitivity transitive does not contrast with intransitive any more. Contrary to what has been signalled above, it no longer represents a binary concept, though the inference does not seem to have received an explicit formulation. This takes us back to our earlier discussion concerning Transitivity à la Old English 63 the appellation neuter verb. Note that the term does not seem suitable to explain the grammar of English verbs and was soon replaced with one that was felt to be more itting: intransitive verb but, as is clear, the change was purely cosmetic. This time the change is deeper, as it affects the membership of verbs representing Type B (cf. (17) above). With the rudiments of transitivity as understood within formal grammars laid out, it is now time to see how this theoretical machinery works with respect to the relevant OE data. Before this can be done, however, let me clarify that in the following I will be using the term transitive and intransitive in the sense of the original formulation of Chomsky (1965), which, though not in keeping with the developments within the model, coincides with the understanding of the notion presented in Section 2.1. It is therefore (slightly) less likely to introduce additional confusion. First of all, it has to be admitted that the three structures presented in (17) above are very well motivated from the perspective of OE. Valency alternations listed in (16i) are perfectly captured by the Structures of Type A (transitive/active) vs. Type C (intransitive/neuter). Moreover, verbs which are never accompanied by an object (intransitive/neuter verbs with no alternations) are represented by Type B, thus clearly set apart from the alternating verbs. The absolute structures, i.e. those with verbs which normally take an object are represented by Type A, with the object position occupied by a phonetically empty element. As for the differentiation between accusative and non-accusative object cases under passivisation (cf. (16iii)), formal approaches to grammar in all their different shades possess the necessary machinery to account for these, by resorting to a distinction between structural (accusative) vs. non-structural case15 (dative 15 Structural case is contrasted with lexical case (Chomsky 1986) or quirky case (Andrews 1982). Some researchers use the terms lexical case and quirky case interchangeably (cf. for example Quinn 2005: 17 ‘lexical case, also known as ‘inherent’ or ‘quirky’ case’), though for others they represent different entities. As shown in Pesetsky and Torrego (2011), quirky case does not represent an alternative to structural case but merely makes the presence of structural case ‘undetectable’ (Pesetsky and Torrego 2011: 9). It is exhibited in Icelandic and, I believe, Old English genitive and dative case marking on verbal objects also qualiies as quirky. In contrast, lexical case is an alternative to structural case and can be exempliied by the dative and instrumental case marking on Russian objects. Moreover, non-structural cases are sometimes differentiated into lexical and inherent. An example of this differentiation is proposed by Woolford (2006: 111), for whom ‘[l]exical Case is idiosyncratic Case, lexically selected and licensed by certain lexical heads (certain verbs and prepositions). Inherent Case is more regular, associated with particular Θ-positions.’ Therefore, I contrast the term structural case with non-structural case to avoid terminological confusion. A comment that is due at this point is that van Gelderen (2011), in line with her earlier assertions, claims that in OE all cases were inherent. The loss of the inherent case and the emergence of structural case are associated by the author with the changes operating 64 Magdalena Charzyńska-Wójcik and genitive). Again, how exactly this difference is implemented in successive versions of the theory changes over time. In the pre-minimalist version of generative grammar, all object cases were assigned by the verb, yet the case assignment process took place at different levels of structure. This assertion, combined with the then-standard assumption concerning passivisation (cf. Jaeggli 1986), accounted for the observed discrepancy in behaviour between accusative and non-accusative object cases.16 In later versions of the theory, generally known as the Minimalist Programme, where D-Structure and S-Structure are given up, the difference is accounted for by assuming that different projections are responsible for the structural vs. nonstructural case. The latter is seen as an idiosyncratic property of individual verbs,17 while a functional projection v is responsible for the former. In consequence, the two types of cases are clearly differentiated, which, in turn, explains their different behaviour under passivisation. The dative and genitive morphology ‘provided’ by the verb naturally remains intact under passivisation. In contrast, the functional head responsible for the structural case has different properties in the passive and in the active clauses: in active (transitive) clauses it assigns both the external Θ-role and the accusative case, but in passive clauses it assigns neither of these. Further developments within the model offer a more complex picture, where the difference is expressed by reference to ‘Strong Phase’ and ‘Weak Phase’ and in a yet more recent work, Chomsky (2005) claims that it is the lexical category V, rather than the functional category v, which assigns the accusative case but only after ‘inheriting’ it from the v that selects it. As shown above, the technical details change with the developments of the model over time (a very useful summary of these is presented in Pesetsky and Torrego 2011), but what remains stable is the retention of the basic distinction between the accusative case on the one hand and the dative and genitive on the other. Syntactic processes such as passivisation affect only the former, i.e. the structural case (hence the resulting nominative marking on the relevant argument, and personal passivisation), while they have no effect on the latter, i.e. non-structural cases (which remain unchanged under passivisation, and the resulting passive structures are impersonal). In conclusion, generative approaches are perfectly suited to account for the different behaviour of the accusative vs. dative and genitive under passivisation. in the case system in the 12th century. However, as passivisation is not discussed there, it is not clear how the distinction between the accusative vs. non-accusative case(s), which we have seen to be vital in OE, can be accommodated into van Gelderen’s account. 16 A study of OE passivisation couched in such terms is offered in Charzyńska-Wójcik (2002) and Bondaruk and Charzyńska-Wójcik (2003). 17 It has to be noted, though, that ‘[n]ot much is said in Minimalism about how inherent case is assigned or checked’ (van Gelderen 2011: 132). Transitivity à la Old English 65 When it comes to alternations of object case which do not entail meaning changes (cf. (16ii)), generative approaches, assuming (as shown above) a formal difference between accusative cases on the one hand and non-accusative cases on the other, do not seem to offer a way of accounting for the lack of meaning difference between the variously case-marked objects. One and the same structure cannot exhibit case differences without an accompanying change of denotation because it would imply that the alternation represents a free variation. The deining principles of formal grammars inherently disagree with free variation and representatives of the model are prone to claim that free variation as such does not in fact exist. It is, therefore, not a viable option either in the earlier or in the later versions of formal grammar. Perhaps this is why there has not been much overt concern for the problem of object case alternations, despite the fact that the phenomenon is not restricted to OE but can also be observed in other early Germanic languages. There are, to the best of my knowledge, very few studies dealing with object case alternations in OE: Plank (1982), Goh (2000b), Toyota (2008, 2009) and van Gelderen (2011).18 Plank offers a philological account of object case alternations in OE from a functional perspective; Toyota also represents functional linguistics, while Goh, though representing formal grammar, draws heavily on Plank’s ideas, i.e. resorts to the theoretical machinery available within functional grammars. This is very telling, as it in effect indicates that formal grammars have no instruments with which to approach the phenomenon. In a more recent contribution van Gelderen (2011) also resorts to the same functionalist notions but manages to adapt them into a formal framework of minimalism. I will, therefore, present the essence of all four studies in Section 3.2, devoted to functional grammars. 3.2 Functional approaches As was the case with the formal model, it is neither possible nor necessary to offer here a survey of all the approaches to transitivity available under the auspices of the theory. Instead, I will focus on how the theoretical constructs available within functional grammars deal with the aspects of OE transitivity listed in (16) above. Semantic approaches to transitivity resort to the notions of affectedness (Hopper and Thompson 1980) and opposedness (Plank 1982). Another proposal – independent though closely related to that of Hopper and Thompson’s concept of affectedness – is Tsunoda’s (1981) resort to effectiveness, which is, like the 18 The primary focus of van Gelderen (2011) is diachronic: the author concentrates on establishing the basic valency of OE and the changes that affected the language in the course of its development. 66 Magdalena Charzyńska-Wójcik other two, ‘a multifactorial account of transitive encoding’ (de Swart 2007: 27). While differing in the exact set of parameters deined as relevant, what these proposals have in common is that they approach transitivity from a variety of different perspectives (subject-, object- or verb-oriented, including their mutual relationships) and, as a result, can detect and express ine-grained distinctions among the analysed structures in terms of a scale of transitivity. In effect, the higher the degree of opposedness, affectedness, or effectiveness, the higher the transitivity of a clause. So, transitivity viewed in this way is a scalar, or gradient phenomenon: the more of the transitive features a clause has, the higher it scores on a transitivity scale.19 This approach contrasts with a much simpler distinction available in formal grammar. However, while the parameters of description are very different between functional and formal grammars, the two approaches do converge at some points. The different status of accusative vs. non-accusative verbal cases inds different expressions in the two types of approaches but the relevance of the contrast is acknowledged in both: within scalar approaches to transitivity the accusative case is connected with a high degree of transitivity, while the dative and genitive cases are associated with lower degrees of transitivity. In generative grammar (in all its versions) the accusative case is clearly formally differentiated from the dative and genitive case. In fact, as noted by de Swart (2007: 149), most of the transitivity parameters ‘have a certain effect on casemarking patterns (…). Furthermore, the thematic role of an argument can also inluence the case-marking patterns it can participate in.’20 It seems, therefore, that semantically based transitivity with its gradient nature is perfectly suited to account for OE alternations of object case which do not involve a change in the meaning of a verb (cf. 16ii). As noted above, I am aware of four authors discussing OE object case alternations from the perspective of transitivity:21 Plank (1982), Goh (2000b), Toyota (2008, 2009) and van Gelderen (2011). All of them, more or less directly, resort to the notion of scalar semantic transitivity: Plank invokes the notion of opposedness, which is also referred to by 19 The status of the transitivity parameters has, naturally, been subject to debate. For instance Tsunoda (1985) argues that not all parameters are of equal relevance; a similar assertion is expressed in Lazard (1998); likewise Malchukov (2006) criticises Hopper and Thompson’s (1980) unranked and heterogeneous list as untenable for a full expression of transitivity-related phenomena. 20 Legendre et al. (1993) appeal to the notion of prominence (a term not clearly deined, as reported by de Swart 2007: 138, 141) and argue for a relationship between the prominence of arguments and their formal encoding. 21 Numerous authors note the fact that OE verbs show case alternations, for example Mitchell (1985), Allen (1995), Quinn (2005), etc. Practically every researcher dealing with OE verbs makes a note of the fact. However, few have studied what underlies this alternation and its relationship to transitivity. Transitivity à la Old English 67 Goh, along with affectedness; van Gelderen talks about affectedness and deiniteness and Toyota talks about the degree of (energy) transfer. The essence of Plank’s (1982) contribution to the issue of case alternations in OE is contained in Section 2 (‘Object Cases and Verb Meaning in Old English’) of a paper devoted to a seemingly unrelated topic, entitled Coming into Being among the Anglo-Saxons. The article is primarily devoted to an analysis of linguistic expressions the Anglo-Saxon relied on to talk about having children. This is intended to offer a glimpse into the nature of their beliefs about procreation, hence the title. But it does offer an interesting contribution to the issue of case alternations to the extent that all later studies represent only variations of Plank’s original proposal. Plank’s idea is that OE case alternations are not meaningless but encode different degrees of opposedness between the arguments of a clause. Since the degree of opposedness can only be deined with reference to another relation, the concept of opposedness is relational rather than absolute. As a result, ‘we occasionally ind vacillation in the choice of object cases without signiicant difference in meaning’ (Plank 1982: 85). The basic idea is, however, that a higher degree of opposedness is expressed by the accusative case, while the dative expresses a lower degree.22 What this means for OE verbs is that whatever general lexical meaning they have, their ultimate sense is determined in use. And this is done with the contribution of object case choices. As noted above, all later contributions draw on this interpretation of OE cases. In a paper devoted to alternative case markings of objects of OE verbs, written almost twenty years later, Goh (2000b) notes with surprise that this kind of variation has not attracted much linguistic attention. In the same spirit as Plank but in a different framework, Goh argues against treating the alternation as a free variation23 which does not entail any relevant differences and which would render it ‘arbitrary or purposeless’ (Goh 2000b: 197). Instead, as noted above, the author adopts Plank’s concept of opposedness, strengthens it with Hopper and Thompson’s idea of affectedness and argues that the case alternation expresses different degrees of semantic opposedness and affectedness. In particular, the relative obliqueness of NPs, which is based on the potential for passivization, provides strong linguistic evidence for this claim. In conclusion, different degrees of opposedness and affectedness formed by alternative object case markings should be seriously considered in the interpretation of OE texts. Goh (2000b: 197) 22 The semantics of the genitive is tackled only in passing, as it does not contribute to the main topic pursued by Plank (1982). 23 This is not only dictated by the requirements of the theory but also motivated by Goh’s interpretation of the actual linguistic data. 68 Magdalena Charzyńska-Wójcik What is very telling, however, is that in order to account for the linguistic facts exhibited in OE Goh, in spite of representing generative linguistics, resorts to the theoretical concepts offered by functional approaches. As noted above, van Gelderen (2011) overcomes this problem by transplanting these concepts into minimalist terms. In particular, van Gelderen (2011: 128–129) claims that in OE ‘the genitive Case is used when the object is partially affected, i.e. when the measure of involvement of the object is relevant (…). Limit of involvement translates into an absence of deiniteness. (…) The accusative is used in signaling affectedness (…).’ In other words, the genitive vs. accusative alternation expresses partial affectedness and deiniteness respectively. These ideas are ‘translated’ into the feature system of Minimalism by an appeal to interpretable measure-features (situated in a functional projection ASP) ‘responsible for the affectedness or nonaffectedness of the Theme, marked by either accusative or genitive respectively’ Gelderen (2011: 132). It has to be emphasised, however, that van Gelderen’s discussion of object case alternations, although representing a formal step forward with respect to Goh (2000b), ignores the dative case, while the dative seems to have appeared in these alternations much more frequently than the genitive. In effect, van Gelderen’s account of OE object case alternations has to be considered incomplete. Toyota’s (2009) approach to transitivity also views it as a gradient concept. According to Toyota, ‘transitivity can take advantage of case markings in order to create different degrees of transfer such as marking the direct object with accusative, dative or locative case’ (Toyota 2009: 50). In conclusion, the researchers differ considerably in the details but the overall picture they present is the same: they view transitivity as a concept expressing ‘differences in degree rather than in kind’ (Plank 1982: 86). In effect, the higher the degree of affectedness/opposedness/(energy) transfer, the higher the degree of transitivity, itself related to the potential for passivisation. This takes us to (16iii), i.e. the passivisation possibilities exhibited by OE verbs. While Goh (2000b: 186) formally represents a generative model and as such does not belong to this section, the theoretical machinery she applies to a discussion of OE transitivity is, as shown above, inherently functional. Therefore, it seems beneicial to see how the author deals with the two types of OE passivisation. Claiming as she does that the ‘distinction encoded in cases represents different degrees of opposedness or affectedness’, Goh (2000b: 194) remarks that it is ‘based on the potential for passivization’. This is done via an appeal to ‘an obliqueness hierarchy’, which ranks NP arguments with respect to Transitivity à la Old English 69 their cases.24 The hierarchy separates the accusative case from the dative and genitive. What this means is that accusative NPs in OE are less oblique than dative or genitive ones (Goh 2000b: 190) and the less oblique the case, the more passivisable it is. However, since the obliqueness hierarchy is actually based on the two types of passivisation (discussed in Section 2.3), it does not contribute to our understanding of the phenomenon at all. Let me now move on to the other author who deals with the relationship between the case alternations of objects and passivisation in OE, i.e. Toyota (2009).25 As noted above, according to Toyota (2009: 50), alternative case markings of OE verbal objects express different degrees of transfer, i.e. different degrees of transitivity. However, when it comes to the relationship between different object cases and the type of passive formation a given verb participates in, Toyota merely states that ‘[a]s in the case of active voice expressing different degrees of energy transfer according to case marking, the passive can be constructed with different subject cases’ (Toyota 2009: 46). Note, however, that we do not receive any answer here: Toyota merely restates the fact that cases are related to energy transfer and since this is true of the active, the same applies to the passive clauses. In conclusion, the ine-tuned system of semantic transitivity is perfectly suited to account for OE alternations of the type speciied in (16ii). As for the variation speciied in (16i), Hopper and Thompson’s (1980) interpretation of transitivity in its original form cannot account for these, as shown in Malchukov (2006). However, since numerous advances within functional approaches have made it possible to successfully deal with the phenomenon, functional grammars can be said to be capable of articulating these alternations as well. What is, however, left unexplained is the relationship between OE cases and the two types of passivisation: since the cases express a difference of degree and transitivity is viewed as a scalar phenomenon, it is not possible to draw any dividing lines. In effect, it seems inherent in scalar approaches to transitivity that they will preclude binary oppositions: irst of all between verbs which do not produce passives at all and those that do, and within the latter group between verbs that produce personal passives and those whose passives are impersonal. 24 Goh (2000b) explains that while the concept of relative obliqueness is not new in itself, the way she applies it to account for the OE facts differs from its earlier interpretations. In contrast to approaches deining it with respect to grammatical roles or functions, she deines it with respect to the cases of the arguments. 25 Plank (1982) does not deal with passivisation at all. 70 Magdalena Charzyńska-Wójcik 4. Conclusion As stated in the Introduction, OE transitivity has not attracted much attention and while it is obvious that if it constituted the focus of any systematic research, solutions would be proposed which would accommodate the speciic OE data, regardless of the assumed model, it is, however, very telling that the existing accounts are not, at this stage, ready to explain in a systematic way the variant of transitivity encountered in OE. On the whole, however, each of the analysed approaches seems very well equipped to explain a particular aspect of OE transitivity discussed here, while it is less (or not at all) suited to account for other properties. In particular, formal grammars seem perfectly suited to account for valency alternations accompanied by a meaning change (16i). Functional grammars offer an apparatus tuned to detect and express the ine details of alternations of object case which do not entail a change in the meaning of the verb (16ii), while traditional approaches jointly account for the passivisation properties of OE verbs (16iii), to the effect that the quantitative variant predicts which OE verbs can passivise, while the qualitative approach sets apart verbs producing personal passives from verbs whose passives are impersonal. It is true that formal grammars are also capable of expressing the difference but it has to be emphasised that what the formal approaches offer here is a restatement of observations concerning passivisation, in contrast to traditional grammars, which offer classiications allowing us to predict passivisation facts typical of OE verbs. In effect, it can be concluded that each of the relevant aspects is best accounted for by a different theory. The above observations prompt two types of conclusions. First of all, if a model does not explain everything, it does not, in effect, explain anything. Secondly, and much more optimistically, each of the approaches has an invaluable and unique perspective to offer, which is not available if a different standpoint is taken. The models, therefore, can be seen as complementing each other. Assuming a broader view on the same facts reveals yet another set of inferences. First of all, we see new solutions to certain problems springing up from their older versions, effectively offering restatements rather than breakthroughs in the understanding of the analysed concepts. Formal grammars are extremely reined developments of traditional approaches. Note the earlier vs. later understanding of transitivity discussed in Section 3.1, where the older one relied on the number of arguments, just as the quantitative traditional approach does (Section 2.1) and the latter one shifted the focus to the presence of a particular element: the external argument – a condition reminiscent of the presence of a direct (as opposed to indirect) object as a deining property of transitivity in the qualitative variant of the traditional approach (Section 2.2). Transitivity à la Old English 71 The same can be said of the functional approaches. The system in which object cases correspond to the degree of transitivity brings a distant echo of an almost century-old notion introduced by Meillet and Vendryes (1924: 522), who claim that in Indo-European the case of the verbal objects expressed different shades of relationships that the object bore to the verb: ‘[a]n Indo-European verb did not ‘govern’ the case of its complement; rather, the noun juxtaposed to the verb was inlected in the case required by the meaning that was expressed by the case itself’.26 While there are signiicant differences between the two approaches (the latter incorporating parameters of description reaching outside the V+NP complex), what they have in common is the assertion that the case of the object expresses in a meaningful way the relationship of the object to the verb. Another, albeit very different, example of convergence is related to the ‘clandestine’ rejection of the transitive vs. intransitive contrast within more recent versions of formal grammar in favour of a three-fold distinction into transitive vs. ergative vs. unaccusative verbs. While we have shown that the membership of ergatives shifted from intransitives to transitives in later versions of the theory and it is in fact still possible to talk about intransitive verbs, note that the term is not frequently invoked. This has a two-fold signiicance. First of all, as already noted, the notion of an intransitive verb does not seem crucial to the description of English, just as the notion of a neuter verb was unit to serve that function. Secondly, and more importantly, by renouncing the transitive vs. intransitive contrast, formal grammars have, in effect, made a step towards functional approaches, for which a binary view on transitivity has long been insuficient. This, in turn, indicates that under the differences in the theoretical machinery there are underlying similarities. It is important, as we have not only seen that the indings of one theory can enrich another but we can also see that the views of the different theories do not stand in contradiction to each other. In fact, this is to be expected, as the different models describe the same linguistic reality. That the semantic and syntactic approaches to transitivity can be happily married is shown in an extremely interesting approach to transitivity offered in Toyota (2009), which combines syntactic and semantic transitivity, showing the need for both. The author shows the two types of transitivity to be diachronically related, claiming that OE transitivity is of the older, semantic type. It resorts to subtle distinctions of transfer expressed by the choice of object case. This type gave way to a chronologically younger, syntactic transitivity. In this way Toyota’s diachronic account of English transitivity shows the necessity for both formal and functional approaches. An observation which should not be overlooked at this point is that Toyota’s account can be compared to Meillet and Vendryes’s (1924) diachronic interpretation of the notion of transitivity. Their claim that transitivity 26 Translation quoted from Luraghi (2010: 221). 72 Magdalena Charzyńska-Wójcik is a concept inapplicable to Indo-European means in effect the language did not yet have syntactic transitivity.27 In conclusion, if we learn our history lesson well, we will note that the genuine nature of transitivity seems best articulated by a set of very diverse tools, which, though eclectic, are tailor-made for the linguistic data and not the other way around. Perhaps, then, the Latin-based notion of transitivity is, after all, a concept of great consequence. Sources B&T = Bosworth, J., and T. N. Toller. 1898. An Anglo-Saxon dictionary based on the manuscript collections of the late Joseph Bosworth, edited and enlarged by T. Northcote Toller. London: Clarendon Press. BTs = Toller, T. N. 1921. An Anglo-Saxon dictionary based on the manuscript collections of the late Joseph Bosworth. Supplement. London: Clarendon Press. CCOE = Cameron, A., and R. Frank. (eds.). Complete corpus of Old English: the Toronto dictionary of Old English Corpus. University of Toronto Centre for Medieval Studies. The Oxford Text Archive. Available at: http://ota.ahds.ac.uk/. References Allen, C. L. 1980. Topics in diachronic English syntax. New York, London: Garland. Allen, C. L. 1995. Case marking and reanalysis: grammatical relations from Old to Early Modern English. New York: Oxford University Press. Andrews, A. 1982. The representation of case in modern Icelandic. In J. Bresnan (ed.), The mental representation of grammatical relations, 427–503. Cambridge, MA: MIT Press. Beedham, C. 2010. 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The salient silence – against a unique membershipbased typology of Old English verbs. In M. Kleban, and E. Willim (eds.), PASE Papers in Linguistics, 37–53. Kraków: Wydawnictwo Uniwersytetu Jagiellońskiego. Charzyńska-Wójcik, M. (in press). Old English transitivity – a view from the past. To appear in A. Bondaruk, and A. Prażmowska (eds.), Within language, beyond theories. Vol. 1. Studies in theoretical linguistics. Newcastle upon Tyne: Cambridge Scholars. Chomsky, N. 1965. Aspects of the theory of syntax. Cambridge, MA: MIT Press. Chomsky, N. 1986. Barriers. Cambridge, MA, London: MIT Press. Chomsky, N. 2005. On phases. Ms. MIT. Denison, D. 1985. English historical syntax: verbal constructions. London: Longman. Dixon, R. M. W. 1979. Ergativity. Language 55: 59–138. Faarlund, J. T. 2013. The pro cycle. In E. van Gelderen, J. Barðdal, and M. Cennamo (eds.), Argument structure in lux: The Naples-Capri Papers, 257–284. Amsterdam, Philadelphia: John Benjamins Publishing Company. 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On S, A, P, T, and R as comparative concepts for alignment typology. Linguistic Typology 15(3): 535–567. Hoekstra, T. 1984. Transitivity. Grammatical relations in Government-Binding Theory. Dordrecht: Foris Publications. 74 Magdalena Charzyńska-Wójcik Hopper, P. J., and S. A. Thompson. 1980. Transitivity in grammar and discourse. Language 56(2): 251–299. Jaeggli, O. A. 1986. Passive. Linguistic Inquiry 17(4): 587–622. Kemenade A. van. 1987. Syntactic case and morphological case in the history of English. Foris: Dordrecht. Kittilä, S. 2002. Transitivity: towards a comprehensive typology. Turku: University of Turku Press. Kulikov, L., A. Malchukov, and P. de Swart. (eds.). 2006. Case, valency and transitivity. Amsterdam, Philadelphia: John Benjamins Publishing Company. LaPolla, R. J., F. Kratochvíl, and A. R. Coupe. 2011. On transitivity. Studies in transitivity: insights from language documentation. Special issue of Studies in Language 35(3): 469–492. Lazard, G. 1998. Actancy. Berlin: Mouton de Gruyter. Legendre, G., W. Raymond, and P. Smolensky. 1993. An optimality-theoretic typology of case and grammatical voice systems. Proceedings of the Nineteenth Annual Meeting of the Berkeley Linguistics Society: General Session and Parasession on Semantic Typology and Semantic Universals 19: 464–478. Levin, B. 1993. English verb classes and alternations: a preliminary investigation. Chicago, London: The University of Chicago Press. Luk, Z. P.-s. 2012. Transitive and intransitive constructions in Japanese and English: a psycholinguistic study. Ph.D. diss., Pittsburgh, University of Pittsburgh. Luraghi, S. 2010. The rise (and possible downfall) of conigurationality. In S. Luraghi, and V. Bubenik (eds.), Continuum companion to historical linguistics, 212–229. London, New York: Continuum International Publishing Group. Malchukov, A. 2006. Transitivity parameters and transitivity alternations: constraining co-variation. In L. Kulikov, A. Malchukov, and P. de Swart. (eds.), Case, valency and transitivity, 329–357. Amsterdam, Philadelphia: John Benjamins Publishing Company. Mattia-Viviès, M. de. 2009. The passive and the notion of transitivity. Review of European Studies 1(2): 94–109. Meillet, A., and J. Vendryes. 1924. Traité de grammaire comparée des langues classiques. Paris: Champion. Michael, I. 1970. English grammatical categories and the tradition to 1800. Cambridge: Cambridge University Press. Mitchell, B. 1985. Old English syntax. Oxford: Clarendon Press. Mohr, S. 2005. Clausal architecture and subject positions: impersonal constructions in the Germanic languages. Amsterdam, Philadelphia: John Benjamins Publishing Company. Næss, Å. 2007. Prototypical transitivity. Amsterdam, Philadelphia: John Benjamins Publishing Company. Transitivity à la Old English 75 Napier, A. S. 1906. Contributions to Old English lexicography. Hertford: Stephen Austin and Sons, Ltd. Ogura, M. 1996. Verbs in medieval English. 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Linguistic Inquiry 37(1): 111–130. 76 Magdalena Charzyńska-Wójcik Listen to the text 77 Listen to the text – on translation strategies in two historical Italian Psalters Magdalena Charzyńska-Wójcik Rafał Charzyński Abstract: The objective of this paper is to examine translation strategies applied in the production of two Italian Psalter versions: a ifteenth-century Psalter text from 1470, associated with Malermi, and an eighteenth-century version of the Psalter of 1785 from the Bible of Martini. The former is part of the irst complete Italian Bible and the latter represents the irst Italian Bible authorised by the Catholic Church after lifting the ban on Biblical translation into vernaculars. The examination will be executed on the basis of equivalent selection of the Latin verb exaudire ‘to listen’ in Psalms 1–50. The Latin Psalter text underlying the Italian translation shows that the verb is used in Psalms 1–50 thirty times. The two Psalter versions are separated by the span of over 300 years but, as we intend to show, no signiicant change in translation strategies took place in that time. Moreover, a comparison with translation strategies concerning the same verb in historical translations of the Psalter into the English language covering a similar time span allows us to draw more general conclusions concerning the principles of Biblical translation in the relevant period. Key words: Italian Psalter, Biblical translation, equivalent selection strategy, Malermi’s Bible, Martini's Bible 1. Introduction The paper sets out to examine equivalent selection strategies in two Italian versions of the Psalter: a ifteenth-century Psalter text from 1470, associated with Malermi, and an eighteenth-century Psalter of 1785 from the Bible of Martini. The general information concerning the two Psalters is presented in Section 2, while all the details concerning the editions of the Italian sources we worked with, together with the information on the underlying Latin Psalter these Italian versions were translations of, are presented in Section 3. The data concerning equivalent selection of exaudire in the two Italian Psalter versions are contained in Section 4, with 4.1 devoted to the Malermi Bible Psalter and 4.2 to the Martini Bible Psalter. The results are summarised and compared with the corresponding indings concerning equivalents of exaudire in English historical Psalter translations in Section 5. 78 Magdalena Charzyńska-Wójcik, Rafał Charzyński 2. A historical overview Italian versions of parts of the Bible began to emerge much later than French, Provençal, German or English ones (Charzyńska-Wójcik 2013; Foster 1969). Due to its special place in medieval Christian spirituality, the Psalter was among the irst books to undergo translation into a vernacular (next to the Gospels) and Italian was no exception in this respect. The earliest translations of portions of the Bible into Italian are assumed to have been executed in the thirteenth century but no manuscripts of the versions predating the fourteenth century have survived.1 The irst extant complete Bible translation into Italian is associated with the name of Niccolò Malermi, a Camaldolese monk.2 Although in his preface to the Bible Malermi states explicitly that he is to be credited with the translation, Foster (1969: 453) claims that ‘it is not strictly a translation, but a revision of earlier versions to bring them closer to the Vulgate and incidentally to make their language less Tuscan and more Venetian’. As stated by Coates in his presentation (2013),3 ‘[i]t is a Bible in Italian intended (…) for use by people, male and female, young and old, who did not know Latin’. This translation, irst printed in Venice in 1471 by Vindelinus de Spira, enjoyed immense popularity and was reprinted for over three hundred years, with the last edition issued in Venice in 1773. The text which served as the basis for the translation into Italian was, as can be expected, largely based on the Latin Vulgate but, in the expert opinion of Berger (1889, 1890, 1894), the Italian translators depended to a considerable extent on earlier French and Provençal versions. The French and Provençal translations, in turn, were, as noted by Foster (1969: 459), based on originals which represented partly non-Vulgate versions ‘current in southern France and north Italy before the mid fourteenth century’, so they diverged from the thenstandard Paris revision of 1200 (cf. Charzyńska-Wójcik 2013). The dependence of Italian translations upon a French source is especially visible in the text of the Psalter (Berger 1889, 1890, 1894; Foster 1969).4 1 2 3 4 Cf. Foster (1969) for an exhaustive list of the extant Psalter manuscripts and their dates. Apparently there is another complete Italian Bible printed two months later by Jenson, which is a compilation of the existing Italian versions, including that of Malermi. The Bible did not receive much attention until the nineteenth century, when it was re-edited by Carlo Negroni and enjoyed considerable popularity. Although Negroni ascribed most of the version to the Dominican monk Cavalca, ‘the identiication was sentimental and certainly false’ (Foster 1969: 458). The presentation is available in full at: http://www.anti-semitism.net/vatican/digitizationa-bodleian-vatican-project-interview-with-alan-coates-on-the-malermi-bible-video.php. Interesting and compelling evidence for this dependence is provided, among other things, by the unusual Psalm numbering to be found in two of the oldest Italian Psalter manuscripts. In contrast to any of the extant Latin manuscripts, the number of the Psalms is not 150, but 175 and 180, showing a similarity to French versions predating the mid-thirteenth century. Listen to the text 79 It is necessary to add that the Church authorities in Italy in the ifteenth century showed no hostility to Bible translation. As a result, there were as many as ten different translations between Malermi’s 1471 version and the end of the century (Crehan 1963: 202). However, at the time of the Council of Trent (which issued the irst oficial statement of the Church with respect to the authorised and canonised text of the Catholic Bible), the situation was not uniform across Europe with respect to the status of Bible translations and the Council decided to embrace this diversity when pronouncing its decrees concerning Bible vernacularisations. The year 1559 saw the introduction of uniformity in Europe as to the status of Bible translation, when Pope Paul IV issued a general prohibition against vernacular Bible reading and printing except by express permission of the Church. Pius IV further strengthened the ban in 1564, which, in effect, stopped further Catholic translations of the Bible into Italian for the next two hundred years. The situation was improved in 1757, when Benedict XIV issued a decree which permitted translating the Bible into vernaculars under speciied conditions (for details, see Foster 1963: 358). This allowed Italian Catholics to resume biblical translations after a long period of enforced inactivity in the area. The most important of the versions which sprang up in reaction to the decision of the Pope is that of Antonio Martini, whose intention was to produce an accurate and widely accessible version (Foster 1963). His translation was a multi-volume edition printed over the span of several years, with the New Testament published in six volumes (1769–1771) and the Old Testament in sixteen volumes (1776–1781). The work was irmly based on the text of the Vulgate, with the New Testament reaching behind the Latin text to the Greek original, yet for the Old Testament there is no evidence of such procedures, especially as Martini is known to have possessed little Hebrew. The version received the oficial approval of the Pope in 1778 and enjoyed immense popularity as ‘a decent literal rendering of the Vulgate which has remained in use down to our day’ (Foster 1963: 359). Note that the termination of the continued production of the Malermi Bible (as remarked above, the last edition came out in 1773) coincides with the emergence of the Martini Bible (with the irst volume of the New Testament issued in 1769). We are, therefore, justiied in claiming that the latter superseded the former in its function as the Bible of the ordinary people. It seems, then, that a new translation was not only oficially allowed by the Church but it must have been felt necessary for linguistic reasons as well. In view of the above, a comparison of the linguistic choices visible in the two Bible versions appears to be well-motivated. Due to space limitations, the comparison can cover only one aspect of the linguistic structure and it seems that the aspect which is most immediately accessible is equivalent selection. Magdalena Charzyńska-Wójcik, Rafał Charzyński 80 3. Methodology For the Malermi Bible we used the 1490 edition, whose digitised image is available in full at http://viewer.bodleian.ox.ac.uk/icv/page.php?book=douce_244&page=1. Psalms 1–50 are to be found between folium ii aa recto (image 367) and folium bb iii recto (image 385). The digitised exemplar represents Francis Douce’s copy of the irst edition of this Bible, which contains woodcut prints, several of them in colour (hand-painted), published in Venice by Giovanni Ragazzo for Lucantonio Giunta. ‘This edition of the Bible has been described as part of the Golden Age of Venetian book illustration’ (Coates 2013). When it comes to the Psalter of the Martini Bible, we worked with the original edition, which was published in Rome in 1785 as the tenth volume of the Old Testament: Vecchio Testamento Secondo la Volgata Tradotto in Lingua Italiana e con Annotazioni Dichiarato; Tomo X che Contiene la Prima Parte De’Salmi, which is available at: http://books.google.pl/books?id=MiWZbBjyl IYC&hl=pl&pg=PR3#v=onepage&q&f=false. The edition contains the Latin text of the Gallicanum in the left-hand column, while the Italian rendition appears on the right-hand side. To additionally differentiate the two Psalters, the Italian translation is italicised throughout the book. Resorting to different fonts was common practice to clearly set apart different versions of the same text (cf. Sabatier 1751). The tradition goes back to (at least) the early Middle Ages, when script type carried information concerning the status of the text (Latin vs. vernacular);5 script size, likewise, had a clear function, setting apart the text from the commentary. As noted above, the Malermi Bible represents a compilation of the earlier anonymous translations, and these are not based exclusively on the Vulgate Latin but also on intermediary French translations, especially as far as the Psalter is concerned. Therefore, to achieve the objective of the paper, i.e. to see whether there was a change in the Italian word stock representing the basic vocabulary (Italian renditions of exaudire), it would be best to compare the originals on which the two Italian versions are based. This, however, is at this stage impossible as no particular French Psalter has been identiied as the model of the Malermi Psalter. Instead, reference is made to a group of French Psalters predating the mid-thirteenth century. Lack of access to these texts precludes a comparison but, as noted by Foster (1969), these French Psalters are based on 5 Cf. Caie (2008) for a discussion of these aspects of manuscript layout. For an example of this type of differentiation, see the Paris Psalter available in full in Bibliothèque Nationale Fonds Latin (Ms 8824) at: http://gallica.bnf.fr/ark:/12148/btv1b8451636f/ f1.image.r=psalterium%20duplex.langEN. Listen to the text 81 Latin version(s) which do(es) not represent the Paris revision. It must, therefore, contain mixed readings of the versions which were available in Europe at that time. The only Latin Psalters in wide circulation were the Romanum and the Gallicanum. In addition to these two, there was a pre-Jeromian Psalter, i.e. the Psalterium Vetus. The last Latin Psalter text which was available in Europe in the Middle Ages was the Hebraicum (Jerome’s translation from the original Hebrew text), which never enjoyed wide circulation and tended to be used for scholarly rather than liturgical or devotional purposes and although it is very unlikely to have constituted the basis for vernacular translations, since the latter are not consonant with a scholarly approach, admixtures from the Hebraicum in the underlying Latin text of Italian translations cannot in principle be excluded. In view of the above, it seems that an analysis of Italian equivalents of the Latin exaudire found in the Malermi Bible Psalter should take into consideration all four Latin Psalter texts which were available in medieval Europe: the Romanum, the Gallicanum, the Vetus and the Hebraicum. For the Romanum we worked with the standard critical edition offered in Weber (1953). The critical standard edition of the Gallicanum is available in the Stuttgart Bible, irst published in 1969 (also edited by Weber), which also offers the standard text of the Hebraicum. The text of the Vetus was obtained from Sabatier’s edition published in 1751. In addition to the Vetus (marked in the edition as Versio Latina Antiqua and presented in the outermost column, i.e. on the left- or righthand side on facing pages and presented in large font), the edition contains the Hebraicum (middle column: Versio Latina S. Hieronymi ex Hebraeo, italicised throughout the book) and the Gallicanum (innermost column: Vulgata Hodierna, printed in a smaller font to clearly distinguish it from the Vetus). Since Sabatier’s edition offers easy access to the text of the Hebraicum, we decided to additionally compare the standard edition of this version of the Psalter with a text representing the speciically Italian tradition in case there were important differences between the two. Not knowing the original text of the Malermi version of the Psalter, we decided to examine the contexts in which any of the four Psalters (the Romanum, the Gallicanum, the Vetus and the Hebraicum) in all the editions mentioned above exhibit exaudire. In view of the fact that these Psalters might have constituted either the main text or provided the textual admixtures for the underlying Latin, this procedure was meant to eliminate the contexts in which the Psalters differ in the relevant respect. When it comes to the underlying text of the Martini Bible, it must be remembered that the translation was, as noted above, approved of by the Holy See in 1778. Therefore, the Latin text of the Vulgate Psalter it contains Magdalena Charzyńska-Wójcik, Rafał Charzyński 82 must have been based on the oficial version of the Vulgate, this being the Sixto-Clementine text of the late sixteenth century. The Psalter of the oficial version of the Vulgate, i.e. of the version canonised by the Council of Trent in 1546 (cf. Charzyńska-Wójcik 2013) was the Gallicanum. The Italian translation is juxtaposed with the Latin Psalter but we additionally checked it against the edition of the Vulgate Psalter which was available in Italy at the time when Martini’s translation was executed, i.e. we compared it with Sabatier’s 1751 edition of the Gallicanum and found no discrepancies between the two versions in the places relevant to our examination. To additionally assess the text of the Italian textual tradition of the Gallicanum against the mainstream, we compared it with the critical edition of the Sixto-Clementine and the standard critical edition of the Gallicanum. The former exists in several editions, the most reliable of which seems to be the one prepared by Hetzenauer (1914),6 the latter is, as mentioned above, available in Weber’s edition, generally referred to as the Stuttgart Bible.7 The next step was to analyse the underlying text of the Martini translation, so we examined the Gallicanum as presented in the original edition of the Psalter, 1785, Sabatier’s contemporary edition of 1751 and Hetzenauer’s (1914) critical edition of the Sixto-Clementine and the Gallicanum of the Stuttgart Bible (Weber 1969). 4. The data 4.1 The Malermi Bible On analysing the above-mentioned versions and editions which have been deined as relevant for the study of the underlying text of the Malermi Bible Psalter, it turned out that three of the four analysed Latin Psalters texts, namely the Romanum, the Gallicanum and the Vetus, converge as far as the uses and occurrences of exaudire are concerned, though the inlectional forms of the verb they present differ substantially between the versions, while the editions do not show any differences in the examined contexts.8 For example, in 4.2a, the Vetus and the Romanum have exaudisti (PERF 6 7 8 Cf. Youngman’s (1908) assessment of Hetzenauer’s edition. As is obvious, the critical edition provides a wealth of information about recorded textual variants but it presents a text which, as noted by Nichols (2009: 5), ‘however erudite and however useful, could not be a faithful representation of an original, but was, rather, a modern reconstruction of an ideal, that from our perspective, never existed’. That the different editions of the same text do tend to show considerable differences is amply demonstrated in Charzyńska-Wójcik (2013). Listen to the text 83 ACTIVE IND 2 S), while the Gallicanum has exaudivit (PERF ACTIVE IND 3 S); in 4.4 the Vetus converges with the Gallicanum in exaudiet (FUT ACTIVE IND 3 S), while the Romanum has exaudivit (PERF ACTIVE IND 3 S) and in 19.7 the form in the Vetus, exaudiat (PRES ACTIVE SUB 3 S), is different from that in the remaining two Psalters, which have exaudiet (FUT ACTIVE IND 3 S). The valid contexts, i.e. contexts in which all three Psalters exhibit the relevant verb are the following: 3.5, 4.2a, 4.2b, 4.4, 5.4, 6.9, 6.10, 9.38(17), 12.4, 16.1, 16.6a, 16.6b, 17.7, 17.42, 19.2, 19.7, 19.10, 21.3, 21.25, 26.7a, 26.7b, 27.2, 27.6, 30.23, 33.5, 33.7, 33.18, 37.16, 38.13, 39.3. Before we can go on, it seems that a word concerning verse numbering is in order. Malermi’s Bible does not show any verse numbers (for the emergence of verse numbering in the history of the Bible, see Charzyńska-Wójcik 2013) but for the sake of reference we adopted here the numbering system of the standard critical edition of the Gallicanum of the Stuttgart Bible as generally available. Sabatier’s, Hetzenauer’s and Weber’s numbering systems are the same, except for the Hebraicum, whose numbering in Sabatier’s edition follows the Hebrew Psalter divisions, i.e. the contents of Psalm 9 in the Vulgate correspond to Psalms 9 and 10 in the Hebraicum. Hetzenauer’s edition acknowledges both systems in providing double Psalm numbers beginning with Psalm 10. In contrast, the Stuttgart edition of the Hebraicum preserves the Psalm numbering of the (Greek and) Latin tradition but acknowledges the original structure of Psalm 9 in the form of double verse numbers, with the irst number indicating the verse in the Latin tradition and the second showing its position in Psalm 10 in the Hebrew tradition. Returning to the occurrences of exaudire in the Latin versions of the Psalter, in contrast to the Romanum, the Gallicanum and the Vetus, which, as noted above, show only differences in the inlectional form of the verb in the analysed contexts, the Hebraicum differs more markedly from the remaining versions of the Psalter. Namely in some of the contexts enumerated above it does not show exaudire. Instead, it has audire in: 5.4, 6.9, 6.10, 9.38(17), 16.1, 16.6b, 26.7a, 27.2, 27.6, 30.23, 38.13 and 39.3. Additionally, in 21.25 the Stuttgart edition differs from Sabatier’s, i.e. it has audivit, while Sabatier’s edition of the Hebraicum shows exaudivit. Having deined the Latin contexts which needed to be analysed, we proceeded to the Italian rendition of the Malermi Bible and retrieved all the equivalents of the Latin verb in all the contexts speciied above. The inal step was to analyse the results, a matter to which we will proceed immediately. The relevant data, concerning both the Latin Psalters and the Malermi Bible Psalter are all given in Table 1 below. Magdalena Charzyńska-Wójcik, Rafał Charzyński 84 Vetus Romanum Gallicanum Sabatier 1751 Weber 1953 Sabatier 1751 Hetzenauer 1914 Weber 1969 Sabatier 1751 Weber 1969 1490 3.5 exaudivit exaudiuit exaudivit exaudiet exaudiet exaudito 4.2a exaudisti exaudisti exaudivit exaudi exaudi exaudite 4.2b exaudi exaudi exaudi exaudi exaudi accepta 4.4 exaudiet exaudiuit exaudiet exaudiet exaudiet exaudirame 5.4 exaudies exaudies exaudies audies audies exaudirai 6.9 exaudivit exaudiuit exaudivit audivit audivit exaudito 6.10 –9 exaudiuit exaudivit audivit audivit exaudito exaudivit exaudiuit exaudivit audivit audit exaudito No 9.(38) 17 Hebraicum Malermi 12.4 exaudi exaudi exaudi exaudi exaudi exaudime 16.1 exaudi exaudi exaudi audi audi exaudi 16.6a exaudisti exaudisti exaudisti exaudies exaudies exaudito 16.6b exaudi exaudi exaudi audi audi exaudi 17.7 exaudivit exaudiuit exaudivit exaudiet exaudiet exaudite 17.42 exaudivit exaudiuit exaudivit exaudiet exaudiet exaudi 19.2 exaudiat exaudiat exaudiat exaudiat exaudiat exaudischa 19.7 exaudiat exaudiet exaudiat exaudiat exaudiet exaudisca 19.10 exaudi exaudi exaudi exaudiet exaudiet exaudisse 21.3 exaudies exaudies exaudies exaudies exaudies exaudirai 21.25 exaudivit exaudiuit exaudivit exaudivit audivit exaudite 26.7a exaudi exaudi exaudi audi audi exaudi 26.7b exaudi exaudi exaudi exaudi exaudi exaudime 27.2 exaudi exaudi exaudi audi audi exaudi 27.6 exaudiit exaudiuit exaudivit audivit audivit exaudita 30.23 exaudisti exaudisti exaudisti audisti audisti exaudito 33.5 exaudivit exaudiuit exaudivit exaudivit exaudivit exaudito 33.7 exaudivit exaudiuit exaudivit exaudivit exaudivit exaudilo 33.18 exaudivit exaudiuit exaudivit exaudivit exaudivit exaudi 37.16 exaudies exaudies exaudies exaudies exaudies exaudira 38.13 exaudi exaudi exaudi audi audi exaudi 39.3 exaudivit exaudiuit exaudivit audivit audivit exaudito Table 1. Latin Psalters and the Malermi Bible Psalter – exaudire9 9 The verse is missing, but cf. Sabatier (1751: 17) for details. Listen to the text 85 The data contained in the table above indicate that in twenty-nine out of a total of thirty instances, Malermi’s text uses the same verb, clearly a descendant of the Latin exaudire. (1) 4.4 a. Psalterium Vetus (1751) Et scitote quoniam magniicavit Dominus sanctum suum: Dominus exaudiet me dum clamavero ad eum. b. Psalterium Romanum (Weber 1953) Scitote quoniam magniicauit dominus sanctum suum dominus exaudiuit me dum clamarem ad eum. c. Psalterium Gallicanum (Sabatier 1751) Et scitote quoniam miriicavit Dominus sanctum suum: Dominus exaudiet me cùm clamavero ad eum. d. Psalterium Gallicanum (Hetzenauer 1914) Et scitote quoniam miriicavit Dominus sanctum suum: Dominus exaudiet me cum clamavero ad eum. e. Psalterium Gallicanum (Weber 1969) et scitote quoniam miriicavit Dominus sanctum suum Dominus exaudiet me cum clamavero ad eum f. Psalterium Hebraicum (Sabatier1751) Et cognoscite quoniam mirabilem reddidit Dominus sanctum suum: exaudiet, cùm clamavero ad eum. g. Psalterium Hebraicum (critical edition) et cognoscite quoniam mirabilem reddidit Dominus sanctum suum Dominus exaudiet cum clamavero ad eum. h. Malermi’s Psalter10 Sapiate chel signor a marauegliosamente mostrato el suo know that-the Lord has miraculously shown the his sancto: exaudirame el signor quando la dimandaro. saint: will-hear-me the Lord when you I-will-ask ‘You will know that the Lord has made His holy One wondrous. The Lord will hear me when I call out to Him.’11 Two matters, however, require immediate attention. First of all, we need to examine the status of the single exception recorded in 4.2b. Secondly, and more importantly, 10 The text quoted here closely represents the original, with all the orthographic conventions preserved. As is customary, textual abbreviations are expanded, with the expanded material marked with an italicised font. 11 All of the English translations presented in this paper come from Cunyus (2009) – a modern translation based on the standard text of the Gallicanum. 86 Magdalena Charzyńska-Wójcik, Rafał Charzyński while the underlying Latin verb in the Romanum, Gallicanum and Vetus is exaudire in every single instance, the Hebraicum, as noted above, shows audire in several places. These data offer an opportunity to see whether the underlying Psalter of Malermi’s Bible could have contained admixtures from the Hebraicum. It requires an analysis of all the contexts where the Psalters show audire and if it can be shown that audire was systematically rendered in a different way in Malermi’s text than audire, then the Hebraicum as a source of admixtures (at least in the examined places) can be excluded. Of course for this conclusion to attain a more general status, a larger number of contexts of this type would need to be examined. In particular, an examination of Italian renderings of high frequency items which show stable equivalents in non-varying contexts (i.e. where all the Psalters have the same underlying Latin form) and which exhibit variation where the Psalters show variation in the Latin text would offer an opportunity to verify the conclusion drawn from this paper. Let us now proceed to an examination of the data concerning (ex)audire and the status of the Hebraicum as a possible source of the admixture of the Latin text either rendered directly into Italian or via its French intermediaries. The Romanum, Gallicanum and Vetus show forms of audire in the following contexts: 18.3, 25.7, 29.10, 30.15, 33.2, 33.11, 37.13, 37.14, 43.1, 44.12, 47.7, 48.1 and 49.8. An examination of the Italian renderings of these usages shows that in none of these instances does Malermi translate audire with the same verb as exaudire. Instead, the prototypical Italian equivalent of this Latin verb seems to have been udire ‘to hear’, a descendant of audire ‘hear, listen, accept, agree with; obey; harken, pay attention; be able to hear’. Consider the example below: (2) 29.10 udite el signor & ha hauto misericordia dime listen the Lord and has had mercy on-me ‘The Lord heard and had mercy on me.’ It is now time to return to the irst question posed above, namely what is the status of the exceptional equivalent in 4.2b quoted below. (3) 4.2b Habi misericordia de me; et accepta la mia oratione. have mercy on me; and accept the my prayer ‘Have mercy on me, and hear my prayer!’ Note that this question in fact concerns the subject matter of the paper, namely what were the translation strategies applied by Italian translators of the Bible: Listen to the text 87 did they resort to static or dynamic equivalents12 in producing their texts? Note that the Italian verb used in 4.2, i.e. acceptare > accettare ‘to accept’ (from Latin accipere ‘to accept’) fully agrees with the semantic content of exaudire in this context. The meaning of exaudire followed with orationem meam is indeed that of ‘accepting (my prayer)’, while the same sense does not emerge in for example 21.2, quoted below, where exaudire cannot be understood as ‘to accept’. (4) 21.2 dio mi criderai nel giorno & non exaudirai God myself I-will-cry in day and not will-hear ‘My God, I will call by day, yet You will not hear.’ In effect, we do not expect acceptare to appear in intransitive contexts of this type. The same applies to contexts where exaudire is followed with a human object, as in 33.7 below. (5) 33.7 & exaudilo il signor and has-heard the Lord & saluolo de tute le sue tribulatione. and has-saved from all the his tribulations ‘(I sought the Lord) and He heard me. He rescued me from all my troubles.’ 12 Importantly, we use the term dynamic equivalents in a way dissociated from Nida’s (1964) notion of dynamic equivalence. While Nida’s translation of dynamic equivalence is a strategy that ‘aims at complete naturalness of expression, and tries to relate the receptor to modes of behavior relevant within the context of his own culture’ (Nida 1964: 159), we use the term dynamic equivalent in a purely descriptive sense. What we mean by dynamic vs. static equivalent selection strategies are modes of equivalent selection which are sensitive (dynamic) or indifferent (static) to the context of the target text. In particular, if the source text contains a high frequency item and it is translated consistently by a single item in the language of the translation (even if the item is polysemous), we talk of static equivalent selection. In contrast, when the item receives different equivalents depending on the context, we talk of dynamic equivalent selection. In effect, the term static equivalent selection is roughly synonymous with Nida’s formal equivalence of a ‘concordance of terminology’ (Nida 1964: 165). While it would perhaps be more felicitous to rename static equivalents as formal equivalents, note that the corresponding opposite term is missing within this proposal. Another reason for adhering to this nomenclature is that it is applied in Charzyńska-Wójcik and Wójcik (2013) – a study we intend to compare our results with. 88 Magdalena Charzyńska-Wójcik, Rafał Charzyński Bearing in mind that exaudire is rendered by the same equivalent in twenty-nine out of thirty places, the question that is directly related to the subject matter of this paper is whether there are any other contexts among the thirty analysed verses which would show exaudire in a sense which would be compatible with the equivalent given in 4.2b. If 4.2b is the only such place, then we will be justiied in drawing a preliminary conclusion that Malermi’s equivalents are selected on a dynamic basis. If, however, there are more contexts in which the semantic content of exaudire is the same as in 4.2b, then we have to conclude that Malermi’s strategy of equivalent selection is static, with 4.2b representing an exception, possibly deriving from a French intermediary, alluded to in Section 2 above. An examination of all thirty verses shows four other contexts in which the sense of exaudire is the same as in 4.2b, i.e. that of ‘accepting the prayer, offering, etc.’. The contexts are: 6.10, 16.1, 38.13 and 39.3, with preghiera as the object in 6.10 and 39.3 and la mia iustitia in 16.1, yet exaudire is translated there with its prototypical equivalent, as shown below: (6) 39.3 Egli ha exaudito le mie he has heard the my ‘He heard my prayers.’ preghiere: prayers Speculations aside, there is at least one place in which the choice of the same Italian verb as in 4.2b would be more than expected, had Malermi applied a dynamic strategy of equivalent selection, namely in 38.13, where the same object follows the verb: (7) 38.13 Exaudi signor la mia oratione hear Lord the my prayer ‘Hear my prayer, Lord!’ In spite of that, exaudire is translated by its prototypical equivalent. This forces us to conclude that Malermi’s equivalent selection was anything but dynamic. This answers our original question and by the same token it forces us to account for the status of 4.2b. If the choice of the different verb in one out of thirty instances does not represent an element of strategy, and since none of the examined Latin Psalters offers any clues as to its being a possible source of this reading, we need to conclude that the admixture, if it does represent an admixture, is of French origin, which would support Berger’s and Foster’s claims concerning the textual history of Italian Psalter translation. Listen to the text 89 4.2 The Martini Bible The numbering of the Martini Bible diverges from that of Sabatier’s, Hetzenauer’s and Weber’s editions so the verse numbers in Table 2 differ slightly from those presented in Table 1. Here, as is natural, we follow Martini’s numbering but the discrepancies between Table 2 and Table 1 do not relect textual differences. In effect, the context listed as 3.5 in Table 1 and that listed as 3.4 in Table 2 refer to the same passage, likewise 4.2a in Table 1 vs. 4.1a in Table 2, etc. The forms of exaudire extracted from Sabatier’s, Hetzenauer’s and Weber’s editions are to be found in the verse numbers as presented in Table 1 above. No Sabatier 1751 Martini 1785 Hetzenauer 1914 Weber 1969 Martini 1785 3.4 exaudivit esaudì 4.1a exaudivit (me) esaudimmi 4.1b exaudi esaudisci 4.3 exaudiet esaudirà 5.3 exaudies esaudirai 6.8 exaudivit esaudita 6.9 exaudivit esaudite 9.37 exaudivit esaudito 12.4 exaudi (me) esaudiscimi 16.1 exaudi esaudisci 16.6a exaudisti esaudisti 16.6b exaudi ascolta 17.6 exaudivit esaudì 17.41 exaudivit esaudì 19.1 exaudiat esaudisca 19.6 exaudiet esaudirà 19.9 exaudi esaudisci 21.2 exaudies esaudirai 21.24 exaudivit esaudì Magdalena Charzyńska-Wójcik, Rafał Charzyński 90 26.7a exaudi esaudisci 26.7b exaudi (me) esaudiscimi 27.2 exaudi esaudisci 27.6 exaudivit esaudito 30.22 exaudisti esaudisti 33.4 exaudivit esaudì 33.6 exaudivit esaudì 33.17 exaudivit esaudì 37.15 exaudies esaudirai 38.12 exaudi esaudisci 39.2 exaudivit esaudì Table 2. The Gallicanum and the Martini Bible – exaudire Similarly to the data presented in Table 1, the irst observation that strikes us is how uniform the equivalents are. The prototypical equivalent of the Latin exaudire in Martini’s Bible is esaudire, which is a descendant of the Latin verb and also of its prototypical equivalent from Malermi’s text. (8) 19.9 a. Latin Domine, salvum me fac regem: & exaudi nos in die, qua invocaverimus te. b. Italian Signore, salva il re ed esaudisci la nostra orazione Lord save the king and hear the our prayer nel dì in cui ti invochiamo. in day in which you we-invoke ‘Lord, make the king secure, and hear us on the day we invoke You!’ However, as was the case with Malermi, here as well one equivalent stands out – this time in 16.6b: Listen to the text 91 (9) 16.6 a. Latin Ego clamavi, quoniam exaudisti me Deus: inclina aurem tuam mihi, & exaudi verba mea. b. Italian Io alzaì, o Dio, le mie grida, perchè tu mi esaudisti: I raised oh God the my crying because you me heard porgi a me la tua orecchia, give to me the your ear e ascolta le mie parole. and hear the my words ‘I called because You, God, heard me. Incline Your ear to me and hear my words!’ It might be argued that the different choice of equivalent is to be accounted for by the fact that there are two instances of exaudire in the same verse, so Martini’s choice of ascoltare was meant to avoid repetition. However, this motivation cannot be sustained, as evidenced by the fact that exaudire also appears twice in the same verse in 4.1 and 26.7 and there the same Italian verb is repeated: (10) 26.7 a. Latin Exaudi, Domine, vocem meam, qua clamavi ad te: miserere mei, & exaudi me. b. Italian Esausisci, o Signore, la voce mia, hear oh Lord the voice my colla quale ti ho invocato: with which you I-have invoked abbi misericodia di me, ed esaudiscimi. have mercy on me and hear-me ‘Hear my voice, Lord, by which I cried out! Have mercy on me and hear me!’ The same applies to other verbs which appear twice in the same verse, see for example 28.5, where both occurrences of coningere ‘to break down, shatter, destroy’ are translated by the same verb: 92 Magdalena Charzyńska-Wójcik, Rafał Charzyński (11) 28.5 a. Latin Vox Domini confringentis cedros: & confriget Dominus cedros Libani. b. Italian La voce del Signore, che spezza i cedri: the voice of-the Lord, which breaks the cedars: e il Signore spezzerà i cedri del Libano. and the Lord will-break the cedars of Lebanon ‘The Lord’s voice is shattering cedars. The Lord smashes Lebanon’s cedars.’ There are many more such instances, cf. for example 37.11, where the verb stare appears twice and is translated in both places with the same Italian verb; in 34.23, where dicere is translated in both instances by the same Italian equivalent; likewise in 45.9 – both instances of exaltare are rendered by the same item. Thus the possibility that the different choice observed in 16.6b is motivated by the avoidance of repetition has to be excluded. Examining the semantics of the context in which exaudire is translated as ascoltare takes us back to Martini’s Psalter as it is one of the places which we classiied as potentially suitable for a different equivalent (the same as selected for 4.2b in Malermi’s Psalter). This, however, does not improve our understanding of the odd choice in any way. In view of the fact that the differing uses of exaudire, namely both those meaning ‘to listen attentively to’ and those where it is to be understood as ‘to accept (one’s) prayer/begging’ are rendered by the same equivalents, with only a single exception. These data force us to conclude that the equivalent selection strategy of Martini was no different from that of Malermi: both translators stick to the choice of one stable Italian equivalent for exaudire, though more than one would be both semantically and stylistically desirable. However, while in the case of Malermi’s Bible Psalter, we could ascribe the exceptional choice of equivalent in 4.2b to a French source which yet remains to be identiied, here we do not seem to have an easy solution to offer. Therefore, we are forced to admit that the choice is unexpected and we do not have a plausible explanation at this stage of research. It is hoped, however, that when more of Martini’s choices are studied, a clearer picture will emerge, which will allow us to draw a deinitive conclusion. For the time being, what can be said for sure is that the single exception, while in itself impossible to account for at present, does not preclude us from stating that Martini’s translation technique, at least with respect to the examined data, does not differ from Malermi’s, i.e. they both resort to stable concordance-like equivalents. Listen to the text 93 5. Conclusions We have examined the equivalents of the Latin verb exaudire which appear in two Italian Bible Psalters, i.e. in Malermi’s 1470 translation and in Martini’s rendition executed over three hundred years later in 1785. Despite the time span separating the two texts, the translation strategies appear to have been the same, though the latter translation does not draw on the earlier one: both texts show twenty-nine identical choices, with the single exceptional choice in either text appearing in a similar semantic context, but not converging on the same passages (4.2b in Malermi’s Psalter and 16.6b in Martini’s text). Having seen that the translation strategies of Italian Bible translators did not change over the span of three hundred years, we are now in a position to compare this observation to the situation that obtained in England. The relevant comparative data are available in Charzyńska-Wójcik and Wójcik (2013), who examine equivalents of exaudire (and videre) in Middle and early Modern English translations of Psalms 1–50. The historical translations examined there also cover a span of over three hundred years13 and are based on the Latin text of the Gallicanum. In effect, they constitute very good comparative material, as they offer the same range of contexts for exaudire. The comparison of the examined data reveals no differences in the Latin text beyond the numbering system, so the comparative English historical data cover the same thirty occurrences. The examined Psalters are: Richard Rolle’s mid-fourteenth century rendition and a contemporaneous translation – the Middle English Glossed Prose Psalter. There are also two late fourteenth-century Psalter translations which form part of the irst complete English Bible and its revision. The productions are conventionally associated with John Wycliffe, though at present little doubt remains amongst scholars that Wycliffe was not actually involved. Nevertheless, it has become customary to refer to the two texts as the Early and the Late Version of the Wyclifite Bible. The inal translation covered by the study is the one published in Rheims in 1610 as the second part of the Old Testament translated from the Latin Vulgate and generally known as the Douay-Rheims Bible. Apart from these translations there are no other English translations based on the Vulgate Psalter executed between the late Middle Ages and the early Modern period. The results of the analysis offered by Charzyńska-Wójcik and Wójcik (2013) are consistent with our results. In particular, all four Middle English Psalter translations in all thirty contexts, which, as we have seen above, express slightly 13 In fact, the results of the examination presented there cover a wider time span, with the translations discussed there ranging from the ninth to the seventeenth centuries, but for the purpose of this paper we only comment on the data which are relevant for the comparison. 94 Magdalena Charzyńska-Wójcik, Rafał Charzyński differing senses of the verb exaudire, show stable equivalents, i.e. hēren ‘to hear’. The same strategy is observed in the Douay-Rheims Bible Psalter translated over three hundred years later: all instances of exaudire are uniformly translated by the verb hear. Interestingly, the static (i.e. concordance-like) rather than dynamic (i.e. context-sensitive) equivalent selection strategy goes against the general approach to translation postulated by Jerome, who recommended translating the sense of the sentence rather than of individual words. However, as shown in the quote below, Jerome does not extend this strategy to Bible translation, where a very different, formal approach is advocated. ‘Now I not only admit but freely announce that in translating from the Greek – except of course in the case of Holy Scripture, where even the syntax is a mystery – I render, not word for word, but sense for sense’ (Jerome [395] 1997: 25).14 And it is Jerome’s approach to Biblical translation (and not translation in general) that both the Italian and English early Bible translations comply with. A notable exception among early English translations, as shown in Charzyńska-Wójcik and Wójcik (2013), is King Alfred’s Psalter translation executed in the ninth century, where a contextual, i.e. dynamic rather than static translation strategy is visible. This approach is only sporadically observed in the history of Biblical translation (cf. a fourteenth-century Histoire de la Bible, Psautier et Apocalypse) up to the sixteenth-century, when more free translations begin to characterise reformation texts.15 A more general translation move in that direction is noted only in the twentieth century. The translations examined in this paper, however, were clearly not produced in a cultural context ready to embrace this kind of approach to Biblical translation. Finally, let us note that while the examined data concern only one verb, the results of the examination conirm a tendency to preserve basic vocabulary in the translations of the relevant period. Interestingly, while later English translations continue the same equivalent selection for exaudire (and incidentally for audire ‘to hear, listen’ as well), we note a different tendency in Italian texts, where the single exceptional choice of Martini’s Psalter, ascoltare, is to take over in the function of a prototypical equivalent of exaudire. 14 As shown in Munday (2009) and Newmark (2009), the debate over the superiority of sense-for-sense over word-for-word translations lasted until the twentieth century. 15 Note, for example, a new Latin translation of the Hebrew Psalter of Martin Bucer published in 1529, which was ‘very free’ (Hobbs 1994: 166) and in effect required ‘a few retractions in the second edition’ (Hobbs 1984: 485). Listen to the text 95 Sources Hetzenauer, M. P. (ed.). 1914. Biblia Sacra Vulgatæ editionis sixti V pont. max. Iussu recognita et Clementis VIII auctoritate edita. Ex tribus editionibus clementinis critice descripsit dispositionibus logicis et notis exegeticis illustravit, appendice lectionum hebraicarum et græcarum auxit. Regensburg, Rome: Friderici Pustet and Co. Malermi Bible = 1490. Byblia in vulgar vltimamente impressa ornata intorno de moral postille et igure: et in tutti capituli i lor summarij: et declarationi vtilissime a coloro che desiderano hauer cognitione delle sacre littere: cosa noua mai piu per altri facta. Available at: http://viewer.bodleian.ox.ac.uk/ icv/page.php?book=douce_244&page=1. Martini Bible = 1785. Vecchio Testamento secondo la Volgata tradotto in lingua italiana e con annotazioni dichiarato; Tomo X. che contiene la prima parte de’Salmi. Rome: Filippo Neri and Luigi Vescovi. Available at: http://books. google.pl/books?id=MiWZbBjylIYC&pg=PA123&lpg=PA123&dq=%22ud ire+le+voci+di+laude%22&source=bl&ots=5kmLjRtLBs&sig=LzeXKm67 7mZ_tjTNui8e2Fjkc4M&hl=pl&sa=X&ei=HkykU8zsLJSg7Ab5qoCYDA& ved=0CB8Q6AEwAA#v=onepage&q=%22udire%20le%20voci%20di%20 laude%22&f=false. Sabatier, P. (ed.). 1751. Bibliorum Sacrorum latinæ versiones antique, seu Vetus Italica, et cæteræ quæcunque in codicibus MSS. et antiquorum libris reperiri potuerunt: quæ cum Vulgata Latina, et cum textu Græco comparantur. Accedunt præfationes, observationes, ac notæ, indexque novus ad Vulgatam è regione editam, idemque locupletissimus. Tomus secundus. Paris: Franciscum Didot. Weber, R. (ed.). 1953. Le Psautier Romain et les autres anciens psautiers latins. Rome: Abbey of Saint Jerome. Weber, R. (ed.). 1969. Biblia Sacra iuxta Vulgatam versionem. Stuttgart: Württembergische Bibelanstalt. References Berger, S. 1889. Les Bibles provançales et vaudoises. Romania 18: 353–422. Berger, S. 1890. Nouvelles recherches sur les Bibles provançales et catalanes. Romania 19: 505–561. Berger, S. 1894. La Bible italienne au moyen-âge. Romania 23: 358–431. Caie, G. D. 2008. The manuscript experience: what medieval vernacular manuscripts tell us about authors and texts. In G. D. Caie, and D. Renevey (eds.), Medieval texts in context, 10–27. London, New York: Routledge. 96 Magdalena Charzyńska-Wójcik, Rafał Charzyński Charzyńska-Wójcik, M. 2013. Text and context in Jerome’s Psalters. Prose translations into Old, Middle and Early Modern English. Lublin: Wydawnictwo KUL. Charzyńska-Wójcik, M., and J. Wójcik. 2013. Principles of equivalent selection in English prose translations of Jerome’s Psalters: a study based on exaudire and videre. Roczniki humanistyczne 61(5): 27–45. Coates, A. 2013. Digitization: A Bodleian / Vatican project — Interview with Alan Coates on the Malermi Bible. Video. Available at: http://www.anti-semitism. net/vatican/digitization-a-bodleian-vatican-project-interview-with-alan-coateson-the-malermi-bible-video.php, [08.07.2014]. Crehan, F. J. 1963. The Bible in the Roman Catholic Church from Trent to the present day. In S. L. Greenslade (ed.), Cambridge history of the Bible. Volume 3: The West from the Reformation to the present day, 199–237. Cambridge: Cambridge University Press. Cunyus, J. G. 2009. The audacity of prayer: a fresh translation of the Book of Psalms (Latin-English edition). Glen Rose: Searchlight Press. Douay-Rheims Bible = 1609–1610. The Holie Bible faithfvlly translated into English, ovt of the avthentical Latin diligently conferred with the Hebrew, Greeke, and other editions in diuers languages: with argvments of the bookes, and chapters: annotations: tables: and other helpes, for better vnderstanding of the text: for discouerie of corrvptions in some late translations and for clearing controversies in religion. Volume II. Doway: Lavrence Kellam. Available at: http://archive.org/details/holiebiblefaithf02engl. Early Version = Forshall, J., and F. Madden. (eds.). 1850. The Holy Bible, containing the Old and New Testaments, with the Apocryphal Books, in the earliest English versions made from the Latin Vulgate by John Wycliffe and his followers. Oxford: University Press. Available at: http://quod.lib.umich. edu/cgi/t/text/text-idx?c=cme;cc=cme;view=toc;idno=AFZ9170.0001.001. Foster, K. 1963. Continental versions to c. 1600. Italian. In S. L. Greenslade (ed.), Cambridge history of the Bible. Volume 3: The West from the Reformation to the present day, 110–113. Cambridge: Cambridge University Press. Foster, K. 1969. The vernacular Scriptures. Vernacular Scriptures in Italy. In G. W. H. Lampe (ed.), The Cambridge history of the Bible. Volume 2: The West from the Fathers to the Reformation 452–465. Cambridge: Cambridge University Press. Histoire de la Bible, Psautier et Apocalypse = 1401–1500. MS Bibliothèque Nationale Fonds Française 6260. Available at: http://gallica.bnf.fr/ark:/12148/ btv1b9060447r.r=6260+psautier.langEN. Hobbs, R. G. 1984. How irm a foundation: Martin Bucer’s historical exegesis of the psalms. Church History 53(4): 477–491. Listen to the text 97 Hobbs, R. G. 1994. Martin Bucer and the Englishing of the Psalms: pseudonymity in the service of early English Protestant piety. In D. F. Wright (ed.), Martin Bucer: reforming Church and community, 161–175. Cambridge: Cambridge University Press. Jerome, E. H. [395] 1997. On the best kind of translator. Letter 57 to Pommachius. Translated by P. Caroll in D. Robinson (ed.), Western translation theory: from Herodotus to Nietzsche, 22–30. Manchester: St. Jerome. Late Version = Forshall, J., and F. Madden. (eds.). 1850. The Holy Bible, containing the Old and New Testaments, with the Apocryphal Books, in the earliest English versions made from the Latin Vulgate by John Wycliffe and his followers. Oxford: University Press. Available at: http://quod.lib.umich. edu/cgi/t/text/text-idx?c=cme;cc=cme;view=toc;idno=AFZ9170.0001.001. Middle English Glossed Prose Psalter = Bülbring, K. D. (ed.). 1891. The Earliest Complete English Prose Psalter together with eleven Canticles and a translation of the Athanasian Creed. Edited from the only two MSS. in the libraries of the British Museum and of the Trinity College, Dublin with preface, introduction, notes and glossary. Part I: Preface and Text. London: Kegan Paul, Trench, Trübner and Co. Available at: http://quod.lib.umich.edu/cgi/t/ text/text-idx?c=cme;cc=cme;view=toc;idno=BAA8159.0001.001. Munday, J. 2009. Issues in translation studies. In J. Munday (ed.), The Routledge companion to translation studies, revised edition, 1–19. London, New York: Routledge. Newmark, P. 2009. The linguistic and communicative stages in translation theory. In J. Munday (ed.), The Routledge companion to translation studies, revised edition, 20–35. London, New York: Routledge. Nichols, S. G. 2009. New challenges for new medievalism. Available at: http:// www.academia.edu/5470816/New_Challenges_for_New_Medievalism. Nida, E. A. 1964. Toward a science of translating: with special reference to principles and procedures involved in Bible translating. Leiden: E. J. Brill. Richard Rolle’s Psalter = Bramley, H. R. (ed.). 1884. The Psalter, or Psalms of David and certain canticles with a translation and exposition in English by Richard Rolle of Hampole. Edited from manuscripts. Oxford: Clarendon Press. Available at: http://quod.lib.umich.edu/cgi/t/text/text-idx?c=cme;cc=c me;view=toc;idno=AJF7399.0001.001. The Paris Psalter = 1025–1050. MS Bibliothèque Nationale Fonds Latin 8824. Available at: http://gallica.bnf.fr/ark:/12148/btv1b8451636f/f1.image. r=psalterium%20duplex.langEN. Youngman, G. M. 1908. Hetzenauer’s edition of the Vulgate. The American Journal of Theology 12(4): 627–636. 98 Guohua Zhang A sign of the times 99 A sign of the times – a brief note on voiceless vowels and word-inal devoicing of consonants in emphatic Polish Krzysztof Jaskuła Abstract: Polish voicing phenomena have been extensively described in the phonological literature (Biedrzycki 1978; Bethin 1984; Rubach 1996; Gussmann 2007; Cyran 2013, etc.). However, these authors mainly depict the assimilation processes of voicing and devoicing as well as the word-inal devoicing of consonantal segments. What also appears to be an intriguing trait of Present-day Polish, though, is the presence of silent vowels (Biedrzycki 1975) and the deletion of vocalic segments word-inally. For this reason a few remarks on this phenomenon will be offered in this paper. Certain varieties of Present-day Polish display word-inal elision of vocalic expressions. In standard Polish some words may have two acceptable morphological forms (vowel-inal or consonant-inal) in clearly speciied grammatical cases. In everyday speech the inal vowels are also elided from certain verbal forms. What is portrayed below, though, does not appear to have much to do with morphology or substandard adjustments, but is apparently connected with the emotions of the speakers involved. Speciically, when the speakers apply emphasis to their speech, regular word-inal vowels are realised as voiceless or are elided, which results in expected phonological processes such as the devoicing of word-inal consonants. It is hard to accurately specify in linguistic terms why such a process takes place, but, taking into consideration the common belief that contemporary society has a fast pace of life, it may be assumed, from a sociological perspective, that this is a sign of the times and that such a sound change occurs here and now because it is inevitable, in a way. Key words: silent vowel, word-inal devoicing, palatalisation, emphatic speech, vowel elision 1. Introduction Voicing phenomena in the Polish language have been widely described in the phonological literature (Bethin 1984; Biedrzycki 1978; Cyran 2013; Gussmann 2007; Rubach 1996, etc.). Nonetheless, most of these descriptions refer to the processes of the voicing and devoicing of consonants connected with assimilation and word-inal devoicing. What is also an interesting feature of Present-day Polish, however, is the presence of silent vowels (Biedrzycki 1975) and the word-inal deletion of vocalic segments and this is why a few observations and comments on this phenomenon will be provided below. 100 Krzysztof Jaskuła Word-inal vowel elision is encountered in certain varieties of Present-day Polish. In standard Polish some words have two possible morphological forms (with or without the inal vowels) in clearly determined grammatical cases. In colloquial speech the inal vowels are also dropped from certain verbal forms. What is described below, however, has little to do with morphology or substandard modiications, but apparently a great deal to do with the emotions of the speakers involved. In particular, when the speakers apply emphasis to their speech, regular word-inal vowels become voiceless or are deleted and this elision results in regular phonological processes such as the devoicing of word-inal consonants. It is dificult to linguistically determine exactly why such things happen, but, given that contemporary society is believed to live at a fast pace, we may sociologically assume that this is a sign of the times, that, in a manner of speaking, such a sound change occurs here and now because it has to. As regards the data provided below, these have been gathered from Polish radio and television stations as well as from celebrations of the Mass in 2012 and 2013. The speakers quoted are politicians, journalists, sports commentators, actors and priests.1 The paper is organised as follows. Firstly, regular Polish doubles with and without inal vowels will be presented in Section 2. Secondly, in Section 3 substandard Polish vowel elisions will be shown and exempliied. Thirdly, the emphatic forms in which the inal vowels are dropped or devoiced will be discussed in Section 4. In the remainder of this article a few phonological remarks concerning the issue of both regular and emphatic devoicing will be offered. 2. Standard Polish doubles – genetivus pluralis In standard Polish there are a handful of nouns in which the genitive plural forms have a tendency to luctuate. In particular, both vowel-inal and consonant-inal forms are possible according to most available dictionaries.2 What is worth noting is that in the variants without the inal vowels the consonants terminating the words are invariably palatal, while the lost segment is always the palatalising high front vowel [i. 1 2 The examples presented below in this paper have been collected and selected by myself. This choice is therefore subjective. Mentioning how many dictionaries differ on this issue would be pointless in this day and age because too many dictionaries and wictionaries are available to the common man and their authority may be questioned. 101 A sign of the times (1) a. [latar [latari [kavjar [kavjari [kENgar[kENgari ` [drukar[drukari [kOpal [kOpali [Stol [Stoli b. [bapt [bapti [tOt [tOti latarń/latarni kawiarń/kawiarni księgarń/księgarni drukarń/drukarni kopalń/kopalni sztolń/sztolni babć/babci cioć/cioci ‘lamplight’ ‘café’ ‘bookshop’ ‘printing house’ ‘coal mine’ ‘adit’ ‘granny’ ‘auntie’ What we see above are two groups of nouns in each of which two variants of the genitive plural are acceptable. In the group in (1a) the root of the word always ends with the liquids [r l followed by the palatal nasal [, while in the second group in (1b) the consonant terminating the root is the palatal affricate [t. 3. Substandard Polish inal-vowel elision In substandard Polish we can observe the elision of word-inal vowels in the irst person plural of certain verbs in the present (2a) and future (2b) tenses: (2) STANDARD a. [idE [jEdE [pijE [vjidi [pjiSE [uvji b. [dOjdE [pOpijE [pOuvji idziemy jedziemy pijemy widzimy piszemy mówimy dojdziemy popijemy pomówimy ‘we ‘we ‘we ‘we ‘we ‘we ‘we ‘we ‘we COLLOQUIAL3 go’ [idE idziem drive’ [jEdE jedziem drink’ [pijE pijem see’ [vjidi widzim write’ [pjiSE piszem j talk’ [uv i mówim will get there’ [dOjdE dojdziem will drink’ [pOpijE popijem will talk’ [pOuvji pomówim As we can see, in the substandard irst person plural forms in (2) the inal vowel is always dropped and the stress moves backwards, usually to the initial syllable. It should be emphasised, though, that in these cases there is no risk of confusing the truncated colloquial variants with other verbal forms. Such changes do not ever take place if the colloquial simpliication could result in a shape that is identical with another, already existing form. Thus, the irst person plural verbs 3 In fact, the term ‘colloquial’ is a shortcut here. Words like przejdziem ‘we will cross’ and będziem ‘we will be’ are part of the Polish national anthem and can be treated as forms which belong to the traditional lexicon. 102 Krzysztof Jaskuła szukamy ‘we seek’, jadamy ‘we eat’, pytamy ‘we ask’, gadamy ‘we chat’ and the like are never replaced with szukam, jadam, pytam, gadam, because these latter forms are regular in the irst person singular, even in substandard Polish. 4. Devoiced/deleted inal vowels in emphatic speech The issue of devoicing and, ultimately, deleting word-inal vowels is raised by Biedrzycki (1975, 1978). He claims that such vowels are either voiceless or totally absent in the speech of many Poles. Taking this into consideration, I argue that such a phenomenon is not neutral in terms of emotions. On the contrary, it is triggered by the involvement of the speakers in the things they discuss. Observing people and listening to them, I have noticed that those who speak in public and those who use the language in everyday conversations behave differently as regards the treatment of vocalic endings. In particular, members of the former group tend to assume roles (like actors), they wish to sound digniied and they devoice or drop the inal vowels much more frequently for better auditory effect. Consider the following examples: (3) STANDARD a. [prOSE [prat [rOdat [EtfO [fpOltE b. [OtSvjitE [ZEtSvjitE [litOti [nabOci [EvOntpjE c. [prOSE bardzO [bardzO dObZE [ObOZE [OidrOdz [tf jErdzE [znOvu [barv [dOEba [tOEbO [pjEOndzE proszę z pracy rodacy! męstwo w Polsce oczywiście rzeczywiście litości! na boki nie wątpię proszę bardzo bardzo dobrze o Boże! moi drodzy! twierdzę znowu barwy do nieba to niebo pieniądze ‘please’ ‘from work’ ‘fellow countrymen!’ ‘courage’ ‘in Poland’ ‘of course’ ‘indeed’ ‘mercy!’ ‘from side to side’ ‘I do not doubt’ ‘please, welcome’ ‘very well’ ‘oh, God!’ ‘my dear (VOC.PL)!’ ‘I claim’ ‘again’ ‘colours’ ‘to heaven’ ‘this is heaven’ ‘money’ EMPHATIC [prOS [prat [rOdat [Etf [fpOlt [OtSvjit [ZEtSvjit [litOt [nabOc [EvOntpj [prOS bart [bart dOpS [ObOS [OidrOt [tf jErt [znOf [barf [dOEp [tOEp [pjEOnt 103 A sign of the times d. e. [EOndzE [napravdE [napEvnO [pOruvnO [vOjtSE [dOOjtSzn [pOvjEt [vEbjE [uEbjE [navjEdE [pOpSErvjE [tf jErdi nie sądzę naprawdę na pewno po równo w ojczyźnie do ojczyzny powiedzmy w niebie u siebie na wyjeździe po przerwie twierdzi ‘I don’t think so’ ‘really’ ‘for sure’ ‘equally’ ‘in the homeland’ ‘to the homeland’ ‘let us say’ ‘in heaven’ ‘home (match)’ ‘away (match)’ ‘after the break’ ‘(s)he claims’ [EOnt [napraft [napEfn [pOrufn [vOjtS [dOOjtSn [pOvjEt [vEpj [uEpj [navjEt [pOpSErfj [tf jErt In (3a) the roots of the words end with voiceless consonants followed in the regular forms by non-palatalising vowels and these consonants survive in the truncated emphatic forms as non-palatalised. In (3b) the roots end with voiceless obstruents preceding palatalising vowels and, after the elision of the vocalic endings, the palatalised consonants remain soft. In (3c) the roots are terminated with voiced consonants with regularly following non-palatalised vocalic segments. These consonants, after truncation, surface as voiceless and non-palatalised. In (3d), the roots end with nasals which are devoiced after the vowels are lost. The devoicing results from the fact that sonorants, when preceded by voiceless obstruents, are transparent to devoicing and are regularly realised as devoiced, e.g. [pji pism ‘writing-GEN.PL’. Finally, in (3e) the roots end in voiced palatalised consonants standing in front of the palatalising vowels in the standard forms. When these vowels are dropped, the consonants are devoiced and stay palatalised. Cases like [tfjErdzE twierdzę ‘I claim’ resulting in [tfjErt after truncation in (3c) vs. [tfjErdi twierdzi ‘(s)he claims’ in (3e), whose emphatic form is [tfjErt clearly indicate that palatalisation or its lack remains in the consonant, even if the vowel is voiceless or silent. The same goes for the pair of [vEbjE w niebie ‘in heaven’ vs. [dOEba do nieba ‘to heaven’. It is also worth noting that, if the roots of words end in sonorants, these resonant consonants undergo devoicing when they are against the wall of silence on the right. These examples point to two phonological observations. One is that when the vowels are voiceless or unrealised phonetically, the preceding consonants, surfacing as word-inal, are invariably devoiced, unless they were originally voiceless. The other remark is that (i) if the disappearing vowel is palatalising (soft), the consonant confronted with silence in the emphatic version remains palatalised, and (ii) if the original consonant is followed in the regular form by a non-palatalising vowel, this neutral or hard quality is preserved after vowel deletion. Krzysztof Jaskuła 104 5. Phonological remarks As for the regular doubles in the morphology of Polish described in Section 2 above, no comment is necessary. These are standard forms in which the inal empty nucleus can play the same role as a full vowel. The forms presented in Section 3 are substandard and the inal-vowel deletion has nothing to do with phonology. The examples shown in Section 4, however, deserve some discussion. In terms of Laryngeal Realism (Honeybone 2002), the languages of the world can be classiied as voicing or aspiration sound systems. According to this division, Germanic and Celtic tongues, to name but a few, are viewed as aspiration languages. Polish, along with the other Slavic and Romance phonological systems, is considered to be a voicing language.4 From the viewpoint of Government Phonology (Harris 1994; Kaye, Lowenstamm and Vergnaud 1990, etc.), the feature [+/-voice] is represented by a privative phonological prime called a ‘tone element’. Aspiration languages possess a high tone {H}, while voicing systems are speciied by a low tone {L}. When the process of word-inal devoicing is analysed from the GP perspective, the laryngeal element {L} is normally assumed to be delinked from the structure of a radical voiced consonant. This disassociation results from two theoretical hypotheses. One is that nuclei always license the preceding onsets. The other is that empty nuclei are weaker licensers and, as such, they cannot support the laryngeal element in the onsets they follow. Moreover, it is assumed in Government Phonology that consonants, depending on the phonological system, may be speciied by vocalic features or secondary places of articulation such as velarisation or labialisation, represented by the element {U}, and palatalisation, where the element {I} stands for this privative property.5 In Gussmann (2007), the palatalised consonants (structural onsets) are said to share the element {I} with the following vowels (structural nuclei). As for the vowels themselves, they are also composed of elements. Typically, the corner vowels such as [i, [u and [a are represented by {I}, {U} and {A}, while the mid vowels like [e and [o are represented by combinations of primes, i.e. {A, I} and {A, U}, respectively. Adopting Gussmann’s (2007) line of reasoning, let us assume that the Polish vowels can be elementally represented as follows: 4 5 Cyran (2013) argues that not all Polish dialects follow this black-and-white division. He proposes to recognise Laryngeal Relativism along with Laryngeal Realism. Nonetheless, in this paper we will take the view that Polish is a voicing language for the clarity of discussion. In languages like Irish both velarisation, speciied by {U}, and palatalisation, determined by {I}, are active and distinctive properties (Cyran 1997). Polish is not such a language. Therefore, only the element {I} is perceived as important (see e.g. Gussmann 2007 for details). 105 A sign of the times (4) 6  {I} I}   {U}      {I} I} {U, A} {I,  A}I, A} {A}6  6. An analysis of regular and emphatic devoicing and palatalisation Now, given that palatalisation is most conspicuous in labial consonants, let us see how these regularly behave when followed by palatalising and non-palatalising vowels as well as by empty nuclei. The word [pruba próba ‘attempt’ and a few of its paradigmatic cases will serve as examples. The inal vowels are represented by phonological primes:7 (5) a. b. O 1 N1 O 2 N2 O3 N3 O1 N1 O 2 N2 O3 N3 x x x x x x x x x x x x p p r u b A L  c. d. N3 O1 N1 O 2 N2 O3 N3 x x x x x x x x x x x x r u b I A L [prubjE próbie ‘attempt-DAT.SG’ 7 [prub próby ‘attempts’ O 1 N1 O 2 N2 O3 p 6 L  [pruba próba ‘attempt’ r u b I p r u p L [prup prób ‘attempt-GEN.PL’ It is assumed here that the underlined elements are headed, i.e. they are more important to the structure of a given segment. A detailed presentation of all the elements and their combinations is irrelevant here. In the diagrams in (5) the initial two consonants are represented as a sequence of two onsets. This results from the widely held view that the structure of ONON (Cyran 2010) or CVCV (Scheer 2004) is a universal template. Krzysztof Jaskuła 106 In (5a) the root-inal bilabial stop [b is followed by the neutral (i.e. non-palatalising) central vowel [a. The stop is also voiced, which is represented by the prime {L} linked to the onset (O3) with an association line. In (5b) the same stop also precedes a neutral vowel, this time the front [, and the element {L} is responsible for the voicing of the plosive. In (5c) the inal vowel is the front palatalising [E. According to Gussmann (2007: 67–71), in such cases the palatalising element { } is doubly attached. In particular, it is linked to both the palatalising vowel under (N3) and the preceding palatalised consonant under (O3). As for the element {A}, it is attached only to the nucleus (N3). Also in this form the element {L} is associated with the onset (O3). Finally, in (5d), the inal nucleus (N3) is empty, it has no melody and it is too weak to suficiently support the melody in the preceding onset. Consequently, in GP terms, the onset (O3) is licensed by a weak nucleus and is unable to license the laryngeal element {L} under its own skeletal position. This prime is thus disassociated from the structure and, as a result, the word is realised with the devoiced bilabial stop [p. Summing up, the element {L}, responsible for voicing, can only remain in the structure if it is followed by a nucleus containing primes which represent audible vowels. If the inal nucleus is empty, the laryngeal prime is automatically disassociated from the preceding onset. Moreover, the palatalisation of a non-palatalised consonant is caused by the active element { } which is doubly linked to the onset and the following nucleus. If there is no double attachment, there is no palatalisation either. Bearing these observations in mind, let us now see what happens to wordinal consonants when the inal nuclei are empty. In (6a) an example of regular devoicing is presented again, in (6b) emphatic devoicing is depicted, while in (6c) a case of devoicing in which the consonant remains palatalised after the truncation of a palatalising vowel is shown: (6) a. REGULAR DEVOICING IN POLISH O1 N1 O 2 N2 O1 N1 O 2 N2 x x x x x x x x   d a   t L L [vada/[vat wada/wad ‘fault-NOM.SG/GEN.PL’          107 A sign of the times b. EMPHATIC DEVOICING O1 N 1 O 2 N2 O3 N3 O 1 N1 O 2 N2 O3 N3 x x x x x x x x x x x x   b a r b a r  L L [bardzO/[bart bardzo ‘very’/emphatic c. EMPHATIC DEVOICING AND PALATALISATION O1 N1 O 2 N2 O1 N1 O 2 N2 x x x x x x x x u   b I A L u   p I L [uEbjE/[uEpj u siebie ‘home (match)’/emphatic In the word [vada wada ‘fault’ in (6a) above we can see the element {L} representing the voicedness of the dental stop attached to the onset (O2) with an association line. In the genitive plural [vat wad this element is not linked to the representation with such a line. In GP terms, it is not licensed in that position, as a result of which the word is realised with the devoiced dental stop. In (6b) the standard form [bardzO bardzo ‘very’ also displays the prime {L} under the onset (O3). In the emphatic version, i.e. [bart, this element is disassociated from the representation when the inal vowel is silent and the resulting affricate surfaces as devoiced. Therefore, we can conclude that devoicing in the emphatic version is as predictable as in the cases of regular devoicing depicted in (5d) and (6a). Finally, in (6c) an unexpected thing happens. As we could see in (5c), the palatalisation of a non-palatalised consonant occurs whenever the element { } is doubly attached, i.e. to both the palatalising nucleus and the preceding onset. This Krzysztof Jaskuła 108 is what we can also notice in the standard pronunciation of the phrase [uEbjE in (6c). However, in the emphatic version [uEpj, the expected detachment of the laryngeal prime {L} takes place and yet the element {I} remains under (O2), despite the fact that this vocalic prime is not linked to (N2) any longer. In this respect, then, the behaviour of these word-inal consonants is incompatible with what is found in regular word-inal devoicing phenomena in Polish. As mentioned above, Biedrzycki (1978: 74, 78) observes that sometimes the inal vowels fail to be realised in conversational Present-day Polish. Nevertheless, the contrast provided by the muted vocalic endings which are morphologically valid and meaningful is still rendered by the division into palatalised vs. nonpalatalised consonants. This is why the emphatic variants of forms such as [EbO niebo ‘heaven’ and [EbjE niebie ‘heaven-LOC’, which are [Ep and [Epj, respectively, cannot be confused.8 7. Summary In this paper it has been observed that in emphatic speech Present-day Polish vowels tend to be dropped in the word-inal position. This irregular but fairly consistent deletion results in two other processes. One is the devoicing of the preceding consonant provided it is voiced in its radical shape. In this respect, the devoicing in emphatic speech tallies with that found habitually in standard Polish. More interestingly, the other phenomenon is the palatalisation of the consonant remaining after truncation. Unlike the regular process of devoicing, vowel deletion in emphatic speech leaves a trace of the secondary place of articulation behind. Depending on whether or not the disappearing vowel is palatalised, the remaining consonant displays the property regularly provided by that vocalic segment. Taking into account the present state of research in Government Phonology, where processes depend on phonological contexts, a purely phonetic/sociological and idiosyncratic development which may be termed as ‘emphatic devoicing of word-inal consonants due to the neighbourhood of silent vowels’, which, still, has a phonological burden, needs to be carefully investigated in future. 8 It is also obvious that the context is indicative of the grammatical case. Otherwise, the truncated forms of [EbO niebo ‘heaven’ and [Eba nieba ‘heaven-GEN.SG’, which are both [Ep, would have to remain indistinguishable. A sign of the times 109 References Bethin, C. 1984. Voicing assimilation in Polish. Journal of Slavic Linguistics and Poetics 29: 17–32. Biedrzycki, L. 1975. Samogłoski bezdźwięczne w języku polskim. Logopedia 12: 14–24. Biedrzycki, L. 1978. Fonologia angielskich i polskich rezonantów.Warszawa: PWN. Cyran, E. 1997. Resonance elements in phonology. A study in Munster Irish. Lublin: Folium. Cyran, E. 2010. Complexity scales and licensing in phonology. Berlin: Mouton de Gruyter. Cyran, E. 2013. Polish voicing. Between phonology and phonetics. Lublin: Wydawnictwo KUL. Gussmann, E. 2007. The phonology of Polish. Oxford: Oxford University Press. Harris, J. 1994. English sound structure. Oxford: Blackwell. Honeybone, P. 2002. Germanic obstruent lenition: some mutual implications of theoretical and historical phonology. Ph.D. diss., Newcastle upon Tyne, University of Newcastle upon Tyne. Kaye, J., J. Lowenstamm, and J-R. Vergnaud. 1990. Constituent structure and government in phonology. Phonology 7: 193–231. Rubach, J. 1996. Nonsyllabic analysis of voice assimilation in Polish. Linguistic Inquiry 27: 69–110. Scheer, T. 2004. A lateral theory of phonology. Volume I: What is CVCV, and why should it be? Berlin: Mouton de Gruyter. 110 Magdalena Charzyńska-Wójcik, Rafał Charzyński Assessment as an instrument of change… 111 Assessment as an instrument of change in translator and interpreter education1 Konrad Klimkowski Abstract: Most theories of learning and education focus on change, even though they understand change in many different ways. In this article, we present two main theoretical assumptions relating to the educational conception of change. Firstly, authentic change never results from teaching, but always from learning – which is more effective when facilitated by teachers and peers. Secondly, learners and teachers need to negotiate the parameters of educational change in the classroom. Assessment is this component of classroom interaction that can become an effective tool of educational change management. Yet, to do so, assessment needs to be deined as a communicative activity, which integrates both its summative and formative aspects, and which addresses the relation between the teacher’s assessment and the student’s self-assessment. The translation/interpreting classroom seems to offer favourable conditions for the practical application of the above assumptions, since the main objective is always to focus on the communication activity of translating/ interpreting. The main idea behind our proposal is to promote translator/interpreter education that equips graduates with a whole spectrum of personal resources and that helps them build their careers and achieve personal success, rather than making them merely employable. Key words: translator and interpterer education, summative and formative assessment, self-regulated learning 1. Introduction Assessment is an integral part of any educational project or programme, and it can be understood as obtaining information on the degree of change (in knowledge, skills and behaviour) taking place in the learner, as evoked by classroom activities (and the learner autonomous learning efforts). The two prevalent approaches to assessment, also used in the ield of translator education, are summative and formative.1 The irst type of assessment is predominantly used as a method of conirming whether a particular stage in the learner’s education has been completed, and of determining to what extent they are prepared for the next stage. Thus in this case, the change is expected at the end of some learning cycle, task, etc. Summative assessment can therefore be said to focus on the ‘product’ 1 For more insight into the matter of assessment understood broadly, see e.g. Race et al. (2005). In the ield of translator education, this issue is discussed in works such as Angelelli and Jacobson (2009), Pellat et al. (2010) or Sawyer (2004), to list only the latest contributions. 112 Konrad Klimkowski of the learning process. This product can manifest itself in a number of ways: a translated text, a learner’s sense of satisfaction from completing a task, a sense of being ready for “the next step”, a positive grade, etc. One of the important functions of summative assessment lies in its “certifying” effect: it can open the door to the next stage(s) of education, allow earning a degree or a qualiication, etc. The summative approach is also employed in all sorts of recruitment procedures. In this way, summative assessment can turn out to be a decisive factor in a translator’s career. Conversely, the formative understanding of assessment is deined as concentrating more on the process of learning than on its “certiiable” results. Its main function is to support further growth and learning, rather than to formulate deinitive and “binding” judgements on what the learner is qualiied to do. Formative assessment seems to relate more to how students and teachers manage classroom interaction, and how they exchange feedback information, with less emphasis on the “effectiveness of learning/teaching” understood in summative terms. Although these two types of assessment are juxtaposed due to the functional discrepancies between them, it is perhaps unquestionable that both types are desirable in contemporary translator education (cf. Sawyer 2004). However, the very question of how to integrate the two in the translation classroom is far less obvious, even though we know that this integrated assessment can bring advantages to the students, teachers and other stakeholders of the educational process (cf. e.g. Gouadec 2007; Kelly 2005; Vienne 2000). The objective of this article is to prove the need for an integrated approach to assessment in translator education, to determine the obstacles that hinder this integration and to propose a model that shows a potential way of integrating summative and formative thinking about assessment in translator education. 2. Summative assessment – critical appraisal The ideas underlying the educational use of summative assessment have been outlined briely above, along with the main advantages it offers. In this section, we would like to point out problems that relate to this type of assessment. Let us make it clear to the reader at this point that our critical stance on how summative assessment is frequently conceptualised and used should not be read as an attempt to undermine its role in (translator) education. Instead, it must be kept in mind that we aim at integrating the different styles of assessment, as pointed out above. Although we have deined summative assessment as indispensable in translator education, it can bring about a series of fundamental problems for (translator) education. In our view, the major problem with summative assessment is Assessment as an instrument of change… 113 epistemological in nature. Our own experience and observations concerning the use of summative assessment in educational practice lead us to the conclusion that the evaluators seem to subscribe – overtly or not – to the epistemological claim that human knowledge is measurable, and that the degree of its development can be assessed by means of ‘objectivised’ measurement procedures. A corollary of this stance is the assumption that one person is able to reliably and accurately (‘objectively’) use the tools of effective assessment to evaluate another person’s knowledge, competences or skills. The major epistemological law of the approach discussed above is that it sees human knowledge as capable of ‘existing’ in some ideal ‘form’ (expertise, competence), which is as if taken out of the human brain. An objective and reliable approach to learning is, therefore, to build an idealised model of this knowledge (cf. Chomsky’s concept of ‘ideal speaker-listener’). This epistemological stance translates onto the methodological claim: knowing the model should help us build the system of instruction through which the behavioural patterns imposed by the model as the desired ones could be ampliied. These ideas are – more or less explicit – manifestations of a scientistic, positivistic and objectivistic idea of learning and education, where – to put it in a nutshell – teachers use procedures to instruct students, and where assessment is a measure of how productive the whole process is. It is this underlying educational philosophy, and not the fact of using summative assessment per se, which is subject to our criticism in this article. For the purpose of this paper, we use the notion of transmissionism and transmissionist assessment to denote an approach to summative assessment as deined above.2 Approaches to translator or, more speciically, to interpreter education that seem to rely on transmissionist epistemology can be found among early studies in interpreting process research.3 It was generally assumed under this approach that when it becomes possible to establish a portfolio of features that are distinctive for an expert interpreter, these features could be ‘taught’ to the interpreters-tobe. A conceptually simple and objective model of assessment was a corollary of the above: developing the desired behaviours is assessed positively, and the undesired ones negatively. Fortunately, the need to modify this perspective on 2 3 For further discussion and criticism of transmissionism in the translation classroom, see e.g. González Davies (2004), Kiraly (2000) or Nord (1996). Let us also emphasise that in our formulation, transmissionism is not only a methodological stance (the use of transmission as method), but an epistemological one (people learn through knowledge transmission). Another concept that we will also employ in this context is that of instruction and instructionism. The reason for having this concept is that it offers a speciic proiling of transmissionism as perceived from the position of the transmissionist teacher, whose function is to instruct. For a detailed survey of seminal contributions to the ield, see Pöchhacker and Shlesinger (2002). 114 Konrad Klimkowski interpreter education and assessment was noted by at least some representatives of this research current. Sonja Tirkkonen-Condit (2005) observes that: The days are gone when we believed that there are certain behavioural patterns that are necessary to achieve success in translation. We know by now that time factors, access to translation aids, leisured production, or professional routines do not account for success. (…) One of the main indings from the research based on think aloud data, and from process research at large, is that it is dangerous to make sweeping generalizations about translation processes. There is wide individual variation in the processes of novices as well as those of skilled professionals. It has turned out, for example, that professional status does not necessarily guarantee high-quality performance, and conversely, that novices’ performance may manifest features of expertise. Tirkkonen-Condit (2005: 405 f.) Of course, Tirkkonen-Condit’s (2005) critical appraisal does not imply the collapse of cognitive, process-oriented research. In fact, what is overtly criticised in this piece is the objectivist stance. It is also signalled in the paper that Tirkkonen-Condit’s (2005) model is focused on the interpreter skills in monitoring and self-awareness, which represents a non-objectivist view of how people learn to interpret. It also seems to mark a departure from the transmissionist way of thinking about interpreter education. The second impediment of transmissionist summative assessment – as deined above – manifests itself through the roles it assigns to the protagonists of the translation classroom: the students and the teachers. If assessment is objective, reliable and accurate, and if it operates on objectively measurable knowledge by means of comparing the knowledge of the instructed to the ideal model, the interaction between the student and the teacher becomes absolutely irrelevant for education. The student becomes a client of a university oficial – instructor – responsible for the execution of instruction and veriication procedures with the ultimate goal of conirming the completion of the instruction process. The studentteacher interaction is reduced to a unidirectional low of information, since it is taken for granted that the teacher is the source of knowledge used in instruction. At the end of the transfer process, the teacher veriies that the student ‘acquired, accumulated, absorbed or internalised’ the desired truths, or that they failed to do so. 3. Proposals for an alternative approach to assessment in translator education The alternative approach to assessment in translator education proposed in this article rests on the principle that assessment is an integral part of learning and Assessment as an instrument of change… 115 teaching (facilitating learning), and not a testing procedure concerning knowledge ‘accumulation’ or competence development. In other words, assessment is primarily part of learning, and should only secondarily be seen as a consequence of it. Our proposal is built predominantly on the ideas of two researchers. Firstly, on the anthropocentric theory of human languages proposed by Franciszek Grucza (see e.g. Grucza 1997, 2009). The ideas proposed by Grucza will serve as the epistemological foundation for our approach to assessment in translator education. Secondly, we rely to a signiicant extent on the model developed by Barbara MoserMercer (2008), who uses performance psychology as a conceptual environment in which she seeks effective didactic strategies for holistic interpreter education. Although in its early stages Grucza’s theory mostly focused on the issue of the status of language as the subject of scientiic analysis, his two works mentioned above extrapolate his language-related thought onto the wider plane of human cognition. Grucza gives his theory the attribute anthropocentric, as he insists that knowledge is (re-)constructed individually by human beings, or to be precise, by individual human brains. Although, metaphorically, we often talk about knowledge transfer or exchange - also in the educational context – epistemologically speaking, there can be no transfer of knowledge between individual human brains (unless we assume that such abilities of the human brain are still to be scientiically discovered): Knowledge and languages share their nature: no one can directly transfer his or her knowledge to anyone else, nor can anyone assimilate anyone else’s knowledge. Everyone has to create or recreate (reconstruct) his or her knowledge on their own. Grucza (1997: 15; translation mine – K.K.) Grucza’s (1997) viewpoint should not be read as solipsistic: the anthropocentric nature of knowledge construction does not contradict the fact that what we learn, how we do it and for what purposes hugely depends on social interaction. Grucza subscribes to the view that humans use textual communication to stimulate others and to involve them in all sorts of communicative behaviours, including ‘translatorial action’ (cf. Holz-Mänttäri 1984; Schäffner 2001): Without realizing these facts [i.e. the anthropocentric nature of languages and knowledge – K.K.] it is dificult to understand (…) how extremely complex the phenomenon of “human communicating” is; why oftentimes it is dificult for people to ind “common language”, even though they try as hard as they can. Consequently, without this realization the task of streamlining human communication efforts (…) also becomes almost unattainable. Grucza (1997: 15; translation mine – K.K) 116 Konrad Klimkowski If we are ready to accept Grucza’s stance as tenable, we also need to realise the serious and radical consequences it has for the way in which we can conceive of the events taking place in didactic environments. The irst consequence of Grucza’s epistemology is the necessity to reject teaching or instruction as epistemologically untenable: since no one can pass their knowledge onto anybody else, how can they instruct anyone? The anthropocentric, constructivist view of education is that of learning, but not of instruction. However, as learning is motivated by personal and social factors, purposes and contexts, the role of the teacher as the person supporting this complex matrix of learning processes is indispensable, as is the role of collaborative classroom activities (cf. Kiraly 2000). It is our opinion that for the majority of readers, the above epistemological stance is both clear and relatively uncontroversial. Nonetheless, the change that this approach heralds for traditional educational environments is enormous. In fact, it means a serious reconstruction of our understanding of how the translation classroom can be designed. For one thing, anthropocentric epistemology forces us to refute the idea of instruction through the teacher’s execution of procedures so that content is ‘passed’ on students, ‘internalised’ and retrieved on demand during a certiication/examination process. Learning and teaching involves real people and their interaction, and it is their presence and interaction that must be deemed paramount in education. This interaction is no longer governed by the container metaphor, where the teachers ill learners with ready-made knowledge, but where they construct environments for the students’ own exploration of the world inside and outside the university. It is vital to note that the idea we propose is not studentcentred, and in fact it rejects any ‘centre-periphery’ educational metaphor. Both students and teachers are key igures, with no one being central or peripheral in the classroom. What is more, in this educational conception, the teacher is also a learner! Secondly, the consequence of the approach to the (translation) classroom sketched above is a change in the role and methods of assessment. If learning is anthropocentric in nature, the main function of educational assessment must also be ultimately anthropocentric. Hence, any kind of assessment employed within the framework of educational interaction must be oriented towards building the learner’s (and the teacher’s) own system of self-relection and self-evaluation, so that they are able to monitor their knowledge, skills and performance (cf. the monitor model by Tirkkonen-Condit 2005, as mentioned above). This claim is anchored in the very nature of human cognition, with assessment being part of the regular processes employed by our brains to deal with (constructed) reality (cf. Grucza 2009). This is how the relationship between learning and assessment is described by Moser-Mercer (2008): Assessment as an instrument of change… 117 When faced with the learning task, self-regulated learners typically do the following: (1) they begin by analysing the task and interpreting task requirements in terms of their current knowledge and beliefs (see the parallel to the cognitive stage of expertise development identiied by Anderson 1995); (2) they set task-speciic goals, which they use as a basis for selecting, adapting, and possibly inventing strategies that will help them accomplish their objectives (see the parallel to the associative stage identiied by Anderson 1995); (3) after implementing strategies, they monitor their progress towards goals, thereby generating internal feedback about the success of their efforts; (4) they adjust their strategies and efforts based on their perception of ongoing process (see the parallel to the beginnings of the automated stage of expertise development identiied by Anderson 1995); and (5) they use motivational strategies to keep themselves on task when they become discouraged or encounter dificulties. Moser-Mercer (2008: 15) It must be observed that the particular stages of knowledge building by a selfregulated learner are marked with assessment activities – as marked by the bold type in the quotation from Moser-Mercer (2008). Juxtaposing the task against one’s skill level is an assessment activity, as is the monitoring of one’s progress and results. The pre-task analysis of one’s skills is crucial in terms of motivation and engagement in task completion. If the student fails to positively assess his/ her resources for task realisation, he/she is very likely to either abandon the task, or to get only moderately involved. The post-task monitoring of one’s actions is equally fundamental, particularly because it is source of ‘internal feedback’ about the actions, with its rational and affective load. This internal feedback helps the interpreter focus on his efforts and reduce stress in crisis situations. This is how Moser-Mercer (2008) sees the role of assessment in the self-regulated learning process: Learners thus regulate their own learning by observing what they are able to do, then comparing what they have observed to a standard they have been offered either by way of expert modelling, tutor modelling, or other means of scaffolding (...), and making judgements about the quality of their performance, in order to inally make plans regarding what to do next. Moser-Mercer (2008: 15) If this is so, the assessment expressed by the teacher needs to be understood as a source of quality feedback information. The students need to learn to use it to develop their own system of self-regulation (as quoted above). In view of the above, building the skills of self-assessment – as part of a broader programme 118 Konrad Klimkowski concerning the learner’s self-regulation – should be deined as strategic in the translation classroom. However, it is worth stressing here that the objectives of self-regulation reach beyond the translation classroom, as well. Self-regulation, as an anthropocentrically developed system of knowledge and skills, paves the way towards quality translation and interpreting. This is because the quality of the work of the self-regulated translator is a result of his or her underlying working methodology, and not his or her efforts to ‘observe rules.’ Quality norms and standards (cf. EN 15038) can be useful tools in translator education and in translation quality assessment on condition that (future) translators develop their own quality mechanisms that match the norms, instead of treating the norms as a source of extrinsic motivation for managing translation performance. The relationship between quality norms and the actual translation quality is parallel to the relationship between the teacher’s assessment and the student’s self-assessment. The norms and teachers can be helpful in developing translation expertise, but they cannot inluence the accumulation of expertise directly – in the transmissionist, positivistic, procedural or objectivistic sense. Summing up, we have been trying to show that in order to build an integrated model of assessment in translator education, we need to reconsider the fundamentals of learning. We have presented a critical analysis of the underlying, epistemological, principles of summative assessment in its transmissionist implementation. Our approach to assessment is deeply rooted in the anthropocentric idea of knowledge (re)construction as the only epistemologically viable approach to learning. Under this view, assessment is an integral part of each learning process, since our brains need to constantly (re-) analyse newly acquired information against the background of their past experiences. This analysis (assessment) can lead to the reconstruction (change) of one’s knowledge, which translates further onto changed strategies of problem solving and acting. This self-regulatory mechanism needs to be facilitated through educational processes. One of the major beneits of the approach to assessment in translator education proposed in this article is that it has a direct bearing on the translator’s professional performance. The way of understanding learning adopted in this article, assumes that the learner can assess his/her competences (and plan/execute changes in this respect). The reality of the translation profession calls for advanced skills of self-assessment and self-regulation (rule-governed lexibility, fast but reliable decision-making, strategic thinking and acting, coping strategies and actions, etc.). Assessment as an instrument of change… 119 4. The communicative aspect of integrated assessment As can be observed, our proposal for an integrated approach to assessment in translator education is strongly dependent on feedback information. The proposed model assumes that the teacher and the students need to learn to use feedback information as a tool of self-regulation. This approach exhibits the importance of communication skills in the translation classroom. In fact, assessment as conceptualised here takes the form of a communicative act, focused on negotiating information on the particular aspects of the students’ tasks and performance. It needs emphasising that our integrated assessment is neither exclusively summative nor formative, since – irst and foremost – it reorganises the whole understanding of assessment. It is no longer an act or procedure executed by the teacher either to sum up the results, or to support further growth. It becomes a communication activity, where the positive and negative aspects of the students’ translation/interpreting performance are negotiated. Since our proposal to build assessment on negotiation can cause anxiety on the part of the reader, let us elaborate on the issue. Firstly, we must make it clear to the reader that the negotiation in question serves to establish the whole picture behind the students’ translation/interpreting performance. What we mean by negotiating is looking for a bilateral understanding of what really happened – as far as the students’ performance is concerned – why it happened, what, if anything, is to be done about it, and how (cf. Moser-Mercer’s 2008 stages of task realisation, as quoted above). This is how we understand the concept of assessment as being a shared classroom responsibility. Secondly, it is not the grades that are subject to negotiation with students. The summative grading of tasks is always the teacher’s unquestionable responsibility (unless the teacher decides on an alternative solution in this respect). What is important, however, is to give these summative grades as much informative context as possible, so as to make students aware of what they could do as their next step in learning – rather than merely leaving them with a number of points, which often reduces the value of summative assessment to the behavioural level of award or punishment. In what follows, we are trying to bring the idea of integrated assessment as negotiation closer to the reader. Firstly, we concentrate on the idea of feedback information. Secondly, we present a simple case study of negotiating a performance assessment, taken from our own interpreting classroom. The three igures presented below are to illustrate the point we want to make about assessment as an instance of the communicative act, part of which is ‘negotiating the truth’ about the students’ performance. Let us start by illustrating the traditional approach to assessment, as discussed in Section 1 of this article. 120 Konrad Klimkowski Figure 1. Assessment as unidirectional low of information The classical deinition of assessment of any type always signals the need for feedback information on the results. The difference between the summative and formative style of assessment is that the latter is expected to equip students with tools of development (cf. e.g. Race et al. 2005). We can see only one direction of information low – from the teacher to the student – which renders the latter a passive ‘absorber’ of the ‘objective’ evaluation statement from the teacher. Self-assessment is also part of this classroom situation, but it is not a strategic component of classroom interaction, employed by the teacher and the student to improve the learning process. Instead, it takes place as an integral part of the human cognitive process – as discussed above in this article. In this way, selfassessment, as an important component that can improve learning, is ignored. Ignoring self-assessment skills can also give rise to barriers and obstacles to learning, when the feedback information from the teacher is not suficient for the student to build a positive model of their translation and interpreting performance. Figure 2 below presents a model of assessment where the element of teacherstudent interaction has been introduced. In this case, the teacher is able to better understand the situation of the student and make his feedback more effective for the purposes of self-regulation. Assessment as an instrument of change… 121 Figure 2. Introducing the interaction component into assessment The introduction of the bi-lateral process of communication for the purposes of assessment and self-assessment is more than just ‘starting to talk with students about grades’. What we mean here is integrating assessment into a holistic system of classroom communication. This also means sharing assessment, although – as pointed out above – without depriving the teacher of the control function over it.4 Reaching this end is shown graphically in Figure 3. 4 The notion of control in the classroom is perhaps one of the most controversial in contemporary educational debate. On the one hand, approaches promoting students’ autonomy and empowerment suggest teachers’ learning to transfer control over the learning process to the students (cf. González Davies 2004; Kiraly 2000, etc.). On the other hand, researchers such as Grow (1991) argue that autonomy is never achievable through a linear developmental process, which means students may regress, or that they can be autonomous in some domains of knowledge, while choosing to be dependent in others. The view we adopt in this article is that some interplay between student autonomy and teacher control should be worked out, on condition that control always serves the students’ journey towards autonomy, self-regulation, etc. 122 Konrad Klimkowski Figure 3. Communication for self-regulation of students and teachers Figure 3 is intended to illustrate the point about deliberate effort on the part of the teachers and the students to work on giving and accepting feedback as a source of assessment and growth. If a model of assessment and of other types of communication in the classroom is to be truly integrated, the self-assessment and self-regulation efforts must also pertain to the teacher. 5. The translation classroom as task-oriented As observed by Moser-Mercer (2008), self-regulation is a skill that develops in a task-oriented training process. In it, the translator/interpreter: • considers his skills and resources; • translates/interprets a text; • assesses his/her version in relation to what he/she planned to do; • makes a decision as to what to do next with the translatum (correct, append, leave as it is, etc.); • in this way he/she is better prepared for another (cycle, part of a) translation/ interpreting project with improved translation/interpreting solutions, terminological resources, information mining strategies, etc. It can also be inferred from the igures presented above that we posited the communication between the classroom protagonists in the context of their working Assessment as an instrument of change… 123 together on a translation/interpreting task. We would like to present our reasoning behind this solution. Firstly, let us observe that the classroom design inferable from Figures 1–3 introduces a signiicant change, if not transformation (cf. e.g. Mezirow 1991), of the traditional way of thinking about the translation classroom. Figure 4. From transmission towards self-regulation in the translation classroom The left-hand part of Figure 4 presents the transmissionist way of thinking in (translator) education, in which the teacher is the source of knowledge and ‘truth’ (e.g. about which/what translation is proper). Hence, he is solely in charge of the content and methods. Consequently, he is the only authoritative evaluator of the students’ knowledge. The students need nothing else, but listen to the teacher and do what he/she tells them to do. The right-hand part of Figure 4 is to show a departure from the left-hand model towards a model that is strictly dependent on (a) the deinition of the roles of the classroom protagonists, (b) their cooperation in realising a learning objective – a translation/interpreting task. Our proposal to substitute the notion of educational content with the latter concept rests on a number of assumptions. Firstly, it is part of seeing translator education as situated or contextualised, which means the classroom becomes the translator-apprentice workshop and recreates – as much as it is possible – the real life conditions of the translator’s work (cf. e.g. Kelly 2005; Klaudy 1996; Risku 2002; Vienne 2000). Under this view, the subject matter of the translation classes can only rationally be understood as tasks to perform. 124 Konrad Klimkowski Secondly, the notion of task relates to the concept of a speech act understood in terms of human engagement in language and text-mediated actions. In the speech act arrangement, two sides (people) use text-based communication in an intentional and purposeful way (cf. Nord 1997). In this sense, the classroom design we have proposed is meant to be a version of the communicative system into which an element of translating/interpreting is introduced (cf. Żmudzki’s concept of translation task as communicative task, see e.g. Żmudzki 2009: 43): the students and the teachers communicate in order to cooperate, and consequently to manage their bilateral engagement into communicative, translatorial action (cf. Holz-Mänttäri 1984; Schäffner 2001). In this way, the translation classroom becomes a ‘natural’ environment for learning to translate/interpret. Thirdly, our use of the concept of task is conditioned by motivational factors. Evoking intrinsic motivation for learning has always been a problem for transmissionism, which by its nature tends to rely on extrinsic motivation. The task-based approach to the translation classroom helps integrate the extrinsic incentives with the self-regulated system of intrinsic motivation. The use of extrinsic incentives created through the simulation of the reality of the translation profession (e.g. use of deadlines, deinition of responsibilities, summative assessment based on business quality criteria and performed by specialists other than the teacher) can be used to inspire students to use these external signals in building their own systems of intrinsic motivation for further learning and improved performance (cf. the a priori assessment of skill level, as discussed above). Concluding our remarks upon the role of task in translation classroom design, we can say that the task provides the professional, communicative and psychoeducational rationale for the students’ and the teachers’ relationship in the translation classroom. 6. An example of communication-based assessment activities in interpreter education To illustrate how the ideas mentioned above can be put into educational practice, let us present a simple case of our model of communicating with students in an early-stage simultaneous interpreting course. The irst task is to establish a set of ideas that delineate the area of communication in the classroom and serve as benchmarks – points of reference on which the classroom discussion and assessment is based. The ideas we choose for these students are: 1) the decision when to start interpreting, based on criteria related to the particular speaker of the source text, the subject area, pre-research, etc. (cf. Gile’s Assessment as an instrument of change… 125 [1995] 2009: 204 idea of the preventive tactics of Lengthening or shortening the Ear-Voice Span); 2) the effort not to block listening when the brain is occupied with producing the target text; 3) the ‘quality’ of the target text – at this stage rather understood in terms of coherence and cohesion, with only partial emphasis on terminology; 4) sustaining the cyclic nature of interpreting, despite problems (coping). These four ‘benchmarks’ demarcate the area of our discussion with students after each interpreting session. As for 1), the students are encouraged not to follow the rule of ‘the faster you start, the better’, but rather to strategically control the moment when they decide they have a ‘chunk’ that can be the basis for a microtext in the target language. By being encouraged to choose various performance patterns in this respect, students gain various experiences of reacting to the source text (speaker). All the experiences related to this aspect are discussed in the classroom. Benchmark 2) is perhaps the most dificult to learn and practice. We use various additional exercises to help students focus and to enable them to simultaneously speak and listen. The problems with 2) are observably related to performance problems in 3). The students are encouraged to fasten and compact their target texts so as to reduce the cognitive processing load, which often leads to their defocus and a lack of concentration on listening. A lot of in-class debate is devoted to this area, since each student has to identify their own ways of enhancing their target texts. The last benchmark is only used in the very early stages, where students facing interpreting dificulties give up and stop interpreting. The idea is to make them try out the coping tactics approach to interpreting (cf. Gile [1995] 2009), which is often a problem for students whose language training has been based mostly on the criteria of language correctness, and whose approach to performance errors or mistakes is not lexible. They ind it dificult to re-conceptualise their errors in terms of tasks to pursue, and are often blocked by their faulty performance. Thus, the four ‘benchmarks’ described above serve as the basis for communication and cooperation in the classroom. They are intended to create a conceptual network for the teacher and the students to develop a communicative system in order that the students learn to use the benchmarks in their own efforts to enhance their interpreting skills. This conceptual network also facilitates the discussion of assessment-related issues, as integrated in learning – rather than following it. At the same time, it must be noted that the ‘benchmarks’ are not to be understood as objective exponents of interpreting competence, but more as conventional assumptions that allow the formulation of particular in-class tasks and offer a shared communicative environment. 126 Konrad Klimkowski 7. Conclusions Change has always been a pivotal concept in education, since it has been understood as the main purpose of educational activity. However, different theories and schools of education deine change in diverse ways. Some educational theorists and practitioners think of education as a set of behavioural patterns to be mastered by the learner, when instructed by the teacher. They believe in education understood as the teacher’s execution of procedures to force content into the student. The perspective adopted in this article is that educational change always comes from within the learner and the teacher. Learning means deining the need for change, seeking the tools of change and assessing its costs. Teaching means facilitating change by helping the learner to build mechanisms of self-regulation. If the learner and the teacher agree to meet and share their efforts to realise educational tasks, they are very likely to ind themselves on a path to something more than change, to transformation: becoming someone new, someone you choose to become. References Anderson, J. R. 1995. Cognitive psychology and its implications. New York: W. H. Freeman. Angelelli C. V., and H. Jacobson. 2009. Testing and assessment in translation and interpreting studies. A call for dialogue between research and practice. Amsterdam, Philadelphia: John Benjamins Publishing Company. Gile, D. [1995] 2009. Basic concepts and models for interpreter and translator training. Amsterdam, Philadelphia: John Benjamins Publishing Company. González Davies, M. 2004. Multiple voices in the translation classroom. Activities, tasks and projects. Amsterdam, Philadelphia: John Benjamins Publishing Company. Gouadec, D. 2007. Translation as a profession. Amsterdam, Philadelphia: John Benjamins Publishing Company. Grow, R. O. 1991. Teaching learners to be self-directed. Adult Education Quarterly 41: 125–149. Grucza, F. 1997. Języki ludzkie a wyrażenia językowe, wiedza a informacja, mózg a umysł ludzki. In F. Grucza, and M. Dakowska (eds.), Podejścia kognitywne w lingwistyce, translatoryce i glottodydaktyce. Materiały z XX Sympozjum ILS UW i PTLS, 7–21. Warszawa: Wydawnictwo Uniwersytetu Warszawskiego. Grucza, F. 2009. Metanaukowa i metalingwistyczna wizja lingwistyki (stosowanej). Lingwistyka Stosowana. Przegląd. 1: 19–39. Assessment as an instrument of change… 127 Holz-Mänttäri, J. 1984. Translatiorisches Handeln. Theorie und Methode. Ph.D. diss., Helsinki, Suomalainen Tiedeakatemia. Kelly, D. 2005. A handbook for translator trainers. A guide to relective practice. Manchester: St. Jerome. Kiraly, D. 2000. A social constructivist approach to translator education: empowerment from theory to practice. Manchester: St. Jerome. Klaudy, K. 1996. Quality assessment in school vs professional translation. In C. Dollerup, and V. Appel (eds.), Teaching translation and interpreting 3. New Horizons, 197–206. Amsterdam, Philadephia: John Benjamins Publishing Company. Mezirow, J. 1991. Transformative dimensions of adult learning. San Francisco: Jossey-Bass. Moser-Mercer, B. 2008. Skill acquisition in interpreting. A human performance perspective. The Interpreter and Translator Trainer 2(1): 1–28. Nord, C. 1996. Wer nimmt denn mal den ersten Satz? Überlegungen zu neuen Arbeitsformen im Übersetzungsunterricht. In A. Lauer, H. Gerzymish-Arbogast, J. Haller, and E. Steiner (eds.), Translationwissenschaft im Umbruch. Festschrift für Wolfram Wilss, 313–327. Tübingen: Gunter Narr. Nord, C. 1997. Translating as a urposeful activity. Functionalist approaches explained. Manchester: St Jerome. Pellatt, V., K. Grifiths, and S-C. Wu. (eds.). 2010. Teaching and testing interpreting and translating. Bern: Peter Lang. Pöchhacker, F., and M. Shlesinger. (eds.). 2002. Interpreting studies reader. London, New York: Routledge. Race, P., S. Brown, and B. Smith. 2005. 500 tips on assessment. London, New York: Routledge. Risku, H. 2002. Situatedness in translation studies. Cognitive Systems Research 3(3): 523–533. Sawyer, D. 2004. Fundamental aspects of interpreter education: curriculum and assessment. Amsterdam, Philadelphia: John Benjamins Publishing Company. Schäffner, C. 2001. Action (theory of translatorial action). In M. Baker (ed.), Routledge encyclopedia of translation studies, 3–5. London, New York: Routledge. Tirkkonen-Condit, S. 2005. The monitor model revisited: evidence from process research. META: Translator’s Journal 50(2): 405–414. Vienne, J. 2000. Which competences should we teach to future translators and how? In Ch. Schäffner, and B. Adab (eds.), Developing translation competence, 91–100. Amsterdam, Philadelphia: John Benjamins Publishing Company. Żmudzki, J. 2009. Problemy, wyzwania i zadania translatoryki. Lingwistyka Stosowana. Przegląd. 1: 41–60. 128 Krzysztof Jaskuła The latinity of the Wyclifite Psalters 129 The latinity of the Wyclifite Psalters Kinga Lis* Abstract: The objective of the paper is to re-evaluate the claims reiterated in the literature on the Wyclifite Bible concerning the etymological make-up of the text(s). The Wyclifite Bible, or – rather – its two versions, are late 14th-century Middle English renditions from Latin, commonly regarded as either replete with Latinisms or at least heavily dependent on Latin in terms of vocabulary. These claims, however, have thus far not been corroborated by any evidence. The paper will endeavour to ill this gap by means of an analysis that will focus on the nominal layer of a selected portion of the text(s), i.e. the irst ifty Psalms. It will investigate the etymological make-up of each Psalter independently (as they do diverge intermittently) yet always with reference to the Latin source text. This procedure enables one to compare exclusively those lexical items which can be classiied as nominal equivalents in all three versions, i.e. the Latin text and the two Wyclifite Psalters. The choice of nouns for this purpose is important due to the tendency among languages to borrow nouns more frequently than items of any other grammatical category. This phenomenon renders the nominal component of the texts the most suitable to vividly illustrate the extent of the presence of Latinisms in the Wyclifite Psalters. Key words: etymology, Latin, loanword, Psalter, Wyclifite * 1. Introduction The objective of this paper is to re-evaluate the claims reiterated in the literature on Bible translations into English and pertaining to the Wyclifite Bible. The Bible in question is a fourteenth-century rendition, or renditions, as there are two versions of it – the Early and the Late one – of the Latin Vulgate and is connected with the name of John Wycliffe.1 The assertions common in the * 1 I would like to thank Professor Magdalena Charzyńska-Wójcik for her help with and comments on this paper. The name of Wycliffe is usually connected with the rendition(s) although opinions as to the authorship of the translation(s) differ widely. It is nowadays usually accepted that Wycliffe was more of an instigator of the endeavour than an actual translator and thus ‘Wyclifite’ and not ‘Wycliffe’ is frequently employed to suggest that the people responsible for the rendition(s) were Wycliffe’s followers. On the whole, it is now usually maintained that the leading igure in the translation of the Early Version was Nicholas of Hereford (cf. for instance Deanesly 1920; Kenyon [1895] 1903; Knapp 1971; Metzger 2001; Slater 1911), although the rendition is a result of a joint effort (cf. Deanesly 1920: 252, who speaks of ive translators of EV, Dove 2006: 395, speaking of ‘at least ive scribes and revisers’, and Hudson 2011: 303–304). John Purvey, on the other hand, is usually referred to as the (principal) translator of the Later Version (cf. for instance 130 Kinga Lis literature as regards the translation(s) are that the Wyclifite Bible is either replete with Latinisms – ‘Wycliffe and his associates are credited with having introduced over a thousand words of Latin origin into the English language’ (Delisle and Woodsworth 1995: 32) – or at least heavily dependent on Latin in terms of vocabulary, which Norton (2000: 7) phrases in the following manner (cf. also Condit 1882: 64–73; Daniell 2003: 76–80): [Early Version] is highly literal, dependent on the Latin for word order and some of its vocabulary. Only the absence of the Latin prevents it from being an interlinear gloss. The late version shows revision of vocabulary though it remains heavily dependent on the Latin; more signiicantly, there is a cautious movement towards a natural English word order (...). Norton (2000: 7) Although such critical remarks are directed primarily at the Earlier Version of the Wyclifite Bible, which is also perceived to be, among other things, overtly literal, syntactically peculiar and unidiomatic (Bruce 1984; Deanesly 1920: 252; Lambert 2002: 263; Norton 2000: 7; Westcott 1916: 13), the Late Version is, according to some scholars, hardly a signiicant improvement on the former (Daniell 2003: 76–80; Norton 2000: 7). In order to examine the claim about the abundance of Latin-derived vocabulary in the Wyclifite Bible I analysed the nominal component of the irst ifty Psalms of both the Early and the Late Versions (henceforth EV and LV respectively) from the point of view of etymology. The fact that the Psalters of both versions are taken into consideration imparts a new dimension to the study as it grants one the opportunity to observe minute differences in word choice between the two texts as far as nouns are concerned. Moreover, it also provides the means to compare, both numerically and as a percentage, the participation of nouns with different etymologies in each Psalter. Therefore, it allows one not only to verify whether the texts abound in Latinisms but also to determine whether LV employs, as is claimed (Norton 2000: 7), fewer Latinate nouns than EV does. As mentioned above, the study concentrates on nouns exclusively. The choice of focus is motivated by the widely-observed tendency pertaining to the nature Bruce 1984; Deanesly 1920; Forshall and Madden 1850; Hargreaves 1969; Kenyon [1895] 1903; Moulton 1878; Partridge 1973; Westcott 1916). It is worth mentioning that, although admittedly less frequently, John Trevisa is also credited with the translation of either the Early or the Late Version (cf. Fowler 1960 and 1995 for a discussion). For a detailed account of different views on the issue of Wycliffe’s involvement and its extent in the process of translation present in the literature, see Charzyńska-Wójcik (2013). For accounts of the different proposals concerning dating, authorship and similarities between the two versions, cf. for instance Charzyńska-Wójcik (2013), Daniell (2003), and Lis (2014). The latinity of the Wyclifite Psalters 131 of loanwords:2 the majority of interlinguistic borrowings are nominal (Hock and Joseph 2009: 245; Trask [2007] 1996: 27).3 Thus, since there is no other grammatical category as susceptible to borrowing as nouns, it seems reasonable to assume that the results concerning the numerical and percentage participation of Latinate items obtained for this category will, vocabulary-wise, relect the inluence of Latin most explicitly. Taking into consideration the scope of the research, i.e. the irst ifty Psalms in each version, it does not seem to be far-fetched to expect that the pattern of the nominal make-up of the Psalter(s) established on the basis of the analysed portion of the texts is roughly similar for their remainder. Yet, it has to be emphasised that the overall participation of Latinate lexical items in the examined texts would be much lower if other grammatical categories, which are much more resistant to borrowing, were taken into account in the study. I begin the discussion by presenting the methodological approach adopted for the purposes of the study (Section 2) and commenting upon the obstacles encountered in the course of the preparation of the database, which necessitated certain simpliications pertaining to the classiication of lexical items on etymological grounds (Section 3). Only then do I present the data gathered in the research, irst giving an account of the general indings concerning the numerical and percentage participation of words of Old English (OE), Old Norse (ON) and Latinate, i.e. both French and Latin, origin (Section 4) and then discussing in detail the results concerning the subgroupings within the Romance etymological category (Section 5): nouns of Old French (OF) origin (Section 5.1), nouns with mixed Latin and Old French (OF-L) etymology (Section 5.2) and nouns of exclusively Latin (L) provenance (Section 5.3). The analysed nouns themselves are presented only for the inal two of the enumerated subsections due to limitations of space. The inal section (Section 6) summarises all the indings presented in the paper and attempts at formulating conclusions pertaining to the matter of the indebtedness of the lexical layer of the Psalters to Latin. 2 3 Throughout the paper the term loanword is employed as a synonym for (lexical) borrowing. Our understanding of the term loanword is that expressed by Haspelmath (2008: 46), who deines it as a word ‘that is transferred from a donor language to a recipient language’ without further limiting the concept. Therefore, I do not attempt to draw a division between a foreign word (‘non-integrated word from a foreign language’, as cited in Grzega 2003: 26 after Betz 1949 and Duckworth 1977) and a loanword (‘integrated word from a foreign language’ Grzega 2003: 27 after Betz 1949 and Duckworth 1977) since, as pointed out by Grzega (2003: 27), the criteria on which the division should be based (linguistic as opposed to sociolinguistic, or both combined) are not unanimously agreed upon by linguists and even within one strictly deined framework certain items seem to pose dificulties. Grzega (2003: 28), adopting an onomasiological approach, asserts that the distinction between a loanword and a foreign word ‘is of minor importance’. The same stance is also held by McMahon (1994: 204). On the other hand, Romaine (1989: 64–66) lists a number of researchers whose indings stand in striking contrast to that claim. 132 Kinga Lis 2. Methodology 2.1 The textual basis The texts of the irst ifty Psalms of EV and LV, which constituted the basis for the research, are those presented in Charzyńska-Wójcik’s (2013) Text and Context in Jerome’s Psalters. Prose Translations into Old, Middle and Early Modern English after Forshall and Madden’s (1850) edition of the two Bible versions. However, the starting point for the research was the Latin text of the Psalms. Due to the fact that it is impossible to determine which Latin Psalter served as the basis for the translations (Charzyńska-Wójcik 2013: 45–46), I used the Gallican Psalter, or rather Gallican Psalters, edited in Charzyńska-Wójcik (2013). The author’s attention to minute details which nevertheless indicate only minor divergences between the four Latin texts4 allows one to proceed with the study despite the fact that these are not the original Latin texts on which the renditions are based. 2.2 The preparation of the database As stated above, the point of departure was the Latin Psalter. This was motivated by the fact that due to the differences between EV and LV, which are most readily visible at the syntactic level, determining the corresponding lexical items in each text would not have been accurate without making reference to the Latin textual basis of the translations. Therefore, at the outset of the research, I analysed the text of the irst ifty Psalms in the Gallicanum edited by Charzyńska-Wójcik (2013) and I extracted all the nouns. Thus, taking Latin 4 The versions in question are: 1. the Latin text used in The Psalter, or Psalms of David and Certain Canticles with a Translation and Exposition in English by Richard Rolle of Hampole (Bramley 1884), hosted by the Corpus of Middle English Prose and Verse at http://quod.lib. umich.edu/cgi/t/text/text-idx?c=cme;cc=cme;view=toc;idno=AJF7399.0001.001; 2. Hetzenauer’s (1914) Biblia Sacra Vulgatæ Editionis Sixti V Pont. Max. Iussu Recognita et Clementis VIII Auctoritate Edita. Ex Tribus Editionibus Clementinis Critice Descripsit Dispositionibus Logicis et Notis Exegeticis Illustravit, Appendice Lectionum Hebraicarum et Græcarum Auxit hosted by SacredBible.org at http:// www.sacredbible.org/vulgate1914/index.htm; 3. Liber Psalmorum Iuxta Septuaginta Interpretes ab Hieronymo Semel et Iterum Emendatus hosted by Documenta Catholica Omnia at http://www.documentacatholicaomnia.eu/04z/z_0347-0420__Hieronymus__Divina_Bibliotheca_28_Liber_ Psalmorum_Iuxta_Septuaginta_Emendatus__MLT.pdf.html; 4. Biblia Sacra iuxta Vulgatam Versionem (1969) edited by Robert Weber, referred to as the Stuttgart edition. The latinity of the Wyclifite Psalters 133 as the starting point allowed me to exclude from the research all the nouns present in either EV or LV which are not warranted by the Latin source text and stem rather from the procedures necessitated by the process of translation. It is important to state at this point that for the purposes of the study a noun is a lexical item which is not a proper noun5 and which is assigned the label ‘noun’ in Whitaker’s Latin-English, English-Latin dictionary,6 i.e. it is not the function of the lexical item in the text that determines its grammatical category. Each of the extracted Latin nouns was annotated with the verse and Psalm number. The numbering system strictly follows the numbering employed by Charzyńska-Wójcik (2013) for the Gallicanum. All the nouns were sorted alphabetically, which enabled me to group all the occurrences, i.e. individual instantiations in the text, of a given noun under one headword, i.e. the nominative and genitive singular forms as found in Whitaker’s dictionary. In total, 2865 occurrences of 529 different Latin nouns served as the basis for further study. The Latin data were then converted into a table which was subsequently completed with the relevant data from EV and LV. Thus, each Latin noun was juxtaposed with the corresponding nouns from the two English translations. The Middle English (ME) headwords used in the research are those provided by the Middle English Dictionary (henceforth MED).7 For each ME noun the etymological information from the MED and from the Oxford English Dictionary (hereafter OED) was then provided, the two being juxtaposed in separate cells. Also the dates of the irst attestations of individual nouns with the relevant meanings in written records are given in the database but these, as irrelevant for the purposes of this paper, were not taken into consideration here. When the database was complete, all the Latin nouns whose corresponding ME lexical items were not nouns in the light of the information provided in the relevant dictionaries, i.e. the OED and the MED, were excluded. These were instances where Latin nouns were rendered by means of gerunds or adjectives used both generically, e.g. fāderlēs, which is listed only as an adjective, and attributively, i.e. when a Latin noun is expressed by means of a noun premodiied by an adjective, e.g. Latin parvulus, parvuli (‘infancy, 5 6 7 The items which were therefore excluded are the following (whenever an item appears more than once in the text of Psalms 1–50, the number of occurrences is indicated in parentheses): Abraham, Cades, Cherubim, David, Hermonijm /Hermoniim, Iacob (8), Iordan, Israel (7), Iude, Jerusalem, Liban (3), Syon/Sion (10), Tharsis, Tyrus, XP/ Christus (4). Had these nouns been used in the research the total number of analysed lexical items would amount to 2907, representing 544 distinct Latin words. WORDS Latin-to-English & English-to-Latin Dictionary by William Whitaker, which can be accessed at http://ablemedia.com/ctcweb/showcase/wordsonline.html. The Middle English Dictionary is hosted online by Michigan University at http://quod. lib.umich.edu/m/med/. 134 Kinga Lis childhood; small child, infant’) is at times translated as litle children8 in the Psalter of LV. Although gerunds can be regarded as nouns, the fact that they are derived from verbs naturally excludes them from the research, i.e. they represent the etymology of the verbs from which they are derived, which in general, as already stated, are far less prone to borrowing. Moreover, those instances of Latin words which were translated in either of the Psalters by means of two English nouns were excluded from the research as in such cases it is impossible to determine which of them should serve as the basis for the etymological classiication, e.g. salutare, salutaris (‘salvation’) is rendered either by hēlth(e yēver(e or by yēver(e (of the) hēlth(e in EV, whereas for the translation of hircus, hirci (‘hegoat’) LV employs two synonymous ME nouns: gōt and bukke. The cases where a given item was not translated at all or where the verses are missing from the manuscripts were not taken into consideration either. In total, 299 occurrences of Latin nouns had to be excluded from the research, which left 2566 nouns for further analysis. These nouns are grouped under 425 Latin headwords, i.e. there are 425 different Latin nouns whose Middle English renderings are taken into account in the study. 2.3 The basis for the division into etymological groupings adopted in the paper For the purposes of this paper the data are analysed from the perspective of the etymological information provided by the MED and the OED. The nouns are divided into three major categories: OE, ON and Romance. Romance words are further grouped into those of OF origin, those with mixed OF-L etymologies and the ones with a purely L provenance. Where the two dictionaries are not unanimous as regards the etymological information they provide9 I follow the information given in the MED as it deals exclusively with the Middle English period and therefore it is more detailed, especially as regards the meanings of polysemous items, and it also analyses more medieval sources. Thus, the following methodological decisions had to be taken: I. a noun was classiied as OF in origin either when the dictionaries concurred in this respect or when the MED stated that it was of such provenance whereas the OED acknowledged the OF origin of the term but added also some information about its original L etymology: it stated that it was a ‘normal development of’ (‘=’ or ‘:-’), an ‘adaptation of’ (‘ad.’), or, in one case only, an ‘adoption of’ (‘a.’) a Latin word; II. a noun was classiied as mixed OF-L when the MED stated it was both OF 8 9 This phrase comes in the shape in which it is found in LV. The reasons behind the discrepancies are discussed in Section 3. The latinity of the Wyclifite Psalters 135 and L in origin and the OED either concurred with it or only assigned the word an OF etymology, or stated that it was a noun of OF provenance but originally came from Latin (cf. I); III. a noun was classiied as L in origin when at least one of the dictionaries, either of them, claimed that it was the case, despite the etymological information given in the other dictionary. The classiication criteria for the nouns of the third group seem to be incongruent with the adopted methodology and more precisely with the decision to follow the MED rather than the OED when faced with a lack of unanimity between the dictionaries. This lack of consistency on my part is in fact motivated by the general scarcity of Latinate nouns which becomes apparent in Sections 4 and 5. It can however already be stated at this point that there is not a single noun in the database (among the 2566 nouns) that is assigned a L origin unanimously by both dictionaries. This fact alone suggests that it would be more accurate to classify all the nouns from the group of Latin nouns as those of mixed OF-L origin. Yet, for the purposes of the paper, it is necessary to apply a threefold division of Romance lexical items. 3. Problems inherent in the classiication of ME nouns on an etymological basis A great amount of simpliication was called for during the process of dividing the gathered data on etymological grounds. It primarily concerns the OE and Romance groupings. Firstly, I do not differentiate between the words coming from Old English (OE), Late Old English (LOE) and Middle English (ME), treating them as instances of native words, and refer to them in the paper, for the sake of clarity, as words of Old English (OE) origin. What is more, all the words originating in the different dialects of Old English are considered to be instances of Old English, these are: West Saxon (WS), Old Kentish (OK), Kentish (K), Anglian (A), Mercian (Merc.) and Northumbrian [Nhb.]. Such a decision was motivated by the fact that taking into account all the detailed information concerning native items would hinder any attempt at providing a clear-cut classiication. What is more, the items for which the dictionaries establish mixed OE-ON or mixed OE-OF-L etymologies are also all regarded as native nouns. This was done on the basis of the assumption that the words which already functioned in the English lexicon in the OE period alongside the truly native items and underwent the same morphological and phonological processes may indeed be treated as native in the language (Barber et al. [1993] 2009: 159; Campbell 1959: 208; van Gelderen 2006: 94–95). Nevertheless, the number of such etymologically-mixed nouns is provided in each case. 136 Kinga Lis One more methodological decision pertaining to the native nouns needs to be expounded here. It stems from the sacral character of the texts which served as the basis for the research: Psalms, being religious in nature, make frequent references to God, which renders the number of native words employed in the Psalter’s translations far higher than it would be otherwise. One could be tempted to exclude the ME nouns corresponding to the Latin nouns Deus, Dei (‘God (Christian text); god; divine essence/being, supreme being; statue of god;’), dius, dii (‘god’) and dominus, domini (‘owner, lord, master; the Lord; title for ecclesiastics/gentlemen’). Yet, such an approach would not relect the above-mentioned sacral character of the text, without which in fact no such study would even be possible as it was and is precisely this religious aspect that urged and urges people to translate the Psalter constantly anew. The only solution that allows one to take into account both these diverging but equally important reservations, i.e. the extraordinary profusion of references to God on the one hand and the religious nature of the text on the other, is to provide, as is done in this paper, two alternative analyses alongside each other and to allow them to speak for themselves. Thus, two approaches to the data are offered, one excluding the nouns corresponding to Deus, Dei, dius, dii and dominus, domini and the other inclusive of all the gathered data. This decision, although pertaining primarily to native nouns, affects in fact all the data as the percentage participation of items of a given origin hinges on the number of occurrences of all the analysed words. As far as the nouns of a broadly understood Romance origin are concerned, the problems with classiication are far more numerous and far more complex. As already mentioned, these items are divided into L, OF and mixed OF-L in origin, with OF being in fact a cover term used for the purposes of the research for a variety of types of French: Old French (OF), Central French (CF), Old Northern French (ONF, known also as Old Norman) and Anglo-French (AF).10 On the one hand, such a classiication is an oversimpliication, but on the other, it represents 10 Old French was a Romance language spoken in what is approximately the northern half of modern France in the period between the 9th and 14th centuries. This periodisation, as stated by Huchon (2002: 53), relects the generally accepted opinion that the 14th and 15th centuries should already be referred to as the period of Middle French, based on the assumption that the twofold declension system was a prominent characteristic of Old French but was already absent from the French of the 14th and 15th centuries. Old French was never a homogenous entity but rather a dialect continuum and one of the varieties subsumed under it was Old Northern French or Old Norman spoken on the territory of Normandy, from where the invaders of 1066 arrived. Central French, on the other hand, is a later creation, which originated in the region of Ile-de-France in the 12th century as a result of the unifying inluence of Paris, whose importance as a royal, administrative and intellectual centre increased with time (Chaurand [1969] 2011: 28; Huchon 2002: 60–61). For Anglo-French, see the following footnote. The latinity of the Wyclifite Psalters 137 an attempt at establishing something that cannot be determined on the basis of the etymological information provided in the MED and the OED. To begin with the former, employing the label ‘Old French’ in relation to items borrowed from all the varieties of French mentioned above is an obvious simpliication, especially in the light of the fact that it is impossible to talk about loanwords from French in the Middle English period without making reference to Anglo-Norman/Anglo-French.11 Therefore, it could be argued that a study of Romance borrowings into ME should differentiate at least between Continental and Insular French, even when one wants to dispense with entering into any discussion of the dialectal divisions within the body of Continental French. Reasonable as it sounds, it is in fact, perhaps surprisingly, far beyond the scope of this research. To explain this one needs to take into account the complex linguistic situation obtaining in medieval England and the relations between the languages in use there (Middle English, Anglo-Norman/Anglo-French and (Anglo-)Latin) and Continental French. 11 There is widespread confusion as far as the two terms are concerned, with different authors using them interchangeably, whereas, as argued by Rothwell (2011) in the introduction to the online Anglo-Norman Dictionary, the two should not be confused. The label ‘Anglo-Norman’ denotes the language regarded as ‘the regional dialect of the Norman invaders who came across the Channel with William the Conqueror’. AngloFrench, on the other hand, conveys the idea of the heterogeneity of both the army who came with William the Conqueror and of the people who spoke this variety of French on English soil, though not exclusively (cf. for instance Trotter 1997 for Anglo-French in Gascony), in the following centuries. Usually, the former term is applied to the French of England, which is yet another term suggested by both Rothwell (2011) and Wogan-Browne (2009: 1), spoken from the time of the conquest till the 14th century and the latter is reserved for the French in use in England in the 14th and 15th centuries (Wogan-Browne 2009: 1). The confusion between French and Norman in today’s terminology pertaining to the language in use in medieval England, however, neatly correlates with the situation in that period. It might be of interest to learn that in the minds of the English at the time of the conquest, the Normans were French. The term Franci was conspicuously frequently employed by the English to denote the newcomers since normenn, ‘north man’, was at the time a collective term pertaining to Vikings or Norse (Thomas 2003: 33–34). Also, despite the fact that a strong sense of identity was already well-developed in Normandy at the time of the conquest, the term French was even applied to the invaders in one of the Norman chronicles in the 11th century due to the diversity of William the Conqueror’s army (Thomas 2003: 32–45). Furthermore, even at that time, French ‘could also refer to all the people under the French king’s nominal command or to any people (...) who associated themselves with the earlier Franks. [It also had an] inclusive sense which could be stretched to incorporate the Normans as French speakers and inhabitants of the French kingdom’ (Thomas 2003: 33). Thus, the confusion in the linguistic terminology relects the medieval, English perception of the invaders, which perhaps renders any attempts at clearly separating the two slightly anachronistic. 138 Kinga Lis Anglo-Norman/Anglo-French is nowadays a subject of signiicant interest among scholars but until quite recently it was almost unanimously regarded as a degenerate form of French (Rothwell 1973, 1999, 2001a)12 and not worth the attention of serious scholarship.13 In the 1960’s articles by Rothwell started to appear in which he defended the French of England and accorded it the status of an independent language. As Rothwell proved in his publications, which in turn drew the attention of other scholars to Anglo-Norman/Anglo-French, this extremely neglected variety of French is the ‘missing link’ in the history of the English language (Rothwell 1991), without which any attempts at ascertaining the etymological provenance of words of broadly understood Romance origin are doomed to failure: without 12 One should not overlook the fact that this animosity towards Anglo-Norman/AngloFrench was not shared by all scholars, a notable exception being Tanquerey (1915: v). 13 What is worth emphasising at this point is the fact that it is anachronistic to speak of any standard in the French language at the time of the Norman Conquest. Note, however, that its existence is presupposed in the claims purporting that the French of England strays from Continental French. It was only at the beginning of the 14th century that the process of the standardisation of French began (Rothwell 2006; Trotter 2003a, 2003b, 2006). Furthermore, as argued by Rothwell (1985) and Trotter (1997), the Insular and Continental varieties of French were more similar than they were dissimilar and the purportedly yawning gap between the two is exaggerated: the differences between them did not constitute a barrier to understanding. The reiterated claims about the waywardness of Anglo-French are partially motivated by the fact that it was a common practice for the historians of French to compare administrative, functional texts set down in Anglo-French with literary works composed on the Continent, which are bound to unduly overemphasise what divergences between the two there might be (Trotter 2003a). What also seems to be overlooked quite frequently is the fact that the majority of the infringements on grammatical rules for which Anglo-French works are severely criticised can readily be found in the texts compiled on the Continent as well (Trotter 2003b: 430). With respect to the standardisation and linguistic situation in France, it has to be stated that the dialect of Ile-de-France became with time the standard language but even before it took on the role of the standard it was usual from the time when ‘strong literary tradition began to develop in the Ile-de-France’ to compare all dialects of French with francien (Rothwell 1985: 40–41), i.e. the variety of French in use in Paris and its environs. Thus, ‘disparagement and unfavourable comparison’ (Rothwell 1985: 40) with the dialect of the Paris region were not conined to Anglo-French/Anglo-Norman. Writers using other varieties of French in their works or simply born in other parts of France but using francien tended to ‘apologise’ to their readers for their uncouth language, however well it imitated Paris French (Rothwell 1985: 41). This imitation of the language of Paris and condemnation of other dialects led to the gradual disappearance of dialectal varieties of French on the Continent in the 13th and following centuries (Rothwell 1985: 46). The fate of Anglo-French was completely different: far from disappearing it ‘blossomed into a language of civilisation’ (Rothwell 1985: 46). That it came to differ more and more signiicantly from Continental French is a relection of the natural tendency present in all languages for the dialects to diverge unless controlled by centralising forces (Rothwell 1985: 40). In fact, it is claimed that Anglo-French is more progressive than Continental French both as far as syntax and morphology are concerned (Kunstmann 2009). The latinity of the Wyclifite Psalters 139 the necessary semantic information from all three languages used in England in the pertinent period (i.e. (Anglo-)Latin, Anglo-French and Middle English) it is impossible to determine the etymology of lexical items, the morpho-phonological shape of a word being an insuficient clue due to the lack of standard spelling conventions in medieval England and extreme mixing of the relevant languages (Jefferson and Rothwell 1997; Rothwell 1973, 1991, 1992, 1993, 1994, 1998a, 1998b, 1999, 2000a, 2000b, 2006, 2007, 2010). What follows from the above discussion is that to enable one to assign a particular language of origin to a given lexical item, all the terms of Romance origin would need to be carefully scrutinised and their detailed phonological, morphological, but most of all semantic, history would need to be traced from the times of Classical Latin till the turn of the 14th and 15th centuries, which is, as mentioned, far beyond the scope of this research. Nevertheless, the approach adopted in the paper allows me to point to France, in the broadest possible sense of the term, as the source of the relevant borrowings among those analysed in the study, levelling all the differences enumerated above and presenting a straightforward, be it simpliied, picture, which would otherwise be far less clear-cut. Clearly, the situation is complex enough even when limited to English soil. When Continental French enters the equation, the interrelations between all the languages are still more dificult to deine. Rothwell has proved in numerous articles that it is at times unnecessary to make recourse to Continental French in an attempt to establish the etymology of certain items (e.g. Rothwell 1992, 2001b, 2006), even though this is a procedure adopted frequently by the MED and the OED. Rothwell (2001b: 198–199) argues that the later inluence of Continental French, Central French, should not be exaggerated. He states that postulating that ‘the presence of royal French wives in the fourteenth century and the inlux of many French nobles after their defeat at Poitiers’ could have contributed to the wholesale change in the language used for administrative, legal and other professional purposes, i.e. written language, ‘is to confuse the roles of the spoken and written forms of language’: it could have, at most, affected the speaking practices at the English royal court and those closely connected to it. Yet, as long as it has not been ascertained that a word existed at a given point in time in Anglo-Norman/Anglo-French, it is impossible to rule out the possibility of it originating on the Continent. At times, the reverse might be the case (Trotter 2003a: 6). All these problems, which seem to be insurmountable at present, are relected in the conspicuous lack of unanimity between the OED and the MED as far as the etymologies of nouns of broadly understood Romance origin are concerned. Additionally, ive other factors need to be taken into consideration when analysing the discrepancies in the etymological information provided in the dictionaries in question: 140 Kinga Lis the two dictionaries differ in their scope: the MED’s interest lies in the ME period exclusively, whereas the OED, covering as it does attestations of given lexical items from the OE period onwards, with the exception of ‘all the words that had become obsolete by 1150’ (OED), might not have examined the same number of ME texts; II. there were no standard spelling conventions in the relevant period in either France or England, which renders distinguishing between these varieties of French on orthographic grounds not very reliable; III. many among the preserved writings in French have not been analysed as yet (Rothwell 1980, 2000a) and even fewer had been analysed before the dictionaries were compiled; thus, the fact that a certain word does not seem to have existed in, for instance, CF according to the examined sources does not necessarily mean it was absent from the dialect (Trotter 2003a: 6) but may simply relect the fact that it is not attested in the sources analysed before the time of the compilation of the OED and the MED; IV. similarly, the fact that a given word seems not to have existed in one or more of the varieties of French may be induced by different survival rates for manuscripts created at different periods or simply by their scarcity in a given period; V. inally, the types of sources that have so far been edited and analysed differ for Continental and Insular French (Trotter 2003a: 4), which means that certain items, e.g. items of vocabulary typical rather of administrative registers, might seem to be absent from Continental texts due to the fact that the historians of French have focused on literary records, neglecting the vast lexical resources preserved in functional writings (Trotter 2003a: 4). The deiciencies of the two dictionaries as far as the etymologies of words of broadly understood Romance origin are concerned have been frequently mentioned by Rothwell (e.g. 1980, 2006, 2007, 2010), who emphasises the need to analyse more of the available source texts in both Insular and Continental French. Taking all this into account, it would seem reasonable to consult the dictionaries of AngloNorman and Old French to establish whether the words in question are listed in them with the given senses for the relevant period(s). Yet, simple as that might seem, it is not a viable enterprise. The Anglo-Norman Dictionary, whose General Editor is Rothwell himself, does not provide the dates of the irst attestations in written records with relevant meanings.14 Dictionnaire de l’ancienne langue française et de tous ses dialectes du IXème au XVème siècle does provide them but only sporadically. Moreover, it has been severely criticised by Rothwell (1980) for focusing almost exclusively on literary sources, presenting late irst quotations as I. 14 The Anglo-Norman Dictionary is hosted online by The Anglo-Norman On-line Hub at http://www.anglo-norman.net/. The latinity of the Wyclifite Psalters 141 well as for providing citations from both Insular and Continental French without acknowledging the fact.15 Admittedly, Le Grand Robert de la Langue Française could also have been consulted to establish whether given words were present at a given time in Old French but the dictionary is not completely consistent as far as providing the dates of irst attestations in written records for each of the senses is concerned. Additionally, as the compilers expound in the Preface, usually centuries are referred to in the dictionary as establishing the dates of the irst written attestations of given words is a task riddled with uncertainty, especially when it is to be done for such a remote epoch, which itself has not been thoroughly investigated. Also, since this is a dictionary of contemporary French, there might be certain words which have gone out of use and therefore are not listed there, e.g. the OF alien ‘outsider, stranger’ is not listed in the dictionary but later borrowings based on the same stem such aliéné ‘insane person’ are to be found there. A dictionary that does provide the dates of the irst written attestations is the Dictionnaire du Moyen Français,16 which, however, as the name indicates, deals exclusively with the Middle French period (1330–1500) and would be of a very limited, if indeed any, use in the present study. As mentioned above, the division of nouns of Romance origin into those with L, OF and mixed OF-L etymologies is on the one hand a simpliication on my part, as explained with respect to the OF component, but on the other hand it is an endeavour to establish what is in fact indeterminable: in numerous cases it is impossible to determine based on the etymological information provided in the MED and the OED whether a word originated in L or OF. Thus, it was necessary to create a separate etymological grouping for such words – the category of mixed OF-L nouns. That in many cases one cannot draw a decisive division between items of OF and L provenance (cf. Burnley 1992: 432–439 and Burrow and Turville-Petre [1992] 2011: 17–18) stems from the close relatedness of French to Latin. As a result of this afinity items borrowed from French are in the majority of cases inevitably of Latin origin. Therefore, it often cannot be claimed with certainty that a given item was not borrowed from Latin or to refute a claim that it was borrowed from Latin not from French but via the mediation of the French language (indirect borrowing) since, as Burnley (1992: 433) states, ‘[it] is not especially surprising when for generations Latin had been taught in England through the medium of French’. Additionally, the processes of phonological and morphological adaptation which operate on borrowings rendered the differences between L and OF loanwords in English even less perceptible, blurring the boundaries between the two languages, which were already similar enough vocabulary-wise. The differentiation is further 15 Dictionnaire de l’ancienne langue française et de tous ses dialectes du IXème au XVème siècle is available online at http://micmap.org/dicfro/home/dictionnaire-godefroy. 16 Dictionnaire du Moyen Français is available online at http://www.atilf.fr/dmf/. 142 Kinga Lis precluded in the light of the fact that I do not distinguish, as explained above, between varieties of French. To this complex web of interrelated problems a new dimension has to be added which takes into consideration the linguistic processes operating in the French language: words of Latin origin could be subjected to phonological adaptation to a greater or lesser extent, allowing some items to preserve certain morphophonological features typical of Latin. Items which are not contained in the body of the words that have been present in the language from the beginning, especially those that were borrowed or re-borrowed quite late, are more likely to relect their Latin origin. What is more, specialists in the history of French distinguish between the so-called mots savants (‘learned words’), words related to broadly understood ‘culture’, which tend to enter the language only slightly altered, and other borrowings, which adapt to the phonological and morphological structures of the target language, i.e. French (Reinheimer-Rîpeanu 2004), and which, therefore, when borrowed into English can be more easily identiied as unquestionably French. Although the phenomenon of borrowing mots savants is usually referred to in the literature in relation to the 14th century, it was not non-existent in the previous, 9th-12th centuries (Rey et al. 2007: 235–237). Throughout that time it was accompanied by a process of relatinisation of the words already assimilated into the French language (Rey et al. 2007: 241). Having thus discussed the methodology and the problems inherent in this type of classiication of etymological data, I will now proceed to discuss the results obtained in the course of the research. 4. The data – general discussion As already stated, in the course of the research 2566 nouns in each of the two Psalters, i.e. EV and LV, were examined from the etymological perspective. The number of analysed items is signiicantly lower in the analysis of the data which excludes the nouns corresponding to the occurrences of Latin Deus, Dei, dius, dii and dominus, domini: the total number of nouns under discussion amounts then to 2099. The numerical and percentage data pertaining to each etymological grouping are provided in Table 1 below (after Lis 2014). The table presents the data for EV and LV disjointly due to the differences between the two texts with respect to their choice of nouns. The two approaches mentioned above are given side by side, which facilitates the appreciation of the inluence of the abundance of nouns referring to God on the etymological make-up of the Psalters. It has to be admitted that the differences illustrated by the juxtaposition of the two interpretations of the data are most readily discernible with respect to native nouns and borrowings from OF and L. The latinity of the Wyclifite Psalters OF and Latin ON SUM purely OE OE LV OE-OFLatin OE-ON sum OF and Latin ON SUM 1,95% 2,38% 64 (55) 2,49% 3,05% 1951 1484 76,03% 70,70% (1786) (1321) 604 (512) 23,54% 28,78% 11 (10) 0,43% 0,52% 2566 2099 100% 100% 1835 (1683) 1368 (1218) 55 (48) 71,51% 65,17% 2,14% 2,62% 71 (55) 2,77% 3,38% 1961 1480 76,42% 71,18% (1786) (1321) 594 (512) 23,15% 28,30% 11 (10) 0,43% 0,52% 2566 2099 100% 100% without Deus, Dei, dius, dii and dominus, domini 65,27% 21819 216 53,96% 53,73% 21 5,20% 5,22% 249 10 247 2,48% 61,63% 2,49% 61,44% 403 148 6 401 36,63% 1,49% 100% 36,82% 1,49% 100% 218 216 55,19% 54,96% 24 6,08% 6,11% 11 251 2,78% 64,05% 2,80% 63,87% 136 6 34,43% 1,52% 34,61% 1,53% 393 100% 100% 253 395 Table 1. Nouns in the irst ifty Psalms of EV and LV17 18 without Deus, Dei, dius, dii and dominus, domini 71,59% with Deus, Dei, dius, dii and dominus, domini EV OE-OFLatin OE-ON sum 1370 (1218) 50 (48) Percentage participation in all headwords without Deus, Dei, dius, dii and dominus, domini OE 1837 (1683)18 with Deus, Dei, dius, dii and dominus, domini purely OE Percentage No of participation in headwords17 all occurrences without Deus, Dei, dius, dii and dominus, domini Psalter with Deus, Dei, dius, dii and dominus, domini without Deus, Dei, dius, dii and dominus, domini Category with Deus, Dei, dius, dii and dominus, domini No of occurrences 143 19 17 Henceforth, whenever I employ the term headwords, I refer, unless stated otherwise, to the ME headwords as only they shall be pertinent to the discussion hereafter. Moreover, taking into account the classiication employed in the paper which hinges on the etymology of ME items, the number of Latin headwords that appear in each etymological grouping would no longer be indicative of the actual number of all Latin headwords. This is due to the fact that a single Latin noun can be translated into English by means of numerous ME lexical items, which may or may not differ in their etymology and thus, e.g. Latin confusio, confusionis (‘mingling, mixture, union; confusion, confounding, disorder; trouble; blushing, shame’) can be found both in the part of the database which is devoted to items of OE origin (shāme, shendship(e) and in the one that focuses on nominal items of OF and L provenance (confūsiŏun). The reverse cases, i.e. a single ME noun translating multiple Latin items, are also to be found, e.g. ME wikkednes(se is employed to translate both Latin iniquitas, iniquitatis (‘unfairness, inequality, unevenness (of terrain)’) and nequitia, nequitiae (‘wickedness; idleness; negligence; worthlessness; evil ways’). 18 The numbers in parentheses indicate the number of occurrences shared by EV and LV. 19 It needs to be stated at this point that the number of shared headwords cannot be given as there are some headwords whose certain occurrences are attested in parallel verses of EV and LV but other are attested in a given verse exclusively in either of them. Thus, 144 Kinga Lis The above data are now converted into charts, in which only three major etymological groups are distinguished for the sake of transparency. Also, due to the limitations of space, the charts are provided only for the analysis inclusive of the occurrences of Deus, Dei, dius, dii and dominus, domini. OE; 1951; 76% ON; 11; 0% OE; 249; 62% OF and L; 604; 24% Chart 1. EV: Nouns in the irst ifty Psalms – occurrences – division into 3 major categories; with Deus, Dei, dius, dii and dominus, domini OE; 1961; 76% ON; 11; 1% ON; 6; 1% OF and L; 148; 37% Chart 2. EV: Nouns in the irst ifty Psalms – headwords – division into 3 major categories; with Deus, Dei, dius, dii and dominus, domini OE; 253; 64% OF and L; 594; 23% Chart 3. LV: Nouns in the irst ifty Psalms – occurrences – division into 3 major categories; with Deus, Dei, dius, dii and dominus, domini ON; 6; 2% OF and L; 136; 34% Chart 4. LV: Nouns in the irst ifty Psalms – headwords – division into 3 major categories; with Deus, Dei, dius, dii and dominus, domini As easily discernible, native nouns constitute the majority of all the nouns analysed for the irst ifty Psalms of EV and LV both as far as occurrences and headwords are concerned: 76,03% of all the analysed nouns in EV and 76,42% in LV (70,70% and 71,18% respectively in the analysis exclusive of the occurrences corresponding to Latin Deus, Dei, dius, dii and dominus, domini) are of native origin. This summing the number of headwords attested in both texts in parallel verses and those attested in the given verses exclusively in either of them would yield a higher total number of headwords than the number of the actually attested distinct headwords. The latinity of the Wyclifite Psalters 145 indicates that the discrepancies in the etymological make-up between the two Psalters are not signiicant as far as nouns of OE origin are concerned. Similarly, the differences between them do not seem to be substantial in reference to borrowings from OF and L (23,54% in EV as opposed to 23,15% in LV when Deus, Dei, dius, dii and dominus, domini are included in the analysis and 28,78% and 28,30% respectively when they are excluded). Interestingly, the results obtained for loanwords from ON are exactly the same for EV and LV (0,43% under the former interpretation and 0,52% under the latter). Such an insigniicant number of loanwords from ON might be surprising but is in fact easily accountable for by the fact that the percentage participation of words with ON etymology in a given text hinges on the geographical location at which the text was created, i.e. the frequency with which they appear in different works relects the geographic distribution pattern of such borrowings. Northern dialects are expected to contain more ON loanwords since, as stated by Burnley (1992: 421–422), ‘the intensity of the inluence of Norse on the vocabulary is more marked in the areas of heaviest settlement. Northern texts generally have more borrowings than those of southern or western origin’. Ringe and Eska (2013: 74) are not so circumspect and unhesitatingly assert that ‘the Middle English (ME) dialects of those areas, from the beginning of their attestation, exhibit massive Norse inluence’. Thus, since neither EV nor LV originated in the north of England, neither of them exhibits the strong inluence of ON. The fact that nouns of OF and L origin constitute almost a quarter of all the nouns recorded in the irst ifty Psalms of both EV and LV seems to be of paramount importance in the light of the assertions concerning extensive use of Latinisms, which are made in relation to these renditions. If a signiicant portion of them does come from Latin, then the claims presented in the literature on Bible translations into English may indeed be corroborated. Therefore, in the following section the borrowings of broadly understood Romance origin are, as expounded in Section 1, further subdivided into items of OF, mixed OF-L and L provenance – a division which provides the means to either substantiate or to refute the assertions. 5. The data – nouns of OF and L origin The primary focus of this section are nouns of OF and L origin. The majority of items that are to be discussed in this section are employed in both Psalters to render the same occurrences of Latin nouns and thus can be treated jointly for EV and LV. Yet, since there are also quite a few nouns in the Latin text which have been rendered in a given verse by means of different ME nouns in EV and LV, 146 Kinga Lis it is necessary to discuss such cases independently for each Psalter. Thus, each of the subsections is further divided into parts devoted to nouns shared between the two texts, those attested in given verses solely in EV and those that are used to translate a given occurrence of a Latin noun exclusively in LV. In order for the data presented beneath to be informative for the reader, it is necessary to provide at this point the total number of nouns of Latinate origin in the Psalters. Thus, in total there are 594 occurrences of nouns of broadly understood Romance origin in the irst ifty Psalms of LV, whereas the relevant igure for EV equals 604. As far as headwords are concerned, the numbers are 136 and 148 respectively. It is in relation to these numbers that the data below are presented. Nouns of OF provenance are discussed irst. 5.1 Nouns of OF origin Among the nouns of Romance origin, by far the most numerous are those with OF etymology. Their pervasiveness in EV and LV can be accounted for by numerous interrelated issues, delving into which is far beyond the scope of this paper. Therefore, I limit myself to discussing them only very briely. Two phases of borrowing from French into English in the Middle Ages are usually distinguished: 1066–1250 and 1250–1500 (van Gelderen 2006: 99), with the latter being responsible for about 40% of all French loanwords in the English language (Baugh and Cable 1978: 178) and the former contributing roughly 900 words (Kastovsky 2006: 249). According to some estimates, as many as 10.000 words of different grammatical categories entered the English lexicon in the ME period (cf. Baugh and Cable 1978: 176; van Gelderen 2006: 99; Katamba 1994: 208), about 75% of which are still present in the language (Baugh and Cable 1978: 176). Normally, two major reasons inducing the phenomenon of borrowing are given in the literature (Campbell [1998] 2004: 64–65; Crowley 1996: 152–158; Hock 1991: 408–411; Hock and Joseph 2009: 258–262; McMahon 1994: 200–202).20 Firstly, the need to refer to some thus far unknown object or phenomenon may force speakers of one language to borrow from another, especially if the speakers of the other language excel in areas from which vocabulary is lacking in the target 20 Campbell ([1998] 2004: 65) postulates the existence of a third category ‘much rarer (and much less important)’: a category of borrowings induced by negative assessment, ‘the adoption of foreign word to be derogatory’. Katamba (1994: 194–198) adds yet a different category, referred to as ‘identity’, which subsumes borrowings that issue from the speakers’ perception of themselves and the way they intend to be perceived. Grzega (2003: 23) lists no fewer than 15 factors inducing lexical borrowing, which can be found in the literature on borrowings. The latinity of the Wyclifite Psalters 147 language. The other reason is ‘prestige’, i.e. loanwords from languages speakers of the target language consider prestigious are more likely to occur. Rothwell (1979, 1980), however, states unhesitatingly that ‘prestige’ and ‘deiciency’ theories are far from presenting the factual image of the linguistic situation in medieval England. According to him, the reason for borrowing from OF was bilingualism, which rendered the two languages inseparable in the minds of the speakers of the higher ranks of society, thus making it inevitable that words be borrowed in both directions and creating what may be perceived to be a common lexicon shared by the two, or perhaps even three, languages, i.e. English, (Anglo-)French/ (Anglo-)Norman and (Anglo-)Latin. Rothwell’s claim about bilingualism being the vehicle for borrowing seems to concur with Weinreich’s (1952: 81–82) indings as presented by Romaine (1989: 66): ‘bilinguals (...) are the locus of most intensive contact by virtue of their ‘unpatterned’ use of the two languages’. Thus, the pervasiveness of French borrowings is obviously accounted for in some degree by the Norman Conquest. However, the exact extent of its inluence is the subject of an on-going debate. Freeborn (1998: 96) claims that it resulted in the ‘absorption of hundreds of French words into English’; Rothwell (1991: 173) states that it ‘deeply affected the vocabulary of English (...) but the precise nature of that transformation has so far been only imperfectly examined and its implications for the study of English etymology only partially understood’. Kibbee (1991: 3), on the other hand, states that ‘[c]ontrary to the accounts of later medieval chroniclers, the Conquest itself seems to have had little direct inluence on the status of the vernacular languages in England’. He provides other reasons for the elevated status of French in the centuries following 1066, yet what follows from the assertion quoted above is that the extensive borrowing from Romance languages was not a direct result of the Norman Conquest. Whether as a result of bilingualism among the upper ranks of society or only due to the perceived prestige of the French language, the fact remains that thousands of words were borrowed into English. These words, however, are not distributed evenly across the lexicon: there are certain areas in which they are to be especially expected. Therefore, high percentage participation of Latinate lexical items in the two Psalters can be also ascribed to their subject matter since, as stated by Burnley (1992: 431), it is another factor determining the extent of the impact of borrowed vocabulary on the etymological layer of writings: just as courtly literature is bound to employ French-derived lexical items more frequently than other texts as its origins are closely related to French, so are translations of religious texts likely to abound in words of Latinate, but not necessarily Latin, origin as the major source of Christian terminology was Latin. In other words, due to their religious character, Psalms are liable to contain numerous words of Romance origin as Latin was the language of the Church. 148 Kinga Lis Moreover, a line should be drawn between the texts composed in English and those translated into English since the phenomenon of reinforcement shapes the latter to some degree and undoubtedly inluences their etymological make-up (Burnley 1992: 431). Thus, the number of occurrences of nouns with Romance provenance in EV and LV is probably to some extent induced by the Latin Psalter(s) they rendered. Not without signiicance is the geographical location at which the texts were compiled. The concentration of French, as well as Latin, since the two cannot be clearly differentiated, loanwords tends to be greater in southern works (Burnley 1992: 431) partly due to the fact that the majority of French speakers inhabited the southern and eastern parts of the country (Blake 1996: 108), and, as stated by Rothwell (1983: 258–259), their diffusion hinged on the distance from the centre of government and culture. Therefore, more loanwords of L and OF origin are expected in southern works such as EV and LV, which were composed in Oxford or its proximity.21 Last but not least among the factors motivating high percentage participation of Latinate elements in EV and LV as presented in this paper is the very subject of the study. As stated in the Introduction, the decision to focus on nouns in order to examine the degree of OF and Latin inluence upon the two renditions of the Psalter was not accidental. It was motivated by the fact that ‘[m]ore than 70 per cent of Romance borrowing into English is of nouns (Dekeyser 1986)’ (Burnley 1992: 431). Therefore, with no other grammatical category being so susceptible to borrowing (Hock and Joseph 2009: 245; Townend [2006] 2012: 91–92; Trask [2007] 1996: 27), the obvious choice was to focus on nouns. Yet, due to my concentration on this part of speech, the ratio of loanwords is necessarily greater than it would have been had other grammatical categories been included in the research, a fact which should not be overlooked. 5.1.1 Nouns of OF origin shared by EV and LV There are 512 occurrences of 113 different nouns of OF and L origin which are employed in parallel verses in the two Psalters under discussion. As many as 354 are, in accordance with the methodology adopted in the research, of OF origin and they represent 70 distinct ME headwords. Such a high proportion of occurrences to the number of headwords suggests that the majority of them are employed repeatedly in the analysed texts. As far as the number of occurrences is concerned, the nouns in question constitute 69,14% of all Romance nouns shared 21 Cf. for instance Deanesly (1951: 3) and Hudson (2011: 310–316). The latinity of the Wyclifite Psalters 149 by EV and LV. With respect to headwords, the percentage participation of nouns with OF etymologies equals 61,95%. 5.1.2 Nouns of OF origin attested in the given verses exclusively in EV Another 59 occurrences of nouns of OF provenance, representing 26 headwords, are to be found in the given verses exclusively in EV. In reference to the number of occurrences, they make up 64,13% of all Romance nouns (92) attested in the relevant verses solely in EV, whereas when the number of headwords is analysed, they constitute 59,1% of 44 such headwords, which implies that these are nouns with a high frequency of usage, as mentioned above. In total, i.e. when the igures from Sections 5.1.1 and 5.1.2 are combined, there are 413 nouns, representing 90 distinct headwords with OF etymologies in EV. In relation to all the nouns of Latinate origin in EV they constitute 68,38% in terms of occurrences (out of 604) and 60,81% when it comes to headwords (out of 148). 5.1.3 Nouns of OF origin attested in the given verses exclusively in LV LV is remarkably similar in terms of the number of occurrences and headwords of nouns with OF etymologies attested in the given verses exclusively in that Psalter: there are 55 instantiations of 24 such nouns. In percentage terms it means that the former make up 67,07% of 82 nominal occurrences of Romance origin attested only in LV to translate the relevant instantiations of Latin items and the latter 70,59% of 34 such headwords. When these numbers are combined with the number of nouns of OF provenance shared by the two Psalters, the total number of OF nouns in LV amounts to 409 occurrences of 87 distinct headwords, which in percentage terms means that 68,86% of the occurrences (out of 594) and 63,97% of the headwords (out of 136) of all the Latinate items examined in the study of LV represent OF etymology. 5.2 Nouns of mixed OF-L origin22 Given that the vast majority of Latinate nouns in EV and LV are of OF origin, it is interesting to learn that the second most numerous group among them are nouns which cannot be neatly classiied as either of exclusively OF or exclusively 22 150 Kinga Lis L provenance, i.e. items of mixed OF-L origin. The existence of such a group and the number of items that need to be assigned to it stem directly from the methodological approach employed in the research but this in turn is motivated by the multi-faceted and interrelated dificulties discussed in Section 3. This and the following sections differ from the previous one in that they present the relevant parts of the database created in the course of the research, i.e. the nouns which served as the basis for the study are given in tables in the respective sections. As was the case in Section 5.1, I begin by discussing the nouns employed to render given occurrences of Latin items in both Psalters. 5.2.1 Nouns of mixed OF-L origin shared by EV and LV As mentioned above, the group of nouns of mixed OF-L provenance is quite numerous: it counts 140 occurrences of nouns shared by EV and LV, all of which are presented in Table 2 below. The items in question represent 38 distinct headwords, which entails their being employed less frequently than the nouns of ‘purely’ OF origin. The nouns with this etymology account for 27,34% of the occurrences and 33,63% of the headwords of Romance origin attested in parallel verses of EV and LV. No Verses Latin EV and LV HEADWORD MED āliēn L aliēnus & OF alien a. OFr. alien, allien:—L. (from āliēn adj) aliēn-us OED 1. 48.10 alienus, alieni 2. 38.15 aranea, araneae arain(e OF araigne, iraigne & L arānea a. OF. araigne (aragne, iragne, iraigne) 3. 44.2 calamus, calami penne L penna & OF pene, penne, paine ME. a. OF. penne (pene, pan(n)e) = It. penna:—L. penna 4. 3.7; 9.4; 34.26; 42.1 causa, causae cause OF cause & L causa a. F. cause (= Pr., Sp., It. causa), ad. L. causa, caussa. 5. 39.21 confusio, confusionis confūsiŏun L & OF ME. a. OF. confusion:—L. confūsiōn-em 6. 20.3 corona, coronae corŏune OF corone, corune, curune & L corōna ME. croun(e, earlier crun(e, a. AF. coroune:—L. corōna 1 The latinity of the Wyclifite Psalters 7. 15.10; 29.11 corruptio, corruptionis 8. 28.7; 28.7 9. facies, faciei 1.5; 9.3; 9.27; 9.34; 12.1; 16.10; 17.10; 7.46; 21.25; 23.6; 26.13[2]22; 26.14; 29.9; 30.20; 30.25; 30.28; 33.5; 34.6; 7.3[2]; 37.5; 41.2; 43.17; 43.18; 43.26; 49.22; 50.10; 50.12 desertum, deserti 151 corrupciŏun L & OF a. F. corruption, ad. L. corruptiōn-em dēsert ML dēsertum & OF desert a. OF. desert, ad. eccl. L. dēsertum fāce OF face; L faciēs, ML facia a. Fr. face:— popular Lat. facia a. OF. lambe, lamme:—L. lamma 10. 28.7 lamma, lammae laume AF laum(b)e, CF lambe; L lamma 11. 17.9; 17.17 fundamentum, fundamenti fŏundement OF, & L fundāment- ME. fondement, a. um OF. fondement:—L. fundāment-um 12. 32.17 (h)abundantia, abundantiae abŏundaunce L abundantia, OF abonda(u)nce a. OFr. abundance, abondance, hab-:— L. abundantia 13. 36.2 herba, herbae hērbe OF erbe & L herba In ME. usually erbe, a. OF. erbe:—L. herba 14. 29.5 ira, irae īre L īra & OF ire a. OF. ire, yre, ad. L. īra plāce OF place & ML placea ME. place, a. F. place (11th c.) = med.L. placia:—late L. type *plattia for classical L. platea lantern(e OF lanterne & L lanterna, lāterna ad. F. lanterne, ad. L. lanterna, also lāterna multitūde OF & L a. F. multitude (13th c.), or ad. L. multitūdo, -tūdin- nāciŏun OF nacīon & L nātio a. F. nation, †nacion, etc., ad. L. natiōn-em loc[us/um], loci 15. 22.1; 23.3; 25.8; 30.10; 36.10; 36.38; 41.4; 43.21 16. 17.31 lucerna, lucernae multitudo, 17. 5.7; 5.12; 30.23; 36.11; multitudinis 43.14; 48.6 18. 17.53 natio, nationis 22 If a noun appears in the relevant verse more than once, the number of its occurrences is given in square brackets. 152 Kinga Lis 19. 38.6; 39.8; 39.16 numerus, numeri nŏmbre AF noumbre & CF nombre, numbre & L numerus 20. 4.8; 22.7; 44.9 oleum, olei oil(e CF uile, h)uille, oil(l) Early ME. oli, olie, oyle, e, oele & AF olie & L oile, a. ONF. olie, OF. oleum 12th c. oile, oille:—L. oleum 21. 48.4 parabola, parabolae parāble OF parable & L parabole; from Gr. ME. a. F. parabole (13th c. in Littré), ad. L. parabola 22. 9.19 patientia, patientiae pācience OF & L ME. a. OF. patience, pacience (12th c.), ad. L. patientia 23. 17.12 penna, pennae/ [pinna, pinnae] penne L penna & OF pene, penne, paine ME. a. OF. penne (pene, pan(n)e), 12th c. in Godef.; = It. penna feather, plume, quill, pen:—L. penna 24. 1.1 pestilentia, pestilentiae pestilence OF pestilence & L pestilentia a. F. pestilence, ad. L. pestilentia 25. 2.8 possessio, possessionis possessiŏun L possessio, -iōnis & a. OF. possessiun, -on, ad. OF possessïon L. possessiō-nem 26. 10.7 procella, procellae tempest OF tempest, tempes & tempeste & L tempestas a. OF. tempeste, fem.:— pop. L. *tempesta-m, for cl. L. tempestās, -ātem 27. 48.3 prudentia, prudentiae prūdence OF prudence & L prūdentia a. F. prudence (13th c. in Littré), ad. L. prūdēntia 28. 32.2; 48.4 psalterium, psalterii sautrī(e OF sautere, sauterie, a. OF. saltere, sautere, psalterie & L and sauterie, psalterie psaltērium (12th c. in Godef.), ad. L. psaltērium sacriicium, 29. 4.6; 19.3; sacriici(i) 39.9; 49.6; 49.9; 49.15; 49.24; 50.17; 50.18; 50.20 sacrifīce OF sacreise, -ice, sacriise, -ice, AF sacreiz & L sacriicium a. F. sacriice, ad. L. sacriicium From L spīritus & OF esperit, esperite, esperith, espirit, AF espereit, espirith, spirit & OF espirt a. AF. spirit (espirit), spirite, = OF. esperit, -ite, esprit (mod.F. esprit), or ad. L. spīritus 30. 10.7; 17.18; spiritus, spiritus spirit 30.6; 31.2; 32.6; 33.18; 47.6; 50.11; 50.12; 50.13; 50.18 f. OF. nombre, nonbre, numbre, numere:—L. numerum The latinity of the Wyclifite Psalters 153 31. 9.11; 13.2 studium, studi(i) studī(e From OF estudie, AF a. OF. estudie masc., ad. estodie, studie & L L. studium studium 32. 38.7; 38.11 substantia, substantiae substaunce L substantia & OF sustance, sostance, AF substa(u)nce, substans a. OF. (mod.F.) substance (12th c.), ad. L. substantia tabernācle OF tabernacle & L tabernāculum a. F. tabernacle (12th c. in Hatz.-Darm.), ad. L. tabernāculum 33. 14.1; 17.13; tabernaculum, 18.5; 26.9[2]; tabernaculi 26.11; 30.26; 41.4; 42.3; 45.4; 48.11 34. 49.4 tempestas, tempestatis tempest OF tempest, tempes & tempeste & L tempestas a. OF. tempeste, fem. (11th c. in Roland) = It., Prov. tempesta:—pop. L. *tempesta-m, for cl. L. tempestās, -ātem, also a. OF. tempest masc. (13th c. in Godef.) = Prov. tempest:—L. *tempestum 35. 17.32 temptatio, temptationis /<tentatio, tentationis> temptāciŏun L temptātio, temtātio, tentātio, -iōnis & OF tentacïon, tentation, temptacïon, temptation, AF temtacioun, temptacioun a. OF. temptaciun, -tation (12th c.), tentation (13th c. in Godef. Compl.), ad. L. tempt, tentātiōn-em 36. 9.4; 9.8 thronus, throni trōne OF tron, trone, AF trun(e, throne & L thronus, ML tronus a. OF. trone (12th c. in Godef. Compl.), mod.F. trône, ad. L. thron-us tribulāciŏun OF tribulacïon, tribulation, AF tribulaciun, tribulacioun, trebulation & L trībulātio, -iōnis a. OF. tribulacion (12th c. in Godef. Compl.), ad. Chr.L. trībulātiōn-em ūnicorn(e OF unicorne, unicorn & L ūnicornuus, ūnicornis, ML ūnicornus a. AF., OF. (mod.F.) unicorne, or directly ad. their source L. ūnicorn-, ūnicornis tribulatio, 37. 4.1; 9.9; tribulationis 9.22; 17.7; 19.1; 21.10; 24.18; 24.23; 31.9; 33.4; 33.6; 33.17; 33.19; 36.41; 43.26; 45.1; 49.16 38. 21.21; 28.6 unicorn, unicornis 154 Kinga Lis ūsūre 39. 14.6 usura, usurae 40. 29.11 utilitas, utilitatis prōit(e OF (chiely AF) usure, AF usere & L ūsūra a. OF. useure (13th c.), usure (also AF. and F.), ad. L. ūsūra OF proit, prof(f)et, a. OF. and mod.F. proit, prophit, proufit & L pur-, po(u)rit, in 15th c. prōfectus prouf(f)it):—L. prōfect-us Table 2. Nouns of mixed OF-L origin shared by EV and LV23 It is worth noticing that the majority of the nouns presented in Table 2 are still frequently employed in the English language. 5.2.2 Nouns of mixed OF-L origin attested in the given verses exclusively in EV When it comes to the nouns with mixed OF-L etymologies which, in the given verses, are attested exclusively in EV, their number equals 30, with the number of headwords (15) being exactly half that. Thus, the occurrences of such nouns make up 32,61% of the items of Romance origin attested in the relevant verses only in EV (i.e. out of 92) while the headwords account for 34,09% of the headwords in question (i.e. 44). The relevant nouns are presented in Table 3 below. 23 As mentioned in Section 2.2, the original study also took into consideration the dates of the irst attestations of the items in question with the relevant meanings in written records. These, however, not being pertinent to the issue at hand, have not been provided due to the limited space. The structure of the above table is the following. The ‘verses’ column provides references to the Psalm and verse number in which the given items are employed. The column headed by ‘Latin’ gives the nominative and genitive singular forms of the source Latin noun as provided by Whitaker’s dictionary. The column ‘headword’ presents the citation form of the ME noun in question as found in the MED and the column immediately to its right contains the etymological information from this dictionary. The relevant information from the OED is given in the rightmost column of the table. The latinity of the Wyclifite Psalters No Verses Latin 155 EV HEADWORD MED OED 1. 10.7; 15.5; 22.7 calix, calicis chalice OF chalice, calice & L calic-em L. calix, calic-em cup, has appeared in Eng. in various forms. (1) Early OE. cęlic-an early (preChristian) adoption of L. calic-em. (2) The Latin word was re-adopted in later OE., in Christian use, as calic, cælic, cælc, whence early ME. calc, calch. (3) These were ousted in 12th c. by the OF. caliz, calice. (4) Before 1350 this was in turn ousted by a central OF. form chalice, which gave Eng. chalis, chalice. 2. 26.5 castrum, castri tent(e OF tente a tent, pavilion & ML tenta a tent a. OF. tente (12th c. in Godef. Compl.):—L. tenta 3. 41.9 cataracta, cataractae gōter OF gotier(e, gutere & ML gutter(i)a a. OF. gutiere (12th c. in Littré), goutiere (13th c.), mod.F. gouttière fem. 4. 34.30; 43.17 confusio, confusionis confūsiŏun L & OF ME. a. OF. confusion:—L. confūsiōn-em 5. 2.12; 49.18 disciplina, disciplinae disciplīne L disciplīna & OF descepline a. F. discipline (OF. also dece-, dese-, desce-, ad. L. disciplīna 6. 44.3 forma, formae fōrme L forma, OF fourme a. OF. fo(u)rme, furme, ad. L. forma 7. gens, gentis 9.18; 9.20; 9.21; 9.40; 17.47; 32.10; 46.1; 48.1 ǧentīl OF gentil, jentil, jantil & L gentīlis (from adj.) a. or ad. F. gentil, ad. L. gentīlis 8. 29.7 (h)abundantia, abundantiae abŏundaunce L abundantia, OF abonda(u)nce a. OFr. abundance, abondance, hab-:— L. abundantia 9. 33.16 memoria, memoriae memorī(e L memoria & OF memoire, memore, & (esp. AF) memorie a. OF. memorie, memoire, memore (mod.F. mémoire) = Sp., Pg., It. memoria, ad. L. memoria 156 Kinga Lis 10. 32.16; 50.2 multitudo, multitudinis multitūde OF & L a. F. multitude (13th c.), or ad. L. multitūdo, -tūdin 11. 49.19 portio, portionis porciŏun OF porcïon & L portio, -iōnis ME. porciun, portion, a. OF. porcion, portion, ad. L. portiō-nem 12. 47.12; 48.11[2]; 48.20 progenies, progeniei prōǧenī(e OF progenïe & L prōgenies ME. a. obs. F. progenie (13th c. in Godef.), ad. L. prōgeniē -s 13. 48.4 propositio, propositionis prōposiciŏun OF proposicïon, propositïon & L prōpositio ME. proposicioun, a. F. proposition, ad. L. prōpositiōn-em 14. 18.3 sermo, sermonis sermŏun OF sermon, sermun, sarmon, AF sermoun & L sermo, -ōnis a. AF. sermun = OF. sermon, ad. L. sermōnem, sermo 15. 7.7 synagoga, synagogae congregāciŏun L & OF a. F. congrégation (OF. -atiun, -acion, 12th c. in Littré), ad. L. congregātiōn-em Table 3. Nouns of mixed OF-L origin attested in the relevant verses exclusively in EV When it comes to the combined number of nouns of mixed OF-L origin attested in EV, i.e. both those shared by the two Psalters and those attested exclusively in EV, it amounts to 170 occurrences of 50 distinct ME headwords. Therefore, nouns with mixed OF-L etymologies employed in EV make up 28,15% of the occurrences and 33,78% of the headwords with respect to all nouns of Latinate provenance attested in the irst ifty Psalms of EV. 5.2.3 Nouns of mixed OF-L origin attested in the given verses exclusively in LV The number of nouns of mixed OF-L origin attested in the given verses exclusively in LV is slightly smaller than the relevant igure for EV: there are 23 occurrences representing 9 distinct nouns with such etymology in this Psalter. Thus, 28,05% of the occurrences of all the Latinate nouns only found in the relevant verses in LV (82) and 26,47% of such headwords (34) are of mixed OF-L provenance. All these items are presented below. The latinity of the Wyclifite Psalters No Verses Latin 157 LV HEADWORD MED OED 1. 15.5 calix, calicis passiŏun OF passïon & L passio, -iōnis a. OF. passiun, passion, ad. L. passiōn-em 2. 34.18 lagellum, lagelli torment OF torment, tourment, AF turment (with pl. tormenz, turmenz) & OF tormente, AF turmente & L tormentum ME. a. OF. tor-, tourment, ONF. turment :—L. torment-um 3. 26.11 hostia, hostiae sacrifīce OF sacreise, -ice, sacriise, -ice, AF sacreiz & L sacriicium a. F. sacriice, ad. L. sacriicium 4. 2.5; 2.13; 6.1; 7.6; 9.25; 17.10; 17.18; 20.9; 26.14; 30.11; 36.8; 37.1; 37.3 ira, irae īre L īra & OF ire a. OF. ire, yre, ad. L. īra 5. 9.25 multitudo, multitudinis multitūde OF & L a. F. multitude (13th c.), or ad. L. multitūdo, -tūdin 6. 22.1 pascua, pascuae pastūr(e OF (cp. CF pasture & AF pastour) & L pastūra a. OF. pasture:—late L. pāstūra 7. 16.16; 20.12; 36.40 reliquia, reliquiae relēf(e OF relief, relef(e, AF a. OF. relef, relief (also relif & ML relevium, relie, relier) AL relevum, relivium 8. 37.12 vis, vis vīolence OF vïolence & L violentia a. AF. and OF. (also mod.F.) violence, ad. L. violentia 9. 50.11 viscus, visceris entraille(s OF entraille, ML intrālia a. OF. entraille (now only in pl. entrailles) = Pr. intralia:—late L. intrālia Table 4. Nouns of mixed OF-L origin attested in the relevant verses exclusively in LV 158 Kinga Lis In total, the number of all nouns with mixed OF-L etymology attested in LV amounts to 163 occurrences of 44 distinct headwords, which in percentage terms means that 27,44% of all the occurrences and 32,35% of all the headwords of broadly understood Romance origin belong to the group of nouns whose etymology is indeterminable on the basis of the information available in the OED and the MED. This in turn entails that the number of ‘purely’ Latin items cannot be signiicant. 5.3 Nouns of L origin The last section devoted to the presentation of the data gathered in the course of the research focuses on nouns which, in accordance with the methodology established for the purposes of the study, form a group of Latin items. That none of them can actually be stated to be of purely L origin shall soon become evident. 5.3.1 Nouns of L origin shared by EV and LV As has been done in the previous sections, here I also begin by providing the data concerning those among the nouns with L etymologies which are shared by EV and LV, i.e. nouns which are employed in both Psalters to render same source Latin words in the relevant verses. That such nouns are not frequent in EV and LV has already been suggested by the number of Latinate nouns presented in the preceding sections. In fact, there are only 18 occurrences of 5 distinct nouns of L provenance shared by the two Psalters. Such occurrences constitute 3,52% and the headwords 4,42% when juxtaposed with the relevant values for all Latinate nouns shared by EV and LV. The nouns themselves are presented in Table 5. No Verses Latin EV and LV HEADWORD MED OED 1. 15.4 conventiculum, conventiculi conventicle L & OF ad. L. conventicul-um 2. 18.1 irmamentum, irmamenti irmament L & OF ad. L. irmāment-um. Cf. OF. irmament. The latinity of the Wyclifite Psalters 159 ǧenerāciŏun OF generacïon a. L. generātiōn-em indignatio, indignationis indignāciŏun L & OF ad. L. indignātiōn-em testamentum, testamenti testāment L testāmentum & OF testament, AF testement ad. L. testāment-um 3. 9.28[2]; 11.8; generatio, generationis 13.10; 21.33; 23.6; 32.11[2]; 44.19[2] 4. 29.5 5. 24.11; 24.15; 43.19; 49.6; 49.17 Table 5. Nouns of L origin shared by EV and LV Clearly, based on the information provided in the MED it would be impossible to classify the above nouns as items of Latin origin and it is done here exclusively on the authority of the OED. As expounded in Section 2.3 such a classiication is adopted here only to illustrate the fact that the presence of nouns of ‘purely’ Latin provenance in EV and LV is insigniicant in numerical terms. In fact, as explained in Section 3.2, it would be far more appropriate to treat all the nouns given above as items of mixed OF-L origin. Yet, even under such an approach it is evident that Latinisms are not only not widespread, contrary to what has been stated with respect to these texts, but they are extremely scarce. 5.3.2 Nouns of L origin attested in the given verses exclusively in EV Only three more instantiations of nouns of ‘purely’ L provenance are to be found exclusively in EV, the items employed in the parallel verses of LV to render the relevant Latin nouns being different. Each of these occurrences corresponds to a different headword. In percentage terms, the three occurrences constitute 3,26% of all Latinate nouns attested in the given verses solely in EV (92), whereas the three headwords make up 6,19% of such headwords (44). The nouns under discussion are given in Table 6. 160 No 1. 2. 3. Kinga Lis EV Verses Latin 26.11 HEADWORD MED OED hostia, hostiae hōst(e L hostia a. OF. oiste, hoiste:—L. hostia 15.3 inirmitas, inirmitatis inirmitē OF enfermeté, inirmité & L inirmitas ad. L. inirmitāt-em 44.2 scriba, scribae scrībe L scrība & OF scribe ad. L. scrība Table 6. Nouns of L origin attested in the relevant verses exclusively in EV The above data when combined with the igures presented in Section 5.3.1 yield the total number of ‘purely’ Latin items in EV: there are 21 occurrences of 8 headwords of this origin in the irst ifty Psalms of this Psalter, constituting 3,48% of all the Romance nouns attested in EV and 5,41% of their headwords. 5.3.3 Nouns of L origin attested in the given verses exclusively in LV As far as LV is concerned, there are four nouns of ‘purely’ L provenance in this Psalter which do not correspond to the items with this etymology employed to render the relevant Latin nouns in parallel verses of EV. These four nouns are all occurrences of a single headword and are presented in Table 7. In percentage terms they constitute 4,88% of the occurrences (82) and 2,94% of the headwords of nouns attested in the given verses exclusively in LV. LV No Verses Latin 1. 47.12; 48.11[2]; 48.20 progenies, progeniei HEADWORD MED OED enerāciŏun OF generacïon a. L. generātiōn-em Table 7. Nouns of L origin attested in the relevant verses exclusively in LV The total number of nouns of ‘purely’ L origin in LV, i.e. the sum of the igures given in Sections 5.3.1 and 5.3.3, equals 22. They represent 5 different headwords, constituting 3,7% of the occurrences and 3,68% of the headwords of broadly understood Romance origin attested in the irst ifty Psalms of LV. The latinity of the Wyclifite Psalters 161 6. Conclusion With all the nouns of OF and L origin discussed in their respective sections, a series of disconnected and fragmentary pictures have been created with the holistic picture emerging from them being extremely vague. Therefore, a more transparent depiction of the data is now provided which allows one to appreciate the scarcity of nouns of L origin in relation to the remainder of the nouns of broadly understood Romance origin (Charts 5–8 and Table 8) and then to juxtapose them with all the nouns analysed in the course of the research (Table 8). OF; 413; 68% OF; 90; 61% L; 21; 4% mixed OF-L 170; 28% Chart 5. EV: Nouns of OF, L and mixed OF-L origin – occurrences OF; 409; 69% L; 8; 5% mixed OF-L 50; 34% Chart 6. EV: Nouns of OF, L and mixed OF-L origin – headwords OF; 87; 64% L; 22; 4% mixed OF-L 163; 27% Chart 7. LV: Nouns of OF, L and mixed OF-L origin – occurrences L; 5; 4% mixed OF-L 44; 32% Chart 8. LV: Nouns of OF, L and mixed OF-L origin – headwords 162 EV without Deus, Dei, dius, dii and dominus, domini (401EV/ 393-LV) Percentage participation in all headwords without Deus, Dei, dius, dii and dominus, domini (401EV/ 393-LV) Percentage participation in headwords of nouns of Romance origin with Deus, Dei, dius, dii and dominus, domini (403-EV/395-LV) No of headwords without Deus, Dei, dius, dii and dominus, domini (2099) Percentage participation in all occurrences without Deus, Dei, dius, dii and dominus, domini (2099) No of occurrences Category Percentage participation in occurrences of nouns of Romance origin with Deus, Dei, dius, dii and dominus, domini (2566) Kinga Lis OF 413 68,38% 16,10% 19,68% 90 60,81% 22,33% 22,44% mixed 170 28,15% 6,23% 8,10% 50 33,78% 12,41% 12,47% OF-L L LV 21 3,48% 0,82% 1,00% 8 5,41% 1,99% 2,00% sum 604 100% 23,54% 28,78% 148 100% 36,72% 36,91% OF 409 68,86% 15,94% 19,49% 87 63,97% 22,03% 22,14% mixed 163 27,44% 6,35% 7,77% 44 32,35% 11,14% 11,20% 22 3,70% 0,86% 1,05% 5 3,68% 1,27% 1,27% 594 100% 23,15% 28,30% 136 100% 34,43% 34,61% OF-L L sum Table 8. Romance nouns in the irst ifty Psalms of EV and LV As clearly transpires from the data gathered in the research, the claims about the pervasiveness of Latinisms in EV and LV (Condit 1882: 64–73; Daniell 2003: 76–80; Delisle and Woodsworth 1995: 32; Norton 2000: 7) are not substantiated. Instantiations of nouns of ‘purely’ Latin origin in the irst ifty Psalms of the examined Psalters are extremely sparse even with the methodology adopted for the purposes of the paper which lowers the requirements for a noun to be treated as such: I considered each noun attested in EV and LV to be of L origin if either of the dictionaries assigned to it Latin etymology, whereas for a noun to be regarded as of OF provenance in the study it was necessary for the MED (as a dictionary focusing speciically on the relevant period) to state that it was borrowed from French. Had such a criterion been employed for the nouns of L provenance, only the ME hōst(e would qualify as a Latinism. Another conclusion that can be drawn from the analysis of the data presented in the paper is that the differences in the lexical make-up of EV and LV, at least as far as the irst ifty Psalms are concerned, are not substantial, i.e. from the The latinity of the Wyclifite Psalters 163 point of view of the etymology the two Psalters are remarkably similar. This inding seems to repudiate the assertion expressed in the Prologue to LV about the complete independence of this rendition (Forshall and Madden1850: 57): the two texts seem to exhibit a strikingly analogous choice of nouns, not to mention other similarities between them. It might be of interest to know that the total number of nouns of both OF and L origin in EV (23,54%) and LV (23,15%) does not differ substantially from the relevant value obtained for two manuscripts of the Middle English Glossed Prose Psalter: there are ca. 24% of nouns of Romance origin in its London manuscript and ca. 22% of such nouns in its Dublin counterpart,24 whereas the percentage participation of such nouns in Richard Rolle’s Psalter25 equals ca. 19% (Lis in prep.). Such results seem to stem primarily from the geographical distribution of ON and Romance loanwords discussed in Sections 4 and 5.1 respectively but are nevertheless to some extent attributable also to other factors. The igures given 24 The Middle English Glossed Prose Psalter is a Psalter translation into English executed somewhere between 1325 and 1350 (Muir 1970: 385; St-Jacques 1989:136), or between 1330 and 1350 (Black and St-Jacques 2012: xxviii, part 1, after Hanna 2003: 144) by an unknown translator (cf. Charzyńska-Wójcik 2013; Lis in prep.). What is extremely characteristic of this rendition are glosses, both in the Latin and in the English texts, which are responsible for the bizarre discrepancies between the Middle English Glossed Prose Psalter and other Psalter translations. The glosses employed in the Psalter serve as a means of paraphrasing the text of the Psalms. It is not, however, the mere presence of the glosses that is most peculiar but the fact that in the course of the translation they were in the majority of cases substituted for the original wording of the Psalms. Two editions of the Psalter are available: Bülbring’s (1891), hosted also at http://quod.lib. umich.edu/cgi/t/text/text-idx?c=cme;cc=cme;view=toc;idno=BAA8159.0001.001, and Black and St-Jacques’s (2012). Another feature which distinguishes this rendition from other Psalter translations is the fact that it was rendered from French (Deanesly 1920: 143) or at least it was based on a French source text to a considerable extent (Reuter 1938: [1]), which suggests its greater exposure to the inluence of the French language. For this reason the percentage participation of Romance borrowings in the text, which does not differ substantially from the values obtained for EV and LV, is in fact surprisingly low and seems to prove that the French source text did not signiicantly inluence the lexical make-up of the Psalter in question. 25 This is a fourteenth-century Psalter rendition, most probably dating back to the 1330’s or 1340’s (St-Jacques 1989: 136), executed by Richard Rolle of Hampole. The vital feature of Rolle’s approach is an extremely cautious attitude to rendering the Scriptures into the vernacular. His objective was not a literary work but a faithful and as literal as possible translation of the text of the Psalms into English. Therefore, all the accusations addressed at RRP claiming that it is ‘unidiomatic and lacking in lexibility’ (Wells 1916: 401–402), thus hardly ‘readable’ or ‘comprehensible’ are not even legitimate as Richard Rolle did not endeavour to aim at a translation in its present sense. The Psalter was edited in 1884 by Bramley and is available online at http://quod.lib.umich.edu/ cgi/t/text/text-idx?c=cme;cc=cme;view=toc;idno=AJF7399.0001.001. 164 Kinga Lis above demonstrate that the high percentage participation of nouns of broadly understood Romance origin is not unique to EV and LV and prove that despite the pervasiveness of Romance borrowings in the ME period, the majority of the nouns employed in all of the translations, i.e. in EV, LV, Rolle’s rendition and in the Middle English Glossed Prose Psalter, are native. Most importantly, items used with the greatest frequency in all the above mentioned renditions are undoubtedly native words. Additionally, had all the grammatical categories been taken into consideration in the present study, the percentage participation of native items would be even greater, as evidenced by similar research presented in Lis (2012), which was limited in scope to Psalms XVIII-XXIII of EV, analysing only 1581 lexical items, but encompassed all of the morphological categories. The results of that study were as follows: 89,88% of all the words employed in these six Psalms were of native origin, understood as both purely native and with mixed OE-ON and OE-OF-L etymologies, as opposed to only 8,35% of borrowings from OF and/or L, with lexical items of ‘purely’ Latin origin constituting less than 0,7%. In the light of these indings, it can be safely stated that far from being pervasive, Latinisms are in fact only sporadically used in the irst ifty Psalms of EV and LV, and by extension most probably they do not participate signiicantly in the etymological make-up of the Wyclifite Bible as a whole either. Additionally, from the etymological point of view the Wyclifite Psalters exhibit too remarkable a resemblance to corroborate the claim that LV dispenses with Latinisms adopted by EV (Condit 1882: 64–73; Norton 2000: 7). Sources Bramley, H. R. (ed.). 1884. The Psalter, or Psalms of David and certain canticles with a translation and exposition in English by Richard Rolle of Hampole. Edited from manuscripts. Oxford: Clarendon Press. Available at: http://quod.lib.umich.edu/cgi/t/text/text-idx?c=cme;cc=cme;view=toc;idno= AJF7399.0001.001. Charzyńska-Wójcik, M. 2013. Text and context in Jerome’s Psalters. Prose translations into Old, Middle and Early Modern English. Lublin: Wydawnictwo KUL. EV = Forshall, J., and F. Madden. (eds.). 1850. The Holy Bible, containing the Old and New Testaments, with the Apocryphal Books, in the earliest English versions made from the Latin Vulgate by John Wycliffe and his followers. Oxford: University Press. Available at: http://quod.lib.umich.edu/cgi/t/text/ text-idx?c=cme;cc=cme;view=toc;idno=AFZ9170.0001.001. Hetzenauer, M. P. (ed.). 1914. Biblia Sacra Vulgatæ editionis sixti V pont. max. The latinity of the Wyclifite Psalters 165 Iussu recognita et Clementis VIII auctoritate edita. Ex tribus editionibus clementinis critice descripsit dispositionibus logicis et notis exegeticis illustravit, appendice lectionum hebraicarum et græcarum auxit. Regensburg, Rome: Friderici Pustet and Co. Liber Psalmorum juxta Septuaginta interpretes ab Hieronymo semel et iterum emendatus = Liber Psalmorum juxta Septuaginta interpretes ab Hieronymo semel et iterum emendatus. Available at: http://www.documentacatholicaomnia. eu/04z/z_0347-0420__Hieronymus__Divina_Bibliotheca_28_Liber_Psalmorum_Iuxta_Septuaginta_Emendatus__MLT.pdf.html. LV = Forshall, J., and F. Madden. (eds.). 1850. The Holy Bible, containing the Old and New Testaments, with the Apocryphal Books, in the earliest English versions made from the Latin Vulgate by John Wycliffe and his followers. Oxford: University Press. Available at: http://quod.lib.umich.edu/cgi/t/text/ text-idx?c=cme;cc=cme;view=toc;idno=AFZ9170.0001.001. MED = Kurath, H., S. McAllister Kuhn, J. Reidy, R. E. Lewis et al. (eds.). 1952–2001. Middle English Dictionary. Ann Arbor: University of Michigan Press. Available at: http://quod.lib.umich.edu/m/med/. OED = Simpson, J., and E. Weiner. (eds.). 1989. Oxford English Dictionary. 2nd edition. Oxford: Clarendon Press. Weber, R. (ed.). 1969. Biblia Sacra iuxta Vulgatam Versionem. Stuttgart: Württembergische Bibelanstalt. Whitaker, W. 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Westcott, B. F. 1916. A general view of the history of the English Bible. New York: The Macmillan Company. Wogan-Browne, J. 2009. General introduction: what’s in a name: the ‘French’ of ‘England’. In J. Wogan-Browne, C. Collette, M. Kowaleski, L. Mooney, A. Putter, and D. Trotter (eds.), Language and culture in medieval Britain: the French of England, c.1100–c.1500, 1–13. Woodbridge, Rochester: York Medieval Press. 172 Guohua Zhang Competing grammars or diachrony at work 173 Competing grammars or diachrony at work: a case of Polish anticausatives Anna Malicka-Kleparska Abstract: The paper deals with the problem of co-existing sub-systems of grammar in a language turning out parallel competing forms with distinct morpho-syntactic structures, but identical meanings. The existence of such systems is perceived as a problem for Chomskian linguistic theory. The case investigated in this paper concerns analytic and synthetic anticausatives in Polish based of the same roots. The history of such formations has been followed, briely from Proto-Indo-European, in detail from Old Polish to Present-day Polish. The appearance of synthetic and analytic anticausatives has been analysed for a number of Old Polish sources and compared with Early 20th-century Polish and Present-day Polish. Both patterns of anticausativisation have persisted throughout the history of Polish. This persistence cannot be easily explained within the existing models of grammar change consistent with generative thought. We are forced to the conclusion not only that particular rules may have exceptions but also that subsystems of grammar may have their idiosyncracies. Key words: diachrony, anticausative, relexive, synonymy, Old Polish 1. Introduction The Chomskian view on how language works is based on the assumption that a large portion of our linguistic competence is inborn (e.g. Chomsky 1969, 1980, 2000). Then, under the inluence of the data we are exposed to we form our own unique, yet partly universal, grammars. Situations where competing grammars coexist in the minds of individual speakers do not it in well with this theoretical model. Yet languages occasionally breed phenomena which constitute problematic areas to the conception of grammar advocated by Chomsky. Polish is a language which seems to contain an example of competing grammars being used by individual speakers in the sphere of morpho-syntax. In this paper we will look for an explanation for this in the history of the Polish language and consider the available theories concerning parallel grammars which could clarify the status of Polish anticausative verbs in competition. 174 Anna Malicka-Kleparska 2. History of anticausative types Haspelmath (1993) argues extensively that the languages of the world choose whether to mark unaccusatives or causatives based on the same roots with some additional morphological material. In other words, there is nothing intrinsically more basic either about unaccusative or causative meanings. Slavic languages predominantly mark unaccusatives corresponding to causatives in a more complex way, so we may assume that in the grammar of Slavic languages there is a rule deriving unaccusatives, also called anticausatives, since they contain characteristic formatives and (frequently) correspond to causative verbs based on the same roots. Polish, following Slavic developments, has at present two patterns producing anticausatives: one more analytic, the other – more synthetic. The more analytic pattern involves clear anticausative alternation material, also present in other Slavic and Indo-European languages (see Cennamo et al. in press) in the form of a relexive-like morpheme. It evolved from the IndoEuropean mediopassive form and went through intermediate stages, while the role of the external agentive participant grew less and less prominent up to the point when anticausatives with a relexive morpheme marking were formed (Cennamo et al. in press). Originally, in Indo-European, the characteristic morpheme was a relexive pronoun, which developed into the Proto-Slavic Cę, corresponding to similar elements in other Indo-European languages, e.g. Latin se, Gothic sik (Steiner 1889), Vedic sva (Kulikov 2007). In Old Polish (Psałterz loriański) the accusative case of the pronoun used in anticausative verbs took the forms of sϙ, se, sze, sye, sie (Steiner 1889). This seems to be the way in which the analytic anticausatives in Polish developed. Present day forms of relexively marked anticausatives are illustrated e.g. by Laskowski (1984: 139): (1) starzeć się ‘to grow old’ wydłużać się ‘to grow longer’ bielić się ‘to grow white’ The relexive particle is a verbal clitic, which may occupy a relatively free position in a sentence (see Ozga 1976). The history of the other pattern – more synthetic – which plays a signiicant role among Polish anticausatives nowadays is much more obscure. Polish synthetic anticausatives might have followed a similar path as the Vedic sufixed –‘ya – non-passive verbs denoting a change of state, although these were an Indo-Iranian innovation, which was not based on Proto-Indo-European middle constructions (see Kulikov 2011: 186–187). The oldest recorded synthetic Competing grammars or diachrony at work 175 predecessors of Polish anticausatives were Old Church Slavonic denominal and deverbal ē-verbs, mostly inchoative, e.g. starӗti ‘to grow old’ (see Jasanoff 2002–2003), which were formed with a sufixed vocalic element. Present-day Polish –e – /–ej–1 anticausatives (see Wróbel’s state and processual verbs 1984: 495, 498, 503) may follow this pattern, e.g.: (2) bieleć ‘to grow white’ dziczeć ‘to grow wild’ chłopieć ‘to grow more like a peasant’ Wróbel (1984) assumes that this sufix has an allomorphic variant –nie-/-niej-, although in many cases possible substantival and adjectival bases of anticausative derivatives could have contributed the nasal sounds: (3) młodnieć ‘to grow younger’ twardnieć ‘to grow tough’ upiornieć ‘to grow vampire like’ drewnieć ‘to grow wooden’ kamienieć ‘to get stony’ zielenieć ‘to grow green’2 Another class of anticausatives possesses the nasal afix -nąć, which might come from the pattern of post Proto-Indo-European intransitive inchoatives (see Gorbachov 2007) with a nasal element, e.g.: (4) głuchnąć ‘to grow deaf’ mięknąć ‘to grow soft’ rzednąć ‘to grow more diluted’ As can be seen from the above exempliication, anticausative verbs in Polish constitute a varied and diachronically non-uniform class. The interesting phenomenon, however, is that in a number of cases in Present-day Polish doublets or even triplets of anticausatives function side by side. The data relevant to this issue will be presented in the next section. 1 2 The latter allomorph represents the present tense stem form. The bases would be: drewno ‘wood’, kamień ‘stone’, zielony ‘green’ for the three last forms in (3). 176 Anna Malicka-Kleparska 3. Polish competing anticausatives – the data and structures In the examples below we will present a body of data where two types of anticausatives based on the same roots are coined. The common roots will be marked with bold characters and the verbs will represent an analytic pattern and one or more synthetic ones. The meanings of the verbs coincide: (5) pękać – rozpękać się ‘to bust’ promienieć – rozpromienić się ‘to radiate light’ kwaśnieć – skwasić się ‘to go sour’ potnieć – pocić się3 ‘to sweat’ rdzewieć – rdzawić się ‘to rust’ schnąć – rozsychać się ‘to dry up’ zaśmierdnąć – zaśmierdzieć się ‘to stink’ postarzeć – postarzeć się ‘to grow old’ rzednąć – rzednieć – rozrzedzić się ‘to grow diluted’ chłodnąć – chłodnieć – chłodzić się ‘to grow cold’ wilgnąć – nawilżyć się ‘to grow moist’ stygnąć – studzić się ‘to grow cold’ cichnąć – uciszyć się ‘to grow quiet’ mięknąć – rozmiękczać się ‘to grow soft’ żółknąć – żółcieć – żółcić się ‘to grow yellow’ moknąć – moczyć się ‘to grow wet’ płonąć – palić się ‘to burn’ tonąć – topić się ‘to sink’ gasnąć – gasić się ‘to grow low (about ire)’ kwitnąć – rozkwiecić się ‘to bloom’ marznąć – mrozić się ‘to freeze’ The initial reaction to such a body of data might be that the doublets are not perfect synonyms and they are used in different contexts. Indeed in a number of cases it is what happens. First of all there is a tendency for się derivatives to be perfective since they are frequently preixed:4 3 4 The differences which are observable in root representations constitute phonological and morpho-phonological alternations, whose details are immaterial for our purposes. For an extensive account see Gussmann (2007). The preixes are given in italicised characters in (6). Competing grammars or diachrony at work 177 (6) rozpęknąć się ‘to bust’ rozpromienić się ‘to radiate light’ rozeschnąć się ‘to dry up’ zaśmierdzieć się ‘to grow stinky’ rozrzedzić się ‘to grow diluted’ nawilżyć się ‘to grow moist’ uciszyć się ‘to grow quiet’ rozmiękczyć się ‘to grow soft’ rozkwiecić się ‘to bloom’ while the sufixed anticausatives do not have to be accompanied by a preix (see 5 above) and thus they can be imperfective.5 However, this difference is leveled out by the grammatical system since the sufixed anticausatives can be perfectivised either by adding a preix or another sufix:6 (7) kwaśnieć (IMP) – skwaśnieć (PRF) ‘to go sour’ rdzewieć (IMP) – zardzewieć (PRF) ‘to rust’ pękać (IMP) – pęknąć (PRF) ‘to bust’ while the się derivatives can form secondary imperfectives: (8) rozpęknąć się (PRF) – rozpękać się (IMP) ‘to bust’ rozpromienić się (PRF) – rozpromieniać się (IMP) ‘to radiate light’ rozeschnąć się (PRF) – rozsychać się (IMP) ‘to dry up’ The reason why się anticausatives are formed with the preixed stems is connected with the fact that they are based on accomplishment verbs,7 which have 5 6 7 On the perfectivising force of Slavic preixes see e.g.: Filip (2013), Malicka-Kleparska (in press), Romanova (2007), Slabakova (2003). For details of the Polish aspectual system, see Łazorczyk (2010). There are some cases in which no preix is visible and the causitivising sufix i/y forms the accomplishment, e.g.: (i) chłodnieć – chłodzić ‘to make cold’ – chłodzić się ‘to grow cold’ potnieć – ? pocić ‘to make sweaty’ – pocić się ‘to sweat’ rdzewieć – rdzawić ‘to make rusty’ – rdzawić się ‘to rust’ stygnąć – studzić ‘to make cold’ – studzić się ‘to grow cold’ żółknąć – żółcić ‘to make yellow’ – żółcić się ‘to grow yellow’ moknąć – moczyć ‘to make wet’ – moczyć się ‘to grow wet’ płonąć – palić ‘to make burn’ – palić się ‘to burn’ tonąć – topić ‘to to make drown’ – topić się ‘to sink’ gasnąć – gasić ‘to extinguish’ – gasić się ‘to grow low (about ire)’ marznąć – mrozić ‘to make frozen’ – mrozić się ‘to freeze’ 178 Anna Malicka-Kleparska to be telic and by deinition – perfective in the system of Polish (see Łazorczyk 2010). Consequently, they are usually preixed. Below (in 9) we supply the hypothetical structure for synthetic anticausatives (adapted from Embick 2009 and Alexiadou and Doron 2012) with the sufixal middle voice head, followed by the consecutive steps in the hypothetical derivation of się anticausatives: μ (9) μ v v -ną- √wilg- ST v ST DP E.g.: Ziemia lubi wilgnąć od deszczu. ‘Soil likes to get moist from rain.’ 8 Transitive accomplishments corresponding to the anticausatives discussed in this text are formed by means of various preixations (and -i-/-y- sufix) realising the active voice heads which replace the middle voice heads of anticausative structures and introduce in their speciiers external agentive arguments (see Alexiadou and Doron 2012; Marantz 1984): ν ν 8 ę) The sufix present in się anticausatives was originally a causative formative going back to Proto-Indo-European –eye–/ –o– (see Kulikov 2008: 102). It continued in Old Church Slavonic as –i– e.g.: moriti ‘to make die’, lożiti ‘to make lie’. Kulikov attributes the contrast in suchνRussian verbs as: utopit’ ‘make sink’ – utonut’ ‘to sink’, zamrozit’ ‘to make freeze’ – zamierznut’ ‘to freeze’ to the presence of this morpheme in the accomplishment (causative) form. The same alternation can be traced in the Polish material presented in this text. Other methods of forming accomplishments are available in Polish as well. For instance internal modiication of the root may mark the contrast between an accomplishment and an unaccusative: topić ‘to make sink’– tonąć ‘to sink’. For a more in-depth √ presentation of the Polish accomplishment verbs, see Wróbel (1984: 495, 498, 503). -ną- is a sufixal middle voice head which gets ę) linearised after the root later on in the derivation by spell out rules. Competing grammars or diachrony at work 179 ν (10) ν Spec (deszcz) ν v v na- -y ST √wilg v ST DP (ziemię) E.g.: Deszcz nawilżył ziemię. ‘Rain soaked the soil.’ Then, if the DP in the speciier and the internal argument of the verb are coindexed, the structure may be re-analysed into an anticausative verb9 with a complex middle voice head: preix+sufix+się: μ (11) μ na-y v v ST się √wilg v ST DP E.g.: Ziemia nawilżyła się. ‘Soil got soaked.’ 9 We assume that some lexical re-arrangement process has to operate here as the structure in (10) can function as a relexive structure when the arguments are co-indexed: Podczas wyścigu rowerzysta nawilżał się gąbką ‘During the race the cyclist moistened himself with a sponge.’ The meaning of such a sentence is different from the meaning of a sentence with the anticausative verb since the argument in the anticausative structure is not interpreted as an Agent, but as the Patient of the event. 180 Anna Malicka-Kleparska This development mirrors the historical development of such constructions from Indo-European as described earlier – from relexive through medio-passive to anticausative structures. Consequently, an interesting analogy with the diachronic perspective can be observed here in the derivational history of the analytic anticausatives. Analytic and synthetic doublets sometimes develop idiosyncratic differences in their meanings, e.g.: rozsychać się ‘to dry up’ is used about cracking wood, moczyć się ‘to grow wet’ also means ‘to wet one’s bed’, while the corresponding sufixed anticausatives do not have such speciic meanings. The synthetic form tonąć means only ‘to sink’ but its analytic counterpart (topić się) may also signify ‘melting’. No systematic differences appear in the use of sufixed and cliticised analytic anticausatives in Polish (see Malicka-Kleparska 2013, cf. Jabłońska 2007). Both types of anticausatives take the Polish equivalents of the by itself modifying phrase, which tests for anticausatives:10 (12) a. Drzwi zamykają się same podczas jazdy. door-NOM-PL close-PRS.3PL REF self-NOM.PL while drive-SUBS ‘The door closes by itself while in motion.’ b. Lakiery muszą schnąć same. lacquers-NOM.PL must-PRT.PL dry-INF self-NOM.PL ‘Lacquers must dry by themselves.’ Both types appear with other identical prepositional phrases (here the od ‘from’ phrase) introducing causers of the processes described by the anticausatives: (13) a. Potnieli od upału. sweat-PST.MASC.PL from heat-GEN.SG ‘They sweated from heat.’ b. Pociły się od upału. sweat-PST.FEM.PL REF from heat-GEN.SG ‘They sweated from heat.’ c. Mokną od deszczów. wet-PRS.PL from rain-GEN.PL ‘They get wet from rain.’ 10 The examples in (12)–(14) are taken from the National Corpus of the Polish Language (Przepiórkowski et al. 2012). Competing grammars or diachrony at work d. 181 Moczyły się od potu. wet-PST.FEM.PL REF from sweat-GEN.SG ‘They got wet from sweat.’ Other aspects of morpho-syntax in which differences among various processual structures are encountered in various languages also fail to distinguish sufixed and cliticised anticausatives: according to Doron and Labelle (2010), French and Hebrew distinguish between processual and resultative anticausative structures. Processual constructions can have subjects with internally driven changes, while the resultatives cannot. In Polish this distinction does not seem to hold for sufixed and cliticised anticausatives: both types of verbs freely admit of patients undergoing the changes by themselves as well as due to the inluence of the second party: (14) a. Maria czerwienieje. Mary-NOM.SG redden-PRS.SG ‘Mary reddens.’ b. Józio czerwienił się co chwila. Józio-NOM.MASC.SG redden-PST.MASC.SG REF every moment ‘Józio reddened every moment.’ c. Czerwieniała wokół domu gleba. redden-PST.FEM.SG around house-GEN soil-NOM.FEM.SG na skutek reakcji chemicznych. because reaction-GEN.PL chemical ‘The soil reddened around the house because of chemical reactions.’ d. Woda czerwieniła się od krwi. water-NOM.FEM.SG redden-PST.FEM.SG REF from blood-GEN.SG ‘Water reddened from blood.’ We are not going to enumerate here all the tests which may distinguish the different kinds of change of state verbs. An extensive array is offered by Jabłońska (2007) and Malicka-Kleparska (2013). Sufice it to say that the data do not offer sound support for the position that sufixed and cliticised anticausatives in Polish differ in any way in their morpho-syntactic behaviour. Consequently, with the exception of those cases where particular forms have acquired specialised meanings, Polish synthetic and cliticised anticausatives constitute ideal morphological doublets (triplets). Before drawing any conclusions that concern the depiction of present-day anticausatives in the generative theory, let us consider the relationships of synthetic and analytic anticausatives in the history of Polish. 182 Anna Malicka-Kleparska 4. From Old Polish to Present-day Polish anticausatives We will begin with the Old Polish data which have been made available thanks to PolDi (a Polish Diachronic Online Corpus) and fully tagged for: Modlitewnik Nawojki (Naw), 1st h. 15th c., Kazania gnieźnieńskie (Gn), 1st h. 15th c., Ewangeliarz Zamojskich (EwZam), 2nd h. 15th c., Modlitwy Wacława (MW), 1482, Żywot świętego Błażeja (ZywBlaz), 1st h. 16th c., Rozmyślania przemyskie (RozPrz),1st h. 16th c., Biblia ks. Wujka (BW), 2nd h. 16th c.11 The interesting fact is that the sources from the 15th and the beginning of the 16th century use great numbers of analytic się formations (even in those cases where nowadays we do not have the cliticised particle), while synthetic forms are very few and far between. The forms are frequently even more analytic than the nowadays cliticised anticausatives, as the structures are formed with the particle się and the processual copula followed by an adjective used predicatively, instead of a lexical verb with the clitic się. Below we exemplify such uses: (15) (Gn) a. ten ci się jest {on} dzisia uczynił this-NOM.SG you-DAT.SG REF is-PRS.3SG he today made-COP.PSR.SG {barzo} niski i teże i stary much low-NOM.MASC.3SG and also old-NOM.MASC.3SG ‘He has become today very short and old.’ b. Się jest on dzisiaj uczynił małym REF is-PRS.3SG he today made-COP.PSR.3SG small-INS.MASC.3SG ‘He became small today.’ The most frequent ways of rendering the anticausative meanings are się analytic structures, which constitute the prevailing pattern: (16) a. iżci się jest [był] so-you-DAT.2SG REF is-PRS.3SG is-PST.3SG ‘So the prince was born to you.’ (Gn) b. Iże gdyż się on chce that that REF he-NOM.SG want-PRS.3SG ‘Because he wants to get younger.’ (Gn) 11 krolewic narodził prince-NOM.SG bear-PST.3SG odmłodzić become young-INF The last source comes from a slightly later period but includes an interesting example which we have decided to include in (18) below. Competing grammars or diachrony at work c. d. 183 Iżbyć się on na skończeniu świata ukazał as to REF he-NOM at end-DAT.SG world-GEN.SG show-PST.3SG ‘So that he would show up at the end of the world.’ (Gn) pirwej niżli w żywocie się poczęło earlier than in belly-INS.SG REF begin-PST.NEUT.3SG ‘Earlier than it began in the belly.’ (EwZam) In many cases the structures with the relexive particle present in the Old Polish sources do not correspond to any Present-day Polish structures. Consequently, we think that the analytic structure was even more frequent then than it is now:12 (17) a. badał się od nich (…) by się nie investigate-PST.3SG REF from them if REF not wracali do Heroda come back-PST.3PL to Herod ‘He asked them whether they were not coming back to Herod.’ (EwZam) b. A domnimującemu się ludu and think up-ADJ.PRT.DAT.MASC.SG REF people-DAT ‘And the thinking up people.’ (MW) c. przykazaniu twojem doświadczać będę się commandment-DAT.SG your obey-INF be-FUT.1SG REF ‘I will obey your commandment.’ (MW) d. podobnie ziemi i niebu przeminąć sie niżli more probable earth-DAT and heaven-DAT vanish-INF REF than twemu słowu your word-DAT ‘The earth and heaven will vanish more probably than Your word will.’ (RozPrz) Neither the verb badać się ‘to get to know, examine’ nor the verbs wracać się ‘to come back’, domnimywać się ‘to ask’, przeminąć się ‘to pass’ and doświadczać się ‘to experience’ are nowadays standard verbal structures in 12 Actually many other structures of Old Polish were much more analytic than they are today, e.g. the tense/aspect system, see Migdalski (2006: 40–43). 184 Anna Malicka-Kleparska Polish. Wracać się survived as a dialectal form, as did some other verbs used with the relexive particle in the analysed texts, but the realm of the relexive particle was obviously much more extensive in the past than it is in Present-day Polish. Synthetic anticausatives in Old Polish, at least judging by the available data, were few and far between and they were limited to a few repeated expressions. The verbs in the examples below are the only ones that we have been able to ind in our sources. Notice also that most of them come from a single source, namely (RozPrz): (18) a. byli poczęli schnąć be-PST.3PL begin-PST.3PL dry-INF ‘They began to dry up.’ (RozPrz) b. A przeto musiło uschnąć and so must-PST.NEUT.3SG dry-INF ‘And so it had to dry up.’ (RozPrz) c. A jako począł tonąć and because begin-PST.3SG sink-INF ‘And because it began to sink.’ (RozPrz) d. Ktorzy pobici, a też iżbt takież mieli who-NOM.PL beaten up and in case that also be about-PST.3PL poginąć slaughter-INF ‘Who were beaten up, and in case they were to be slaughtered.’ (RozPrz) e. goracy jemu w oczy upadnie, tak iże rącze hot-NOM.SG him in eye-INS.PL fall-FUT.3SG so that quickly oślną get blind-FUT.3PL ‘[It] will fall hot into his eyes, so that they will quickly go blind.’ (BW) So it seems that in Old Polish anticausative verbs formed with sufixes were very infrequent. The situation had changed signiicantly by the middle of the 20th century. An extensive analysis of anticausatives from that period of time is presented by Damborsky (1961). He notices that de-nominal formations were Competing grammars or diachrony at work 185 especially productive and quotes whole semantic chains of similar forms that were created with a single sufix.13 For example: (19) psuć ‘to spoil’ pleśnieć ‘to get mouldy’ kwaśnieć ‘to go sour’ jełczeć ‘to become rancid’ gorzknieć ‘to go bitter’ butwieć ‘to rot’ By that time both -e- and -ną- sufixes were widespread in Polish and, strangely enough, they competed for the same basic roots. According to Damborsky (1961), many doublets appeared, e.g.: (20) blednieć – bladnąć blednąć ‘to whiten’ chłodnieć – chłodnąć ‘to grow cold’ chudnieć – chudnąć ‘to grow slim’ kisieć – kisnąć ‘to grow sour’ kwitnieć – kwitnąć ‘to lower’ rzednieć – rzednąć ‘to grow thin’ słabnieć – słabnąć ‘to grow weak’ ślepieć – ślepnąć ‘to grow blind’ tęchnieć – tęchnąć ‘to become less swollen’ więdnieć – więdnąć ‘to grow limp’ gęstnieć – gęstnąć ‘to grow thick’ gorzknieć – gorzknąć ‘to grow bitter’ Nowadays these sufixed doublets no longer coexist. Even in the middle of the 20th century Damborsky (1961) noticed the tendency of –ną– forms to oust the –e– forms. However, contrary to his predictions, a random choice of forms sufixed either with –e– or –ną– survived to our times. In his very own list gęstnieć and gorzknieć ousted the –ną– rivals. The body of data analysed by Damborsky allows us to draw an interesting conclusion: sufixed forms drive out other sufixed forms, while no interrelations can be noticed between the sufixed anticausatives and się forms. Damborsky does not mention these anticausatives as he is interested in what he perceives as morphological phenomena, while the element się may be seen as a semi-detached morpho-syntactic formant, since it is a clitic. Nevertheless, we may safely assume that between the times of Old Polish and Early 20th century Polish the cliticised 13 Damborsky (1961) based his analysis on the forms supplied in Tokarski (1951). 186 Anna Malicka-Kleparska formations did not disappear as they are present in historical sources and attested now in great numbers.14 Possibly the mechanism which secures the preservation of single forms based on a common root and meaning the same thing, which may be called blocking (see Aronoff 1976), operates more easily between structures using the same morphological devices, or possibly between structures having a similar derivational history (or the same grammatical structure – see Embick 2008). Notice that the forms in –e– and in –ną– are very similar in structure. In both kinds of formations the sufix would constitute the middle voice head introduced in the derivation (see (9) above). On the other hand, the forms with się have undergone a lexicalisation process from relexive-like formations to true anticausatives.15 A tendency to eliminate some –e– derivatives is also observed today: interestingly it does not necessarily affect doublets. On the contrary, in Present-day Polish many –e– derivatives are felt to be obsolescent or obsolete, in spite of the fact that they do not have competing –ną– derivatives (or even any other competing forms). In (21) below some such forms have been enumerated. The list is selective and many more formations have been affected: (21) niemczeć ‘to become German-like’ wycienczeć ‘to grow weak’ mroczeć ‘to grow dark’ polszczeć ‘to grow Polish’ zruszczeć ‘to grow Russian’ pryszczeć ‘to break out in spots’ durzeć ‘to get dizzy’ trupieszeć ‘to become dead’ zmniszeć ‘to become like a monk’ zuchwaleć ‘to get bold’ rozgorzeć ‘to burst in lames’ poblednieć ‘to get white’ rozdnieć ‘to become daytime’ 14 This statement can be supported e.g. by the text of Konsytucja 3 maja (1791), which contains analytic anticausatives: odmieniać sie też prawa ludzkie mają ‘Human laws may also change’, rozpoczynać się ma co dwa lata ‘It must begin every two years’, bez dzielnej władzy wykonawczej ostać się nie może ‘Without a good executive power it cannot survive’. 15 Some sources treat Slavic anticausatives with ‘relexive’ formatives as basically relexive in character (see e.g. Junghanns et al. 2011) but formed from verbs with unspeciied causers. Competing grammars or diachrony at work 187 zlenieć ‘to grow lazy’ zbezsilnieć ‘to get weak’ szpetnieć ‘to grow ugly’ osmutnieć ‘to get sad’ zmożnieć ‘to become richer’ skąpieć ‘to get miserly’ zrusieć ‘to become Russian’ skulawieć ‘to become lame’ znicestwieć ‘to disppear’ orzeźwieć ‘to get sober’, etc. Some of the gaps introduced by the diachronic changes in (21) can be explained away because the concepts the anticausatives referred to went out of use. For instance derivatives like: niemczeć ‘to become German-like’, zruszczeć ‘to grow Russian’, zrusieć ‘to become Russian’ may have become less necessary since Poland re-gained its political freedom. However, derivatives like zlenieć ‘to grow lazy’ seem of timeless and universal signiicance. Such a gap looks even stranger in light of the fact that the existing analytic form lenić się has the stative meaning ‘to behave like a sluggard’. The meaning of becoming lazy, expected of anticausatives, has to be expressed with a preixed się form – rozleniwić się ‘get to be lazy’. In some cases the competing się forms seem to have won over the synthetic forms, now obsolete (22) (obs.) (obs.) (obs.) (obs.) (obs.) (obs.) (obs.) niszczeć – niszczyć się ‘to get destroyed’ poniszczeć – poniszczyć się ‘to get damaged’ starzeć – postarzeć się ‘to grow old’ srożeć – rozsrożyć się ‘to get severe’ mgleć- zamglić się ‘to become foggy’ wyludnieć – wyludnić się ‘to get devoid of people’ wyjaśnieć – rozjaśnić się ‘to get lighter’ The analysis above presents a very odd picture. By and large, throughout the recorded history of Indo-European languages one can observe a persistent distinction between the more synthetic and the more analytic ways of forming anticausatives, with both techniques being used. Although the evidence we have is too scarce to speculate about the lexical nature of the data from ProtoIndo-European, the more recent data from Old, Modern and Present-day Polish allow us to see that the stable pattern of the two juxtaposed techniques for forming anticausatives (in varying numbers) has been observed for hundreds of years. 188 Anna Malicka-Kleparska 5. Conclusion – modelling synchronic systematic doublets Haspelmath (1993) puts forward a universal hypothesis that seems promising for our system. According to him, causative formations are rare in externally caused situations, while anticausatives are infrequent with natural states. If we follow his line of reasoning, we should expect strongly iconic anticausatives with externally caused states, while less iconic ones – with natural states or internally caused states. We have shown that the synthetic pattern is morphologically simpler – it is marked by a single sufix. The analytic pattern not only contains a relexive particle, the causativising sufix, but also (frequently) a preix characteristic of Slavic accomplishments. Consequently, the presence of both patterns at a given period of the language’s development could be explained, again following Haspelmath’s (1993) reasoning, if a distinction in the use of these patterns could be proved, i.e. the respective anticausative patterns would correspond to verbal stems based on distinct classes of roots (internally and externally caused). This hypothesis does not seem to work. If any interrelations between the two patterns can be observed, these are blocking phenomena concerning derivatives based on individual roots, so with the same causation patterns (see (5), (20) and (22) above).16 Likewise, many ‘internally caused’ synthetic forms went out of use – which would not be a result predicted within Haspelmath’s (1993) system: (23) Obsolete ‘internally caused’ synthetic anticausatives: wycienczeć ‘to grow weak’ trupieszeć ‘to become dead’ zlenieć ‘to grow lazy’ zbezsilnieć ‘to get weak’ szpetnieć ‘to grow ugly’ osmutnieć ‘to get sad’ skąpieć ‘to get miserly znicestwieć ‘to disppear’ niszczeć ‘to worsen’ srożeć ‘to get more severe’ starzeć ‘to grow old’ Consequently, Haspelmath’s (1993) analysis does not seem to be explanatory for the Polish material. 16 According to Haspelmath’s (1993) vein of thought, the type of causation for a given change of state would have to be connected with the lexical representation of the verbal root. Competing grammars or diachrony at work 189 Another possible explanation for the pattern of two anticausative mechanisms persisting in Polish would be a conception involving two distinct competing grammars (see Kroch 1994). Such grammars could coexist through a certain period of time. However, taking into consideration the relative uniformity of the Polish language and the length of time during which the grammars would have to compete, this explanation does not strike us as very convincing either. Embick (2008) voices a different theory – according to him the competing forms of the kind illustrated by Polish anticausatives would constitute a case where different portions of language material ill up the same grammatical structure – presumably in the grammars of individual speakers. This conception, however, does not hold for the Polish data either: in the case of a single speaker two types of expressions seem to function side by side. For instance, in one work by a single writer both synthetic and analytic anticausatives co-occur freely, even when they are based on the same root. The examples in (24) below come from Noce i dnie by Maria Dąbrowska: (24) a. Niechta – szepnęła Rozalia czerwieniejąc. ‘So be it – whispered Rozalia growing red.’ b. Barbara czerwieniła się i pomijała to milczeniem. ‘Barbara grew red and kept silent about it.’ c. oczy (…) łatwo czerwieniejące ‘eyes reddening easily’ d. rzekł czerwieniąc się Niechcic ‘Said reddening Niechcic.’ e. Przemókł i dygotał tak strasznie ‘He was soaked through and trembled something awful.’ f. Róże całą noc moczyły się w umywalni i są świeżutkie. ‘The roses soaked the whole night in the sink and are fresh.’ g. płonęło mnóstwo świec ‘A lot of candles were lit.’ h. paliła się zdjęta ze ściany gromnica ‘A candle taken from the wall was lit.’ Dąbrowska uses both structures interchangeably in contexts where they do not characterise the utterances of particular protagonists, but in her own narration. Neither can we ind a reason why she should have chosen one form over the other in the particular contexts in (24) above. 190 Anna Malicka-Kleparska No explanation of the existing situation presents itself which would be in tune with the economy requirement of Chomskian inborn, universal grammar. We do not try to imply that this model of grammar is not realistic. This body of data either awaits a future explanation, or, as we believe, like the exceptions to the operation of particular rules are found in natural languages, so in the overall system of grammar there may be some idiosyncratic realms, and anticausatives in Polish constitute such a rare case. Sources BW = Biblia ks. Wujka. In A. Danszczyk, B. Hansen, T. Menzel, and R. Meyer. (eds.), PolDi – a Polish Diachronic Online Corpus, part of Korpusportal Slavische Sprachen Regensburg. Available at: http://rhssl1.uni-regensburg. de/SlavKo/korpus/poldi. Dąbrowska, M. 1932. Noce i dnie. Warszawa: Czytelnik. EwZam = Ewangeliarz Zamojskich. In A. Danszczyk, B. Hansen, T. Menzel, and R. Meyer. (eds.), PolDi – a Polish Diachronic Online Corpus, part of Korpusportal Slavische Sprachen Regensburg. Available at: http://rhssl1. uni-regensburg.de/SlavKo/korpus/poldi. Gn = Kazania gnieźnieńskie. In A. Danszczyk, B. Hansen, T. Menzel, and R. Meyer. (eds.), PolDi – a Polish Diachronic Online Corpus, part of Korpusportal Slavische Sprachen Regensburg. Available at: http://rhssl1.uni-regensburg. de/SlavKo/korpus/poldi. Konstytucja 3 maja = Konstytucja 3 maja. 1791. In A. Danszczyk, B. Hansen, T. Menzel, and R. Meyer. (eds.), PolDi – a Polish Diachronic Online Corpus, part of Korpusportal Slavische Sprachen Regensburg. Available at: http:// rhssl1.uni-regensburg.de/SlavKo/korpus/poldi. MW = Modlitwy Wacława. In A. Danszczyk, B. Hansen, T. Menzel, and R. Meyer. (eds.), PolDi – a Polish Diachronic Online Corpus, part of Korpusportal Slavische Sprachen Regensburg. Available at: http://rhssl1.uni-regensburg. de/SlavKo/korpus/poldi. Naw = Modlitewnik Nawojki. In A. Danszczyk, B. Hansen, T. Menzel, and R. Meyer. (eds.), PolDi – a Polish Diachronic Online Corpus, part of Korpusportal Slavische Sprachen Regensburg. Available at: http://rhssl1.uni-regensburg. de/SlavKo/korpus/poldi. Przepiórkowski, A., M. Bańko, R. Górski, and B. Lewandowska-Tomaszczyk. (eds.). 2012. Narodowy Korpus Języka Polskiego. Warszawa: Wydawnictwo Naukowe PWN. Psałterz loriański = Ganszyniec, R., W. Taszycki, and S. Kubica. (eds.). 1939. Competing grammars or diachrony at work 191 Psałterz Floriański, łacińsko-polsko-niemiecki. Rękopis Biblioteki Narodowej w Warszawie, wydany staraniem Ludwika Bernackiego. Lwów: Zakład Narodowy im. Ossolińskich. RozPrz = Rozmyślania przemyskie. In A. Danszczyk, B. Hansen, T. Menzel, and R. Meyer. (eds.), PolDi – a Polish Diachronic Online Corpus, part of Korpusportal Slavische Sprachen Regensburg. Available at: http://rhssl1. uni-regensburg.de/SlavKo/korpus/poldi. ZywBlaz = Żywot świętego Błażeja. In A. Danszczyk, B. Hansen, T. Menzel, and R. Meyer. (eds.), PolDi – a Polish Diachronic Online Corpus, part of Korpusportal Slavische Sprachen Regensburg. Available at: http://rhssl1. uni-regensburg.de/SlavKo/korpus/poldi. References Alexiadou, A., and E. Doron 2012. The syntactic construction of two non-active voices: passive and middle. Journal of Linguistics 48(1): 1–34. Aronoff, M. 1976. Word formation in generative grammar. Cambridge, MA: MIT Press. Cennamo, M., T. Eythórsson, and J. Barðdal. (in press). The rise and fall of anticausative constructions in Indo-European: the context of Latin and Germanic. To appear in L. Kulikov, and N. Lavidas (eds.), Typology of labile verbs: focus on diachrony. Chomsky, N. 1969. Linguistics and philosophy. In S. Hook (ed.), Language and philosophy, 51–94. New York: New York University Press. Chomsky, N. 1980. Rules and representations. New York: Columbia University Press. Chomsky, N. 2000. New horizons in the study of language and mind. Cambridge: Cambridge University Press. Damborsky, J. 1961. Czasowniki mimowolnego stanu. Język Polski 41: 173–195. Doron, E., and M. Labelle. 2010. An ergative analysis of French valency alternations. In J. Herschensohn (ed.), Romance linguistics 2010: selected papers from the 40th Linguistic Symposium on Romance Languages (LSRL), Seattle, Washington, March 2010, 137–154. Amsterdam, Philadelphia: John Benjamins Publishing Company. Embick, D. 2008. Variation and morphosyntactic theory: competition fractionated. Language and Linguistics Compass 2(1): 59–78. Embick, D. 2009. Roots, states, and stative passives. Abstract for Root Workshop, University of Stuttgart. 192 Anna Malicka-Kleparska Filip, H. 2013. Slavic aspect: a constantly moving goal. Paper presented at the 10th European Conference on Formal Description of Slavic Languages, University of Leipzig. Gorbachov, Y. 2007. Indo-European origins of the nasal inchoative class in Germanic and Balto-Slavic. Ph.D. diss., Cambridge, Harvard University. Gussmann, E. 2007. The phonology of Polish. Oxford: Oxford University Press. Haspelmath, M. 1993. More on the typology of inchoative/causative verb alternations. In B. Comrie, and M. Polinsky (eds.), Causatives and transitivity, 87–120. Amsterdam, Philadelphia: John Benjamins Publishing Company. Jabłońska, P. 2007. Radical decomposition and argument structure. Ph.D. diss., Tromsø, University of Tromsø. Jasanoff, J. 2002–2003. Stative *-ē- revisited. Die Sprache 43(2): 127–170. Junghanns, U., D. Fermann, and D. Lenertová. 2011. Decausatives in a minimal theory of relexive marking. Paper presented at the 9th European Conference on Formal Description of Slavic Languages, University of Göttingen. Kroch, A. 1994. Morphosyntactic variation. In K. Beals (ed.), Papers from the 30th Regional Meeting of the Chicago Linguistic Society: Parasession on Variation and Linguistic Theory, 180–201. Chicago: Chicago Linguistic Society. Kulikov, L. 2007. The relexive pronoun in Vedic: a diachronic and typological perspective. Lingua 117: 1412–1433. Kulikov, L. 2008. The V type patáyati revisited: semantic oppositions, pragmatic relationships and historical connections. In A. Lubotsky, J. Schaeken, and J. Wiedenhof (eds.), Evidence and counterevidence. Essays in honour of Frederik Kortlandt, Volume I, 323–343. Amsterdam, New York: Rodopi. Kulikov, L. 2011. Passive to anticausative through impersonalization: the case of Vedic and Indo-European. In A. Malchukov, and A. Siewierska (eds.), Impersonal constructions. A cross-linguistic perspective, 229–254. Amsterdam, Philadelphia: John Benjamins Publishing Company. Laskowski, R. 1984. Kategorie morfologiczne języka polskiego – charakterystyka funkcjonalna In R. Grzegorczykowa, R. Laskowski, and H. Wróbel (eds.), Morfologia, 121–163. Warszawa: PWN. Łazorczyk, A. 2010. Decomposing Slavic aspect: the role of aspectual morphology in Polish and other Slavic languages. Ph.D. diss., Columbia, University of South California. Malicka-Kleparska, A. (in press). Limitations on zero internal arguments in Polish verbal system: transitives with corresponding derivatives in roz-. Roczniki Humanistyczne. Malicka-Kleparska, A. 2013. Root-based or lexicalist approach in verbal morphosyntax: Polish non-active morphology. Poznań Studies in Contemporary Linguistics 49(4): 531–555. Competing grammars or diachrony at work 193 Marantz, A. 1984. On the nature of grammatical relations. Cambridge, MA: MIT Press. Migdalski, K. 2006. The syntax of compound tenses in Slavic. Utrecht: LOT. Ozga, J. 1976. Clitics in English and Polish. Poznań Studies in Contemporary Linguistics 4: 127–140. Romanowa, E. 2007. Constructing perfectivity in Russian. Ph.D. diss., Tromsø, University of Tromsø. Available at: http:/hdl.handle.net/10037/904. Slabakova, R. 2003. Semantic and morphological relexes of functional categories: the case of telicity marking in L2 Russian. In J. M. Liceras, H. Zobl, and H. Goodluck (eds.), Proceedings of the 6th Generative Approaches to Second Language Acquisition Conference (GASLA 2002), 284–297. Somerville: Cascadilla Proceedings Project. Steiner, A. 1889. Odmiana zaimka i przymiotnika w języku staropolskim na podstawie kodeksu Floryeńskiego ze stanowiska gramatyki porównawczej. Zakończenie. In Sprawozdanie dyrektora wyższego gimnazjum w Brzeżanach za rok szkolny 1889. Tokarski, J. 1951. Czasowniki polskie (formy, typy, wyjatki). Warszawa: S. Arcta. Wróbel, H. 1984. Słowotwórstwo czasowników. In R. Grzegorczykowa, R. Laskowski, and H. Wróbel (eds.), Morfologia, 467–511. Warszawa: PWN. 194 Guohua Zhang The ambiguous status of Polish demonstratives 195 The ambiguous status of Polish demonstratives Ewelina Mokrosz Abstract: The paper discusses the ambiguous nature of demonstrative pronouns in Polish. The irst part focuses on the syntactic identiication of demonstratives. The second part closely examines the multifaceted nature of the lexical item to which is homophonous to the neuter demonstrative pronoun to. A number of tests show that it is dificult to reach a irm decision about whether nominal expressions in Polish are projected with an NP or a DP. The grammaticality of Left Branch extraction and Adjunct extraction from nominal expressions containing demonstratives indicates that Polish nominals are NPs. This conclusion has to be abandoned when one considers the lack of a c-command relation between a possessive pronoun adjoined to NP and a proper name within the same clause. Another identiication question concerns the status of a speciier or a D-head. Declension endings, word order lexibility, and parenthetical expressions point to the adjectival nature of demonstratives. Yet, following Bošković (2013) and MiechowiczMathiasen (2013), it is possible to prove that demonstratives in Polish behave like fully-ledged heads. The second part of the paper presents the application of the two cycles postulated by van Gelderen (2011) to Polish demonstratives. The irst cycle is called a DP cycle. The evidence for the presence of the DP cycle in Polish remains inconclusive as Polish lacks articles. The pronominal copular cycle, on the other hand, can be shown to successfully engage Polish demonstratives, in particular the Polish demonstrative to. Key words: demonstrative pronoun, nominal phrase, grammatical reanalysis 1. Introduction The main aim of this paper is to check whether van Gelderen’s (2011) cycles of grammatical reanalysis are applicable to Polish demonstrative pronoun(s). Since van Gelderen’s analysis places special importance on the phrasal status, i.e., head or speciier, of the element beginning the cycle, the irst part of the discussion is an attempt to determine the phrasal status of Polish demonstratives (Section 2). Section 3 closely examines possible grammatical reanalyses involving Polish demonstratives. It will be argued that only one of them, namely, the pronominal copular cycle, can be clearly observed in Polish.1 1 The following abbreviations are used throughout this paper: ACC=accusative, DAT=dative, FEM=feminine, FUT=future, GEN=genitive, INS=instrumental, LOC=locative, MASC=masculine, NEUT=neuter, NOM=nominative, PL=plural and SG=singular. 196 Ewelina Mokrosz 1.1. The data The data in section 2 include nominal expressions that contain demonstrative pronouns. The demonstratives under investigation are incorporated in the following set of examples. (1) a. Ten this-MASC b. Ta this-FEM c. To this-NEUT mężczyzna man kobieta woman dziecko child Section 3 pays special attention to the item to, which, in its uses other than the one in (1c), appears to be connected with the homophonous demonstrative to. The different embodiments of to that are of interest in this paper are listed in (2).2 (2) a. Maria to (jest) moja siostra. Maria-NOM TO is my sister-NOM ‘Mary is my sister.’ b. To Marii Jan dał kwiaty. TO Mary-DAT John-NOM gave lowers-ACC ‘It is Mary that John gave lowers to.’ c. Marii to Jan dał kwiaty. Mary-DAT TO John-NOM gave lowers-ACC ‘As for Mary, John gave her lowers.’ d. ten to świat this TO world-NOM ‘this world’ In (2a) to is argued, for example, by Citko (2008), to function as a pronominal copula in contrast to the verbal copula jest ‘be, 3rd, SG’, in the same example. To in (2b) and (2c) is said to explicitly introduce foci and topics, respectively (Tajsner 2008). The type of to presented in (2d) abounds in Old Polish texts. Its use, however, is not listed by the PWN Polish dictionary. 2 Throughout the paper, TO represents a particle that can have different functions in a sentence. The ambiguous status of Polish demonstratives 197 1.2. Theoretical background The analyses presented in this paper revolve around the main assumptions of the Minimalist Program (Chomsky 2000, 2001, 2008), which explicitly sets the boundaries for syntactic movements. The assumptions in question are phrased in terms of principles such as the (anti)locality principle and the Phase Impenetrability Condition (henceforth the PIC). According to van Gelderen (2011), the changes affecting pronouns, including demonstratives, are guided by the Economy Principles, which express the very nature of the minimalist derivation. Van Gelderen (2011) formulates two distinct principles pertaining to the Economy Principles that are the foundations of reanalyses taking place in any language. These are the Head Preference Principle (HPP) and the Late Merge Principle (LMR). The deinitions, quoted after van Gelderen (2011: 40), are given in (3) and (4) respectively. (3) Head Preference Principle Be a head, rather than a phrase, that is, ‘analyse something as small as possible’ (4) Late Merge Principle Merge as late as possible The principle in (3), to a great extent, describes a change in the nature of features. Speciically, the reanalysis of phrases as heads involves the reanalysis of phi features from interpretable to uninterpretable and from semantic to grammatical ones. The second principle refers to a change in the original position of a given item. At some point a given item is born in the structural position to which it used to move. 2. Demonstratives in the Polish nominal phrase In this section an attempt will be made to determine the status of demonstratives in Polish. A battery of tests circulating in the literature on Slavic nominal phrases will be applied to Polish demonstratives to see whether they behave like typical D-elements heading the DP phrase, such as articles in English, or whether they have the status of adjuncts, like adjectives. Before this is done, some new pieces of evidence will be revealed as a contribution to the debate on the DP/NP status of nominals in Polish. 198 Ewelina Mokrosz 2.1. DP/NP status of nominals in Polish There is disagreement over the type of phrase nominals are projected with in Polish. Corver (1990), Willim (2000) and Bošković (e.g., 2012) maintain that an article-less language such as Polish has an NP projection but lacks a DP projection. Rutkowski (2007) and Miechowicz-Mathiasen (2013) represent the opposite stance, under which Polish has a DP projection like other languages that possess articles. Bošković (2009, 2012) provides the widest range of tests on the DP/NP status of a given language, and, on the basis of them, he makes cross-linguistic generalisations which inevitably associate article-less languages with an NPprojection and languages with articles with a DP-projection. The two most popular tests revealing the DP/NP status are Left Branch extraction (henceforth LBE) and Adjunct extraction. Both of them are applied to Polish below.3 (5) Teni Maria polubiła .i. kapelusz. this Mary-NOM liked hat-ACC ‘This hat Mary liked.’ LBE (6) *Tei Maria these Mary-NOM LBE śpiewała .i. nasze piosenki. sang our songs-ACC (7) [Od kogo]i czytasz te listy from whom reading those letters-ACC ‘From whom are you reading those letters?’ .i.? (8) ?[Z której półki]i czytasz te nasze książki .i.? from which shelf-GEN reading those our books-ACC Adjunct extraction Adjunct extraction According to Bošković (2009), LBE is ungrammatical in DP languages because the movement of the elements from an NP is blocked by the anti-locality principle. Speciically, under the PIC an item from within the phase, i.e., the complement of the phase head, is unavailable unless it escapes via the edge of the phase. An escape from the NP to the Spec, DP is impossible according to Bošković because the movement in question would be too short (the above-mentioned anti-locality principle) as it does not cross at least one phrase boundary. NP languages, which lack the DP level, allow both types of extraction. The grammaticality of the 3 Corver (1990: 330) demonstrates the grammaticality of LBE in Polish. No examples with demonstratives are included in his work except for the ones with the interrogative pronoun który ‘which’. The ambiguous status of Polish demonstratives 199 sentences in (5), (7) and (8) demonstrates that Polish copies the behaviour of other article-less languages, which, as noted by Bošković (2012), should be indicative of its NP status. Pereltsvaig (2013), who is in favour of a universal DP-projection, explains the movement of a demonstrative with the process of scattered deletion. That is, in the case of two copies of the same item, only parts of each phrase are spelled out. This explanation could work for (5) but examples like the one in (6) would still be problematic. It seems that neither scattered deletion nor Bošković’s (2009) NP analysis explains the slight unacceptability of (8) as well as the difference in grammaticality between (5) and (6). Despić (2011: 32) reports that, as claimed by Bošković (2005, 2009) and Zlatić (1997), pronominal modiiers (demonstratives, possessives and adjectives) in Serbo-Croatian (henceforth SC) are adjoined to the NP they modify. Following Kayne (1994), Despić assumes that speciiers may c-command out of their projections. Thus, if an item adjoined to an NP can c-command out of its projection, it cannot be dominated by any other projection. Since possessive pronouns c-command proper names in SC, as in (9) and (10), but not in English, as in (11), it is the former that have NP-projections and the latter which have DP-projections. The DP phrase is an additional phrase that blocks c-commanding by the possessive. (9) SC *Kusturicini najnoviji ilm Kusturica-GEN latest ilm Despić (2011: 31) gai je him is (10) SC *Njegovi najnoviji ilm je zaista his latest ilm is really Despić (2011: 31) zaista really razocarao. disappointed razocarao Kusturicui. disappointed Kusturica (11) Hisi father considers John i highly intelligent. Despić (2011: 28) The following Polish example shows an interesting deviation. If Polish were like other NP-languages, such as SC, one could expect that examples such as (12) would be ungrammatical. Its grammaticality shows that there must be some additional projection which prevents the possessive from c-commanding into the clause in Polish. 200 Ewelina Mokrosz (12) Jegoi brat często goi odwiedza. his brother-NOM often him visits ‘His brother often visits him.’ Willim (1989: 71) It could be that the blocking phrase is indeed a DP. However, the extraction possibilities would then remain unexplainable.4 With a slight reservation with regard to the DP/NP status of the nominal expression in Polish, we proceed to the next section, in which the focus is on the head and speciier features of demonstratives.5 2.2. Double nature of demonstratives This section aims at deining the status of demonstratives. Namely, the irst part tests demonstratives with regard to their speciier properties, while the second part points to their features which are typical of heads. Bošković (2004, 2005) and Zlatić (1997) maintain that demonstratives and possessives in SC are semantically and syntactically adjectives. The same conclusion is reached for Polish by Corver (1990). Speciically, Corver (1990) observes that Polish adjectives share many features with demonstratives as well as possessive pronouns. These are: (i) the same declension endings, (ii) their occurrence as predicates in copula-constructions and (iii) their word order possibilities.6, 7 4 5 6 7 Miechowicz-Mathiasen (2013), who is in favour of a DP analysis of Polish, argues that extraction is ungrammatical when D is overt. This would, for example, explain the difference in grammaticality between (i) and (ii). (i) *Stare Janek śpiewał te piosenki old-PL John-NOM was-singing these songs-ACC (ii) Stare Janek śpiewał piosenki was-singing songs-ACC old-PL John-NOM ‘Old songs John was singing’. It has to be noted that not all sentences with adjectives preceding a demonstrative are ungrammatical, which is conirmed by (iii). (iii) Ładną masz tą sukienkę. nice-ACC have this dress-ACC ‘You have a nice dress.’ It is possible that adjectives in examples like the one in (iii) do not originate as other adjectives inside DP but, most likely, they function as secondary predicates. For further numerous tests conirming the NP-status of Polish, the reader is referred to Bošković (2012). It has to be noted that no Polish examples are provided in his work. Corver (1990) provides no examples with Polish demonstratives. As for the similarity of declensions between demonstratives and adjectives, the reader is referred to Swan (2002: 126, 171). 201 The ambiguous status of Polish demonstratives Examples illustrating features (ii) and (iii) are provided in (13)–(15). (13) a. Ta książka this-FEM book-NOM ‘This book is interesting.’ b. Ta książka this-FEM book-NOM ‘This book is mine.’ jest is ciekawa. interesting jest moja. is mine (14) a. *Ta książka jest ta /tą. this-FEM book-NOM is this-FEM.NOM /this-FEM.INS b. Ta książka jest *ta /tą, na this-FEM book-NOM is this-FEM.NOM /this-FEM.INS on czekałam. waited ‘This is the book I was waiting for.’ którą which-ACC (15) a. ta piękna dziewczyna this beautiful girl-NOM b. piękna ta dziewczyna c. piękna dziewczyna ta d. ta dziewczyna piękna e. dziewczyna ta piękna f. dziewczyna piękna ta The grammaticality of (13b) with a possessive pronoun in a postcopular position indicates its similarity to adjectives which are also licit in this position (see (13a)). Demonstratives, however, turn out to be ungrammatical in the same place, as presented in (14a). The same example, i.e., (14a), shows that the change of the case form from nominative to instrumental borne by nouns in the postcopular positions of predicational copular clauses does not improve the grammaticality of the sentence unless the demonstrative is modiied by a relative clause, as shown in (14b). In (15) the Polish translations of the Czech phrases, originally provided by Corver (1990: 333), show, however, that demonstratives have as lexible an ordering as adjectives. The permissiveness with regard to ordering inevitably indicates that demonstratives are like adjectives. As D-elements, they would have to consistently precede them. 202 Ewelina Mokrosz A parenthetical expression between a demonstrative and a noun, as in (16), may also be indicative of the fact that demonstratives do not occupy a head position but they are placed in a speciier position. The ungrammaticality of the parenthetical in the same context would show that the demonstrative and the nominal form a constituent, i.e. they remain in a head-complement relation. (16) Ta ogólnie rzecz ujmując nasza błoga niewiedza this-FEM generally thing taking our blissful ignorance-NOM ‘this generally speaking blissful ignorance’ In support of the head analysis of adjectives (adjectives taking nouns as their complements) in languages such as English, Bošković (2005, 2009) adduces an example, which, according to him, shows an adjective blocking case assignment. (17) the real him/*he will never surface. Bošković (2005: 22) (18) Nienanawidzę tej prawdziwej I-hate this-FEM.GEN real ‘I hate the true her.’ jej her-GEN /*ona. /she The adjective real in (17) is positioned between the head assigning case and the personal pronoun. As a result only the accusative, i.e., the default case in English, is grammatical on the personal pronoun. The blocking in question may take place when the intervening element is a head. As presented in (18), neither the demonstrative tej nor the adjective prawdziwej disrupts the genitive case assignment by the verb; thus, both can be argued to occupy speciier positions of N.8 Miechowicz-Mathiasen (2013) argues that examples like the one in (19) below with a personal pronoun followed by a noun show that Polish nominal expressions always have a DP. The pronoun occupies the head of a DP, while the noun is in the N head. Bearing that in mind, it is expected that demonstratives will be ungrammatical when inserted in such examples if they also occupy D. This prediction is borne out in the case of demonstratives, as in (20).9 8 9 Demonstratives with pronouns in a subject position are not informative because the nominative is assumed to be a default case in Polish. One cannot fail to notice that when a demonstrative follows a personal pronoun, the sentence appears to be acceptable. Such sentences, however, require further consideration and possibly an analysis as appositives. (i) my ci lekarze we-NOM these doctors-NOM The ambiguous status of Polish demonstratives 203 (19) my lekarze we doctors-NOM (20) *ci my these-NOM we-NOM lekarze doctors-NOM Miechowicz-Mathiasen (2013) also argues that the intensifying pronoun sam ‘self’ occupies the head D in Polish. In the case of sam followed by a pronoun, as in (21), an additional DP projection is needed above the DP already headed by the personal pronoun oni. Example (22a) turns out to be grammatical, as opposed to (22b), because in the former the noun lekarze occupies N, while in the latter, the ungrammatical one, both pronouns, i.e., the demonstrative and personal pronoun, most plausibly compete for the same position, i.e., the head D. (21) sami oni self they-NOM ‘they themselves’ (22) a. sami ci lekarze self these-NOM doctors-NOM ‘the doctors themselves’ b. *sami ci oni self these-NOM they-NOM Miechowicz-Mathiasen (2013) in her discussion of the intensiier sam in Polish provides a number of arguments in favour of the head status of the intensiier. One of them refers to the fact that sam cannot be modiied by intensiiers such as bardzo ‘very’ but it can be preceded by focusing adverbs such as nawet ‘even’ and tylko ‘only’. The examples with demonstratives below yield the same grammaticality judgements as in the case of the intensiier. (23) *bardzo ten very this-NOM król king-NOM (24) Nawet/tylko ten król even/only this-MASC king-NOM ‘even this king’ 204 Ewelina Mokrosz Another test concerns the complements of phases. In particular, Bošković (2013: 8), following Abels (2003), assumes that the complements of phasal heads cannot move. Bošković (2013) also argues that it is always the highest phrase of a lexical head that functions as a phase regardless of the type of projection. If Polish lacked the DP projection, the complement of a phasal head N could not be moved. This is conirmed by example (25b) but not (25a). The difference between (25a) and (25b) is hard to explain unless one assumes the existence of the DP in Polish and accepts the ban on extraction in the presence of a illed D postulated by Miechowicz-Mathiasen (2013). (25) a. [mojej siostry]i koleżanka .i.. my sister-GEN friend-NOM ‘my sister’s friend’ b. *[mojej siostry]i ta koleżanka my sister-GEN this friend-NOM .i.. With a DP-projection present in Polish, it should be ungrammatical to move an NP functioning as a complement of D. (26) a. [Tą koleżankę mojej siostry]i Jan spotkał .i.. this-FEM.ACC friend-ACC my sister-GEN John-NOM met ‘My sister’s friend John met.’ b. *[Koleżankę mojej siostry]i Jan spotkał tą .i.. friend-ACC my sister-GEN John-NOM met this-FEM.ACC If the Polish demonstrative were an NP adjunct and, thus, a part of a D-complement, examples like (26a) should be ungrammatical. However, in a case such as (26a) it is impossible to tell whether we are dealing with a full DP movement or a complement NP movement if one assumes that tą is an NP-adjunct. Thus, example (26a) must be abandoned as uninformative. If the demonstrative were a D head, its complement could not be moved. This assumption is conirmed by (26b). Generally, the sentences above in (25b) and (26b) show that the part of a phrase following a demonstrative cannot move, which could point to the fact that demonstratives occupy the head of a phase, which is a DP. Other modiiers, such as adjectives or possessive pronouns, which adjoin to the nominal projection, seem to allow a movement of the phrase immediately following them. The ambiguous status of Polish demonstratives 205 (27) Dom Jan kupił ładny (a samochód już nie). house-ACC John-NOM bought nice but car-NOM yet not ‘A nice house John bought (but not a car).’ (28) Okulary zabrał moje. glasses-ACC took my ‘He took my glasses.’ The tests provided in Section 2 unveil the complex nature of demonstratives. Their declension endings, word order lexibility, and parenthetical expressions show that demonstratives behave like adjectives. However, the properties of heads described by Miechowicz-Mathiasen (2013) and by Bošković (2013) allow one to arrive at the conclusion that demonstratives in Polish are fully-ledged heads. The issue appears to be even more complex if one recalls the examples with extraction and c-command properties from Section 2.1. In the discussion that follows it will be maintained that the speciier/head status of Polish demonstratives remains ambiguous, while the nominal phrase they are projected with is a DP rather than an NP. 3. Grammaticalisation of demonstratives This section focuses on the changes that could possibly affect demonstratives in Polish. Our attention is mainly devoted to the demonstrative to and its various structural ‘faces’. The discussion of its rich nature will be conducted within van Gelderen’s (2011) proposal of grammatical reanalyses. Two of them will be subjected to close scrutiny. The irst analysis concerns the change inside a DP, while the second refers to the transition from demonstratives/pronouns to copulas. 3.1. The DP cycle According to van Gelderen (2011), the DP cycle concerns two types of modiications. The irst one refers to the change of syntactic position from a speciier to a head.10 The other involves a change in features. DPs, as assumed by van Gelderen (2011), have demonstratives in their speciier positions and articles as their heads. Van Gelderen provides different pieces of evidence in support of this claim. For example, the unmarked order 10 The syntactic position referred to by van Gelderen (2011) corresponds to what has been called in this paper a phrasal status. 206 Ewelina Mokrosz of demonstratives and articles in languages which allow both to co-occur is the one in which the former precede the latter. The coexistence of demonstratives with possessives in the history of English constitutes for van Gelderen (2011: 211) another valid piece of evidence that demonstratives could be in a speciier position. The second modiication embraced by the DP cycle refers to the transition of the status of features from being interpretable to being uninterpretable. As evidence for the uninterpretability of the features of articles as opposed to the features of demonstratives, van Gelderen provides the examples in (29). The article with uninterpretable features cannot appear on its own. (29) a. I saw that. b. *I saw the. van Gelderen (2011: 199) Diessel (1999), van Gelderen (2011) and Lyons (1999) also draw special attention to the primary loss of the locative/deictic feature by demonstratives. The change in features is schematised below in (30), while examples from different languages illustrating different stages of the DP cycle are provided in (31)–(33) after van Gelderen (2011: 220). (30) Demonstrative (Speciier) → Article (Head) [i-loc] [u-T] [i-phi] [u-phi] adapted from van Gelderen (2011: 219) (31) Latin ille liber that book ‘that book’ (32) French l’hiver the-winter (33) Romanian om-ul bun man-DEF good ‘the good man’ The ambiguous status of Polish demonstratives 207 In Latin the demonstrative is positioned in the speciier of DP. The article in French and the enclitic in Romanian are in the head D. Van Gelderen (2011: 224) argues that languages such as Serbian, Polish, Sorbian, Czech and Slovenian do not have fully-ledged articles. The development in question could already have taken place in their non-standard varieties. The claim is supported by the data from Czech. (34) Czech Chci vodu ale ta voda musi by’t čistá I-want water but DEM water must be clean ‘I want water but the water must be clean.’ van Gelderen (2011: 224) Equivalent sentences are also attested in Polish. (35) Chcę wodę, ale I-want water but ta woda DEM water musi być czysta must be clean Since no explanation is provided why ta in (34) should be considered an article and not a demonstrative, the article interpretation will not be adopted in the analysis of Polish examples such as (35). It is argued here that Polish has not yet developed articles because it only partially fulils the conditions necessary for the reanalysis. Catasso (2011) reports that the emergence of deinite articles in Germanic languages is connected with the loss of a morphological case. After Gebert (1996), he also outlines the possibility that the lack of articles in the Slavic languages is connected with the presence of long and short forms of adjectives. The former are considered to be deinite and the latter indeinite. The composition of each is provided below. Long forms of the adjective are interestingly composed of the adjective and the demonstrative pronoun *jb, *ja, *je, that, in turn, developed from the Indo-European deictic *-io and belongs to the same class as the Latin demonstrative is. Catasso (2011: 36) In the National Corpus of the Polish Language (Przepiórkowski et al. 2012), one may ind rare examples of adjectives being immediately followed by a demonstrative. Importantly, such a sequence yields the same interpretation when the demonstrative precedes the adjective. 208 Ewelina Mokrosz (36) Piękny ten zwyczaj nigdy nie wróci. beautiful this-MASC tradition never not come-back-FUT ‘This beautiful tradition will never come back.’ Examples like the one above may point to the presence of forms similar to deinite adjectives. Even though it appears that Polish stands no chance of developing articles because of the rich case, aspect system and possible deinite adjectives, there are some facets which may signal the presence of a DP cycle in Polish. Van Gelderen (2011) remarks that for the change to take place, there has to be a stage of ambiguity about the status of a speciier and a head. Section 2 has shown that there are many pieces of evidence of a possible state of ambiguity in interpretations of the phrasal status of demonstratives. The DP reanalysis in question is referred to by van Gelderen (2011) as a cycle. After the change from demonstratives to articles, there is a renewal of the features of a demonstrative very often accompanied by an adverb. The examples below illustrate that articles and adverbs may co-occur in grammatical sentences. (37) Swedish den här/där mannen the here/there man-DEF van Gelderen (2011: 202) (38) As for staying with them there French rascals, it was never the near. van Gelderen (2011: 214) Even though it is hard to prove that the change from demonstratives to articles has taken/is taking place in Polish, the identiication of the renewal stage, on the surface, appears to be less problematic. According to the etymological dictionary of Polish (Boryś 2005), the Polish demonstrative tamten ‘that one’, a cluster of two words, i.e. a demonstrative ten ‘this-MASC’ and the adverb tam ‘there’ emerged in Polish in the 18th century, which is much later than the appearance of the demonstrative itself, i.e., in the 14th century. On the one hand, it can be claimed that the overt locative element tam in tamten constitutes a reliable piece of evidence for the renewal of deictic features. On the other hand, the lack of the second stage, namely, the article stage, would contradict the validity of the DP reanalysis in Polish. The ambiguous status of Polish demonstratives 209 3.2. Pronominal copular cycle The pronominal copular cycle takes place under the same two conditions as the DP cycle, yet, it yields different results. The irst condition motivates the interpretation of a demonstrative as a head. The other concerns the similarity of feature sets between a demonstrative and a copula. Van Gelderen (2011) assumes that the set of features of the demonstrative pronoun has to undergo some kind of feature impoverishment so that the number of its features agrees with the number of features on a given functional head. The interpretable phi features change their original status so that eventually they resemble functional heads. The locative/deictic features of demonstratives translate into locational features on the copula. The change in question is schematised below. (39) Demonstrative/Pronoun > Speciier > [i loc] > [i phi] > [uT] van Gelderen (2011: 130) Copular Verb > Grammatical marker head > afix [i loc] > ... [u phi] In the following part we irst turn our attention to the possible arguments against the applicability of a pronominal copular cycle to Polish. Then some data from Old Polish will shed new light on the cycle under investigation. One of the problematic aspects refers to the context of the change, which is schematised in (40) below. (40) The elephant that Top Su(bject) ↓ ↓ Su(bject) Copula van Gelderen (2011: 130) happy VP VP Examples of noun phrases functioning as a topic and preceding the subject to are impossible to ind in Polish. The impossibility is motivated by the fact that the copular verb always shows agreement with the leftmost element in sentences with to, as in (41a) and (41b), as opposed to sentences without to (see (41c)). 210 Ewelina Mokrosz (41) a. Ania to jest moja przyjaciółka. Ann-NOM TO is my friend-NOM ‘Ann is my friend.’ b. Alpy to są góry w Europie. the Alps TO are mountains-NOM in Europe-LOC ‘The Alps are mountains in Europe.’ c. Marii dzieci dały /*dała kwiaty. Mary-DAT children-NOM gave /gave lowers-ACC ‘To Mary children gave lowers.’ Van Gelderen (2011: 140) also draws attention to the deiniteness of a postcopular element. The grammaticality of a deinite noun in this position points to the demonstrative origin of the copula. As a consequence, indeinites and adjectives are excluded in this context. (42) Chomik to jest ssak. hamster-NOM TO is mammal-NOM ‘A hamster is a mammal.’ (43) *Chomik hamster-NOM to TO jest mądry. is smart Even though the grammaticality of (42) may be connected with the presence of the verbal copula rather than to, it may still cast doubt on the status of to as a copula with a demonstrative origin. Despite the problematic aspects, van Gelderen (2011: 134) maintains that Polish participates in the pronominal copular cycle. Speciically, Polish exhibits the stage of ambiguity between the speciier and head status of to.11 As evidence van Gelderen refers to the work by Rutkowski (2006), who argues that in sentence (44) Adam is positioned in the Spec, TopP, where it functions as a topic while to is placed in the Spec, TP. (44) Adam to był lingwista. Adam-NOM TO was linguist-NOM ‘Adam was a linguist.’ Rutkowski (2006: 1) 11 Van Gelderen’s observation about the stage of ambiguity only concerns to and her assumption is based solely on the work by Rutkowski (2006). The ambiguous status of Polish demonstratives 211 Rutkowski (2006: 17), however, does not mention any ambiguity and in fact claims that to in Polish has not yet undergone the change, which is why it cannot be considered a copula. Rutkowski’s observation is supported by the ungrammaticality of sentences such as the one in (45), where the co-occurrence of two instances of to, one as a demonstrative and the other as a copula, is ungrammatical. (45) *To to jest mój this TO is my Rutkowski (2006: 17) najlepszy przyjaciel. best friend-NOM In this paper, however, it will be argued that to in (45) functions as a pronominal copula.12 Some of the evidence for the copular status of to in (45) has already been presented in (42), which shows that the agreement on the verb is dependent on the feature of the leftmost element and not to. Yet it has to be underlined that the ambiguity falsely reported by van Gelderen (2011) would in fact strengthen the evidence for the stance taken in this paper on the uncertain phrasal status of demonstratives. Despite the voices against the analysis of to as a pronominal copula in Polish, in this paper it will be argued that the complete and successful impoverishment of features affected only one type of demonstrative, namely the neuter demonstrative to. The change of feature setup of to would look as follows. (46) Stage I To in the speciier in DP > [i-loc, i-phi, u-gender] Stage II Stage III To in the head in DP > To in the head of T [i-loc, u-phi] [i-loc] The feature setup, especially the locative feature, as well as the head status made to susceptible to the reanalysis as a pronominal copula. The evidence for the second change, i.e., Stage II, can be found in the corpus of Old Polish in documents such as the Świętokrzyskie Sermons from the end of the 13th century and the beginning of the 14th century, the Gniezno Sermons (henceforth GS) from the beginning of the 15th century and the Działyńskich Code from 1466. All three are available as part of the corpus of Old Polish. In the Gniezno Sermons the demonstrative ten as well as ta only appear accompanied by to and a noun in the order just listed. 12 The fact that Rutkowski inds (45) unacceptable may result from the consecutive occurrence of two homophonous elements. 212 Ewelina Mokrosz (47) a. ten to świat this-MASC TO world-NOM ‘this world’ (GS, Sermon I, 1r, 21, 1) b. tą to modlitwą this-FEM TO prayer-INS ‘with this prayer’ (GS, Sermon I, 1v, 29, 2) c. te to światłości this-FEM.PL TO brightness-NOM.PL ‘these eternal lights’ (GS, Sermon I, 1v, 11) The three sample phrases above show the co-occurrence of an inlected demonstrative with an invariant to. The to in question does not appear independently, which is why it can be considered to be a head with uninterpretable features like the article in English (see example (29)). The intermediate stage of the pronominal copula cycle that is observed in the works from Old Polish can be considered a reliable piece of evidence for Stage II in (46). The change from a demonstrative to a head did not have to result in a copula. In Polish homophonous items function as particles marking topics and foci. The relevant examples are repeated below. (48) a. To b. Marii Jan dał kwiaty. TO Mary-DAT John-NOM gave lowers-ACC ‘It is Mary that John gave lowers to.’ Marii to Jan dał kwiaty. Mary-DAT TO John-NOM gave lowers-ACC ‘As for Mary, John gave her lowers.’ Van Gelderen (2011: 137) suggests that the copular to moves to the left periphery, where it functions as a topic or focus marker. This movement up the syntactic tree is postulated not only by van Gelderen (2011: 6) but also by Roberts and Roussou (2003). The question that remains to be answered in further research is why, out of the three available demonstratives in Polish, i.e., ten ‘this-MASC’, ta ‘this-FEM’, and to ‘this-NEUT’, it was to which supposedly underwent this change. The ambiguous status of Polish demonstratives 213 3.3. Direction of grammaticality In this section a comment will be made on the rigid direction of a change assumed by van Gelderen (2011). To recall, van Gelderen argues that grammatical reanalysis is triggered by Economy Principles, thus any change aims at less features, less meaning and less structure. Yet, when one looks at the multifaceted nature of to, it appears that the reanalysis is not only about impoverishment. In Section 3.2, it is argued that there has been a change from a demonstrative, such as the one in (49a), to a head, presented in examples (49d-f). There are, however, items which are homophonous with the demonstrative to and which behave more like an independent phrase, as in (49b) and (49c).13 (49) a. To dziecko this-NEUT child ‘this child’ b. Lubię to. I-like this-NEUT ‘I like it.’ c. To jest moja siostra. TO is my sister-NOM ‘This is my sister.’ d. Maria to jest moja siostra. Mary-NOM TO is my sister-NOM e. To Marii Jan dał kwiaty. f. Marii to Jan dał kwiaty. The tentative assumption that could be made here is that there was also a change from a dependent head to an independent projection with a default 3rd person and singular number. Willis (2006), for example, notes that the direction of grammaticalisation is not easily deined especially when it comes to a nominal phrase. Examples of some changes in the nominal phrase originally provided by Willis are in (50) below. (50) a. Common Slavic *onŭ demonstrative (e.g. *onŭ domŭ, ‘that house’) > Russian, Polish etc. on ‘he’, pronoun; b. German die, deinite article (die Frau, ‘the woman’) > die ‘she’, pronoun etc. 13 Glosses to examples (49e) and (49f) can be found in (2b) and (2c), respectively. 214 Ewelina Mokrosz This may point to some other directions of phrasal changes apart from the ones related to economical solutions. 4. Conclusions The paper aimed at a close examination of demonstratives in Polish. A series of tests showed that not only is it dificult to determine the DP/NP status of the nominal expression in Polish but also the head/speciier analysis of the demonstrative raises many questions. The undeined status of demonstratives has turned out to be an important piece of information from the diachronic point of view. In other words, what appeared to be a problem for the current state of research on Polish from a temporal perspective may indicate an important change. It was also argued that Polish should be considered as a language that participates in the change that affects demonstratives and most likely leads to the appearance of a pronominal copula and markers of information such as topic or focus. Sources Old Polish Corpus. Available at: https://www.ijp-pan.krakow.pl/publikacje-elektroniczne/korpus-tekstow-staropolskich. Przepiórkowski, A., M. Bańko, R. L. Górski, and B. Lewandowska-Tomaszczyk. 2012. Narodowy Korpus Języka Polskiego. Warszawa: Wydawnictwo Naukowe PWN. PWN Polish Dictionary. Available at: http://sjp.pwn.pl/. References Abels, K. 2003. Successive cyclicity, anti-locality, and adposition stranding. Ph.D. diss., Storrs, University of Connecticut. Boryś, W. 2005. Słownik etymologiczny języka polskiego. Kraków: Wydawnictwo Literackie. Bošković, Ž. 2004. Topicalization, focalization, lexical insertion, and scrambling. Linguistic Inquiry 35: 613–638. Bošković, Ž. 2005. On the locality of Left Branch Extraction and the structure of NP. Studia Linguistica 59: 1–45. Bošković, Ž. 2009. More on the no-DP analysis of article-less languages. Studia Linguistica 63: 187–203. The ambiguous status of Polish demonstratives 215 Bošković, Ž. 2012. On NPs and clauses. Available at: http://web2.uconn.edu/ boskovic/papers/NPs&ClausesShortRevised2012.pdf. Bošković, Ž. 2013. Now I’m a phase, no I’m not a phase: on the variability of phases with extraction and ellipsis. Available at: http://web2.uconn.edu/ boskovic/papers/ellipsisnovember2013ExtraFinalPeople.pdf. Catasso, N. 2011. The grammaticalization of demonstratives: a comparative analysis. Journal of Universal Language 12(1): 7–46. Chomsky, N. 2000. Minimalist inquiries: the framework. In R. Martin, D. Michaels, and J. Uriagereka (eds.), Step by step: essays on minimalist syntax in honor of Howard Lasnik, 89–155. Cambridge, MA: MIT Press. Chomsky, N. 2001. Derivation by phase. In M. Kenstowicz (ed.), Ken Hale: a life in language, 1–52. Cambridge, MA: MIT Press. Chomsky, N. 2008. On phases. In R. Freidin, C. P. Otero, and M. L. Zubizarreta (eds.), Foundational issues in linguistic theory, 133–166. Cambridge, MA: MIT Press. Citko, B. 2008. Small clauses reconsidered: not so small and not all alike. Lingua 118: 261–295. Corver, N. 1990. The syntax of Left Branch Extractions. Ph.D. diss., Tilburg, Tilburg University. Despić, M. 2011. Syntax in the absence of Determiner Phrase. Ph.D. diss., Storrs, University of Connecticut. Diessel, H. 1999. Demonstratives. Amsterdam: John Benjamins Publishing Company. Gebert, L. 1996. Rilessioni sull’articolo mai nato nelle lingue slave. In R. Benacchio, F. Fici, and L. Gebert (eds.), Determinatezza e indeterminatezza nelle lingue slave, 11–25. Padova: Unipress. Gelderen, E. van. 2011. The linguistic cycle. Language change and the language faculty. Oxford: Oxford University Press. Kayne, R. 1994. The antisymmetry of syntax. Cambridge, MA: MIT Press. Lyons, C. 1999. Deiniteness. Cambridge: Cambridge University Press. Miechowicz-Mathiasen, K. 2013. What the adnominal intensiier sam and Left Branch Extraction tell us about the structure of Polish nominal projections. Poznań Studies in Linguistics 49: 205–260. Pereltsvaig, A. 2013. Noun Phrase structure in article-less Slavic languages. Language and Linguistics Compass 7: 201–219. Roberts, I., and A. Roussou. 2003. Syntactic change. Cambridge: Cambridge University Press. Rutkowski, P. 2006. From demonstratives to copulas: a cross–linguistic perspective and the case of Polish. Available at: http://www.unish.org/upload/word/ 7-2-05-FromDemonstrativestoCopulas2.pdf. 216 Ewelina Mokrosz Rutkowski, P. 2007. Hipoteza frazy przedimkowej jako narzędzie opisu składniowego polskich grup imiennych. Ph.D. diss., Warsaw, Warsaw University. Swan, O. E. 2002. A grammar of contemporary Polish. Bloomington: Slavica Publishers. Tajsner, P. 2008. Aspects of the grammar of focus. Frankfurt am Main: Peter Lang. Willim, E. 1989. On word order: a Government-Binding study of English and Polish. Krakow: Wydawnictwo Uniwersytetu Jagiellońskiego. Willim, E. 2000. On the grammar of Polish nominals. In R. Martin, D. Michaels, and J. Uriagereka (eds.), Step by step, 319–346. Cambridge, MA: MIT Press. Willis, D. 2006. Reanalysis and directionality. Paper presented at LAGB Annual Meeting 2006, 30.08–2.09, University of Newcastle upon Tyne. Available at: http://www2.units.it/digs9/pdf/willis.pdf. Zlatić, L. 1997. The structure of the Serbian noun phrase. Ph.D. diss., Austin, University of Texas. Money in word-formation: the English sufix -age 217 Money in word-formation: the English sufix -age Bogdan Szymanek Abstract: The article poses the following question: is there any way, in English word-formation (afixation) today, to encode the concept of ‘money’ that is paid, for instance, as a toll, duty, tax, levy, impost, fee, charge, price, commission or fare? The only afix that seems relevant here is the sufix -age; cf. post > postage ‘the money that you pay for sending letters and parcels through the post’. The trouble is, however, that the pattern in question is represented by very few examples in contemporary English. By contrast, the ‘inancial’ meaning of the multifunctional sufix -age was much more prominent in Middle English. Sufice it to say that the Oxford English Dictionary lists over 150 -age nouns with money-related semantics, many of which are now obsolete or no longer in use. Evidently, we are left today with just a few remnants of this once vigorous pattern. The aim of this article, therefore, is to examine in some detail the gradual decline in the use of -age as a marker of a variety of money-related senses. The causes of this diachronic process are partly obscure. It appears, however, that the evolution was triggered by extralinguistic factors (changes in social structure and economic organisation) as well as language-internal (structural) developments (e.g. a typological change in English noun formation towards greater analyticity). Key words: noun formation, semantics, borrowing, iscal terminology, typological change 1. Introduction The question we pose is as follows: is there any way, in English word-formation (afixation) today, to encode the concept of ‘money’ that is paid, for instance, as a toll, duty, tax, levy, impost, fee, charge, price, commission or fare? The only afix that seems relevant here is the sufix -age; cf. post > postage ‘the money that you pay for sending letters and parcels through the post’ (the Cambridge Advanced Learner’s Dictionary, henceforth CALD), which may serve as our paradigm example. The trouble is, however, that the pattern in question is represented by very few examples in contemporary English. General desk-top dictionaries (like CALD) list, for instance, the following derivatives: corkage (< cork) ‘the charge made by some restaurants for serving wine that has been bought from somewhere else’, mileage (< mile) ‘the amount of money that you are paid or that you must pay for each mile you travel’, stoppage (< stop) ‘an amount which is subtracted from the money that you are paid before you oficially receive it’; ‘deduction’. Admittedly, a few other -age derivatives of the type in question are occasionally found in modern standard usage, although some of these are either not listed at all in a medium-size dictionary like CALD (cf. e.g. cartage, poundage, 218 Bogdan Szymanek etc.) or – when there is an entry in the dictionary – it fails to account for the money-related sense (cf. the entries for anchorage or haulage in CALD). However, such nouns are normally attested in the Oxford English Dictionary (henceforth OED); see the list in (1) for further details. Therefore, from a synchronic viewpoint, the money-related nouns in -age exempliied above appear to be rather exceptional, in terms of their semantics. However, the following extract from a recently published book reveals that the question is more complicated: Once in the town you will have to pay for the market stall (stallage) and for storing your goods (lastage). If you are at a port you may have to pay wharfage and cranage too. You may have to pay extra to the guild merchant for the right to sell certain speciic commodities. And all this on top of the customs and pannage (toll on imported cloth) you pay when importing goods into the country in the irst place. Nothing which can be priced is given away freely. Even if you are not a merchant but riding about for private purposes you may have to pay murage (a toll to ensure the defensibility of the town walls) and pavage (a toll to pay for the paving of the streets). A toll to cross a bridge (pontage) is thus one of several dozen sorts of toll. Mortimer (2009: 129; italics added) Of course, the italicised nouns in the above quotation are not listed in any desk-top dictionary of contemporary standard English. They are all obsolete and as such they are rather unlikely to occur in present-day texts, unless the context is historical, as in the above quotation. It comes from a book which presents various aspects of life in England in the fourteenth century through the eyes of a modern visitor. However, the forms in question (as well as a number of their analogues) are listed in the OED, often with qualifying abbreviations like Obs. or Obs. exc. Hist. 2. A brief outline of the status and functions of the English sufix -age Synchronically speaking, the sufix -age derives denominal and deverbal nouns; occasionally it is also found with adjective bases, as in shortage or roughage (cf. Bauer and Huddleston 2002: 1700; Booij 2005: 271).1 Given the relatively small number of -age formations in current use, it is noteworthy that the morpheme is multifunctional (polysemous): several semantic classes can be distinguished within the attested output of -age derivation. Thus, for instance, Lieber 1 Interestingly, the etymological note for shortage as given in the OED appears to suggest that the form is denominal rather than de-adjectival; cf. ‘[f. SHORt n. + -AGE.]’ in the entry for shortage. Money in word-formation: the English sufix -age 219 (2004: 148–151) focuses on three major sense-groups of -age nouns: collectives (e.g. baggage, wreckage), nouns denoting ‘condition of being’ or ‘behaviour of’ (brigandage) and place nouns (orphanage, parsonage). According to Lieber, the type of ‘behaviour’ or ‘condition’ nouns in -age is weaker than the two remaining ones. ‘Generally, -age is not a particularly productive afix, and many of its derivations have come to have lexicalized meanings’ (Lieber 2004: 149; fn. 12). As regards the two principal classes, i.e. collectives and place names, Lieber (2004: 150) argues that the place meaning is a sense extension of the collective meaning. This inding is signiicant in view of Lieber’s (2004) general theory of the semantics of word-formation. Even though it is pointed out that -age is not ‘particularly productive’ in Present-day English, the sufix can be encountered in some recent colloquial coinages and neologisms; cf. the following examples: bloggage ‘blogging’ (Internet slang), spammage ‘spamming’ (Internet, informal), lamage ‘sth. lame, typically actions’ (slang, pejorative), boobage ‘bosom, breasts’ (slang), etc.2 Hence, general assessments of the synchronic productivity of -age are not unequivocal in the recent literature. For instance, according to the corpusbased analysis carried out by Bauer, Lieber and Plag (2013: 252), ‘[b]oth -age and -ery display a reasonable degree of productivity in contemporary English’. In contemporary textbook accounts of English word-formation, the basic information on the sufix -age tends to be short. For example: ‘[t]his sufix derives nouns that express an activity (or its result) as in coverage, leakage, spillage, and nouns denoting a collective entity or quantity, as in acreage, voltage, yardage. Due to inherent ambiguities of certain coinages, the meaning can be extended to include locations, as in orphanage. Base words may be verbal or nominal and are often monosyllabic’ (Plag 2003: 87). Characteristically, the money-related sense is not mentioned (presumably because this semantic type is only marginally attested in Present-day English). In some other works, the basic characteristics of -age are often given in a more laconic manner. For example: ‘-age ‘condition, state, rank, ofice of’ as in anchorage, postage, coinage’ (Stockwell and Minkova 2001: 93). On the other hand, a more exhaustive catalogue of the present-day functions of -age is given in Bauer and Huddleston (2002: 1700): ‘collectivity’, ‘state, condition, rank’, ‘result’, ‘place’, ‘amount or rate’ and, inally, ‘charge’. The function labelled as ‘charge’ is, precisely, the meaning that we shall be concerned with here. It is illustrated with the following coinages: anchorage, cartage, corkage, haulage, postage.3 The function under discussion, glossed as ‘payment for’, is also briely noted, as a ‘meaning extension’, in Bauer, Lieber and Plag (2013: 264). 2 3 Source: http://en.wiktionary.org/wiki/Category:English_words_sufixed_with_-age. Interpreted on the basis of the OED evidence (citations), the example cartage appears to be pretty old, since its only citation in the OED is dated 1428. 220 Bogdan Szymanek Finally, The Free Dictionary (Internet), describes six basic functions of the English sufix -age, including the meaning ‘charge or fee’ (postage).4 To sum up, not only is the sufix -age multifunctional (when attached to different base-forms); it can also effect the polysemy of individual coinages (cf. the list in (1) below). Earlier, the characteristics of -age nouns in English were discussed and amply illustrated by Marchand (1969: 234–236). Since Marchand’s approach is synchronic-diachronic, the author gives a brief outline on the origins and historical development of the sufix -age in English. It is pointed out, at the outset, that ‘[t]he morpheme came into the language through loans from French (…)’ (Marchand 1969: 234). Hence, many derivatives in -age were, and still are, based on French (Latinate) nouns and verbs. The irst importations in -age (or Latinised -agium) go back to the thirteenth century (or even the twelfth century, according to Fleischman 1977: 3; cf. also Dalton-Puffer 1996: 100). Later on during the Middle English period, when the morpheme established itself as an independent English formative, it came to be used more and more frequently with native bases as well (e.g. leakage, stoppage). Cf. the following comment in Durkin (2014: 329): In the sixteenth and seventeenth centuries new words in -age became common and there can be no reasonable doubt that sufixation in -age was the origin of many new words; some typical examples are ballastage, housage, manufacturage, motherage, neighbourage, postage, raftage, suppage. Even if new evidence comes to light that makes it appear more likely that some individual examples are instead borrowed from or modelled on French or Latin words, the general picture is clear that in this period -age frequently formed new English words. Further new examples are also found in later centuries, although gradually the formation of new words in -age has become less frequent. Durkin (2014: 329) As regards the meaning of -age formations over the centuries, Marchand carefully distinguishes several classes and patterns. Apart from the three sense-groups identiied above (according to Lieber’s 2004 synchronic account), the historically based overview presented by Marchand highlights the following major meanings: ‘act, fact, mode of’ (drainage), ‘result of’ (wreckage), ‘liberty, privilege’ (commonage) or ‘toll, duty’, alternatively paraphrased as ‘charge, fee connected with−’ (Marchand 1969: 235).5 Commenting on the last-mentioned sense 4 5 Source: http://www.thefreedictionary.com/-age. The meaning of -age glossed as ‘fee connected with …’ also appears in the detailed ‘Index of the principal sense groups of preixes and sufixes’ (Marchand 1969: 519). It is noteworthy that the Index in question does not list any other English afixes that might encode the meaning ‘fee connected with …’; it does not list, either, any other semantic paraphrases (‘sense groups’) that might be related to money, payment, tax, duty, etc. Money in word-formation: the English sufix -age 221 Marchand (1969: 235) adds: ‘[i]n later coinages we cannot always distinguish between denominal and deverbal derivation, the general sense being ‘charge, fee connected with−’.’ The meaning in question is illustrated with several (mostly obsolete) examples like anchorage, bailage, beaconage, etc. Likewise, Kastovsky (1986: 596) gives the paraphrase ‘charge, fee connected with V’, together with a handful of examples: anchorage, bailage, pilotage, poundage.6 Again, it is precisely this meaning of -age formations that we intend to turn our attention to in the remainder of this article. Another major contribution dealing with the semantics and historical development of the sufix -age is the study by Fleischman (1977). The main focus of this monograph is on the French sufix -age, from which English -age originated. According to Fleischman (1977: 3), ‘[t]he sufix is traceable to Graeco-Latin -ATICU, an adjectival formative which denoted ‘pertaining to, characteristic of’ its noun base. By the 6th century we begin to ind -ATICU also operating as a noun formative, still denominal.’7 Further on, the monograph presents the subsequent spread and functional development of the sufix -age in French and other Romance languages as well as in English.8 It is emphasised that, in Old French, the sufix -age was ‘initially attested in names of taxes, payments, rents, and dues, the function it had inherited from Latin’, also referred to as ‘iscal terminology’ (Fleischman 1977: 5). This inding is important, since it clearly identiies the ancient origins of the particular meaning of the English morpheme -age we are interested in here. The French ‘feudal’ terms, including the ‘iscal terminology’, were the earliest -age nouns borrowed by other Romance languages as well as English. But Fleischman adds that, apart from the money-related meaning, the French -age pretty soon acquired alternative functions as well: (1) collective, (2) actional, (3) denoting ‘rights and privileges’, and (4) indicating ‘ranks, ofices, and dignities’. Crucially, the author points out that ‘[a]ll of these latter functions were direct or indirect offshoots of the primary iscal sense (…) and they all, likewise, appeared to be operating within a distinct referential ield – that of medieval social and economic institutions, speciically those pertaining to ‘feudal’ society’ (Fleischman 1977: 6). Overall, the study argues for an ‘integrated’ approach 6 7 8 Overall, Marchand’s treatment of the principal meanings of -age is more meticulous than the corresponding information given in the OED in the entry for the sufix -age: only three general functions of the sufix are identiied there, with no explicit mention of the money-related sense. See also Kastovsky (1985: 233) for a brief description of the semantics of deverbal -age nominalisations in English. The adjectival formative spelled as -ATICU in Fleischman’s typescript is given elsewhere as -āticus (cf., for instance, Booij 2005: 271). Regrettably, the part of Fleischman’s monograph dealing speciically with -age borrowings into English (Chapter V, Part VI) was not available to me at the time of writing this article. 222 Bogdan Szymanek to -age, i.e. it highlights the role of extralinguistic cultural factors (social, historical, and economic), apart from the truly linguistic (structural) aspects that may have affected the use and dissemination of the sufix -age in a number of languages, including English.9 To sum up, a comparison of a purely synchronic, theory-oriented approach to English -age, as represented by Lieber (2004), and a diachronically minded, comparative analysis developed by Fleischman (1977) reveals a notable difference as regards the hierarchy of the meanings encoded by the multifunctional sufix -age in English (today and in the past): whereas Lieber (2004: 42) regards the collective and locative meanings as being most prominent synchronically, Fleischman argues for the historical primacy of the money-related (‘iscal’) sense. Moreover, Lieber (2004: 150), on theory-internal grounds, opts for treating the collective meaning as the primary one, and the place meaning as its extension, without mentioning the money-related sense of -age (quite understandably, because it is not well attested today, anyway). On the other hand, Fleishman (1977), in line with her historical perspective, demonstrates that the money-related (‘iscal’) sense of -age characterises its origins and the historical core from which its other meanings have evolved. A brief diachronic account of the semantics of -age in Middle English is also given in Dalton-Puffer (1996: 100–101). Drawing on the sense classes delineated in Marchand (1969: 234), Dalton-Puffer argues that ‘a signiicant number of AGE-formations seem to cluster around certain referential ields (…)’. Three such ields are highlighted: (a) ‘legal terms in the widest sense (many of them denote payments), ‘charge, fee connected with…’; (b) ‘food and drink (some kind of mass/collective terms)’; (c) ‘travel’. Crucially, referring to point (a), the author adds the following comment: ‘[i]f a dominant morphological-semantic type can be made out, it is denominal derivatives denoting a legal status or some form of tax-payment. But these probably are best considered part of a technical language’ (Dalton-Puffer 1996: 101). Given the semantic diversity of nouns in -age (not to mention the extra problem of their derivational status), the corpus-based statistics for three Middle English ‘core-periods’ present only the overall distribution and the rising frequency of -age nouns (in terms of the number of tokens and types) (Dalton-Puffer 1996: 98). In other words, there is no indication as to the (changing) number of forms meaning, speciically, ‘charge, fee connected with…’. 9 Another turning point in the culture-dependent semantic evolution of the English sufix -age, according to Fleischman (1977: 9), was the nineteenth century, i.e. the beginnings of the Industrial Revolution in England. It resulted in ‘a second wave of vigorous activity on the part of -age, this time as a deverbal action noun formative, and initially in English (spill > spill-age, waste > wast-age)’. This particular development will be ignored here, as it is not directly relevant to our main topic. For further details on the sufix -age in Middle English, see also Lloyd (2005, 2011). Money in word-formation: the English sufix -age 223 This sort of semantically ine-grained, diachronic analysis of corpus evidence, shedding new light on the evolution of different functions of -age in Middle English, has been carried out by Lloyd (2005, 2011). Signiicantly, Lloyd lists the ‘inancial’ meaning of -age under the broad category of ‘collective nouns’. For example, Lloyd offers the following comment pertaining to the sample of ifteenth-century forms in -age: The majority of new 15th-century nouns in -age consists of denominal collectives, and most of these are coinages on native bases signifying charges or taxes on goods or uses. The sufix was therefore highly productive as a denominal formative by the 15th century, primarily in the ield of collective and especially inancial terms. Lloyd (2005: 207) 3. The data: money-related uses of the English sufix -age The list given below is a compilation of now mostly archaic or obsolete English nouns in -age whose meaning (or one of whose meanings) is money-related.10 It seems prudent to use here the rather general labels ‘money-related nouns’ or ‘inancial terms’ since different items may pertain to a variety of payments (toll, fee, charge, etc.) which, in fact, can also take a non-monetary form. However, terms like heritage, maritage, etc. are not listed, since their meanings are more general. Besides, terms for feudal ‘services’ (e.g. cornage) are disregarded in what follows. The list includes the few examples mentioned in Section 1 (like postage, corkage) that are still in current use. All the examples, as well as the abbreviated (relevant) glosses, have been excerpted from the OED (2nd edition on CD-ROM, Version 4.0, 2009). Because of space limitations, the list is not quite exhaustive but it is fairly extensive (150 forms) and so, hopefully, it should be representative of the intricate semantic options and nuances associated with -age in the function under discussion. The igures and/or characters given at the beginning of some of the items in (1) below identify the original sub-entry in the OED with the relevant reading for the sufix -age. This is followed by the dates of irst and last attestation in the OED. Because of the structure of some sub-entries (cf., for instance, drayage below), which conlate two distinct meanings, the dates given pertain to both 10 The list comprises both items that are synchronically analysable into a verbal or nominal base plus the sufix -age as well as forms whose morphological structure is now opaque. Cf., for instance, Bauer (1983: 18) for the notion of morphological transparency exempliied with -age nouns. 224 Bogdan Szymanek uses; occasionally, however, the dating has been adjusted somewhat, in order to ignore citations that appear to be semantically irrelevant from the viewpoint of our main topic. (1) Examples of ‘money-related’ (uses of) -age nouns in the OED anchorage †avenage average2 bailage ballastage †bankage barbicanage beaconage berthage beverage †biberage boatage boomage 11 5. A toll or charge for anchoring; anchorage-dues. 1516–1755 Obs. A payment in oats made to a landlord or feudal superior. 1594–1742 I. Maritime use.11 †1. Orig. A duty, tax, or impost charged upon goods; a customsduty, or the like, Obs. a1200–1760 2. Any charge or expense over and above the freight incurred in the shipment of goods, and payable by their owner. […] 1491–1865 3. spec. The expense or loss to owners, arising from damage at sea to the ship or cargo. 1556–84–1848 A duty upon delivery of goods. 1753–1809 Toll paid for the privilege of taking ballast. 1691, 1759 ?A landing duty. 1577 Tribute paid for the construction and maintenance of barbicans. c1415–1749 a. Toll paid for the maintainance of beacons. 1607–1862 a. Accommodation for mooring vessels, harbourage. […] b. The dues payable for mooring a vessel. 1893 †5. A drink, or drink-money, demanded on certain occasions […]. Now dial. 1721–1808 A drink given by way of fee. 1687 1. Carriage by boat; a charge or customs paid on such carriage. 1611, 1810 a. ‘A duty levied to compound for harbour dues, anchorage, and soundage’ […]. b. A toll levied by the owner of a boom on its use for storing logs. 1862 The OED lists as well, under a separate entry, average1. However, this item is not included here, since the OED gloss does not speciically mention the money-related sense: cf. ‘some kind of service due by tenants to the feudal superior’. This is in spite of the fact that, elsewhere, the form in question (or, rather, one of its by-forms: arrage) has been linked more explicitly to the relevant, inancial, meaning; cf. arrage (1453) ‘rent due to a feudal lord’ (Lloyd 2005: 198). The boundary between ‘services’ and inancial payments is hard to draw, anyway. Money in word-formation: the English sufix -age †boothage brassage brennage brokerage bushelage butlerage carriage cartage cellarage †chainage †chevage chiminage chummage corkage †costage cranage 225 Dues paid for leave to erect a booth in a market. 1695 A mint-charge levied to cover the expense of coining money. 1806–1884 Old Law. A payment in, or instead of, bran, made by tenants to feed their lord’s hounds. 1753, 1847 2. The commission or per-centage paid to a broker on the transactions negotiated by him. 1622–1884 Duty payable by the bushel on measurable commodities. 1818 †1. A duty formerly payable to the king’s butler on every cargo of wine imported (? by merchant-strangers); called also prisage. Obs. ex. Hist. 1491–1768 †3. An impost on the transport of goods through a country or territory; a customs duty, toll, or carrier’s licence. Obs. c1200, 1771 †4. An obsolete service of carrying, or a payment in lieu of the same, due by a tenant to his landlord or feudal superior, or imposed by authority […]. Obs. c1386–1755 5. (ellipt. or contextually) The price, expense, or cost of carrying. 1753, 1866 The process of conveying by cart; the price paid for this. 1428 2 †a. A feudal or seignorial duty upon wine when placed in the cellar (obs.). b. Charge for the use of a cellar or storehouse. †c. Money collected from banqueters at a Lord Mayor’s Feast […]. 1512–1825 Obs. […] b. ? A fee due for the use of mooring-chains, etc., in a harbour. 1611, 1691 Obs. exc. Hist. Capitation of poll-money paid to a lord or superior; particularly, an annual payment due to a feudal lord by each of his villeins. c1250–1880 Feudal Law. A toll formerly paid for liberty of passage through a forest. 1217–1817 The fee demanded of a ‘new chum’ (Prison slang) […]. 1777, 1837 The corking or uncorking of bottles: hence (= corkage-money) a charge made by hotel-keepers, waiters, etc. for every bottle of wine or other liquor uncorked and served, orig. when not supplied by themselves. 1383–1887 Obs. Expense, expenditure, charge, cost. a1327–1670 The use of a crane to hoist goods; dues paid for the use of a crane. 1481–1887 226 crimpage †dayage demurrage dockage drayage dumpage expressage factorage ferriage fosterage freightage fullage fumage furnage galeage †gavelage groundage guidage gunnage haulage hausage Bogdan Szymanek A payment made to a crimp for his services. 1754–1815 Obs. ? Demurrage. 1592 2. Comm. a. Detention of a vessel by the freighter beyond the time agreed upon; the payment made in compensation for such detention. 1641–1835 b. A charge for detention of railway trucks. 1858, 1892 c. A charge of 1½d. per ounce made by the Bank of England in exchanging gold or notes for bullion. 1875, 1882 a. Charges made for the use of docks. 1788 a. Conveyance by dray. b. The charge for this. 1791–1860 U.S. The work of dumping or emptying out refuse, ballast, etc.; the privilege of doing this on a particular piece of ground; the fee paid for this privilege. 1864 [under express 3. b.] […] the sending of a parcel by express; the charge or cost of this. 1857–1936 2. Commission or per-centage paid to a factor on goods purchased or sold by him. 1613–1852 2. The fare or price paid for the use of a ferry. c1440–1859 1. The action, also the ofice or charge, of fostering or bringing up (another’s child). 1614–1882 1 a. The hire of a vessel for the transport of goods; cost of conveyance of goods (originally, by water; now extended, esp. in U.S., to land-transit). 1694–1885 1. Money paid for the fulling of cloth. 1611–1755 Hist. Hearth-money. [hearth tax] 1755–1876 Obs. exc. Hist. a. The process of baking; the price paid for baking. […] 1468–1882 Royalty paid for a grant of land in the Forest of Dean […]. 1881, 1890 Obs. rare. Rent, or other periodical payment. c1450, 1697 1. †a. Some kind of toll or tax. Obs. rare […]. c1440. b. A duty levied on vessels lying upon a shore or beach, or entering a port […]. 1567–1854 †1. Old Law. A fee or tax paid for guidance […]. Obs. c1440 –1800 a. The money distributed among the captors of a ship, assigned in proportion to the number of guns on the captured ship. […] 1703, 1705 2. The expense of or charge for hauling. 1864, 1869 1. A fee paid for housing goods. 1617 Money in word-formation: the English sufix -age havenage hidage †hoopage husbandage jailage jettage keelage keyage labourage lastage lighterage †loadage lockage †measurage metage meterage mileage millage mintage moneyage moorage murage 227 Harbour-dues. 1864 Obs. exc. Hist. […] 1. A toll payable to the royal exchequer, assessed at a certain quota for each hide of land. a1195–1765 Obs. (See quot.) 1611 A commission or allowance paid to a ‘ship’s husband’ […]. 1809 The jailer’s fee. 1853 local. Dues levied on vessels for the use of the jetty or pier (as at Hull). 1833–1852 rare. A toll or due payable by a ship on entering or anchoring in a harbour. 1409–1825 [cf. quayage] 3. Payment for labour. 1826, 1890 1. A toll payable by traders attending fairs and markets. Obs. exc. Hist. 1290–1616 3. A payment for liberty to load a ship; a port duty levied at so much per ‘last’. 1592–1865 4. An impost levied on the catch of herrings at so much per last. 1601–1641 Transhipment or unloading of cargo by means of a lighter or lighters; the charges made for this. 1481–1886 Obs. A toll or due for loading. 1661 2. […] b. Toll paid for going through a lock or locks. 1771–1856 Obs. A duty payable on the cargo of a ship. […] 1460–1744 1. The action of measuring oficially the content or weight of a load of grain, coal, etc. […] 2. The duty paid for such measuring. 1527–1887 c. ‘The price paid for measurement’ […] 1885 1 a. A travelling allowance at a ixed rate per mile; spec. U.S. […] 1754–1888 [1]c. A rate per mile charged for the use of railway vehicles carrying goods or passengers over another company’s line. 1837–1926 U.S. The rate of taxation in mills per dollar to which a given place is liable. 1891 4. The charge for or cost of coining; the duty paid for minting or coining. 1645–1875 Hist. ‘A payment by the moneyers for the privilege of coining; […]’. 1747, 1762 2. Money paid for the use of moorings. 1667–1868 1. A toll or tax levied for the building or repairing of the walls of a town […] 1275–1851 228 nailage nonage pannage passage pavage peage pedage †peisage †pellage pesage pewage pickage pierage pillage pilotage †plankage pollage pontage portage porterage Bogdan Szymanek rare. The charge made by the Customs for nailing up a package of tobacco opened for inspection. 1766 (see quot.) [… a ninth part of moveables which was paid to the clergy on the death of persons in their parish]. 1848 1. c. The payment made to the owner of a woodland for this right [i.e. of pasturing swine in a forest]; the proit thus accruing. 1461(?)–1770(?) †5. A charge of custom levied upon passengers: a toll. Obs. 1200–1883 1. A tax or toll towards the paving of highways or streets; also, the right to levy such a tax or toll. 1305–1902 [1.] Toll paid for passing through a place or country […]. Obs. […]. 1456–1848 2. [form: péage] Toll paid to travel on an autoroute in France […]. 1973–1980 Obs. exc. Hist. […] = PEAGE. 1382–a1843 A duty paid for the weighing of goods. 1455–1894 Obs. A duty or impost formerly levied on skins exported. 1409–10, 1691 variant of PEISAGE Obs. The arrangement or provision of pews; rent paid for a pew or pews. 1684–1866 A toll paid for breaking the ground in setting up booths, stalls, tents, etc. at fairs. 1364–1885 †a. The use of, or privilege of using, a pier or wharf (obs.). b. The toll or fee paid for this; wharfage. c1599–1894 †3. Some kind of impost or tax; cf. PEAGE, PEDAGE, PICkAGE. Obs. 1513, 1591 2. The cost or charge for piloting; pilotage dues. 1622–1840 Obs. Payment charged for the use of planks at landing-places. 1347–1592 a. Extortion or legalized robbery. b. Exaction of a poll-tax. 1538–1894 A toll paid for the use of a bridge; a tax paid for the maintenance and repair of a bridge or bridges; bridge-toll. 1157–1895. 2. The cost or price of carriage; porterage; freight-charges; †also, a due levied in connexion with the transport of goods. Obs. ex. Hist. 1472–1860 1. The action or work of a porter; carriage or transportation of goods, parcels, etc.; also, the charge for this […]. 1671–1925 Money in word-formation: the English sufix -age postage1 postage2 poundage primage quarterage quayage rivage rowage †saltage scavage †schoolage scutage seigniorage 229 3. The amount charged for carrying a letter or postal packet […]. 1654–1891 4 b. The charge for hire of a post-horse. Obs. 1660 The mooring of ships to posts in a harbour; the dues charged for this. 1868 1. An impost, duty, or tax of so much per pound sterling on merchandise […]. Now Hist. 1399–1765 2. a. A payment of so much per pound sterling upon the amount of any transaction in which money passes; a commission, or fee, of so much a pound. 1599–1892 b. A percentage of the total earnings of any concern, paid as wages to those engaged in it, sometimes in addition to a ixed wage. 1892–1901 3. A payment or charge of so much per pound weight; payment by weight. 1500–1904 1. A customary allowance formerly made by the shipper to the master and crew of a vessel for the loading and care of the cargo; […]. 1297–1882 2. A small duty formerly paid to a local society of pilots […]. 1606–1789 1. A contribution, subscription, tax, or other charge paid by a person every quarter; a quarterly payment made by one. 1389–1887 2. A sum paid to, or received by, a person every quarter; a quarter’s wages, allowance, pension, etc. 1423–1892 [earlier: keyage] 1. Dues levied on goods landed or shipped at a quay, or on ships using the quay. 1756–1894 †3. Shore or river dues. Obs. 1598, 1706 †1. Rowing dues or charges. Obs. c1680 Obs. rare. Salt-duty. 1611 1. A toll formerly levied by the mayor, sheriff, or corporation of London and other towns on merchant strangers, on goods offered for sale within their precincts. 1474–1800 1. Sc. The fee paid for tuition at school. Also schoolage-fee. 1511–1662 Obs. exc. Hist. A tax levied on knight’s fees; chiely in restricted sense, such a tax paid in lieu of military service. c1460–1884. [also: seignorage, seigneurage, etc.] 2. A duty levied on the coining of money for the purpose of covering the expenses of minting, and as a source of revenue to the crown, claimed by the sovereign by virtue of his prerogative. 1444–1891 230 †senage servage shewage †shorage shroffage sideage slidage †snappage socage soilage †soundage †stackage stallage stampage standage stevedorage stoppage storage stowage †strandage streetage stumpage summage Bogdan Szymanek 3. A duty claimed by the over-lord upon the output of certain minerals, a royalty. a1859 Obs. Money paid for synodals, a tribute due to the bishop or archdeacon (or bursar) at Easter. c1380–1684 †3. A service, or its equivalent in money or kind, due from a serf to his lord. Obs. 1414–1587 = scavage 1500–1641 Obs. […] “a Duty paid for Goods brought on Shore” […] 1611, 1706 The commission charged for shrofing coin. 1629–1817 a. A charge made for keeping trucks on a railway siding. 1896 Canadian. The payment for the right of using a log slide. 1884 Thieves’ cant. Obs. A share in the proceeds of a theft or robbery claimed by a snap or cloyer. 1602 Now Hist. [1.] d. A payment made to the superior by one holding land in socage. rare. 1859, 1883 †1. ? A charge or toll for depositing ilth or refuse. Obs. 1593 Obs. […] A due paid for the taking of soundings. 1562 Obs. rare. A tax levied on stacks. 1587 1. A tax or toll levied for the liberty of erecting a stall in a fair or market […] 1387–1833 3. The amount charged or paid for the stamp or stamps of a postal packet; postage. 1887, 1888 1. Arrangements or accommodation for standing. Also, a charge for permission to stand. 1777–1907 rare. The charge for loading and unloading cargoes. 1860 1. Deduction from payments; a sum ‘stopped’ or deduced from the pay of a soldier, workman, or servant. 1465–1912 Rent paid for warehousing. 1775–1862 2. A duty levied on goods stowed. Obs. 1434 Obs. A charge or toll levied upon ish or other commodities landed on a ‘strand’. 1419–1711 U.S. A charge or toll for the use of a street or street facilities. 1866, 1884 local U.S. 1. The price paid for standing timber; also, a tax charged in some States for the privilege of cutting timber on State lands. 1835–1902 Obs. exc. Hist. 1. A toll payable for carriage on horseback. c1450–1867 Money in word-formation: the English sufix -age †swannage tallage tankage terrage tollage tonnage towage †trewage tribulage tronage truage truckage tutorage usage wagonage warehousage warpage †warrenage waterage weighage wharfage yardage 231 Obs. Payment for the right to keep swans. 1398, 1610 […] a tax levied upon feudal dependants by their superiors; also, by extension, a municipal rate; a toll or customs duty; a grant, levy, imposition, aid. 1154–1874 2. The act or process of storing liquid in tanks; the price charged for this. 1891 2. Old Law. Some kind of payment or duty. […] 1301–1890 3. ? A toll or duty paid for landing; landing dues. 1318, 1664 1. […] exaction or payment of toll. 1494–1888. I. Charge, duty, or payment of so much per tun or ton. 1. Eng. Hist. A tax or duty formerly levied upon wine imported in tuns or casks, at the rate of so much for every tun. […] 1422–1875 †2. A charge for the hire of a ship of so much a ton (of her burden) per week or month. Obs. 1512–1587 3. A charge or payment per ton on cargo or freight; […]. 1617–1838 1. The charge or payment for towing a vessel […]. 1286–1755 b. Toll, custom; payment for some privilege. c1380–1657 local. Now Hist. A species of poll-tax formerly levied on each tin-miner in some of the stannaries […]. 1296–1908 The weighing of merchandise at the tron; a charge or toll upon goods so weighed; the right of levying such charge. a1325–1860 variant of tREwAGE Obs. Conveyance by truck or trucks, or the cost of this; also, supply of trucks collectively. 1830–1901 1. The ofice, authority, or action of a tutor or guardian; tutorship, guardianship, custody; […] b. spec. at a university; also, the charge for or cost of this. 1638–1775 †9. Interest on money lent; rate of interest […]. Obs. 1822, 1824 2. Money paid for conveyance by wagon. 1757, 1779 ? U.S. The cost of warehousing. 1915 1. App. a charge for ‘warping’ or hauling ships entering certain harbours. 1863–7 Obs. rare. ? A payment for the right of free warren. 1610 Conveyance or transport by water; the charge made or the money paid for this. 1688–1867 A duty or toll paid for the weighing of goods. 1547–1856 2. The charge of dues exacted for the use of a wharf. 1535–1894 The use of or charge for a yard in which commodities are stored, cattle inclosed, or the like. 1867, 1889 232 Bogdan Szymanek 4. Further comments and discussion The list presented in (1) above does not aspire to completeness, even in relation to the evidence available from the OED. Nevertheless, the relatively high number of the historically attested forms in -age that are ‘money-related’ (as explained above) is remarkable and quite conspicuous from a synchronic viewpoint, given the fact that today we are left with just a few remnants of this once vigorous pattern. Apart from our principal data source, which is the OED, some further examples of money-related uses of -age may be found in other dictionaries. In particular, there are a few cases where a noun in -age is attested in the OED but has no explicit gloss for the inancial sense whereas this particular meaning is noted in Webster’s Third. Compare, for instance, the following two glosses for the noun shippage: ‘Shipping, shipment’ (OED) vs. ‘1 a : SHIPPING b : a fee or levy made for shipping 2 : SHIPmENt’ (Webster’s Third). The old inancial sense of the noun coverage (1462) ‘a charge for having used a booth or stall at a fair’ (Lloyd 2005: 201) is left unaccounted for in the OED (as well as in Webster’s Third).12 But it is given in the Middle English Dictionary (MED). Another noun, stumpage, provided in the OED with the qualiier local U.S., clearly suggests that some of the observed divergences in the treatment of -age nouns by major dictionaries may be due to dialectal differences; cf. also other nouns marked U.S. in the OED, like dumpage, millage, streetage, as well as the form slidage, dubbed Canadian. Incidentally, the OED citations obliterate, to some extent, the distinction that can be drawn between those few instances of money-related -age derivation that are still in common use today (like postage1 3.) and the remaining mass of old, archaic, or obsolete formations. It should be noted that, for instance, the last attestation for (the relevant sense of) postage1 3. is dated 1891 (which ignores the multitude of twentieth-century uses), while the evidently old (obsolete) form terrage 2. is provided with a very similar date, 1890, as regards its last attestation. Likewise, evaluated solely on the basis of the OED evidence (citations), the example cartage might appear to be pretty old, since its only attestation in the OED is dated 1428. However, several other contemporary dictionaries as well as reference works (cf. Bauer and Huddleston 2002: 1700) leave no doubt that cartage is a currently used noun, with the meaning ‘the cost of carting / charge made for carting’. Overall, for all the forms gleaned from the OED and given in (1) above, the most recent last-attestation date is 1936, for the noun expressage 12 Interestingly, all the text examples illustrating the different senses of the noun coverage (dubbed orig. U.S.) in the OED entry date from the twentieth century. Of course, some of the now archaic forms in -age, not listed in the OED, are to be found only in historical dictionaries or texts from the Middle English period. Thus, for instance, Lloyd (2005: 198, 200) gives several other examples of old inancial terms like relage (1451), navage (c1430), etc. None of these is listed in the OED. Money in word-formation: the English sufix -age 233 (if we disregard the modern sense of the French loan péage, mentioned in the OED Additions 1993, with its last citation dated 1980). Attestation dates from the earlier decades of the twentieth century are provided for only ten other nouns (mileage, pavage, porterage, poundage, standage, stoppage, stumpage, tribulage, truckage, warehousage). Because of the space limitations set for this study, it is impossible to analyse in more detail here just those inancial terms in -age that are likely to occur in Present-day English texts, i.e. the ones that are most signiicant from the synchronic viewpoint (cf. postage, etc.). An analysis of corpus data may furnish interesting evidence concerning the frequency and distribution of relevant forms, also as regards cross-dialectal comparisons (British vs. American English). For example, for a search query like <pay *age>, the British National Corpus (BYUBNC)13 returns 8 strings, including two relevant expressions: pay postage, and pay corkage, with a raw frequency of 3 and 1, respectively. For the same query, the frequency list obtained from the Corpus of Contemporary American English (BYU-COCA)14 comprises 20 collocations, including pay postage (frequency 3), pay passage (frequency 2), pay mileage (frequency 1), and pay e-postage (frequency 1).15 Summing up, what we have seen is a gradual decline in the use of the English sufix -age as a marker of a variety of money-related senses. Given the fact that there are at least 150 examples with this particular meaning recorded in the OED (the majority of which ceased to be used in the nineteenth century or earlier), as opposed to just a handful of contemporary forms, the loss in the signiicance of this semantic pattern is quite spectacular. The causes of this diachronic process are quite varied and partly obscure. The more obvious part of the explanation concerns the extra-linguistic reality: one can argue that, quite simply, the gradual changes in social structure and economic organisation that have taken place since the Middle English period (particularly the elimination of the different tolls, taxes, etc.) have rendered many of the old -age formations useless and obsolete, since their denotata disappeared (cf. murage, pavage, etc.; see Fleischman 1977: 11). As regards the language-internal (structural) causes, one can only speculate that the evolution under discussion may have been triggered by several factors. Firstly, the inancial function of -age (as opposed to its other, more prominent meanings, like e.g. ‘collectivity’) has been prone to marginalisation, perhaps, because it does 13 Source: http://corpus.byu.edu/bnc/. 14 Source: http://corpus.byu.edu/coca/. 15 The set phrase pay homage has the highest frequency on both lists. The expression pay mortgage, which also ranks high in terms of frequency, is set aside here, mainly for etymological and semantic reasons. The remaining combinations on both lists are irrelevant here, because of their structure (compound nouns like pay message or incomplete constituents like pay storage in pay storage charges, etc.). 234 Bogdan Szymanek not correspond to any major category in the system of word-formation (like, e.g. action nouns or collective nouns).16 Rather, it accounts for a lexical (semantic) class whose scope is pretty arbitrary and narrowly deined. Secondly, given the marginal status of this semantic pattern, the fact that, throughout its history, it has been encoded by just one formative (i.e. the sufix -age), may have rendered it especially vulnerable so that it has come close to extinction (notwithstanding its occasional activation in modern colloquial usage). Thirdly, the fate of -age with its money-related function may relect a general diachronic tendency (a typological change) in English noun formation: the tendency towards greater analyticity. This tendency has been discussed by Haselow (2011), particularly as regards the transition period between Old and Middle English and, accordingly, illustrated with a number of native Germanic noun-forming sufixes and patterns. Thus, Haselow (2011: 211) points out that ‘[t]he category of Location, for instance, became entirely unexpressed by morphological means during the transition from OE to ME’ or, in other words, during the early Middle English period ‘sufixation ceased to be used for the extension of the lexicon with respect to nouns denoting locations’ (Haselow 2011: 181). There were six such native locative sufixes (each of them multifunctional), plus a zero derivation. The Old English nouns denoting locations were replaced by periphrastic (syntactic) forms and/or compounds. ‘The massive inlux of French loans in ME and the large-scale borrowing from Latin during the English Renaissance, however, looded the English lexicon with nonnative lexical material and altered the morphological system of English in such a way that a second layer of derivational afixes established itself in English and a second morphological type was added to the native one’ (Haselow 2011: 266). Among the afixes forming place nouns were elements like -ery (nunnery) and -age (vicarage). Now, if the typological shift under discussion could have resulted in a total annihilation (for a time) of a prominent derivational category like locative (place) nouns, encoded in Old English by several co-functional formatives, it is even more likely that it could have led to a dissolution of a minor lexical pattern constituted by -age forms meaning ‘payment, charge, etc.’. Evidence for the typological change affecting the mode of expressing the inancial meaning(s) comes from a closer inspection of the data contained in the OED. The list given in (1) above clearly demonstrates that the glosses which accompany some of the derived forms in -age include synonymous compound nouns, as if suggesting an alternative, or perhaps preferred, form of expression. For example: anchorage = anchorage-dues, corkage = corkage-money, pilotage = pilotage dues; in 16 From the grammatical viewpoint, the class of inancial terms in -age is marginal and particular because it is not directly supported by any of the thematic roles, semantic primes or primitives (cf. e.g. Lieber 2004; Wierzbicka 1996). Money in word-formation: the English sufix -age 235 some other cases, the compound noun is merely implied by the paraphrase (e.g. porterage ‘the charge for (…)’ > porterage charges). Crucially, the compounds are more analytic than the corresponding sufixed forms. Within the different expression types, compounding is more analytic than afixation (cf. Bybee 1985: 12). Therefore, if the typological shift towards greater analyticity is operative here, it should come as no surprise that, today, everybody uses a form like road tax, even though there are good historical precedents for the impossible and unattested (but semantically conceivable) equivalent coinage *roadage. Sources BYU-BNC = Brigham Young University-British National Corpus. 100 million words, UK, 1980s–1993. Available at: http://corpus.byu.edu/bnc/. BYU-COCA = Brigham Young University-Corpus of Contemporary American English, 450 million words, 1990–2012. Available at: http://corpus.byu.edu/coca/. CALD = 2008. Cambridge Advanced Learner’s Dictionary. 3rd edition. Cambridge: Cambridge University Press. MED = Kurath, H., S. McAllister Kuhn, J. Reidy, R. E. Lewis et al. (eds.). 1952–2001. Middle English Dictionary. Ann Arbor: University of Michigan Press. Available at: http://quod.lib.umich.edu/m/med/. OED = Simpson, J., and E. Weiner (eds.). 1989. Oxford English Dictionary. 2nd edition. Oxford: Clarendon Press. Second edition on CD-ROM, 2009,Version 4.0. Oxford: Oxford University Press. The Free Dictionary = The Free Dictionary. Available at: http://www.thefreedictionary.com/. Webster’s Third = 1961. Webster’s Third New International Dictionary of the English Language. Springield: Merriam-Webster. References Bauer, L. 1983. English word-formation. Cambridge: Cambridge University Press. Bauer, L., and R. Huddleston. 2002. Lexical word-formation. In R. Huddleston, and G. K. Pullum (eds.), The Cambridge Grammar of the English language, 1621–1721. Cambridge: Cambridge University Press. Bauer, L., R. Lieber, and I. Plag. 2013. The Oxford reference guide to English morphology. Oxford: Oxford University Press. Booij, G. 2005. The grammar of words. An introduction to linguistic morphology. Oxford: Oxford University Press. 236 Bogdan Szymanek Bybee, J. 1985. Morphology. A study of the relation between meaning and form. Amsterdam, Philadelphia: John Benjamins. Dalton-Puffer, C. 1996. The French inluence on Middle English morphology: a corpus-based study of derivation. Berlin: Mouton de Gruyter. Durkin, P. 2014. Borrowed words. A history of loanwords in English. Oxford: Oxford University Press. Fleischman, S. 1977. Cultural and linguistic factors in word formation: an integrated approach to the development of the sufix -age. Berkeley, Los Angeles: University of California Press. Haselow, A. 2011. Typological changes in the lexicon. Analytic tendencies in English noun formation. Berlin, New York: De Gruyter Mouton. Kastovsky, D. 1985. Deverbal nouns in Old and Modern English: from stemformation to word-formation. In J. Fisiak (ed.), Historical semantics, historical word-formation, 221–261. Berlin, New York, Amsterdam: Mouton de Gruyter. Kastovsky, D. 1986. The problem of productivity in word formation. Linguistics 24: 585–600. Lieber, R. 2004. Morphology and lexical semantics. Cambridge: Cambridge University Press. Lloyd, C. 2005. Some Latinate deverbal sufixes in Middle English: their integration, productivity and semantic coherence. Ph.D diss., Leeds, University of Leeds. Lloyd, C. 2011. Semantics and word formation: the semantic development of ive French sufixes in Middle English. Oxford, Bern, Berlin, Bruxelles, Frankfurt am Main, New York, Wien: Peter Lang. Marchand, H. 1969. The categories and types of Present-day English wordformation. 2nd edition. Munich: Beck. Mortimer, I. 2009. The time traveller’s guide to medieval England. A handbook for visitors to the fourteenth century. London: Vintage Books. Plag, I. 2003. Word-formation in English. Cambridge: Cambridge University Press. Stockwell, R., and D. Minkova. 2001. English words: history and structure. Cambridge: Cambridge University Press. Wierzbicka, A. 1996. Semantics: primes and universals. Oxford: Oxford University Press. Morphophonology or how linguistic concepts rise from the ashes 237 Morphophonology or how linguistic concepts rise from the ashes Jerzy Wójcik Abstract: The paper provides an overview of the history and use of the concept of morphophonology in phonological theory. Morphophonological alternations, where the realisation of a sound depends on lexical or grammatical factors rather than phonological or phonetic ones, constituted one of the major concerns of Structuralism. Within this theoretical framework a separate morphophonemic level was set up and different models were proposed which converted this morphophonemic level into the phonemic one (Anderson 1985). With the advent of Generative phonology in the 1960’s, the separation of representations into morphophonemic and phonemic was heavily criticised (Halle 1959), and ultimately abandoned – morphophonemic alternations no longer resulted from the presence of a separate morphophonemic level but were derived by rules from an underlying representation. In this context it is interesting to see a renewed interest in the concept of morphophonology in recent years. Authors like Gussmann (2007) postulate ‘a return to morphophonology’ in phonological theory. The paper tries to analyse the motivation behind this return to an old concept and to examine some of the details of Gussmann’s (2007) proposal from the historical perspective. Key words: morphophonology, history of phonology, government phonology 1. Introduction The history of linguistic research has been, at least in part, the history of the development of various theoretical constructs and ideas. Typically, an idea proposed and introduced by one scholar is expanded and modiied by others so that, with time, a particular concept may acquire slightly different meanings and interpretations. On the other hand, as different theoretical frameworks come and go, so do the theoretical concepts associated with particular theoretical approaches. In this paper we shall look at the way in which the theoretical concept of morphophonology has been utilised within phonological theory with a view to examining the way in which morphophonology – born in the 19th century as one of the major concerns of Structuralism – came to be almost completely abandoned in the second half of the 20th century only to be reborn within Government Phonology in recent years. We shall start by looking at the origin of the concept itself, which was one of the theoretical hallmarks of structuralist phonology, which itself introduced a clear distinction between 238 Jerzy Wójcik the morphophonemic level and morphophonemic rules on the one hand and the phonemic level and phonemic rules on the other. This separation came to be criticised at the advent of Generative Phonology, which, most importantly in Halle (1959), rejected the linguistic appropriateness of the phonemic level. As a result, Generative Phonology recognised the systemic phonological level (largely equivalent to an earlier morphophonological level) and the phonetic level, which were connected by a system of rules which made up the major part of the phonological system of language. Morphophonemic alternations in Generative Phonology were thus rule-derived from underlying representations. This effectively resulted in a conlation of phonology and morphophonemics and constituted one source of criticism against Generative Phonology, since it was responsible for the excessive abstractness and unconstrained nature of Generative phonological studies (Coates 2006; Gussmann 2003). More recently, we have been able to observe a renewed interest in morphophonology within the theoretical model of Government Phonology. For example, Gussmann (2007: 30) claims that an adequate description of the phonological system of Polish has to take into account morphophonological regularities which form an important part of the Polish sound structure. For this reason, he postulates a return to morphophonology as a crucial element of phonological theory.1 As it stands, however, Gussmann’s proposal raises a number of interesting questions which follow from the rich tradition associated with the notion of morphophonology. For example, does the return to morphophonology proposed by Gussmann entail the recognition of a separate level of representation as practised by Structuralism? It seems quite clear that Gussmann’s proposal cannot go in this direction as it is put forward by one of the most prominent proponents of Government phonology – a theory which rejects different levels of representation and views phonological phenomena as stemming directly from the structural and segmental conditions which are present in phonological representation. In what follows we shall take a closer look at Gussmann’s motivation behind his proposal, trying to place it in a broader historical context. The paper is organised as follows: Section 2 presents a brief overview of morphophonology, discussing its origin, role and place in the different guises of Structuralism, Section 3 takes a closer look at the details of Gussmann’s proposal to revive morphophonology within the theory of Government Phonology. Finally, Section 4 will offer some conclusions. 1 Gussmann’s ideas are further analysed and expanded by Zdziebko (2012). Morphophonology or how linguistic concepts rise from the ashes 239 2. The origin of the notion Let us start by looking at the origin of the notion of morphophonology within Structuralism. As is well-known, the pivotal notion of structuralist theory is that of a phoneme, regarded as the basic element of phonological analysis. The beginnings of the term itself can be traced back to the work of two 19thcentury Polish linguists: Jan Baudouin de Courtenay and Mikołaj Kruszewski of the so-called Kazan school (Anderson 1985: 64–68). Although, as remarked by Anderson (1985: 66), the notion of the phoneme initially referred to a historical unit, i.e. ‘a sound in the protolanguage ancestral to a given family, together with its relexes in the each of the daughter languages’ and as such could be equated to a correspondence set arrived at through historical investigation, it was Baudouin de Courtenay and Kruszewski who irst applied the notion to the synchronic rather than the historical variation of sounds and who inally arrived at the conception of a phoneme as ‘the psychological equivalent of a speech sound’ (Baudouin [1895] 1972: 152). This effectively established the phoneme as a basic building block of morphemes fundamentally different in status from the speech sounds present in their physical realisation.2 The next conceptual development connected with the notion of the phoneme stems from the work of linguists associated with the Prague Circle. In the works of Nikolaj Trubetzkoy (1939) and Roman Jakobson (1949) the focus is placed on the ways in which sound differences do or do not differentiate distinct forms within a language. As a result, the phoneme comes to be deined from the point of view of its contrastive properties as a family of sounds whose role is to ‘distinguish words from one another’ (Jones 1967: 265). This, in turn, emphasises the predominantly paradigmatic nature of the structuralist approach to phonology, which also permeated the works of American Structuralists such as Bloomield (1933) and Harris (1944). Phonological investigation within structuralism could thus be characterised as directed primarily towards the identiication of the contrasting units of the language, i.e. phonemes. However, as observed by Gussmann (2007: 13), scholars working within Structuralism soon realised that large portions of linguistic structure go beyond the establishment of the contrastive units of a language, i.e. the establishment of its phonemic inventory. One aspect of linguistic structure which is of particular interest in this context is regularities in the phonemic makeup of morphemes which are not conditioned by the phonetic context and hence cannot be regarded 2 It is of some interest to note that the linguist regarded as the founder of structuralism, i.e. de Saussure, did not agree with Baudouin in assigning psychological reality to the phoneme as a unit of representation. Instead, Saussure stresses the reality of rules that describe sound alternations, i.e. different physical realisations of phonemes (Anderson 1985: 53; Cole and Hualde 2011: 2). 240 Jerzy Wójcik as allophonic in nature. This poses serious problems for the phonemic theory since an unambiguous phonemic representation of a morpheme cannot be established. A typical example illustrating this situation involves cases where two sounds that are contrastive in some contexts do not contrast in other contexts, i.e. in cases of neutralisation. Consider Pol. chleb ‘bread’ [xlEp] – chleb-a ‘GEN.SG.’ [xlEba], where the root morpheme possesses two distinct phonemic shapes /xlEp/ and /xlEb/ since /p/ and /b/ are different phonemes in Polish. The phonemes that participate in such alternations were named morhophonemes by the Polish scholar Henryk Ułaszyn. Two different ways of capturing such morphologically conditioned sound alternations evolved. One method entailed the recognition of a morphophonemic level of representation, where morphemes were represented as strings of morphophonemes. As remarked by Gussmann (2003), this solution was typical of American Structuralist approaches going back to Bloomield (1939) and was also present in the works of Roman Jakobson (e.g. Jakobson 1948). Under this approach the morphophonemic representation set up an underlying form from which phonemic forms were derived by rules. For example, Pol. chleb ‘bread’ [xlEp] would be analysed as having the phonemic representation /xlEp/ derived by appropriate rules from the morphophonemic representation //xlEb//. As observed by Cole and Hualde (2011: 12), the recognition of the morphophonemic level of representation raises the question of whether this representation should be considered as the underlying representation of words and regarded as psychologically real. According to Anderson (1985: 271–276), Bloomield treated morphophonemic representations as abstract and theoretical. Under this view they had the status of descriptively convenient tools aimed at simplifying the description of alternations. As remarked by Anderson (1985: 276), ‘[f]or Bloomield, the beginning and the end of a theory of phonological structure in natural language was a theory of phonemic representation’. The second method of capturing morphologically conditioned sound alternations was developed by Trubetzkoy (1929, 1931), where outlines of his approach to morphophonology were presented. Crucially, the morphophoneme is considered by Trubetzkoy to be a morphological unit consisting of the phonemes participating in the alternation. According to Anderson (1985: 114), Trubetzkoy believed that this morphological unit is made up of individual phonemes which alternate in the corresponding position in related forms. It was maintained that each of the alternating segments is equally co-present in a given morphoneme. As reported by Anderson (1985: 114), one of the consequences of this view, according to Trubetzkoy, is that ‘the linguistic awareness of the form of morphemes which involve one or several alternations is vaguer and less distinct on the part of speakers than in the case of nonalternating morphemes’. Consider an Morphophonology or how linguistic concepts rise from the ashes 241 example from Gussmann (2003: 449), which illustrates Trubetzkoy’s idea of a morphophoneme containing all the phonemes which participate in an alternation, so that the morpheme act of active – action – actual would be represented as {æ} {k}{t, S, tS}. As can be seen, the crucial difference between the two approaches to the morphophoneme is that under Bloomield’s approach morphophonemic variation is described in terms of rules which govern the realisation of invariant representations3 (i.e. morphophonemic representations), while for Trubetzkoy morphophonemic alternation is equated with a list of alternants together with the conditions in which they occur, and it is this list which is equated with the corresponding unitary morphophoneme (Anderson 1985: 114). As clearly transpires from the discussion above, morphophonology was one of the major theoretical concerns of Structuralism and from its very beginnings the term has received at least two different interpretations. An interesting question which arises in the context of the renewed interest in the concept of morphophonology in recent years, then, is which interpretation of morphophonology authors like Gussmann (2007) have in mind when a return to morphophonology in phonological theory is postulated. 3. he return of morphophonology in Government Phonology In order to answer the questions posed at the end of the previous section we need to take a closer look at the motivation behind Gussmann’s proposal. In order to do so we need to look at one of the basic tenets of Government Phonology4 connected with the way in which phonological processes are modelled in this theory. As irst proposed by Kaye, Lowenstamm and Vergnaud (1990: 14) in the form of the so-called non-arbitrariness condition, phonological regularities establish a direct link with the context in which they occur. The context is speciically restricted to phonological information and domain boundaries (Kaye 1995). In consequence, phonological operations within GP are seen as local in that they spread or delink elements of the melodic level as conditioned by the phonological contexts. As further remarked by Gussmann (2007: 30), phonological information determining the context of phonological regularities 3 4 It was this view of morphophonology that was later adapted by Generative Phonology, in which the underlying level can be seen as equivalent to Bloomield’s morphophonological level. Of course, an important difference was the elimination of the phonemic level as well as the role of the rules which mapped the underlying representations onto surface representations. Detailed discussions of various aspects of the theory of Government in phonology as developed over the last two decades can be found in the works of Kaye, Lowenstamm, and Vergnaud (1990), Charette (1991), Cyran (2003), Harris (1990), Scheer (2004), Gussmann (2002) and others. 242 Jerzy Wójcik can include empty categories and skeletal and syllabic organisation. Another important aspect of Government Phonology involves the internal organisation of segments. It is assumed that segments are composed of privative elements which enjoy a stand-alone phonetic interpretability (Harris 1990, 1996; Harris and Lindsey 1995). These elements may be combined to derive more complex segments. For example, the three resonance elements I, A, U, are responsible for frontness, lowness and labiality in vowels. Thanks to their stand-alone phonetic interpretability, they can deine a segment alone, e.g. (I) = /i/, (A) = /a/, (U) = /u/, or the elements I, A, U can combine with one another to form complex segments e.g., (A.I) = /E/, (A.U) = /O/, (A.I.U) = /ø/.5 As a result, a number of different vocalic systems as well as universal tendencies characteristic of vocalic systems can be captured. As mentioned earlier, the non-arbitrariness condition demands that phonological operations establish a direct link between the process and the context in which it occurs. As a consequence, the theory of Government Phonology quite precisely deines the possible phonological processes, which practically speaking, boil down to the composition or decomposition of elements locally present in the phonological context. In other words, phonological operations in GP are local in that they spread or delink elements of the melodic level as conditioned by phonological contexts. By way of illustration let us consider some examples of composition and decomposition. For example, Middle English ‘bait’ [bait] irst changed into [be:t] to be later transformed into Modern English [beit] ‘bait’. Similarly, Middle English [au] in ‘caught’ changes into [o:] in Modern English ‘caught’. What can be observed here is the process of composition, whereby [ai] → [e:] and [au] → [o:]. Both changes involve monophthongisation, which can be viewed as a straightforward consequence of the melodic make-up of the original diphthongs, since the two elements of the diphthong, namely A and I in the case of [ai] and A and U in the case of [au], when combined together, produce the resulting monophthongs (A.I) = [e:]6 and (A.U) = [o:]. In a similar fashion the 5 6 An important aspect of the theory of melodic representation in Government Phonology is a direct relation between the complexity of the representation (the number of elements present in the representation of a segment) and the markedness of a segment, so that the more complex the representation, the more marked the resulting segment, e.g. the three element combination (A.I.U) deines the front rounded vowel /ø/. For the purposes of our discussion the melodic make-up of segments is important, while the length of the relevant vocalic expressions can be disregarded. It should be remembered that the length of a vowel results from the particular skeletal association of melody, so that the melody attached to a single skeletal point produces a short vowel, while the attachment to two skeletal points results in a long vowel. The vowels in the Middle English words are all long but what matters more from the point of view of the non-arbitrariness principle is their melodic coniguration. Morphophonology or how linguistic concepts rise from the ashes 243 process of decomposition can be illustrated by examples involving transitions between Middle English [e:] → Modern English [i:] in feet and Middle English [o:] → Modern English [u:] in food, which constitute a part of the Great Vowel Shift. In this case the process of decomposition, which entails the suppression of elements, may be viewed as a non-arbitrary process, since the resulting vowels are composed of elements which were locally present in the melodic make-up of the original Middle English [e:] and [o:].7 Consequently, when the element A is suppressed in (A.I) = [e:], the result can be nothing else but I = [i:], while the suppression of A in (A.U) = [o:] can only result in U = [u:]. In sum, then, the theory of Government Phonology makes a very strong claim regarding the nature of phonological operations, which are seen as highly constrained processes, involving either the addition or reduction of melodic material which has to be locally present in the phonological context. Having presented the most relevant aspects of Government Phonology, we can turn our attention to the motivations which lie behind Gussmann’s decision to revive the notion of morphophonology in linguistic theory. As remarked by Gussmann (2007: 30), ‘phonology circumscribed along such lines does not exhaust the domain of sound structure’. Quite clearly, what Gussmann has in mind is that not all types of regularities observed in languages can be regarded as resulting from processes whose trigger is locally present in the phonological context. Consider, for example, Old English cūþ ‘known’ and cyþan ‘to make known’, where the vocalic alternation between [u:] = (U) and [y:] = (U.I) has to be seen as completely independent of the context since there is no local source for the element I in cyþan. Consequently, Gussmann (2007) postulates a strict separation between two different types of regularities in phonology: alternations which result from morphophonological regularities, which are deined negatively as those for which no non-arbitrary phonological description is available; and those which are truly phonological in nature, which can be handled phonologically, since a direct link between the alternation and the context can be established. As explicitly claimed by Gussmann (2007: 78), ‘it is the contention of this book that only a tiny portion of morphophonological alternations can legitimately be used as evidence of phonological regularities. In other words, phonological regularities exist independently of any alternations although, on occasion, they may lead to such alternations.’ The issue that Gussmann (2007) needs to resolve at this point is the way in which morphophonological regularities should be expressed by the grammar of the language. What is claimed is that ‘unlike phonological processes, morphophonological regularities are in essence segment replacements in 7 What is more, the processes of decomposition typically involve segments in prosodically weak positions, demonstrating further the non-arbitrary nature of the phenomenon. 244 Jerzy Wójcik speciied contexts. The contexts may be partially phonological but most typically involve morphological and/or lexical information’ (Gussmann 2007: 118). As an illustration of the way in which Gussmann treats morphophonological regularities, consider the following examples from Polish, which show a pattern of palatalisation replacements of labial and sonorant consonants found when the dative locative singular –e is afixed to a noun. (1) Gussmann’s palatalisation replacements in Polish (Gussmann 2007: 125) p │ pj b │ bj f │ fj v │ vj m │ mj r │ Z w │ l n │  małp-a [mawpa] ‘monkey’ małpi-e [mawpje] bab-a [baba] ‘crone’ babi-e [babje] raf-a [rafa] ‘reef’ rai-e [rafje] staw-u [stavu] ‘pond-GEN.SG’ stawi-e [stavje] tam-a [tama] ‘dam’ tam-ie [tamje] por-a [pOra] ‘time’ porz-e [pOZe] dół [duw] ‘hole’ dol-e [dOle] stan [stan] ‘state’ stani-e [stae] As can be seen, Gussmann views morphophonological regularities as stemming from the kind of segment replacements illustrated above. He further notes that the segments involved in an alternation need not necessarily be relatable phonologically, but they remain stable (Gussmann 2007: 112). At this point it is not dificult to see which of the two traditional ways of capturing morphophonological regularities is espoused by Gussmann’s analysis. Recall that the two major structuralist interpretations involved either Bloomield’s approach, where one allomorph is considered basic, while the remaining shapes of the morphophoneme are derived by a series of rules modifying its phonemic representation; or Trubetzkoy’s view of a morphophoneme seen as a complex segment. It is quite clear that Gussmann’s approach to morphophonology is much closer to the view expressed by Trubetzkoy, whose complex segments capture morphophonemic alternations in the form of a list of alternating segments together with the conditions in which they occur. Gussmann’s segment replacements clearly go back to the structuralist tradition represented by Trubetzkoy. From this perspective it is interesting to observe how certain ideas and theoretical constructs which seemed to have been Morphophonology or how linguistic concepts rise from the ashes 245 completely abandoned and regarded as superluous have risen from the ashes and once again ind themselves at the center of ongoing theoretical debates. 4. Conclusion In the course of our discussion we have looked at the way in which the concept of morphophonology, which appeared in linguistic theory together with structuralism in the 19th century and faded into oblivion with the advent of the derivational paradigm of generative Phonology, has received a new lease of life within the theory of Government Phonology. Most interestingly, the complex story of morphophonology shows that linguistic ideas are never really completely forgotten and it is only a question of time before they return and inspire new generations of linguists. References Anderson, S. 1985. Phonology in the twentieth century. Theories of rules and theories of representations. Chicago: The University of Chicago Press. Baudouin de Courtenay, J. [1895] 1972. An attempt at a theory of phonetic alternations. In E. Stankiewicz (ed.), Selected writings of Baudoin de Courtenay, 144–212. Bloomington: Indiana University Press. Bloomield, L. 1933. Language. New York: Holt. Bloomield, L. 1939. Menonimi morphophonemics. Travaux du Cercle Linguistique de Prague 8: 105–15. Charette, M. 1991. Conditions on phonological government. Cambridge: Cambridge University Press. Coates, R. 2006. Morphophonemics. In K. Brown et al. (eds.), Encyclopedia of language and linguistics. 2nd edition, 318–331. Oxford: Elsevier. Cole, J., and J. I. Hualde. 2011. Underlying representations. In M. van Oostendorp, C. J. Ewen, E. Hume, and K. Rice (eds.), The Blackwell companion to phonology, 1–26. Malden: Wiley-Blackwell . Cyran, E. 2003. Complexity scales and licensing strength in phonology. Lublin: Wydawnictwo KUL. Gussmann, E. 2002. Phonology: analysis and theory. Cambridge: Cambridge University Press. Gussmann, E. 2003. Morphophonemics. In W. Frawley (ed.), International encyclopedia of linguistics, 448–451. 2nd edition. New York: Oxford University Press. 246 Jerzy Wójcik Gussmann, E. 2007. The phonology of Polish. Oxford: Oxford University Press. Halle, M. 1959. The sound pattern of Russian: a linguistic and acoustical investigation. The Hague: Mouton. Harris, J. 1990. Segmental complexity and phonological government. Phonology 7: 255–300. Harris, J. 1996. Phonological output is redundancy-free and fully interpretable. In J. Durand, and G. Laks (eds.), Current trends in phonology: models and methods, 305–332. Manchester: The European Studies Research Institute. Harris, J., and G. Lindsey. 1995. The elements of phonological representation. In J. Durand, and F. Katamba (eds.), Frontiers of phonology: atoms, structures, derivations, 34–79. London: Longman. Harris, Z. 1944. Simultaneous components in Phonology. Language 20: 181–205. Jakobson, R. 1948. Russian conjugation. Word 4: 155–67. Jakobson, R. 1949. Notes on general linguistics: its present state and crucial problems. New York: Rockefeller Foundation. Jones, D. 1967. The phoneme. Its nature and use. Cambridge: Cambridge University Press. Kaye, J. 1995. Derivations and interfaces. In J. Durand, and F. Katamba (eds.), Frontiers of phonology: atoms, structures, derivations, 289–332. London: Longman. Kaye, J., J. Lowenstamm, and J-R. Vergnaud. 1990. Constituent structure and government in phonology. Phonology 7: 193–231. Scheer, T. 2004. A lateral theory of phonology: what is CVCV, and why should it be? Berlin: Mouton de Gruyter. Trubetzkoy, N. 1929. Zur allgemeinen Theorie des phonologischen Vokalsystems. Travaux du Cercle Linguistique de Prague 1: 39–67. Trubetzkoy, N. 1931. Gedanken űber Morphonologie. Travaux du Cercle Linguistique de Prague 4: 160–163. Trubetzkoy, N. 1939. Grundzűge der Phonologie. Travaux du Cercle Linguistique de Prague 7. Zdziebko, S. 2012. Modelling morpho-phonology: consonant replacements in Polish. Studies in Polish Linguistics 7: 129–164. What the 18th- and 19th-century sources tell us… 247 What the 18th- and 19th-century sources tell us about the implementation of Aitken’s Law Sławomir Zdziebko Abstract: The present paper investigates the application of one of the major processes that affected vowel length in Scots, i.e. Aitken’s Law. I examine six sources from the period between the beginning of the 18th and the second half of the 19th century. The investigation of the relevant works allows us to establish the order in which different consonantal contexts triggered Aitken’s Law lengthening. This is possible as historically the Great Vowel Shift affected the same vowels to a different extent depending on the contexts they appeared in. The paper focuses on the reflexes of the Middle Scots open vowels /a/ and /a/ and the open-mid back /O/. It appears that the Great Vowel Shift applied to the reflexes of the long open vowel for the longest period of time as there are traces of this vowel being raised as far as /i()/. The usual reflex of the short open vowel attested in open syllables and before lenis consonants is the close-mid vowel /e/. However, before fortis consonants and in word-internal closed syllables, where vowel length is typically dispreferred, the open-mid reflex /E/ can be found. The typical reflex of the back open-mid vowel is the close-mid /o()/. The long vowel was found in most open-syllables, while the close syllable context shows variation. The exact quality of the back rounded vowel in 18th and 19th-century Scots and Scottish English is difficult to determine due to inconsistencies and contradictory positions taken by the authors of the sources. Key words: Aitken's Law, Great Vowel Shift, Scots, Scottish English, vowel quantity 1. Introduction The aim of this paper is to investigate six sources from the 18th and 19th centuries whose authors report and comment upon the realisation of vowels in dialects of English used in Scotland in the relevant period. It will be argued that the investigation of the sources may shed light on the working of a major process that affected vowel length in Scots, i.e. Aitken’s Law and its interaction with the Great Vowel Shift. The structure of the paper is as follows: Section 2 makes the reader familiar with the background of the English used in Scotland in the past and nowadays and presents the systemic properties of the accent. The aim of Section 3 is to present general characteristics of the 18th- and 19th-century Scottish sources. Section 4 is devoted to the presentation of the realisations of open and mid-back vowels in the relevant period as described in the sources. Section 5 contains a discussion of the picture that emerges of the application of Aitken’s Law Sławomir Zdziebko 248 and its interaction with the Great Vowel Shift from the reports of the 18th- and 19th-century Scottish authors. Section 6 offers a summary of the article. 2. Standard Scottish English and Aitken’s Law Standard Scottish English (henceforth SSE) is the accent of the English language spoken in Scotland. The origins of SSE can be traced back to the second half of the 17th century, when Scots, the oficial language of the Kingdom of Scotland, started giving way to Southern English in the ields of religion and administration. The 17th and 18th centuries in Scotland saw the development of a new linguistic medium that comprised southern syntax, semantics and lexis but retained very many features of the phonology of Scots. At the beginning of its history SSE was used almost exclusively by the upper classes of Scottish society. Those members of the Scottish elite who wanted to indulge in the prestige of the capital and, at the same time, avoid exposing themselves to mockery, frequently took classes in elocution. Still, certain features of Scots were notoriously present in the speech of the crème de la crème of Scottish society despite protracted and persistent attempts to root them out. The reasons why this was the case are not known. Attempts at the correction of the linguistic habits of the Scottish nobility frequently involved reading books. This therapy, although successful in introducing new vocabulary and syntax, was completely ineffective when it came to ‘correcting’ pronunciation. Nowadays SSE is widely used among middle class speakers in cities and also on oficial occasions. Scots, recognised as a separate language in the European Charter for Regional Minority Languages, is used by the working class and as a home language. As I have mentioned above, SSE shares the majority of its syntactic, semantic and lexical properties with Standard Southern British English. On the other hand, its phonological properties are fairly idiosyncratic. As this paper is preoccupied with the phonology of SSE vowels, the vocalic system of contemporary SSE is presented in (1) together with examples of words that contain relevant vowels. (1) SSE vowels /i()/ as in MEAT, STEER /e/ as in WAIT, THERE /E/ as in PET, ERR /E/ as in PIT, STIR /a/ as in PAT, FAR /()/ as in ROOM, PUT, MOORE /o/ as in LOAD, MORE /O/ as in WAR, POT /~/ as in PUTT, CARTER What the 18th- and 19th-century sources tell us… 249 /i/ as in SIDE /ai/ as in SIGH /au/~/u/ as in LOUT, NOW /Oi/ as in BOY, CHOICE /i()/ as in TUNE, DURING The vowels presented in (1) form what is traditionally called the basic inventory of SSE. Some speakers may have additional back vowels //, // and //, familiar from Southern English (see Durand 2004 for a discussion and references). Speakers that have the additional three back vowels in their sound inventory have additional contrasts in pairs like Sam/psalm, cot/caught and look/Luke. What is of particular interest to us is the quantitative properties of SSE. SSE may be seen as special among the languages belonging to the West Germanic branch in not possessing the traditional contrast between long and short vowels. When it comes to their length, SSE vowels may be divided into three groups. The division is presented in (2): (2) The quantitative properties of SSE vowels a. invariably long vowels: /e/ as in WAIT/THERE, /E/ as in PET/ERR, /a/ as in PAT/FAR, /O/ as in POT/WAR, /o/ as in LOAD/MORE, /Oi/ as in BOY/ CHOICE, /au/ as in LOUT/NOW (some speakers) b. invariably short vowels: /E/ as in PIT/STIR, // as in PUTT, /u/ as in LOUT, NOW (some speakers) c. vowels of variable length: /i()/ as in MEAT/STEER, /()/ as in ROOM/ PUT/MOORE, /ai~i/ as in SIGH-SIDE1 The vowels from set (2a) are long regardless of the environment they are found in. The vowels in (2b) are short wherever they are found. The vowels presented in (2c) are long when they are found before /v  z Z r g dZ/ and at the end of morphemes (see Pukli 2006; Scobbie et al. 1999; Sundkvist 2010). The major quantitative change that inluenced the system of Scots vowels is known as Aitken’s Law, after a renowned Scottish phonetician and phonologist A. J. Aitken, whose studies are among the most signiicant contributions to the understanding of the sound systems of Scots and SSE. Aitken’s Law is said to have been in operation in the 16th century (see Aitken 2002: 129–130), when certain Scottish vowels were lengthened whilst others were shortened so that a system 1 As shown by Scobbie and Stuart-Smith (2006), the long version of the diphthong is also attested in stressed syllables of trochaic items such as nitro, micro or libel. The alternation between /ai~i/ is apparently accompanied by a qualitative adjustment, whose exact nature is irrelevant to the point made in this paper. 250 Sławomir Zdziebko close to the one presented in (2) was created. The aim of the following section is to examine how the ample 18th-century and, to a lesser extent, 19th-century Scottish sources help us understand the nature of the Law. Before I go into details of the 18th- and 19th-century descriptions, a brief characterisation of their main features is due. 3. The nature of 18th- and 19th-century sources The prescriptive nature of 18th- and 19th-century sources is one of their most distinctive features. This openly subjective viewpoint on the language used by early modern society for years discouraged scholars from taking advantage of these 18th- and 19th-century source materials. This, in turn, resulted in the 18th and 19th centuries being called ‘the Cinderellas of English historical linguistics’ (Jones 1989: 279). Like the majority of works from that period, many of the 18th- and 19th-century Scottish sources are prescriptive and critical of the non-standard varieties. It has to be mentioned, however, that 18th-century Scotland was the scene of a clash between the advocates of the attempts to ‘devulgarise’ Scottish speech by making it as close to the London standard as possible and those who believed that the Scots spoken by the upper classes of society was purer and more perfect than the southern standard. The former were grouped around Thomas Sheridan and the Select Society working in Edinburgh from the middle of the 18th century. The latter position was particularly strongly supported by two Roman Catholic clergymen: James Addams and Alexander Geddes (see Jones 1997: 8.1–8.2). Geddes was the author of Three Scottish poems, with a previous dissertation on Scoto-Saxon dialect (1792). The work is a translation of three ancient Greek poems into English and begins with a lengthy treatment of the history of Scots in which the author praises the ‘richness’, ‘energy’ and ‘harmony’ of the language. Apart from being one of the few non-condescending works commenting on the features of Scottish English, Geddes’ Three Scottish poems is exceptional in describing not only the dialect used in Edinburgh but also the speech of Buchan: the home region of Geddes. The rest of the sources are much more critical of the English used in Scotland and usually leave no place for appreciation of the speech characteristics of the north of the United Kingdom or, more generally, any variety except for London English. In this context it is worth quoting a passage from the second volume of James Elphinston’s Propriety Ascertained in Her Picture or English Speech and Spelling Rendered Mutual Guides from 1787. What the 18th- and 19th-century sources tell us… 251 Dialect haz, in all tungs, varied according to distance from dhe center or standard ov Propriety. If evvery provvince ov Spain, and ov Brittain, differ dhus from dhe Cappital; Poartugal and Scotland, for obvious cauz, must (respectively) make far graiter deviacions from dhe purity ov LONDON and MADRID. Elphinston (1787: 1) Elphinston undertook the daunting task of coming up with a system of spelling that would, at least in his eyes, express the relation between English orthography and pronunciation in a more appropriate way than the traditional spelling system. From the point of view of this paper, the second volume of his work entitled An anallysis ov dhe Scottish Dialect is of particular interest due to the long lists of words and comments on their ‘inappropriate’ pronunciations. One of the best known elocutionists and commentators of the speech of 18thcentury Scotland is Sylvester Douglas. This is thanks to the work of Charles Jones, who edited Douglas’ A Treatise on the Provincial Dialect of Scotland (Jones 1991). The Treatise is one of the most detailed and clear descriptions of the features of the speech of 18th-century Scottish society. Similarly to Elphinston, Douglas presents multiple examples of words and word lists with meticulous descriptions of the way they are and should be pronounced. On the socio-linguistic side, Douglas is one of the irst authors who explicitly mentions the difference between the ‘vulgar’ and ‘vernacular’ speech of the Scots. This difference is reminiscent of the distinction between broad Scots versus Standard Scottish English mentioned in the previous section. Apart from the lengthy and detailed dissertations praising or, more often, pouring scorn on the speech of 18th-century Scottish society, a multitude of other types of sources from the period are available. The most comprehensive list of the types of 18th-century Scottish sources is available in chapter 8 of The Edinburgh History of the Scots Language (Jones 1997). Among these sources, the most instructive are spelling books. One of them is James Robertson’s A Ladies’ Help to Spelling (1722). Robertson’s spelling book is a set of mini dialogues between ‘a Lady’ and ‘a Master’. Additionally, it contains ample lists of pairs and triplets of words which ‘sound alike’. A Ladies’ Help to Spelling is valuable for at least two reasons. Firstly, it provides us with a model of the speech of the upper classes of Scottish society characteristic of the irst half of the 18th century. Secondly, unlike the rest of the sources, which are preoccupied with the speech of Edinburgh, it supplies a sample of the Scottish English used in Glasgow. When it comes to the 19th-century sources, one of the most instructive is The Vulgarities of Speech Corrected, with Elegant Expressions for Provincial and Vulgar English, Scots and Irish from 1826. Although less well known and underestimated by scholars, The Vulgarities of Speech Corrected supplies numerous and detailed descriptions of pronunciation typical of early 19th-century Scotland. The 252 Sławomir Zdziebko anonymous author of the book makes many observations concerning the language used in different regions of the United Kingdom. One of them points to the existence of what could be called a critical period in the acquisition of accent and shows how insightful the observations of the author of The Vulgarities of Speech Corrected were. Every province, every district and even every town and village, have a peculiar tone of voice in speaking, which is called the ACCENT. (...) Now this accent can seldom or never be altered when individual has arrived at mature age, and when any attempt is made to alter or amend, it generally makes the person ridiculous. (1826: 223) The last source that this paper is going to use is James Murray’s The Dialects of the Southern Counties of Scotland published in 1873. The book is written in a much less prescriptive tone than the rest of the works mentioned so far and in this respect resembles modern dialectological literature. Murray’s work contains a detailed description of every vowel found in the speech of people from southern Scotland and is often quoted as a source of knowledge about the quantitative properties of Scottish English. In particular, Murray explicitly points to the existence of three types of vowel length in Scottish English. He distinguishes between ‘long vowels’, i.e. vowels found at the end of words, before voiced fricatives and /r/, ‘brief vowels’, i.e. vowels found in preixes like de-mein, re-gard and ‘stopped vowels’: vowels found before other consonants than voiced fricatives and the rhotic. As has been mentioned at the beginning of the section, some scholars were apparently sceptical about using sources from this particular period, especially ones devoted to 18th- and 19th-century pronunciation. Beal (2004: ch. 6) points to several possible reasons behind this attitude. The irst of them was the belief that the examination of sound changes requires a suficient temporal distance. In the irst half of the 20th century, the 18th and especially the 19th century were considered too proximate chronologically for scholars to be able to observe and properly interpret any sound changes that had taken place then. The second possible reason that Beal points to was the contention that, in comparison with the great systemic changes of the 16th and 17th centuries, the 18th and 19th centuries simply did not have much to offer. Both reasons seem to follow from the particular view on language change that prevailed in the irst half of the 20th century: a ‘proper’ sound change is concerned with the phonemic level and affects the entire lexicon at once. With the rise of socio-phonetics in the second half of the 20th century the picture of language change has now been effectively demythologised. Works on lexical diffusion such as Chen and Wang (1975) as well as the reconciliatory view presented in Labov (1981) have contributed to this process. What the 18th- and 19th-century sources tell us… 253 One more reason behind the lack of interest in the early modern sources that Beal (2004: 128) points to is their overtly prescriptive character. She quotes Holmberg (1964: 10), who claims that many 18th-century authors ‘were sometimes more anxious to teach what they believed was correct than to record the pronunciation they actually heard or used’. In fact Holmberg’s remark is one of the more balanced ones. Ellis (1869: 155) describes the authors of 18th-century pronunciation guides as ‘those word-pedlars, those letter-drivers, those stiff-necked pedantic philosophical, miserably informed, and therefore supremely certain, self-conident and selfconceited orthographers’. Rydén (1981: 513) refers to the authors from the period as ‘[t]hese prescriptive grammarians (...) whose rules were largely a mixture of Latin grammar, ‘logic’, ‘reason’ and prejudice’. The majority of the opinions of the kind quoted above are misguided and unjust. Any relatively detailed study of the sources presented in this section will reveal that their authors were as meticulous about recording the pronunciation they actually heard as their counterparts from other periods. The best example here is The Vulgarities of Speech Corrected, whose author focuses mainly on a detailed presentation of the ‘incorrect’ usage. The author, obviously, indulges in a subjective evaluation of the speech he inds ‘vulgar’. Many of the features of the pronunciation of Scottish English that are commented on in The Vulgarities of Speech Corrected are also pointed out in sources from the late 18th-century, so there is no reason to believe that the description is wanting in any way. Beal (2004: 107–115) investigates the extent to which Rydén’s criticism is relected in the 18th-century grammars. She contends that the accusations of their being heavily inluenced by Latin are ungrounded. Moreover, whenever the 18thcentury grammarians appealed to ‘logic’ to deem certain constructions ‘improper’, these constructions had already been socially stigmatised and were disappearing from standard usage. This was the case with double comparatives and double negation. Beal also brings up several arguments against the claim that the personal prejudices of many 18th-century authors were the driving force behind decisions about the ‘correctness’ of some constructions. In general, there is no reason to believe that the direct evidence from the 18th and 19th centuries is ‘contaminated’ with personal prejudice more than the direct or indirect evidence from any other period. After all, every member of a speech community, regardless of time and place has some prejudice against some usage. The only difference between early orthoepists, authors of chronicles and poets and the 18th-century authors is that the latter speak openly about the general prejudice of their times in favour of the speech of cultivated members of the speech community and strive to establish this general prejudice as a norm. All in all, the conclusion should be that the sources mentioned in this section should not be seen as more or less objective, (in)consistent or (un)reliable than 254 Sławomir Zdziebko sources from any other time. Each period in history has its own speciicity which leaves visible traces on any activity people living in this period undertake. Writing about language is not an exception here. A researcher faced with a source from the 14th or the 18th century should be able to understand the speciicity of the period, or at least keep it at the back of their mind, in order to take maximal advantage of the source. The degree of objectivity or reliability of a source, except for some extreme cases, is equally unknown to a researcher regardless of the period the source originates from. 4. Scottish vowels in the 18th and 19th centuries The aim of this section is to investigate the qualitative and quantitative properties of Scottish English vowels in the 18th and 19th centuries on the basis of the source materials mentioned in Section 3. Due to space restrictions I am unable to discuss all the vocalic objects that comprised the system of SSE in the relevant period. What this section will be preoccupied with are the realisations of two vowels: the open vowel /a/ and the back mid rounded vowel /O/. This choice is dictated by the fact that the realisations of these two objects give one the greatest insight into the operation of Aitken’s Law and its interaction with the Great Vowel Shift. 4.1. The realisations of /a()/ The front close-mid realisation of etymological /a/ is decidedly the best attested one. Douglas (Jones 1997: 8.4.1.1.) presents a list of items in which the open vowel is pronounced as /e/. Among these are found Saturday, Saturn, Danish, famine, have, statue. The last ive items are explicitly claimed to possess a long vowel. According to Elphinston (1787: 8–9), the words dazzle, saddle, apple are realised with an /e/ as dazel, sadel, apel. The same is true about words such as laird, rewaird, gairden, yaird, staig, naig, craig, which correspond to Southern English lord, reward, garden, yard, stag, nag, crag. The close-mid realisation was most probably also common in the speech of the upper classes of early 18th-century Glasgow. This is evidenced by the sets of words sounding alike and presented in Roberson’s 1722 spelling book for ladies. Among them one inds vann ‘of the army’/vane/vein, grace/graze/grass, plain/plane/plan, made/mad, quake/quack. Among more marginal realisations, the front open-mid /E/ is worth paying attention to due to its scarcity, if nothing else. Robertson (1722) mentions only three words showing this kind of merger. These are cattle/kettle, vassal/vessel and ketch/catch. A slightly more numerous set is provided by the anonymous author 255 What the 18th- and 19th-century sources tell us… of The Vulgarities of Speech Corrected (VSC). The entire list comprises tax/tex, bad/bed, lamb/lemb, back/beck, hand/hend, lamb/lemb, black/bleck, fat/fet, cattle/kettle. Additionally, command and demand are claimed to be sounded as commend and demend. The author explicitly states that the vowels in all these items are short. To this list one can add, after Elphinston (1787: 8), acquaint sounded acquent. Yet another peculiarly Scottish realisation of a historical open vowel is attested by Robertson (1722), who provides pairs and triplets like hare/here, chair/ cheer, bacon/beckon/beacon, fair/fare/fear, shave/sheaf, wane/wean. According to Jones (1991: 28), Douglas reports on many Scottish people sounding chair like cheer. In addition to that, Elphinston (1787: 2) criticises the speakers of Scottish English for pronouncing mare, blaze, entertain and complain as mere, bleze, enterteen and compleen. Although the realisation of the low vowel as /i()/ is restricted only to some environments and to the relexes of the etymologically long open vowel, it was well established among the speakers of Scottish English in the 18th century. The variety of contexts in which the relexes of the open vowels were found is summarised in Table 1 below. ‘C’ stands for any consonant. /e()/ /E/ /i()/ _/r#/ Douglas In open syllables, _ /v#, d#/ Robertson _/n#, ~z#, d#, k#/ an open syllable followed by /t/ and /s/; _/tS#/ _/r#, v#, n#/; in an open syllable before /k/ or after a labial (?) Elphinston In open syllables before _/z, d, p/ and before /r+C/ and /g#/ _/nt#/ _/r#, z#, n#/ VSC _/k#, d#, b#, k#, nd#/; in an open syllable followed by /t/ Table 1. The context where the relexes of /a()/ were found 256 Sławomir Zdziebko 4.2. The realisations of /O()/~/o()/ The merger of the LOT, THOUGHT and BOAT vowels is one of the most widely quoted characteristics of 18th- and 19th-century Scottish English. Although its sociolinguistic status is extremely unclear, its pervasiveness may be seen as evidence of the merger being socially accepted at least among some members of the Scottish upper classes. This point of view is also evidenced by the fact that young ladies living in early 18th-century Glasgow are clearly advised to merge the two vowels. The following passage from Robertson’s A Ladies’ Help to Spelling (1722: 12) leaves no doubt. Lady: What’s the sound of (o)? Master: O, generally right pronounc’d, has less variation in its sound than any other Vowel; being short before all double consonants, as in oblige, Colt, most, &c, but before ld, it sounds like ou as in cold, hold, fold; see how the silent e lengthens it, in these Examples, I will not rob you of your Robe; He gave me a note, I will not deny; he beat with a rod, when he rode on his way...it’s always long if there be but one Consonant betweext it and another vowel, as in Open, Onion, Olive. Robertson (1722: 12) Apart from the qualitative merger of /O/ and /o/, the dialogue presented above is also a priceless clue as to the distribution of long and short vowels in 18th-century Glaswegian Scottish English. An interesting question that the passage from Robertson’s spelling book does not answer is what the exact quality of the back rounded object resulting from the merger was. As to that, the 18th- and the 19th-century authors are much less explicit and there is no agreement among them. The anonymous author of VSC (1826: 229–230) informs us that: The letter “o” is pronounced very badly by almost every Scotsman. The long sound, for instance, is uniformly shortened and we always have smok for “smoke”, alon for “alone”, mon or “moan”, ston for “stone”, rodd for “road”, coll for “coal”, bott for “boat”, cott for “coat”, nott for “note”, lonly for “lonely” &c. In addition to that, the author notes the long vowels in God, lord, dog, conscience and constable as well as among, comfort, compass, covenant, doth, hover, nothing, sovereign, world, worse. No difference in quality between the short smok vowel and the long among vowel is mentioned in the book. Murray (1873: 111) is more clear as to the quality of the back mid object. He mentions the long close-mid vowel in words like noo ‘no’, door, loord ‘lord’ and good ‘God’ as well as lote, dole and scone. The vowel he describes as ‘short but What the 18th- and 19th-century sources tell us… 257 unchanged in quality’, i.e. /o/, is found in lot, dot, scon. A hundred years earlier Sylvester Douglas (Jones 1997: 8.4.1.3.) notes that in the pronunciation of words like sought, thought, fought, taught, fraught the Scottish ‘fall into the mistake of using the long close sound of o, and making (for instance) brought, and boat, the same word to the ear’. On the other hand, Geddes (Jonson 1994: 99–101) points to the existence of two types of mid back vowels: ‘o short, as in hot’ which ‘when rapidly pronounced, coincides nearly with a short’. The fact that Geddes’ ‘a short’ is found, among others, in the word hand points to an open-mid realisation of the vowel. The second mid back vowel that Geddes points to is ‘<o>’ deined as ‘o long as in bone; This sound might be expressed by oo, for o long is only a protraction of o short’. The lack of consistency among the authors may be explained by the dialectal differences between the accents of Scots/SSE. Still, what is relevant from the point of view of the operation of Aitken’s Law and its interaction with the Great Vowel Shift, is the quantity of the relevant back vowel and the fact that there existed a merger of /O()/ and /o/ under /o()/. Table 2 below summarises the contexts in which the long and the short back mid vowels are reported in the relevant sources. Long realisation of /o~O/ Short realisation of /o~O/ Robertson Open syllables, etymologically/ spelling driven variability Closed syllables, an open syllable followed by a complex onset VSC _ /v#, #, d#, g#/, certain internal closed syllables, r+C _C# (in some words) Murray _C# (in some words); word inally, before /r/ and r+C _C# (in some words) Table 2. The quantity of the merged LOT, THOUGHT and BOAT vowels 5. Aitken’s Law and the Great Vowel Shift The qualitative and quantitative properties of the Scottish vowels presented above stem from a particular mode of application of Aitken’s Law and its interaction with the Great Vowel Shift (GVS). The part of GVS relevant from the point of view of this paper is the shift of /a/ to /E/ and later /e/ so that words like BAKE and BAIT pronounced with /a/ before 258 Sławomir Zdziebko the shift ended up with /e/ in late 16th-century Scots. Words that possessed /O/ in the 15th century ended up with /o/. Thanks to the fact that GVS affected only long vowels, the results of the working of the shift in Scotland give us an interesting insight into the application of Aitken’s Law. Starting with the behaviour of the relexes of open vowels, let us examine the close realisations of pre-GVS /a/ in the 18th century. Recall that this realisation was noted by Robertson, Elphinston and Douglas and was especially wellattested before the voiced fricatives, /r/ and /n/. This fact allows us to connect this realisation with observations made by Aitken (2002) and Johnston (Jones 1997: 3.3.4–3.3.5) on the basis of earlier sources. The two authors claim that the merger of the BAKE and BAIT vowels started in the late 14th or early 15th century before nasals, /r/ and voiced fricatives. What is more, the merged vowels started raising in the 15th century in exactly the same contexts. In the face of these facts, it is natural to claim that before /n, m, r, v, , z/ the raising started early enough for GVS to shift those relexes of /a/ and /ai/ to /i()/. When it comes to the mid relexes of lengthened /a/, i.e. /e()/ and /E()/, their environments seem to be indicative of the order of the environments affected by the Aitken’s Law lengthening. It seems that most open-syllable contexts, pre-/r/, pre-sonorant contexts, as well as vowels followed by voiced fricatives and /g/ were affected irst by Aitken’s Law lengthening and were shifted as far as the open-mid quality. Open syllables followed by /t/ as well as vowels before consonantal clusters, /k/ and /tS/ did not favour the early lengthening. GVS lasted only long enough to shift them as high as /E/. The claim that Aitken’s Law lengthening worked irst in open syllables may also be conirmed by the quantitative properties of the back vowels. Recall that Robertson reports the presence of long vowels in open syllables in early 18thcentury Glaswegian SSE.2 The inal closed syllables showed variability. Internal closed syllables provoked the presence of short vowels only. It seems that the presence of long vowels was gradually extended to closed syllables as reported by the anonymous author of VSC. Nowadays all mid vowels in SSE are long regardless of the environment they are found in. 2 It may also be the case that the presence of long vowels in open syllables of many Scots and SSE words is a result of the working of the Middle English Open Syllable Lengthening and does not have much to do with Aitken’s Law lengthening. In such a case their length at the time of GVS should be seen as resulting from the non-application of Aitken’s Law shortening in the relevant contexts. The general conclusion is, however, that, in the face of global processes affecting vowel quantity, open syllables favour long realisations of vowels better than closed syllables. What the 18th- and 19th-century sources tell us… 259 6. Conclusion To conclude, the picture of Aitken’s Law that emerges from the reports of the 18thand 19th-century authors points to the open-syllable environment as being affected irst. The second set of environments that hosted the lengthening can be found before word-inal voiced obstruents and sonorants. Consequently, the vowels in those two types of environments were under the inluence of GVS for a long enough period of time to be raised as far as /e/. Pre-obstruent and internal closed-syllable contexts are least favourable in supporting the lengthening of vowels in 16th-century Scotland. As a result, open vowels in these contexts were raised only to /E/. The fact that it is open-syllables that host long vowels more readily than other environments is also strengthened by the data suggesting that the back rounded vowels were long in open syllables, at least in early 18th-century Glaswegian SSE. Long vowels in closed syllables are explicitly reported only as late as the early 19th century. That the 18th- and 19th-century sources (see Douglas and Murray) report the merger of the LOT, THAUGHT and BOAT vowels under /o()/ may also point to the interaction between Aitken’s Law and GVS. References Aitken, A. J. 2002. The Older Scots vowels: a history of the stressed vowels of Older Scots from the beginnings to the eighteenth century. Edited by C. Macafee. Edinburgh: Scottish Text Society. Beal, J. 2004. English in modern times. London: Arnold. Chen, M., and W. Wang. 1975. Sound change: actuation and implementation. Language 51: 255–281. Ellis, A. J. 1869. On early English pronunciation: with special reference to Shakespeare and Chaucer, containing an investigation of the correspondence of writing with speech in England from the Anglosaxon period to the present day, preceded by a systematic notation of all spoken sounds by means of the ordinary printing types. London: Asher and Trubner and Co. Elphinston, J. 1787. Propriety ascertained in her picture, or Inglish speech and spelling rendered mutual guides, secure alike from distant, and from domestic, error. Volume II. London: John Water. Geddes, A. 1792. Three Scottish poems, with a previous dissertation on ScotoSaxon dialect. Transactions of the Society of Antiquaries of Scotland 1: 402–468. Holmberg, B. 1964. On the concept of Standard English and the history of Modern English pronunciation. Lund: Gleerup. 260 Sławomir Zdziebko Jones, C. 1989. A history of English phonology. London: Longman. Jones, C. (ed.). 1991. A treatise on the provincial dialect of Scotland by Sylvester Douglas. Edinburgh: Edinburgh University Press. Jones, C. (ed.). 1997. The Edinburgh history of the Scots language. Edinburgh: Edinburgh University Press. Labov, W. 1981. Resolving the neogrammarian controversy. Language 57: 267–308. Murray, J. A. H. 1873. The dialects of the southern counties of Scotland. London: Asher and Co. Pukli, M. 2006. Investigation sociophonétique de l’anglais en Ecosse: le cas de Ayr. Ph.D. diss., Toulouse, Universite Toulouse II – Le Mirail. Robertson, J. 1722. The ladies help to spelling. Glasgow: James Duncan. Rydén, M. 1981. The study of eighteenth-century English syntax. In W. Winter, and J. Fisiak (eds.), Historical syntax, 509–520. Berlin: Mouton. Scobbie, J., A. Turk, and N. Hewlett. 1999. Morphemes, phonetics and lexical items: the case of Scottish Vowel Length Rule. In J. Ohala, Y. Hasegawa, M. Ohala, D. Granville, and A. Bailey (eds.), Proceedings of the 14th International Congress of Phonetics Sciences, 1617–1620. San Francisco: University of California. Scobbie, J., and J. Stuart-Smith. 2006. Quasi-phonemic contrast and the fuzzy inventory: examples from Scottish English. QMUC Speech Science Research Centre Working Papers, WP-8. Sundkvist, P. 2010. Scottish Standard English as spoken in Lerwick: an overview of pronunciation features. In R. M. Millar (ed.), Northern lights, northern words. Selected papers from the FRLSU Conference, Kirkwall 2009, 98–106. Aberdeen: Forum for Research on the Languages of Scotland and Ireland. The Vulgarities of Speech Corrected = 1826. The vulgarities of speech corrected, with elegant expressions for provincial and vulgar English, Scots and Irish. London: Bulcock. Ireland. Objecthood and the general direction of the historical change… 261 Objecthood and the general direction of the historical change of the Chinese Double Object Construction Guohua Zhang Abstract: The author gives a deinition of the object in Chinese grammar based on the universal syntactic and semantic features of the object in natural languages before he elaborates on the signiicance of the object and Verb-Object semantics in Chinese from the cognitive and CxG perspectives. On that basis, he continues with a deinition and description of the Double Object Construction (DOC) in Archaic Chinese along with an elaboration on the characteristics of the historical change of the DOC in Chinese and its general direction, adopting a formal deinitive criterion. It is revealed that the Chinese DOC has generally undergone a formally-stable evolution with a specialisation in semantics. Due to its semantic overburden, which easily caused ambiguity, vagueness and other communicative dificulties, many subtypes of the DOC’s semantics gradually fell out of use under the inluence of the general requirements and the direction of change in Chinese grammar and were substituted by other more powerful syntactic structures. Consequently, the Chinese DOC has become communicatively increasingly narrower in its form-meaning correspondence and has changed into a construction specialised in expressing possessional transfer between two entities. Key words: object, Double Object Construction, historical change, specialisation 1. Introduction Lǚ (1979: 85) says that the ‘[o]bject (…) is a syntactic element that deserves most careful study’. It is true that the object and the Double Object Construction (henceforth the DOC) have been generating intense studies. Typologically, the DOC is a marked construction, but it is a frequently used structure in Chinese. However, a big controversy still remains concerning how to deine an object and a DOC. Conducting research into the evolution of the DOC on the basis of making an exhaustive description and analysis of related linguistic facts, rather than sticking to some preconceived ideas and a mismatched analysis of facts between Archaic and Modern Chinese, will, hopefully, help reveal the general characteristics and direction of its evolution and reconsider the scientiicity and validity of the grammatical category system. This paper is intended as a rough diachronic investigation into the Chinese DOC, with a view to revealing its syntactic and semantic characteristics and historical change in general. 262 Guohua Zhang 2. Deining the object Deining the object in Chinese grammar is notoriously dificult, either theoretically or practically (cf. Fan 2006). Plank (1984) points out that an object does not exist in isolation and one needs to consider or reconstruct circumstances when deining it, but the circumstances do not necessarily warrant the recognition of the whole gamut of grammatical object relations in all languages alike. Anderson (1984), Collinge (1984), Givón (1984) and Sanders (1984) show that cross-linguistic studies have demonstrated that we are unlikely to ind a neatly clear-cut and valid deinition for objects in natural languages. It seems that the category of object has relatively universal deining properties and absolute characteristic properties pertaining to speciic languages. 2.1 The deining features and characteristic properties of objects Generally, grammatical relations may be deined in terms of a cluster of properties, which can be syntactic, semantic and/or pragmatic ones. And deining the object is necessarily related to subject identiication. Fan (2006) makes that point. But some suggest that the notion of the subject (S) is not grammatically viable, for example in the languages of the Philippines, while some other languages, like English, Lango and Pima, do not differentiate the category of the indirect object (Oi). And even the notion of the direct object (Od) is not universal, an idea which inds its proof in at least one language, i.e., Tagalog (cf. Gil 1984). Some argue that a language without S cannot have Od, while others believe that such a language can have an object, the deinition of which is not in terms of the subject (cf. Gil 1984). Gil (1984) holds that, logically, whether a language has Od is not related to whether it has S. For example, Tagalog is a Patient Prominent language,1 without prototypical subject or object categories, but some NPs can qualify as quasi-S or quasi-Od as they possess some properties that make them very close to S or Od. Gil (1984) proposes that making sweeping generalisations about whether a language has Od is both unsafe and unwise; the fact 1 According to Gil (1984), a language is Patient prominent to the extent that it exhibits the following properties: (i) prominence of passive clauses (in textual, grammatical and psycholinguistic aspects); (ii) greater referential strength of Patients than Actors. Patient prominence is a mixed syntactic-semantic property, which various languages may possess to different degrees. Most familiar languages are not Patient prominent, but Patient prominence is characteristic of Austronesian languages, including Tagalog. Gil (1984) holds that neither English nor Chinese is Patient prominent, and English has S, while Chinese has no S or no full S. Objecthood and the general direction of the historical change… 263 is that languages may vary with respect to the viability of Od in their grammars. More generally, it seems that languages may be characterised in terms of a number of parameters relecting the viability of various grammatical relations in their grammars, whose types and numbers vary among languages; whether a language has S or Od is dependent on multiple factors. Some may have no Od, but for different reasons compared with Tagalog. Therefore, it is a matter of degree whether a language has Od or Od-like syntactic elements; objects can be classiied as prototypical, less prototypical and peripheral ones. According to Gil (1984), an NP’s ability to demonstrate characteristics of Od is proportionate to its ability to function as Od. Deining Od, then is a language-speciic practice. Chinese grammar has the object category, with relatively strict formal and semantic criteria. However, as Fan (2006) points out, it is vital to give due consideration to the criteria when deining it. With regard to Chinese, Od is above all a syntactic notion, based on which I adopt a rather unrigid criterion in deining it in the sense that formal requirements should be given top priority and semantic ones come next. That is a stance identical in essence to the one taken by Fan (2006). 2.2 The formal and semantic properties of the object in Chinese 2.2.1 Connotations and representations of form and meaning A feature of Modern Chinese grammar is that it is not dependent on (changes in) strict morphological endings, but rather on word order, function words and other means for the expression of grammatical relations and meanings (Shao et al 2009: 5–10). Therefore, changes in word order and the use of function words (or not) can affect syntactic structures and lead to differences in their meanings and functions (cf. Shao 2007). Additionally, there is no one-to-one correspondence between word classes and their syntactic functions. And phrases, compound words and sentences follow basically the same structural rules. Besides, Chinese grammar is well known for its frequent use of measure words, the disyllablisation of vocabulary, and the reduplication of some verbs, adjectives and nouns.2 Roughly, the meaning of a linguistic form refers to the grammatical meaning and communicative function it expresses. It can be viewed from various perspectives, e.g. the stylistic meaning and the pragmatic meaning. While one form may express more than one meaning, one meaning can be roughly expressed by various forms. However, there are always subtle differences between such meanings. 2 Shen (2011: 8–34) mentions six other features, one of which is that Chinese grammar is closely interwoven with pragmatic factors. 264 Guohua Zhang Chinese grammar has undergone no major changes in its recorded history,3 as its basic SVO word order has not changed. However, syntactic structures have undergone changes in terms of semantics to various degrees, and such a semantic change is evident in relation to the DOC. 2.2.2 The form-meaning pairs and their cognitive signiicance Cognitive-functional and CxG approaches are adopted in this study. Accordingly, linguistic ability is viewed as part of human cognitive capacity and language is used as a primary tool for human communication. Linguistic forms are representations and projections of human cognition of the world and stand in relatively stable correspondence with meaning or function. The form-meaning pairs are constructions which are symbolic in nature and represented as patterns of various types. Grammar, especially syntactic constructions, is a conceptualisation. One’s grammar knowledge is based mainly on language use and constructions are conventional and learnable. Formal changes will always lead to semantic changes. Shao (2007) points out, for example, that function words, if certain conditions are met, can be omitted and will not affect semantics much. That indeed lends supports to the claim that Chinese grammar enjoys a certain lexibility, but it does not mean that one can omit such words at will. In fact, omitting function words in phrases and simple sentences usually leads to semantic change or inaccuracy, e.g. (1)4 a. wǒ bàba ≈ wǒ de bàba I dad I MOD dad (meaning ‘my dad’) b. wǒ de qiānbǐ ≠ * wǒ qiānbǐ I MOD pencil (meaning ‘my pencil’) I pencil c. bàba māma ≠ bàba de māma dad mom (meaning ‘dad and mom’) dad MOD mom (meaning‘dad’s mom’) 3 4 Here the classiications vary. Based on Xu (2006), it is roughly classiied into four periods: (i) Old Chinese (11th century BC–1st century AD), (ii) Middle Chinese (1st–8th century AD), (iii) Early Modern Chinese (8th–17th century AD), and (iv) Modern Chinese (from the 18th century AD till the present). There are transitional periods in between, especially the East Han period (25–220 AD). ‘Archaic Chinese’ is used to refer to the irst three periods, especially the irst two. The following abbreviations are used in the paper: BA= the preposition/marker bǎ, which moves postverbal deinite or speciic noun phrases into the preverbal position, BEI= passive marker bèi; CONJ=conjunction, LOC=Locative, MOD=modiication marker de/zhi, MW=measure word, NEG=negation marker, P=particle, PASS=passive, PST=past tense, PFV=perfective aspect, PL=plural, QP=question particle, SG=singular, SUBJ=subject marker. Objecthood and the general direction of the historical change… 265 (2) a. zhōngguó wénhuà ≠ zhōngguó de wénhuà; Chinese culture (meaning ‘Chinese cultures’) China MOD culture (meaning ‘cultures in China’) b. měiguó péngyǒu ≈? měiguó de péngyǒu; American friend (meaning ‘American friend’) America MOD friend (meaning ‘friend of America’) c. xiūgǎi shūgǎo ≠ xiūgǎi de shūgǎo rewrite draft (meaning ‘to rewrite draft’) rewrite MOD draft (meaning ‘the draft rewritten’) Additionally, shortened forms like acronyms are different from their full forms in register and other respects. See the following examples where the change of syntactic positions of PP affects meaning or leads to inaccuracy or awkwardness: (3) shēng yú 1924 nián, zú yú 2000 nián ≠?? yú 1924 nián shēng, yú born in 1924 year, die in 2000 year in 1924 year born in 2000 nián zú 2000 year die ‘(one who was) born in 1924 and died in 2000’ (4) xiǎo gǒu zài mǎbèi shàng tiào。≠ xiǎo gǒu tiào zài little dog at horseback LOC jump little dog jump onto mǎbèi shàng。 horseback LOC ‘The little dog is jumping on the horseback’ ≠ ‘The little dog jumped onto the horseback.’ (5) tā dǎo zài xuèpō lǐ。 ≠ * tā zài xuèpō lǐ dǎo。 he fall in bloodshed inside he in bloodshed inside fall ‘He fell in bloodshed.’ ≠ ‘He fell in the bloodshed.’ (6) a. bǎ shǒu wǔ zài ěrduo shàng BA hand cover on ear LOC ‘(One) covered his ears with his hands.’ b. ≠* bǎ shǒu zài ěrduo shàng wǔ BA hand on ear LOC cover 266 Guohua Zhang c. ≠ *zài ěrduo shàng bǎ shǒu wǔ5 on ear LOC BA hand cover Therefore, how a function word is used is related to different constructions. Some propose ‘preposition omission’, i.e., two syntactically related constructions are in essence identical because a preposition is omitted in one of them. For instance, there were ‘N+V’ and ‘V+N’ patterns in Old Chinese and during the Pre-Qin period (before 221 BC) generally no preposition was used in them. However, in the exegetical commentaries in the East Han period (25 – 220 AD), prepositions were used and even word orders were changed. Some believe that this was because the prepositions were omitted in the original texts. See the following examples (for the interpretations, cf. Sun 1994: 67, 70, 73): (7) sǎo nì, yuán zhī yǐ shǒu。 zǐ yù shǒu yuán sister-in-law drown save 3SG with hand you want hand save tiānxià hū? world QP ‘If (your) sister-in-law falls into water, save her with your hands. Do you want me to save the world with my hands?’ (Mencius·Lí Lóu Shàng) Interpretation: zǐ yù shǐ wǒ yǐ shǒu yuán tiānxià hū? you want ask 1SG with hand save world QP (8) tiānxià wú dào, xiǎo yì dà, ruò yì qiáng world no law and order6 small work big weak work strong ‘When the world has no law and order, the weak are worked by the strong.’ (Mencius·Lí Lóu Shàng) 5 6 Examples (4), (5) and (6) show that a PP placed preverbally or postverbally will cause a semantic difference. It is generally placed between S and V, leaving the postverbal position to the prominent complement. But some PPs are placed postverbally because they express the result of the verb; e.g. in (4), the preverbal zài mǎbèi shàng functions as an adverbial, denoting the place where the dog jumped, while placed postverbally it functions as a complement, meaning the place to which the dog jumped. And mǎbèi ‘horseback’ placed preverbally tends to be non-focused given information, whereas it is focused new information when placed postverbally. A similar analysis can be made of e.g. (5) and (6). The ‘BA+O’ structure placed preverbally must be immediately followed by a verb-complement structure. ‘Law and order’ is a tentative rendering of Dao, a complex and abstract notion in ancient Chinese philosophy, which is hard to render here in more detail due to limitations of space. Objecthood and the general direction of the historical change… Interpretation: wú dào zhī shí, no DAO MOD time yú dà guó、 qiáng BEI big state strong xiǎo small guó state 267 guó、 ruò guó wèijù ér yì sate weak state fear CONJ work yě。 P The fact is that sentences without the preposition yú (including the DOC) made their appearance earlier than the ones with it, and the same is true of conjunctions. Sun (1994: 78–79) criticises the point about its logical fallacy. Zhang (2013: 129–130) gives more evidence to refute the ‘omission’ hypothesis. He observes that the loss or omission of yú in the Pre-Qin period was not optional but rather conditioned. For example, xiàn ‘to present in a respectful, submissive and solemn way’ is found to have been used mainly in both ‘xiàn+Od+Oi’ and ‘xiàn+Od+yú+Oi’ in a parallel way, and ‘xiàn+yú+Oi’ was also available at that time, but not a single use of xiàn+Oi has been found in the corpus.7 In the present study, (7) is taken as a case where N functions as an adverbial of V, and (8) shows that SVO permits a passive interpretation. If one follows the ‘omission’ hypothesis, ‘yuán zhī yǐ shǒu’ in (7) could have been rephrased or paraphrased as ‘yuán zhī shǒu’, with the preposition yǐ omitted, but a corpus search does not give a single case of ‘yuán zhī+Ntool’. That is why Zhu (1982: 220) warns that ‘‘omission’ means the case in which some structurally necessary elements do not make their appearance under certain contexts (…) the term cannot be overused, especially when a sentence is not semantically self-suficient when one interprets it’. For similar reasons, the following sentences are identiied as representing different constructions: (9) (Yànzǐ Chūnqiū) a. Chǔ wáng cì Yànzǐ jiǔ。 Chu king bestow Yanzi liquor ‘The king of Chu State bestowed on Yanzi some liquor.’ b. Chǔ wáng cì Yànzǐ yǐ jiǔ。 Chu king bestow Yanzi with liquor ‘The king of Chu State bestowed liquor on Yanzi.’ 7 Zhang’s claim is not completely correct, because a small number of cases in the‘xiàn+Oi’ pattern are found in, at least, Yí Lǐ and Lǐ Jì, two classics which address protocol and manners. However, those cases are used in special contexts that are highly conditioned both semantically and stylistically and therefore do not constitute counterexamples in the present discussion. 268 Guohua Zhang c. Chǔ wáng yǐ jiǔ cì Yànzǐ Chu king with liquor bestow Yanzi ‘The king of Chu State bestowed the liquor on Yanzi.’ (9a) is a typical case of DOC, while yǐ jiǔ ‘use/with liquor’ in (9b) functions as a complement and in (9c) as an adverbial. They also differ in informational structure. As Shi (2008) notes, what is introduced preverbally is usually deinite, while what is introduced postverbally is indeinite. It seems that (9a) lies in between in that respect. Yuan (2003) gives a full description of the semantic differences caused by the structural changes among semantically related constructions. Another less typical subtype of the DOC is the following: (10) Máo Suí fèng tóng pán ér guì jìn zhī Chǔ wáng ° Mao Sui hold respectfully copper plate CONJ kneel advance 3SG Chu king ‘Respectfully holding the copper plate, Mao Sui kneeled and advanced to offer it to the king of Chu State.’ (Shǐjì•Píngyuánjūn yúqīng lièzhuàn) According to Yang (1963: 173–174), a pronoun referring to something must be placed immediately after the verb and before the noun object. That forms the so-called ‘special DOC’. Briely, Chinese word order patterns and their changes render different constructions which relect different restrictions and communicative functions, connected with differences in cognition and informational effects and embodying the principles governing word order in Chinese, such as the Principle of Temporal Sequence (PTS), the Principle of Salience and the Principle of the Iconicity of Word Order. 2.2.3 The universal formal-semantic properties and characteristic properties of an object In its prototypical sense, Od refers to a Patient that receives an effect caused by the actions denoted by a verb and hence changes in some way (cf. Fan 2006), or it is ‘the landing site for the ‘transfer of action’’ (Collinge 1984). However, deining an object turns out to be dificult when one applies formal-semantic criteria. Jespersen (1924: 157, 162, 1933: 108, §11.3) points out that Od is a purely syntactic notion, and deining Od and the V-O relation using only semantic criteria will not prove universally valid, but Anderson (1984) questions Jespersen’s Objecthood and the general direction of the historical change… 269 (1937: §33.6) consistency in properly handling and employing the formal-semantic criteria. Collinge (1984) proves that his categorical operations as a means of testing are invalid in inding out what can function as objects and how prototypical they are. He proposes that such parametric properties as semantic properties, properties of behaviour and control, and coding properties 8 advanced by others are impractical, and one cannot neatly distinguish objects by using such semantic properties as deiniteness, affectedness, animacy, referentiality and individuation as criteria. Collinge (1984) observes that the whole thing is a matter of degree when it comes to some idioms and expressions involving the use of verbs of low transitivity: (11) a. The Bishop {paved/owned/surrendered/liked/walked …} the irst two miles of road. b. He {lew planes/cargoes/Lufthansa/the Atlantic}. Some believe that Ods are functionally the same as other non-subject items whereas Ois are not, which is supported by the rarity of Oi-based formants as opposed to those derived from other non-subject items in English V-ing structures, e.g. fox-hunting, tightrope walking, but not charity-giving. Collinge (1984) considers that feature universal, and holds that the transfer of effect in itself is a matter of degree; deining objects will show a continuum of difference among languages. In the following sentences, what comes immediately after the verb is most affected by the action and therefore is treated as Od, but in Relational Grammar, a letter is at best an ex-object: (12) a. Clare wrote a letter to Santa Claus. b. Clare wrote Santa Claus a letter. c. Clare wrote Santa Claus that famous ‘pro bono publico’ letter of hers. In (12c), the demoted low transitivity item letter is more deinite and equally referential, and more given and more fully affected, but it is short on animacy. The truck in (13b) in the following is more affected than that in (13a), which again demonstrates that the primacy of the object is hard to assess arithmetically and directness is usually unstatable. 8 These properties may be of the following types: (i) indexing on the nominal, (e.g., casemarking), (ii) indexing on the verb, (iii) adpositions, and (iv) position in the clause. 270 Guohua Zhang (13) a. We loaded hay onto the truck. b. We loaded the truck with hay. Both Anderson (1984) and Collinge (1984) argue that binding a Patient to the most affected NP does not mean other types of object are impossible, because non-Patient semantic roles can function as an object as well, just like the Channel in Someone swam the Channel at the cost of his own health. Unfortunately, the typological signiicance of non-Patient objects is not clear. Anderson (1984) points out that, formally, an object is ‘that NP which is immediately dominated by VP’, which is naturally related to passivisation used as a traditional means to measure accessibility and identify objects (cf. Jespersen 1933: §12.3). But Anderson (1984) and Collinge (1984) rightly point out that such a means may be invalid cross-linguistically because there are languages that lack passivisation but possess objects, or that contain other advancements to the subject. See the following Japanese sentence (Collinge 1984): (14) Tanaka-san ga tuma ni sin-are-ta Tanaka-TITLE SUBJ wife by die-PASS.PST ‘Mr. Tanaka has had his wife die.’ Similar examples are available in Chinese: (15) Wáng Miǎn qī suì shí sǐ-le fùqin Wang Mian seven year time die-PFV father ‘Wang Mian had his father die on him when he was seven.’ Similar seemingly clumsy-looking language uses can be found in other languages, and even in English (cf. Anderson 1984). In a broad sense, therefore, any NP that stands in a stable and regular formal-semantic connection with a verb and is immediately dominated by it can be treated as an object. The paradigmatic and syntagmatic relations between V and O as a whole make a linear pattern, i.e. a construction, which is a form-meaning pair. In languages like English and Chinese, the construction involving a verb and its object is realised as a VO pattern, and the construction is also a ‘syntactic slot’ (cf. Collinge 1984) where both positions are conditionally open and natural languages differ in terms of the degree of that openness. Collinge (1984) claims that there should be a large class of objects across languages. Objecthood and the general direction of the historical change… 271 Anderson (1984) suggests that an object is a member of the syntactically active (only next to subjects) subset of non-subjective ABS arguments (or ABS and ERG arguments in some cases). The most active subset of such arguments undergoes subject-formation and has the highest accessibility of all. The membership of the subset may vary among languages, and its rank and status vary according to the array of case relations and may form a hierarchy in the same way as those arguments that can function as a subject. Anderson (1984) foresees that the semantic role of objects can be complex cross-linguistically, as he says that what can function as objects in some languages may follow special regularities, even including extra-propositional arguments or non-nuclear/circumstantial arguments. For example, some Bantu languages have NPs with instrumental or other ABS arguments as an object, while in German only ERG and LOC arguments may count as an object, at best. Collinge (1984) approaches it from a cognitive perspective and deines where an object may appear as situation-based actions, processes and modalities whose syntactic vehicle is the verb, and other potentially existential entities, of which some are circumstantial in the situation and dispensable in the syntax. That will become more complex than the case discussed by Jespersen (1933: §11.3), where he elaborates on the diversity and complexities of the semantic relations between V and O in English. Thus, not only intra-propositional arguments but also many extra-propositional ones can function as objects in natural languages in theory. The only difference lies in the fact that the subtypes and the number of those arguments vary among languages. Viewed from a cognitive linguistic perspective, in addition to a prototypical V-O semantic relation, some languages may well possess atypical objects and V-O semantic relations. Such an array of atypical V-O semantic relations probably forms a continuum. 2.3 The V-O semantic relations in Archaic Chinese The afore-discussed is relevant to the description and explanation of objecthood and V-O semantic relations in Chinese, especially Archaic Chinese. Take (13) again as an example. The verb load enters into two semantically-related constructions: in sentence (a) the construction encoded as ‘SVO+PP’ denotes caused motion, whereas in sentence (b) there is a transitive construction encoded as ‘SVO(+PP)’. Construction (13a) requires the use of PP with verbs of putting and renders an iconic depiction of a caused motion event, i.e. ‘We caused hay to move onto the truck by loading it’, while construction (13b) expresses ‘We produced an effect on the truck by loading hay’, or ‘With hay, we caused the truck to bear something’, in which the expression of ‘with hay’ 272 Guohua Zhang is optional. However, the two constructions differ in the sentence end-focus. Hence, the use of verbs like load in different constructions is usually functionally motivated. Likewise, on the basis of their personal life experience human beings have established frames of knowledge about events which are centered mainly on verbs. The knowledge usually consists of the Agent and the Receiver of an action and other circumstantial participants, all of which make a complete conceptual frame. All these participants are associated with the verb within the frame and each of them can activate the frame knowledge when connected with the verb. The connection is projected onto a VO pattern whose prototypical meaning is, as stated previously; an Agent brings about an effect on the Patient and causes it to change as a result. However, when a non-Agent atypical object occupies the position, the frame knowledge is activated and the corresponding semantic role is given salience. Due to differences in cognition and its effects on language users, the end results of the projections can vary among languages, and the numbers and types of non-Patient arguments that can function or qualify as an object in the VO construction vary as well. To users of some languages, like Chinese, such an activation of frame semantics is easy and natural, while to users of other languages, like German, such an activation is hard or even impossible and activation is achieved in other ways. As through a substitutive operation a non-Patient argument can be treated and interpreted as a Patient so that it is given salience, the so-called ‘most-affectedness’ is no longer a purely semantic notion, but rather a part of the construction which allocates salience. And the allocation is highly subjective. When the VO construction is established and learnt as a convention, it will very likely become a prototype from which extended uses take place. Though what can qualify and function as ‘the most affected’ object varies among language users, event participants together with all the relevant (event-based) knowledge exist in their minds and the distances between the peripheral arguments and the prototype argument in the psychological space of language users vary. Theoretically, the closer one is to the prototype, the easier it is for the VO-based language use to trigger the activation. And that object accessibility which forms a hierarchy and is likely to make a continuum is a feature of Chinese. In Anderson’s terms (1984), the Chinese language accommodates the semantic roles of extra-propositional ABS arguments that can function as objects much more than English and German do, and probably even more than some Bantu languages. And this reliance on event-based semantic and logical connections rather than formal means for encoding and decoding VO construction reminds one of the parataxis of Chinese grammar. Objecthood and the general direction of the historical change… 273 Moreover, due to subtle differences in the semantics of synonymous verbs, like xiàn and cì,9 which activate different event knowledge, the projections can be represented as different syntactic constructions. That is even true of the same verb when a language user needs to give salience to different aspects or participants of the same event, e.g., the process, result, and location, etc. for communicative purposes. It is common that in Archaic Chinese various types of non-patient semantic roles can enter into the O-position in the VO construction, so V-O semantic relations can be complex. According to the semantic roles of the object, the following types of the VO construction are identiied: 1. Patient-type VO: O is Patient, including result. (16) shǐ rén suǒ Biǎnquè, yǐ táo Qín yǐ。 send man seek Bianque already lee Qin P ‘The king sent for Bianque, but he had already led to the State of Qin.’ (Hánfēizǐ •Yù Lǎo) 2. Agent-type VO: O is Agent, and S is Patient; it is passive in nature; cf. e.g. (8). (17) bīng pò Chén Shè, dì duó zhūhóu。 troop defeat Chen She land capture vassal state ‘The troops were defeated by Chen She, and the land was captured by the vassal states.’ (Yán Tiě Lùn • Jié Hé) 9 Both xiàn and cì mean ‘to give’, with differences in the social status of the giver and receiver, and what is given. According to Wang (2000: 1321, 1334) and Wang (2011: 605, 623), cì denotes personal giving as a favour by a superior to an inferior, not for the latter’s outstanding service or merit; xiàn denotes a respectful offer of something by an inferior to a superior or somebody respected, including offering or proposing toasts to guests. According to Pan (2010), cì is found 44 times in VOiOd in Zuǒ Zhuàn, but not a single instance is found in the ‘SVO+PP’ construction, where the preposition is supposed to be yú (‘to’), while xiàn is found 224 times, with 222 instances used in the ‘SVO+PP’ construction and the remaining two in VOdOi. That complementary distribution of syntactic structures for the two verbs is also found in pre-Qin texts like Hánfēizǐ. Similar cases can be found in English, e.g. donate is used only in the ‘SVO+PP’ construction. 274 Guohua Zhang 3. Causative VO: O is Agent, meaning ‘that being caused or rendered’. Such a use was available in oracle-bone inscriptions (16th–11th century BC, commonly considered to be the earliest written form of Chinese). (18) a. jiàngrén zhuó ér xiǎo zhī。 craftsman cut CONJ small 3SG ‘The craftsman cut it and made it smaller.’ (Mencius •Liáng Huì Wáng Xià) b. Wú wáng Bì fǎn, yù cóng Mǐnyuè ... dú Dōngōu cóng Wú。 Wu king Bi rebel want follow Minyue only Dongou follow Wu ‘Liu Bi, the king of Wu, rebelled and wanted to make the State of Minyue follow him... only the State of Dongou followed Wu.’ (Shǐ Jì •DōngYuè Liè Zhuàn) 4. Conative VO: Only some nouns and adjectives can be used (tentatively) as verbs in the VO pattern, while O means ‘that being considered as’. As was the case in Subsection 3. above, such a use was available in oracle-bone inscriptions. (19) Kǒng Zǐ dēng Dōng Shān ér xiǎo Lǔ。 Confucious mount Dong Mountain CONJ small Lu ‘Confucious considered the State of Lu small after he mounted Mount Dong.’ (Mencius • Jìn Xīn Shàng) 5. Wei-type VO:10 O means the Purpose or Beneiciary (sometimes Maleiciary) of an action. (20) a. Bǐng Xià yù Qí hóu。 Bing Xia drive Qi king ‘Bing Xia drove the chariot for the king of the State of Qi.’ (Zuǒ Zhuàn • Chéng Gōng Èr Nián) b. “zhuó zé shuí xiān?” yuē：“xiān zhuó xiāngrén。” pour CONJ who irst say irst pour villager 10 Yang and He (1992: 523–524, 528–529) distinguish two subtypes of the object: the Object of Purpose and the Object of Substitute. In the former case, O expresses the purpose of an action or for whom an action is done, while in the latter case, O means someone for whom one performs an action as a substitute. Since in both cases, O is a Beneiciary of the action, they are grouped into one. Objecthood and the general direction of the historical change… 275 “But for which of them would you irst pour out liquor at a feast?” He answers, “For the folk villager.” (Mencius • Gào Zǐ Shàng) 6. Cause-type VO: O means the Cause of acting (denoted by V). Such a use was available in oracle-bone inscriptions (cf. 3. and 4. above). (21) (Jìngguō Jūn ...) qī rì, xiè bìng qiǎng cí。 (Jingguo Jun ...) seven day decline illness resolutely deny ‘(Jingguo Jun ...) on the seventh day, resolutely denied (the offer of the post) with an excuse of illness.’ (Zhàn Guó Cè •Qí Cè Yī) 7. Association-type VO: O means what the action is associated with, directed to or done together with. (22) ěr hé wéi kū wú shī? what for cry my troops ‘What are you crying at/toward my troops for?’ (Gōng Yáng Zhuàn •Xī Gōng Sān Shí Sān Nián) 2SG 8. Dative-type VO: O means the Receiver of something given. (23) Huì Gōng zhī zài Liáng yě, Liáng Bó qī zhī。 Hui Gong P in Liang P Liang King wife 3SG ‘When Hui Gong was in the State of Liang, the king of Liang gave him a wife.’ (Zuǒ Zhuàn • Xī Gōng Shí Qī Nián) 9. Yi/With-type VO: O means what is used when an action is done, including materials, tools, etc. The extended use of it can include manner, status, foundation, reference, what is relied on, etc. For example: (24) (Huán Gōng ) méng yīmèi ér jué hū shòugōng。 (Huan Gong) cover sleeve CONJ die in imperial bedroom ‘Huan Gong covered himself with his sleeves and died in the imperial bedroom.’ (Lǚ Shì Chūn Qiū •Zhī Jiē) 276 Guohua Zhang 10. Spatial-type VO: O means a wide variety of spatial entities like Location, Place, Direction, Source, Goal, etc. that an action is related to. Extended use of it is common. (cf. táo Qín ‘lee to Qin’ in (16)) (25) rì chū dōngfāng ér rù yú xī jí。 sun come out east CONJ set into west pole ‘The sun comes out of the east and sets in the west.’ (Zhuāng Zǐ •Wài Piān •Tián Zǐ Fāng) 11. Naming-type VO: O means what is named or called. See the following example: (26) jiàn gōng qīng bú wéi-lǐ, wú guì jiàn, jiē rǔ zhī。 meet duke noble not salute no high low all 2SG 3SG ‘When Yang Bochou met the high oficials, he would not salute to them; he made no distinction of them no matter what a high position one took and addressed them all “you”.’ (Suí Shū •Yáng Bóchǒu Zhuàn) Yang and He (1992: 530, 544–547) distinguish six other types of objects, but they are not related to the present topic, and will not be discussed here. However, Yang and He (1992: 537) and Lǚ (2008: 70) make special reference to the extreme complexity of VO semantics in the Chinese language, which calls for closer examination. The afore-mentioned eleven types of object are all represented in the key single vehicle of the VO construction. Yang and He (1992: 523) group ten such types of object including Purpose, Cause, Tool, Location and Association, etc. into a general one entitled ‘relational objects’. In the present study, these types of object in their semantic roles all represent participants in related events, and in interpreting them, one needs to refer to prepositions and treat them as PPs. In fact, the use of some of these PPs is temporally parallel to VO constructions in Old Chinese, whether they are placed pre-verbally or post-verbally. The VO construction can accommodate not only transitive verbs, but also other word classes that are used as transitive verbs, constructions traditionally termed as ‘tentative lexible use’, including some nouns, adjectives, intransitive verbs and even locatives, pronouns and numerals. The excessive semantic load obviously pinpoints the fact that using the VO construction in Old Chinese in that way follows the principle of economy but violates the principle of effectiveness of communication. The construction itself can easily cause ambiguity or Objecthood and the general direction of the historical change… 277 vagueness, but the situation becomes even worse when omission takes place, which is common in Old Chinese (cf. Sun 1994: 74), e.g.: (27) zǐ yī shī ér xíng。 son salute troop CONJ move ‘The son saluted (his father with his hands clasped) (from) the troop and went away with it.’ (Gōng Yáng Zhuàn •Xī Gōng Sān Shí Sān Nián) Yang and He (1992: 523) give more examples of the same type. Understandably, the language changes for that reason, among many others. One of the solutions is using more and more adpositions (mainly prepositions) and changing the word order so as to share the semantic burden previously borne by the VO construction. Consequently, VO-based language uses decrease. By around the West and East Han periods (202 BC to 220 AD), the complexities of VO semantics in the Classics had become so different from the living grammar of the language that PPs and other means were used in exegetical commentaries for interpretation.11 Nevertheless, the VO construction has remained active and expressively powerful throughout the history of the language for stylistic, pragmatic, semantic, phonological and other reasons. The way the VO construction was used in Old Chinese has exerted a great inluence on the DOC and its development. 3. The deinition and classiication of the DOC The DOC is just a subtype of a ditransitive construction which consists of a ditransitive verb with a Theme and a dative besides S, which is structurally realised in multiple ways (cf. Liu 2001). To deine the DOC is, above all, a syntactic attempt in nature, which requires that the deinition should be formally rigid, i.e., SVO1O2, though the two objects are conditionally reversible in order. 11 Most of the VO semantics in Old Chinese is expressed with substitutes of PPs in later periods; therefore, the semantics of the VO in Modern Chinese is much purer and more explicit or specialised. Nevertheless, remnants of old uses remain as idioms or ixed expressions and some monosyllabic verbs are sill powerful in forming VO-patterned words, word groups and phrases of rich semantics, including pǎo ‘to run’, tiào ‘to jump’, táo ‘to lee’, xiě ‘to write’, kǎo ‘to test’, jiāo ‘to teach’, etc. Chu’s (1998) proposal that the VO-based phrases in Chinese have become more and more structurally simple and explicit but semantically complex in their evolution seems unviable and is refuted by Xie (2004). That is the case only with the limited set of verbs listed previously (cf. Lǚ 2008: 70). 278 Guohua Zhang Both are related to the same verb but not related to each other; verbs that enter into the DOC are limited in number (cf. Yang and He 1992: 559). Accordingly, the ditransitive constructions encoded as ‘S+V+O+PP’ and ‘S+PP+V+O’12, as distinguished by Peyraube (1986), are not treated as DOC’s in the present study (cf. also Xu 1990). According to the semantic relation between V and O1, the following subtypes of the DOC are identiied: 1. Giving-type DOC In its prototypical sense, it means S gives O2 to O1 so that the possessional transfer of O2 is achieved between S and O1 after the action is done. Typical verbs include shǎng, xiàn, shòu, chuán, gěi, cì, etc., all with an inherent meaning related to ‘giving’. Consider for example: (28) a. wǒ yù zhōngguó ér shòu Mèngzǐ shì. want Capital City CONJ give Mencius house ‘I wanted to give Mencius a house in the Capital city.’ (Mencius·Téng Wén Gōng Shàng) jīn xiān shèngrén wéi shū, ér chuán zhī hòu shì。 now late saint write book CONJ pass 3SG later generation ‘It’s the same as those saints in the past who wrote books and passed them down to later generations.’ (Shāng Jūn Shū •Dìng Fēn) 1SG b. 2. Message-exchanging type DOC It accommodates verbs expressing message transferring and means that S gives information about O2 to O1 or S asks for information about O2 from O1. This is an extended use of the Giving-type DOC (cf. 1. above) in that the transferring process in material space is projected into non-material space through metaphor. Typical verbs include yù ‘to tell’, shì ‘to show’, jiāo ‘to teach’, wèn ‘to ask’, etc. See for example: (29) a. gōng yù zhī gù, qiě gào zhī huǐ。 king tell 3SG reason and tell 3SG regret ‘The king told him the reason and his regret (about his earlier acts).’ (Zuǒ Zhuàn •Yǐn Gōng Yuán Nián) 12 In addition to the DOC, Zhang (2013: 16–17) discusses four other constructions involving the use of ditransitive verbs. Objecthood and the general direction of the historical change… b. 279 Bào wǎng dào Yè, huì zhǎnglǎo, wèn zhī mín Bao went reach Ye, meet respectable senior ask 3PL people suǒ jíkǔ。 P suffer ‘Upon arriving at Ye city, Bao summoned local respectable seniors and asked them about the sufferings of the local people.’ (Shǐ Jì •Huájī Liè Zhuàn) 3. Taking-type DOC It is structurally parallel to the Giving-type DOC but with a reverse transfer in the sense that S takes O2 from O1. Extended use of it is also common. Typically used verbs include duó ‘to capture’, qǔ ‘to take’, dé ‘to get’, shòu ‘to accept’, shè ‘to pardon or absolve’, etc. Consider the following examples: (30) a. wú b. wèi gōng qǔ bǐ yī jiàng。 1SG for 2SG capture 3SG one general ‘Let me capture one general from the enemy for you.’ (Shǐ Jì •Xiàng Yǔ Běn Jì) xíngyú zhī rén, hé shì nǎi gǎn qǐ yǐn zhǎngzhě? punishment MOD man what do surprisingly dare beg drink noble ‘How dare a man like you who received corporal punishment beg drink from a noble man?’ (Hánfēizǐ·Nèi Chǔ Shuō Xià) 4. Wei-type DOC13 Here S does or makes something denoted by O2 for O1, namely, the structure can be taken as ‘for or to O1, S V O2’. Frequently used verbs include wéi14 ‘to do’, zhì ‘to make’, zuò ‘to do’, lì to ‘set/establish (sb as a duke, prince, etc.)’, etc. The interpretation of the verb of general meaning wéi is contextdependent and thus lexible. Some examples are given below: 13 The Wei-type DOC and the Association-type DOC share something in common in that the non-Patient object in them can be someone towards whom an action is directed (cf. Liu 1998, 1999, 2001). Therefore, sometimes sentences related to these two subtypes are somewhat ambiguous and a closer examination of the contextual clues is necessary for the correct interpretation. 14 The difference in tones of monosyllabic items of the same form distinguishes meaning. Here wéi is a verb of general or extensive meaning but apart from that there is also a preposition wèi ‘for’, which introduces Cause, Purpose or Beneiciary (cf. (30a)). Throughout this paper the verb wéi giving the type its name will be referred to without the tone marker, i.e. as wei or wei-type, while the examples with the actual data will preserve the tone markers. 280 Guohua Zhang (31) a. Píngyuán Jūn ... yǐ qiān jīn wéi Lǔ Lián shòu。 Pingyuan Jun use thousand gold do Lu Lian birthday ‘Pingyuan Jun ... congratulated Lu Lian on his birthday with generous gift of gold.’ (Zhàn Guó Cè •Zhào Cè Sān) b. Qín jī, Jìn bì zhī dí。 Qin famine Jin shut 3SG grain-buying ‘When the State of Qin had a famine, the State of Jin closed grain-buying by Qin.’ (Zuǒ Zhuàn • Xī Gōng Shí Wǔ Nián) 5. Association-type DOC In this type S does something (O1), as indicated by the verb, together with O2. That is, ‘SVO1O2’ can be taken as ‘S V O1 together with O2’ (note that in the following example, i.e. (32b), the order of the two objects is reversed). Theoretically, the position for V is an open one. Consider for example: (32) a. Jìn Jūn móu zhī qún chén。 Jin king consult/scheme 3SG group oficial ‘The king of the State of Jin schemed it with his oficials.’ (Shǐ Jì •Qín Běn Jì) b. Róng qǐng méng … fù xiū Róng hǎo yě。 Rong plead swear again foster Rong cordial relations P ‘The Tribe of Rong pled (with the State of Lu) to swear peace … Lu again fostered cordial relations with Rong.’ (Zuǒ Zhuàn •Yǐn Gōng Èr Nián) 6. Causative/Shi-Ling DOC Liu (1985) and Yang and He (1992: 561) point out that this type is based on the causative VO which takes its own object. It means that S causes O1 to do/V O2, namely, in SVO1O2, O1 is the action doer and O2 is the Patient of the action (note in example (33b) the order of the two objects is reversed). Generally, verbs that can enter into this subtype are characterised by a ‘change of state’ semantically and ergativity syntactically. Commonly used verbs include sì ‘to feed’, yì ‘to offer clothes’, yìn ‘to offer drinks’, fù ‘to bear’, shēng ‘to live’, etc. See for example: Objecthood and the general direction of the historical change… 281 (33) a. Jìn hóu yìn Zhào Dùn jiǔ。 Jin king feed Zhao Dun liquor ‘The king of the State of Jin offered Zhao Dun liquor and made him drink it.’ (Zuǒ Zhuàn •Xuān Gōng Èr Nián) b. Yuǎnfāng tú wù, gòng jīn jiǔ mù。 remote area picture things tribute copper nine chief ‘The things in the remote areas were drawn and the nine chiefs were made to offer tribute of copper (so as to make the imperial tripod).’15 (Zuǒ Zhuàn •Xuān Gōng Sān Nián) 7. Spatial DOC One of the objects belonging to this type denotes a spatial entity. The construction expresses the following: S does something to O2 in the place of O1, or causes O2 to move in a way related to O1, be it Source, Goal, Direction, Location, etc. Some argue that this subtype has the meaning of caused motion or spatial disposal. Theoretically, the position for the verb in the construction is an open one. For some examples, see below: (34) a. …yòu Zǐ Huá ér shā zhī Nánlǐ。 lure Zi Hua CONJ kill 3SG Nanli ‘(The king of Zheng) lured Zi Hua to Nanli and killed him there.’ (Zuǒ Zhuàn •Xuān Gōng Sān Nián) b. (Xiàng Yǔ) nǎi shǐ shǐ xǐ Yìdì Chángshā Chēn xiàn。 Xiang Yu then send envoy move King Yi Changsha Chen county (Shǐ Jì • Xiàng Yǔ Běn Jì) ‘Xiang Yu then sent envoy to move King Yi to Chen County in Changsha.’ c. (Wǔ Zǐxū) jiāng sǐ, yuē, shù wú mù jiǎ。 Wu Zixu will soon die say plant my tomb jia ‘When Wu Zixu was dying, he said, ‘Plant some jia trees around my tomb.’’ (Zuǒ Zhuàn •Āi Gōng Shí Yī Nián) d. jué wú yǎn zhì zhī Wú Dōng-mén。 pluck out my eyes put 3PL Wu East-Gate ‘Pluck out my eyes and put them at the East Gate of the State of Wu.’ (Shǐ Jì •Wú Tài Bó Shì Jiā) 15 The exegetical explanation of this text may vary. 282 e. Guohua Zhang chéng yǐ zhù cǐ shū, cáng zhū16 míng shān。 1SG really already inish this book hide 3SG+in famous mountain ‘I have really inished writing the book already and I hide it in a famous mountain.’ (Bào Rén Ān Shū) pú The Spatial DOC remains in Standard Modern Chinese not only in some idioms but also in some Northern dialects and oral discourses. 8. Naming-Appointing DOC Here S names O1 O2, or S appoints O1 to O2 as a job or oficial position. In the former case, frequently used verbs include mìng ‘to name’, hū ‘to call’, huàn ‘to call’,17 wèi ‘to call’, etc., and some nouns meaning names of various types can also be used as verbs, like míng ‘given name’, zì ‘style [name]’, hào ‘assumed name’, shì ‘posthumous title’, among others. In the latter case, verbs meaning appointing or changing an oficial position can usually enter into the construction, such as bài ‘to appoint’, fēng18‘to appoint’, qiān ‘to transfer or demote’, xǐ ‘to transfer or demote’, miǎn ‘to remove’, chú ‘to appoint’, zhēng ‘to invest or appoint’, fèi ‘to remove or demote’, mìng ‘to appoint’, etc. (35) a. Chǔ rén wèi rǔ gǔ, wèi hǔ wūtú。 gù mìng zhī Chu people call milk gu call tiger wutu thus call 3SG Dòu gǔ wūtú。 Dou milk tiger yuē say 16 The 3SG pronoun zhū is a combination of zhī/3SG and yú (yú is an adposition with general spatial meaning), making it syntactically and semantically compatible with the DOC. Zhū is functionally the same as zhī in reference. Therefore, the use of zhū in such a way shows the overlap of the DOC and SVO+PP. Zhang (2013: 130–131) gives a viable analysis of the origin and develoment of such a usage of zhū. 17 Wèi is a typical example. When an object is a 3SG pronoun like shì ‘this/it’ and cǐ ‘this/ it’, as a rule in Archaic Chinese, especially in Old Chinese, it should be placed preverbally. The rule applies to interrogative and negated sentences when a pronoun object is used, including DOC sentences. Sometimes another pronoun zhī can be used between the pronoun and the verb like wèi to re-refer to the preceding noun or pronoun and for emphasis. A closely-related construction is one in which another verb such as wéi ‘to be’ or yuē ‘to say’ is inserted between the two objects (cf. (35a)). Both constructions are used in the same period, but sometimes they show distributional differences. For example, wèi is mainly used in the DOC, while míng is mainly used in the other, namely jianyu shi or Pivotal Construction (lit. ‘dual-function constituent predicate construction’ in which the irst postverbal object functions both as a Patient and an Agent). 18 Fēng as a verb means ‘for a feudal king to grant titles and territories to the nobles’. Objecthood and the general direction of the historical change… b. 283 ‘People of Chu called milk gu and tiger wutu, so they described it as “Dou was milked by tiger”.’ (Zuǒ Zhuàn •Xuān Gōng Sì Nián) jì wáng, fēng zhǎng zǐ Yīng Xīxiāng Hóu。 already die appoint oldest son Ying Xixiang Duke ‘After he died, the king granted his oldest son the title of Duke of Xixiang.’ (Sān Guó Zhì •Zhāng Yí Zhuàn) 9. Causal DOC It means that S does something (i.e. VO2) because of or for the sake of O1. Usually, the object indicating cause or purpose precedes the object of the patient, but exceptions are not uncommon. Such a use was available in oracle-bone inscriptions. For example: (36) a. yī fū bú gēng, huò shòu zhī jī。 one man NEG plow someone suffer 3SG hunger ‘If one farmer does not do farming, someone will suffer hunger because of that.’ (Lùn Jī Zhù Shū) b. gù … Qín shī zhī qiáng, bú biàn zhī huàn yě。 thus Qin blunder 3SG strong NEG change MOD disaster P ‘Thus … the State of Qin made a blunder because of its strength, and their disaster was due to their inability to carry out reforms in proper time.’ (Shǐ Jì •Píngjīn Hóu Zhǔfù Liè Zhuàn) 10. Yi/With-type DOC Here S does something to O1 with or through the means of O2. ‘With something’ is understood in a broad sense and can be subdivided into tool, manner, material, principle, premise, or foundation, etc., which describes how the action is done or the effect achieved. Such a use was available in oracle-bone inscriptions (cf. examples (18), (19), (21) and (36) above). Some examples are given below: (37) a. bǔ zhī guī, guàzhào dé dà héng。 divine 3SG tortoise shell divinatory symbols get bold transverse lines ‘King of Dai ordered his man to divine it with tortoise shell (burning), and the divinatory symbols showed bold transverse lines.’ (Shǐ Jì •Xiào Wén Běn Jì) 284 b. Guohua Zhang zhòu cān zhū rìzhōng zhī jǐng, yè kǎo zhī day refer to 3SG noon sun MOD shadow night refer to 3SG jíxīng, yǐ zhèng zhāo xī。 Polaris in order to ind out morning evening ‘The craftsmen made reference to midday sun shadow in the daytime and Polaris at night so as to ind out the directions of east and west.’ (Zhōu Lǐ •Dōng Guān Kǎo Gōng Jì) One of the criteria on the basis of which the ten subtypes of the DOC are identiied is that the VO syntactic-semantic relations between the verb and the two objects each hold and both objects are event participants rather than otherwise, e.g., a description or a modiier of the verb or the action itself. Another condition is that syntactic operations affecting the two objects are possible and smooth. The verb itself is dynamically transitive and carries enough force. On that understanding, the other three subtypes of the DOC distinguished in relation to numerals by Yang and He (1992: 563) are excluded from the DOC in this study.19 They are identiied as other constructions in Modern Chinese grammatical theories, or at most as members of other constructions narrowly overlapping with the DOC. For one thing, not all VO combinations can form the DOC, due to the semantic restrictions on the part of the verbs, e.g. conative VO. Only transitive verbs with considerable causative meaning are possible for the DOC, which in turn renders interpreting some DOC sentences problematic. Consider for example: (38) a. Yíng… gù jiǔ lì gōngzǐ chējì shì zhōng。 Ying thus long time stay prince chariot busy street LOC ‘Hou Ying… thus had the Prince’s chariot stay in the busy street for a long time.’ (Shǐ Jì •Wèi Gōng Zǐ Liè Zhuàn) b. …yì clothe qí shī, zhěn zhī gǔ20 ér his body pillow 3SG thigh CONJ kū zhī。 cry 3SG 19 Shi (2003) makes similar subdivisions. Additionally, other miscellaneous subtypes of the DOC in Old Chinese are possible in addition to the afore-discussed ones, but they are rare in use and do not share much semantics in common. For reasons of space limitations, they are not discussed here. 20 According to Shao (2002), interpretations of zhěn zhī gǔ ‘lit. pillow 3SG thigh’ vary due to the different treatment of gǔ as a Locative or Tool. I follow Shao’s treatment of it as an object of Tool and interpret it as ‘He made his own thigh a pillow for the dead body to rest on’. Another possibility is ‘He moved the dead body to rest it on his own thigh’. Objecthood and the general direction of the historical change… 285 ‘He clothed the dead body and rested it on his thigh and cried on him.’ (Zuǒ Zhuàn •Xiāng Gōng Èr Shí Qī Nián) In (38), both examples have causative and spatial interpretations, while example (b) also has a Yi/With-type DOC interpretation. Similar cases are not uncommon. The Causal DOC is closely related to the Tri-Object Construction and the Causal VO construction. Chen (1991) and Shen (1992) identify the Tri-Object Construction with three objects indicating Cause, Target and Sacriice related to sacriice events as recorded in oracle-bone inscriptions in ancient times, encoded as ‘V+OCause+OTarget+OSacriice’. The verbs semantically related to the construction are very limited in number. Opinions on the construction vary (cf. Shi 2003; Xu 2009, 2013). However, it is recognised in the present study because such a construction was stable, terse, highly formalised and frequently used at that time for its extreme economy. In addition to this conventionalised use, the causal complement marker was not available at that time, so the construction cannot be taken as a shortened form of a complementary construction in combination with the DOC, as suggested by some researchers. In fact, most syntactic constructions available in oracle-bone inscriptions are consistent with the constructions in Chinese of later generations and therefore are recognised as their predecessors (cf. Chen 2008). The Tri-Object Construction was no longer seen in documents handed down to later generations since around the 11th century BC mainly due to its communicative ineficiency. Chen (1991), Zheng (2004) and Shi (2007), among others, discuss its defects in conveying information, primarily in that the style of matching three participants to a single verb violates the ‘one sentence, one focus’ principle and causes vagueness or ambiguity. That functional ineficiency is also responsible for the demise of some other constructions, e.g. the Purpose-Material type of DOC (cf. Shi 2003). Xu (2009) discusses other pragmatic reasons for the demise of the Tri-Object Construction. Four subtypes of the DOC, namely the Yi/With-type DOC, Causal DOC, Naming-Appointing DOC and Spatial DOC, are recognised for another reason, i.e., non-argument elements like adverbials and complements share much in common with objects and sometimes become indistinguishable. Sanders (1984) points out that the syntactic status or function of a constituent does not show one-to-one correspondence with its semantic role and the distinction between objects and adverbials is fundamentally formal in nature rather than functional, and basically relative and scalar rather than absolute and discrete. In terms of the key characteristics, objects are syntactically quite homogeneous but semantically diverse, while adverbials are just the opposite. Adverbials constitute a class that is fundamentally semantic in nature, while direct objects constitute 286 Guohua Zhang a syntactic class rather than a semantic one, a class in which a wide variety of semantic distinctions are formally neutralised. That the choice of a case marker for a noun is dependent on the verb associated with it is a rule universal to all nominals. Such a relationship holds not only between objects and adverbials but also between objects and complements in Chinese. Sanders (1984) also proposes that for a particular language, it is possible to give the best description and deinition of the full range of objects and all their possible subtypes only when the description and deinition are made within a very small but ixed pattern of syntactic positions and an array of morphological markers, but these purely syntactic factors will vary among languages. This feature is typical of Chinese grammar, according to which postverbal nominals without morphological markers are collectively treated as objects, while either preverbal or postverbal ones with morphological markers are classiied as adverbials or complements. 4. Word order patterns of the DOC in Archaic Chinese Though the DOC is encoded as ‘V+NP1/O1+NP2/O2’, the two objects can switch their positions in most of its subtypes in Archaic Chinese. Therefore, the two objects marked Oi and Od can enter into two patterns: ‘V+Oi+Od’ (Type I) and ‘V+Od+Oi’ (Type II). Oi generally refers to an animate being and Od an inanimate entity. The most frequently used subtypes are the irst four. Since some wei-type DOC sentences imply ‘intended giving’, the core subtypes of the DOC mean ‘possessional transfer’ between a Source and a Goal. In Type I, Oi is mainly realised or expressed by personal pronouns placed immediately next to V most probably because it is short and given information that tends to come irst, while Od following it is structurally more complex and carries new and richer information. Therefore, it is placed in the sentence-inal end-focus position, which conforms to the regular pattern of information organisation and meets the phonological requirements. Type I is the dominant form of the DOC, but there are cases of Type II in which a personal object is placed at the end of the sentence. However, it is not a pronoun, but a noun or nominal. Consider the following examples: (39) a. … qí fù qiè yáng ér yè zhī lì。 his father steal goat CONJ report 3SG oficial ‘His father stole a goat and he reported it to the local oficial.’ (Hán Fēi Zǐ •Wǔ Dù) Objecthood and the general direction of the historical change… b. c. 287 chén wén zhī línrén zhī nǚ。 I hear 3SG neighbour MOD daughter ‘I heard it from my neighbor’s daughter.’ (Zhàn Guó Cè •Qí Cè) qiě qí xiān jūn … dé zuì zhūhóu, zhūhóu nù zhī and his deceased king receive blame lords lords anger P wèi jiě。 NEG relieved ‘And his deceased king … offended the lords, and they are still angry.’ (Chūn Qiū Fán Lù •Zhú Lín) In contrast to Type I, Type II is used mainly to express transfer in a general sense. It is a rule that a pronoun object should be immediately adjacent to the verb whatever it refers to, but when both objects are nouns, the animate noun usually comes before the inanimate noun and the formally simpler one comes before the formally more complex one, including their phonological structures. As to the interrogative personal object and pronoun object in negative sentences, as stated earlier, they are placed preverbally.21The Type II DOC is still common in Southern dialects in Modern Chinese, e.g. Cantonese. Zhen (1985) observes that the choice of DOC word order pattern is greatly affected by the semantic features of speciic ditransitive verbs. As stated earlier, cì ‘to bestow (giving by one of high status, usually a king, to one of low status, usually his subjects’ and xiàn ‘to present (solemn and respectful giving by one of low status to one of high status, usually a king)’ are typical examples since they are used in different syntactic patterns mainly due to their sociolinguistic differences. yán ‘to say’ and yù ‘to tell’, two frequently used verbs of saying, are also good examples.22 In DOC sentences with yán, inanimate objects markedly precede animate ones, while for yù, the order is the opposite. So their word order distributions are complementary. In this respect consider the following examples (see also (29a)): 21 The rule began to change in the Early Middle Chinese period (3rd century AD) and by the Early Modern Chinese period or, more speciically, the Song Dynasty (10th–13th century AD), it conformed to the then general SVO word order pattern. 22 According to Wang (2011: 765) and Wang (2000: 1260, 1278), yán means ‘to voluntarily talk to someone’ and the focus is on ‘someone’s reporting something’ or what is said, while yù means ‘to answer questions or talk with someone’, namely ‘to tell someone something’, and the focus is on ‘the other party one talks to’. So it implies both ‘to whom one talks’ and ‘what is told’. That is a feature yán does not possess. For that reason, yán is usually used in the ‘VO+PP’ pattern with the preposition yǔ and later yú introducing to whom one says something. 288 Guohua Zhang (40) nǎi yán zhī Wèi wáng。 then say 3SG Wei king ‘Then he told it to the king of Wei.’ (Kǒng Cóng Zǐ •Chén Shì Yì) Moreover, syntactic operations between the DOC sentences and ‘VO+PP’ sentences involving the use of such verbs are sometimes restricted. Hence, one has good reasons to classify them as different constructions. The relation of the semantic features of a verb to the syntactic pattern it can enter into or enters into calls for closer examination. 5. The general direction of the development of the DOC in Archaic Chinese The core members of the DOC category in Archaic Chinese have been developing in a steady and robust way only with major changes taking place on the part of speciic verbs that came into use or fell out of use in different periods, the structural properties of the two objects, the disyllablisation of (ditransitive) verbs and blending of the DOC with other constructions. The remaining seven subtypes, including part of the wei-type DOC, as peripheral members, have gradually fallen out of use and changed into or have been substituted by other constructions. The Spatial type and Naming-Appointing type partly remain in use now, but they are generally treated as different syntactic categories (at best) overlapping with the DOC. The following section will not go into details about how they fell out of use or changed, but rather will make a brief analysis of the general direction of change of the DOC. More attention will be devoted to the change in the wei-type DOC and the Causative/Shi-Ling DOC. 5.1 The grammaticalisation of wéi and the demise of the wei-type DOC The demise of the wei-type DOC is closely related to the grammaticalisation of wéi. According to Kang (1999), its original meaning is ‘to work an elephant to help with manual work’, but in oracle bone inscriptions it is mainly used as a noun meaning ‘doing something’. And the extension continues until it inally becomes a general-meaning verb whose interpretation is dependent on contextual clues. Such abstractness in meaning and lexibility in use gave rise to the semantic conditions for its grammaticalisation. Objecthood and the general direction of the historical change… 289 There is also a syntactic condition imposed on grammaticalisation. Restricted by the temporal one-dimensional property (cf. Shi 1995), only one major verb in a clause can indicate temporal information (e.g. adding postverbal grammatical aspectual markers like the imperfective/durative marker zhe, the realisation marker le and the experiential marker guò, and verbal reduplication, etc.), which renders other verbs in the same clause minor ones. As the verbal qualities of those minor verbs keep being lost, frequent use of these verbs in a ixed syntactic position adds to the consistent loss and renders their meaning more and more abstract until they no longer act as predicate verbs but rather become modiiers of the major verb, having changed from a lexical unit into a grammatical one. As a preposition, it introduces event participants closely related to the action denoted by the major verb, including Agent, Patient, Locative, etc. The grammaticalisation of wéi demonstrates that process. A signiicant use of wéi as a transitive verb in the inscriptions is related to a class of objects with personal possessive modiiers which can also be interpreted as the Beneiciary of the action, and such a use becomes common in documents in the Pre-Qin period, for example: (41) qǔ bǐ húli, wéi gōngzǐ qiú。 capture that fox do prince fur garment ‘We capture that fox and use its skin to make fur garments for the princes.’ (Shī Jīng •Guó Fēng •Qī Yuè) In interpreting that kind of structure, one makes use of the function and meaning of an implied wéi, and the whole structure reads more like the wei-type DOC when the modifier position is filled with the third singular pronoun zhī23 (not necessarily referring to animate beings). For example: 23 As zhī may function as a possessive pronoun like qí in some cases, some sentences of this type can be ambiguous. 290 Guohua Zhang (42) a. nǎi mìng fú shā, hòu24 wéi zhī lǐ ér guī zhī。 then order NEG kill rich do 3SG gift CONJ return 3SG ‘The king then ordered not to kill him. He gave him rich gifts and sent him back home.’ (Guó Yǔ •Jìn Yǔ Sì) b. shèn wéi zhī míng… carefully do 3SG inscription ‘We/They carefully made his/him inscriptions (or inscriptions for him).’ (Zhū Gōng Huá Zhōng Míngwén, i.e., Bell Inscriptions) c. jūnzǐ jí fū shě yuē “yù zhī” ér bì wéi noble-man hate that abandon say want 3SG CONJ must do zhī cí。 3SG excuse ‘A man of noble character hates that kind of person who doesn’t say “I’d like it” directly but deinitely inds excuses for it.’ (Lún Yǔ•Jì Shì) Example (42a) clearly denotes possessional transfer. But when the Od position is taken by a cross-category word which can be taken as a noun or a verb, e.g. míng and cí25 in examples (42b) and (42c), and in some cases the reference of zhī needs to be replaced by nouns that have clearer references, as the pattern of ‘wèi zhī wéi+N’ is unavailable in documents in the Pre-Qin period and the two nouns following the verb can have a possessional relationship, the correct interpretation of the structure is mainly dependent on contextual clues. Meanwhile, in the structural pattern ‘wéi zhī/NP+X’, the verb X is used gradually as a noun. This ambiguity 24 Similar cases are found like ‘zhòng wéi zhī lǐ ér guī zhī’ (Zuǒ Zhuàn •Chéng Gōng Sān Nián, cf. (42a)), with the sole difference consisting in the modiier being placed before wéi. Hòu ‘rich’ semantically relates to lǐ ‘gift’, and wéi thus means ‘to give’, while zhòng ‘seriously’ semantically relates to wéi ‘to do’, and wéi thus means ‘to conduct ceremony’. The whole sentence means ‘The King conducted a ceremony seriously and sent the captured enemy general back to his own country’. When wéi is used to mean ‘to give’, the noun occupying the Od position like lǐ ‘gift’ and cì ‘gifts’ does not give a clear reference. Thus, the DOC pattern ‘cì+zhī+N’ is more explicit and competitive communicatively. 25 According to Wang (2000: 1417, 1523) and Wang (2011: 328, 326, 606, 607), míng means both ‘inscriptions’ and ‘to inscribe on metal’, and cí means ‘expressions in law suits or question answering, or excuse for declining’ and ‘to decline’. Cí has other meanings, but in the present case, it can be taken as ambiguous. Put in context, however, zhī refers to the fact that ‘one state is going to attack another one’, so the whole pattern should be taken as a DOC. Anyway, the pattern ‘wèi zhī/NP+V’ is already in use parallel to the wei-type DOC. Objecthood and the general direction of the historical change… 291 in the word class interpretation of X serves as an impetus to the grammaticalisation of wéi. For example: (43) a. qiě jūn cháng wéi Jìn jūn cì26 yǐ。 and 2SG once do Jin king favour P ‘And you once did a favour to the king of Jin.’ (Zuǒ Zhuàn •Xiāng Gōng Sān Shí Nián) b. zhì HuánGōng zǐ Yōng yú Gǔ, Yì Yá fèng zhī yǐ place HuanGong son Yong in Gu Yi Ya serve 3SG so as to wéi Lǔ yuán。 do Lu aid ‘The king of Lu had the son of the king of Qi detained in Gu, and Yi Ya served him in order to make it an aid to Lu.’ (Zuǒ Zhuàn •Xī Gōng Èr Shí Lìu Nián) As more and more content verbs occupy the O2 position in the pattern ‘wéi+O1+O2’, they take over from the general-meaning verb wéi the ability to indicate temporal information and become predicates as major verbs, while wéi functions only as a means of introducing the target that an action is directed to or done for. On the other hand, as stated earlier, the pattern of ‘wèi+NP+V(O)’ was already in use simultaneously. The somewhat grammaticalised wèi and generalmeaning verb wéi thus go through the process of gaining and losing respectively, in which the V position becomes increasingly strengthened. For example: (44) a. Chǔ Wáng Yǎn Zhāng, wèi cóng shì zhù。 Chu King Yan Zhang for follow soldier forge (Sword inscriptions: ‘Yang Zhang, king of Chu, forged this sword for his soldier followers.’) (Chǔ Wáng Yǎn Zhāng Jiàn Míngwén) b. jūn bú … ér qiú wèi zhī qiǎng zhàn。 king NEG but seek for 3SG unremittingly ight ‘The king … but his vassals seek to ight for him unremittingly.’ (Mèng Zǐ •Gào Zǐ Xià) 26 Wéi itself can mean‘to give’, while cì is taken as ‘favour’ in the present case as derived from its meaning when used as a verb, i.e. ‘(for a king) to grant favour or gifts to his inferiors’ (cf. Wang 2001: 21). 292 Guohua Zhang The adverbial qiǎng used preverbally in (44b) proves the full status of the content verb zhàn. Through grammaticalisation mechanisms such as reanalysis and analogy and due to its high frequency of use, the verbs in that position can take their own objects or be replaced by verbs or adjectives of state of affairs, which indicates that wéi is fully grammaticalised. Consider for example： (45) a. páo Dīng wèi Wén Huì Jūn jiě niú … wèi zhī chef Ding for Wen Hui king dissect bull for 3SG chóuchúmǎnzhì。 be self-satisied ‘The chef Ding dissected a bull for the king Wenhui … (he was) enormously proud of his skill.’ (Zhuāng Zǐ •Yǎng Shēng Zhǔ) b. gù Yú yǒu Gōng Zhīqí, Jìn Xiàn Gōng wèi zhī zhōng therefore Yu have Gong Zhiqi Jin Xian Gong for 3SG whole yè bú mèi。 night NEG asleep ‘Therefore, the State of Yu had Gong Zhiqi, (a man of great wisdom), and the king of the State of Jin could not fall asleep for him (note: because of the king’s admiration for him).’ (Shuō Yuàn •Zūn Xián) The grammaticalisation of and its use in the pattern ‘PP+V(O)’ makes the pattern communicatively more explicit and competitive than the wei-type DOC since the expression of one of the two semantic roles formerly linked by the verb is now realised by the preposition. This change conforms to the general direction of the evolution of Chinese grammar in that non-argument PPs move leftward to a preverbal position.27 Therefore, the wei-type DOC dominant in Old Chinese was substituted by the ‘PP+V(O)’ construction, and such a process began in the mid-late Pre-Qin period (cf. Liu 2002). In fact, since the end of the Qin period (around the 3rd century BC), the ‘PP+V(O)’ construction has commonly been employed to interpret the wei-type DOC in books of commentaries. Liu (2001) points out that, as a sign of the demise of the wei-type DOC, the replacement explains why the ‘PP+V(O)’ construction fell out of use in oral Chinese. 27 It is generally held that this leftward movement began as early as the 1st century BC. Shi (2011: 18–20, 186–189, 202) observes that the process was complete by the 15th century AD, by which time new constructions, largely involving PP-related constructions, made their appearance. However, interpretations of the nature of such a fundamental syntactic change vary. Objecthood and the general direction of the historical change… 293 5.2 The development of the causative construction and the demise of the Causative/Shi-Ling type of DOC The demise of the Causative/Shi-Ling type of DOC is closely related to the development of the causative category, i.e., the key causative verbs shǐ ‘to make/cause’ and lìng ‘to make/cause’ become grammaticalised into the causative marker, which fundamentally shakes the syntactic basis on which the lexical and morphological causative expressions are realised.28 When the new ‘NP1+Shi/Ling+NP2+V(+NP3)’ construction and the V-Complement construction gradually substitute for the VO-based causative expression, the VO-based causative DOC falls out of use. Shǐ is irst seen in oracle-bone inscriptions and it functions as a full content verb which means ‘to send or dispatch sb somewhere (to do sth)’ in the Spring and Autumn period and the Warring States period (770–221 BC). The prototypical sense of shǐ used in the ‘NP1+Shǐ(+NP2)+V+NP3’ pattern is the ‘intended causative’, i.e., the causer NP1 instructs the causee NP2 with a verbal message as an order to do something (i.e. V+NP3), and the causee is able to conduct the action independently according to the causer’s intention (cf. Li 2003; Onishi 2009). Importantly, as Cao (2011) points out, whether the person denoted by NP2 will perform the expected action or not depends on the person himself or herself and the caused event29 does not necessarily happen. Since the 11th century BC, the grammaticalisation of shǐ has germinated as it means ‘to issue an order or direct (sb to do sth)’. For example: (46) … Zǐ Chǎn shǐ xiàorén xù zhī chí。 xiàorén pēng zhī。 Zi Chan direct oficial raise 3SG pond oficial cook 3SG ‘(Prime Minister) Zi Chan directed that the low-rank oficial in charge of the ponds raise it (the ish) in the pond, but the oficial cooked it.’ (Mencius•Wàn Zhāng Shàng) 28 According to Comrie (1989: 209), typologically, three types of causatives are identiied, namely, lexical causatives, morphological causatives and syntactic or analytic causatives. According to Shi (2011: 34, 178–183) and Hong (2003), the morphological causatives in Old Chinese were mainly related to phonological means and they declined around the 1st century and fell out of use completely in the 6th century. Since the 1st century, with the development of the ‘Vt+Shi/Ling+Vi’ construction, the causative use of intransitive verbs gradually died out in oral Chinese; until the 3rd to 6th century, such use was just a remnant of the classical style of writings. 29 Onishi (2009) points out that, typologically, a causative situation consists of a causing event and a caused event; the Causer and the Causee are prototypically animate arguments and the predicates of the caused event are volitional verbs. 294 Guohua Zhang Cao (2011) inds out that the primary semantic features of NP1 are [+animate] and [+deinite], and of NP2 [+animate] and [+human]. The relationship between NP1 and NP2 is [superior-inferior]. For the VP, it is [+volitional]. When NP2 has an indeinite reference, NP1 can be missing (or omitted), which forms the ‘(NP1)+shǐ+NP2+VP’ pattern and triggers the semantic change of shǐ from ‘to order’ into ‘to let’. For example: (47) fū yáng, héng shù zhī jí shēng, dǎo shù zhī P poplar sideways plant 3SG promptly grow upside down plant 3SG jí shēng, shé ér shù zhī yòu shēng。 rán shǐ shí rén promptly grow break CONJ plant 3SG again grow but let ten man shù zhī ér yī rén bá zhī, zé wú shēng yáng yǐ。 plant 3SG CONJ one man pull out 3SG then NEG living poplar P ‘Look at that poplar. Even if one plants it sideways, it will grow soon, or if one plants it upside down, (still) it will grow soon; even if one breaks it before he plants it, it will grow again. But if one lets ten men plant it but one other man pull it out, then there will not be any living poplar left.’ (Hán Fēi Zǐ •Shuō Lín Shàng) According to Cao (2011), the changes in these semantic features play a signiicant role in the grammaticalisation of shǐ. On the other hand, Onishi (2009), Xu (2003) and Xu (2006: 127, 136–138) attach importance to the changes in the volitionality of the predicate verb in the caused event. Both approaches share much in common, because the volitionality is largely related to the animacy of NP1 and NP2, and a change in animacy and the NP1-NP2 relationship will lead to a decrease in it, as well as a change in the subjectivity of the causative relationship. When a verb of low volitionality appears in the caused event, the causer NP1 instead of NP2 becomes the agent that accomplishes the caused event. Then shǐ becomes a causative category marker. Cao (2011) observes that the volitionality decreases during the development of the causative category and the changes in all the other semantic features mentioned before take place not only in the same historical period but also in the same document or text. For example: (48) … ruò zī Dōngyáng zhī dào shǐ if (you, i.e. PM) give money Dongyang MOD bandit let kě hū? …nǎi shǐ Jiāo Míng zhào qí fù ér OK QP then order Jiao Ming summon his father CONJ shā zhī, qí kill 3SG P fù zhī。 reinstate 3SG Objecthood and the general direction of the historical change… 295 ‘If you give money to the bandits in Dongyang and let them kill him (i.e. Jiao Ju), is that OK? ... then the Prime Minister ordered Jiao Ming to summon his father and reinstate Jiao Ju in his former post.’ (Guó Yǔ •Chǔ Yǔ Shàng) In example (48) the superior-inferior relationship between NP1 (i.e. the PM) and NP2 (i.e. bandits) no longer exists, so NP1 is not in a position to issue an order to NP2 but rather NP1 must do something irst so as to urge NP2 to do what is expected of him or her. In contrast with the syntactic means for causative expression, as Cao (2011) points out, that case indicates the discoursal means for the same expression, i.e. through using sequential events which are not causally related. Still, the predicate verb in the caused event can be volitional. Therefore, shi must be interpreted as ‘to let’ or ‘to allow’ rather than ‘to send’ or ‘to order’. The decrease in the volitionality of the predicate verb leads to the same result. For example: (49) tiān jiàng Zhèng huò, shǐ yín guěn zhuàng, qì God drop Zheng disaster let shamelessly peer naked body discard lǐ wéi qīn。 manner violate clan ‘God brought disaster to the State of Zheng, let him (i.e. the king of Zheng) behave rudely to our clan relatives, just like the King of Cao, who rudely peered at your naked body.’ (Guó Yǔ •Jìn Yǔ Sì) In example (49), the predicate verbal phrase qì lǐ wéi qīn ‘to behave rudely’ in this context indicates a non-volitional action done by NP2 or the king of Zheng in the context, which gives shi a ‘let’ interpretation. That NP1 and NP2 lost their [+animacy] served as another signiicant impetus to the grammaticalisation of shi, and such a loss most probably took place simultaneously (cf. Shao 2003: 278). It is generally held that inanimate nouns take the two syntactic positions through analogy. For example: (50) a. wángzǐ gōngshì, chē mǎ, yīfú duō yǔ rén tong, ér prince room chariot horse clothing most to others same but wángzǐ ruò bǐ zhě, qí jū shǐ zhī rán yě。 prince like that P his environment let 3SG that way P ‘The living room, chariot, horse and clothes of the prince are mostly the same 296 b. Guohua Zhang as other people’s, but he looks so extraordinary just because the environment makes him what he is like.’ (Mencius•Jìn Xīng Shàng) Zǐ Chǎn shǐ dū bǐ yǒu zhāng, shàng Zi Chan let capital city border lands have order high oficers xià yǒu fú, tián yǒu fēngxù, inferior oficers have function ields have banks and ditches lú jǐng yǒu wǔ。 hut in ield well have tax ‘Zi Chan made the capital city and border lands of the State be kept in good order, and the high and inferior oficers perform their respective duties. The ields were all marked out by their banks and ditches. Tax was levied on the households.’ (Zuǒ Zhuàn•Xiāng Gōng Sān Shí Nián) Logically speaking, loss of animacy in either NP1 or NP2 will lead to a change in the meaning of shi from ‘to order’ to ‘to let, or be responsible for a situation’ and the caused event is accordingly changed from an unaccomplished one into an accomplished one. However, Onishi (2009) argues that the change in NP1 in the causative construction points to the highest degree of grammaticalisation of shi, when it no longer dominates NP2 but becomes an Agent that accomplishes the caused event. Another important development is that when the causative jianyu shi ‘shi+O/S+V(O)’ construction, or lit. dual-function constituent predicate, or make-construction, changes into the ‘shi+Object clause’ construction, some adjectives and verbs indicating a state of affairs can enter into the relevant position in the clause, turning the role of the Causee into the Experiencer in the caused event. Consider for instance: (51) zhǐ zhī zhī dào, shù pī qí mù, wú shǐ zhī mào … stop 3SG MOD way often chop its tree NEG let leaves lourishing tián qí xiōng yuān, wú shǐ shuǐ qīng。 ill its turbulent deep pond NEG let water clear ‘The way for a king to avoid that is just like he should trim his trees often so as not to let the tree leaves lourish … ill up the turbulent deep pond so as not to let the water be clear.’ (Hán Fēi Zǐ•Yáng Quán) That the construction ‘NP2+VP+(NP3)’ is used to mean ‘NP2 is left or caused to Objecthood and the general direction of the historical change… 297 be in a certain kind of state’ marks another important stage of the grammaticalisation of shi. See another example: (52) …yú bì shǐ ěr pí yú bēnmìng yǐ sǐ。 1SG shall let 2SG exhausted due to rush about on errands CONJ die ‘I shall make you exhausted by keeping you rushing about on errands and inally die.’ (Zuǒ Zhuàn•Chéng Gōng Qī Nián) According to Cao (2011), the shi-related use meaning ‘to let’ or ‘to allow’ in Old Chinese is popular, but using discoursal means is dominant, which means the degree of semantic integration of the causing and caused events is not yet high enough. However, when the causal relationship between them becomes more and more evident and the caused event is accomplished, the expression of the causative relation becomes increasingly independent of contextual clues. Consequently, the perspective from which a speaker expresses the causative event changes from the angle of describing NP1, who directly causes the caused event to take place, into one from which the speaker himself objectively makes an evaluation of or passes judgment on the causal relation between NP1 and the caused event. Therefore, the causative expression becomes even more abstract and non-volitional or unintentional and the syntactic means becomes even more functional and dominant than the discoursal means. As a result of such abstraction, the expression of the causer and the caused event becomes structurally rich and colorful. For instance: (53) wú wáng zhī hào tiánliè, fū hé shǐ wǒ zhì yú cǐ jí our king P like hunting P why make 1PL reach to this extreme yě? fù zǐ bú xiāng jiàn, xiōngdì qī zǐ lí sàn。 QP father son NEG mutually see brothers wife children isolate disperse ‘Our king loves hunting very much, but why does he make us suffer to such an extreme that fathers and sons cannot see each other and brothers, wives and children are isolated and live scattered?’ (Mencius•Liáng Huì Wáng Xià) It is known that such a causal/causative use of shi is well-developed by the West Han period (202 BC–9 AD) and the development continues until an indeinite reference pronoun with a generic reference like ren ‘people’ can take the NP2 position and both NP1 and NP2 can be inanimate in the same clause. Most 298 Guohua Zhang importantly, as more and more verbs (especially PSYCH verbs) and adjectives of a state of affairs enter into the VP position, the pattern of ‘VP+shi+AP’ inally makes its appearance, which indicates that shi has fully grammaticalised into a causative marker. Onishi (2009) claims that such a process is basically accomplished by the end of the Old Chinese period and that the subsequent development is quantitative in nature. Liu’s indings (1999: 351) lend support to the claim. According to Liu (2008, 2011) and Cao (2011), the grammaticalisation of another important causative verb ling ‘to order/let/ask/make’ is fundamentally the same as shi, with differences only in speed, stages and popularity. At around the turn of the West Han and East Han periods (1st–2nd century), ling becomes a full causative marker and the ‘VP+ling+AP’ pattern is frequently used, parallel to shi. For example: (54) fū jué shuǐ shǐ zhī dōng xī, yóu rǎn sī ling zhī qīng chì yě。 P break river let 3SG east west like dye silk let 3SG green red P ‘People break river bank and let water in it low east or west. That is just like dying silk to make it green or red.’ (Lùn Héng •Běn Xìng) It is generally agreed that the pattern ‘VP+shi/ling+AP’ not only marks the maturity of the grammaticalisation of the two verbs, but also triggers a competition between itself and the causative VO which is based on the so-called tentative use of adjectives as verbs and remains dominant in expressing causative meaning in the Pre-Qin period, which in turn causes the demise of the Causative/Shi-Ling type of DOC. The imbalance begins to change during the West Han period and a major change takes place in the East Han period. See the following three examples from the same legend Gong Gong and Zhuan Xu ight for the crown: (55) a. Gòng Gōng … nù ér chù Bùzhōu zhī Gong Gong angry CONJ hit Buzhou MOD tiān zhù, jué dìwéi。 heaven pillar break Earth rope (Liè Zǐ•Tāng Wèn) (around the 5th–4th century BC) b. Gòng Gōng … nù ér chù Bùzhōu zhī Gong Gong angry CONJ hit Buzhou MOD zhù zhé, dìwéi jué。 pillar break Earth rope break (Huái Nán Zǐ•Tiān Wén Xùn) (around 159–120 BC) shān, zhé mountain break shān, tiān mountain heaven Objecthood and the general direction of the historical change… c. 299 … nù ér chù Bùzhōu zhī shān, shi tiān zhù angry CONJ hit Buzhou MOD mountain let heaven pillar zhé, dìwéi jué。 break Earth rope break (Lùn Héng • Duì Zuò) (around 86 AD) ‘Gong Gong (fought Zhuan Xu for crown) … was so angry that he hit Buzhou Mountain and (as a result) the heaven pillar broke and the Earth rope broke off.’ It is clear that in the earliest version of the three, the lexical causative VO pattern is used, which means ‘to cause tianzhu to break’, and in the later version, the SV pattern is used because a discoursal means is employed to express the causative meaning. But in the most recent version, the syntactic causative shi is used. This sharp contrast indicates the decline of the irst construction and the rise of the third one, with the second one as transitional. As shown in (55a), the lexical causative use applies mostly to actions of animate beings upon inanimate entities, so causative uses of shi/ling will not challenge the dominant position of lexical causative use when both NP1 and NP2 require [+animacy]. However, when the causative category develops into its full form and with the frequent use of the ‘shi/ling+VP/AP’ pattern, syntactic means can be employed to express the grammatical meaning formerly expressed by lexical causative use (compare (55a) and (55c)). Moreover, the syntactic means proves more functional and communicatively explicit as it is open to many more, if not all, word classes while the lexical causative VO construction is rather limited in that respect. Therefore, the demise of the latter becomes inevitable and its function is borne by jianyu shi and the ‘shi/ling+VP/ AP’ construction, which inally evolve into other syntactic patterns including the causative construction, V-Complement construction, etc. Other intralinguisic and extralinguisic factors are also responsible for the demise of the lexical causative VO construction, but the functional extension of causative verbs like shi and ling and the forming of the syntactic causative category is the dominant motivation. One of the consequences is the demise of the Causative/Shi-Ling type of DOC. 5.3 The demise of other atypical types of DOC As is discussed earlier, the three prototypical members of the DOC survive, while the other atypical types gradually die out for various reasons. However, their demise is not basically due to grammaticalisation or the appearance of new 300 Guohua Zhang syntactic categories, but mainly the challenge of their parallel alternative syntactic patterns used in the same period. Those parallel patterns all have PPs, placed either preverbally or postverbally. They differ somewhat from corresponding types of DOC in terms of stylistic meaning, constructional meaning and pragmatic meaning such as information structure. As stated earlier, the semantically overburdened DOC can easily cause communicative dificulties and some subtypes are functionally restricted, so using prepositions to clearly indicate the relationship between event participants and the V-O semantics becomes more communicatively competitive. Consequently, verbs tend to relate semantically to fewer and fewer types of objects. As the dominance of parallel constructions increases, corresponding substitutions become frequent, which leads to the decline of the DOC. Some subtypes gradually fall out of use. For example, in the early stage of the DOC’s development, two unstable subtypes (as distinguished by O-O roles) are the Cause-Target type and the Purpose-Target type, whose parallel structures are mainly ‘VOcause+yu+Otarget’ and ‘VOpurpose+yu+Otarget’ respectively.30 And the Cause-Patient type of DOC (encoded as ‘VOcauseOpatient’ or ‘VOpatient Ocause’, cf. (36)) has an alternative form of ‘VOpatient+yu+Ocause’. Consider another example as follows: (56) Hán shì … guò tīng yú Chén Zhěn, shī jì Han clan wrongly follow advice because of Chen Zhen miss advice Hán Péng。 Han Peng ‘(…that is because) the king of the State of Han wrongly followed advice because of Chen Zhen and refused to follow the (right) proposal because of Gongzhong Peng (of Han).’ (Zhàn Guó Zòng Héng Jiā Shū •Gōng Zhòng Péng Wèi Hán Wáng Zhāng) As to the Spatial DOC, likewise, the NPs indicating spatial entities are introduced by prepositions like yu ‘in/at/on/into’ or hu ‘in/at/on/into’ whatever the word order of the two objects is (cf. 34)). For the Yi/With-type DOC, PPs involving the use of prepositions like yi ‘with/using’ or yu ‘according to/against’ are often used as adverbials or complements for the substitution. In summary, old or new prepositions help share the semantic burden previously borne by the DOC. These prepositions are: yin (wei) ‘because (of)’, you ‘due to’ or yong ‘because of’ introducing Cause, yu ‘together with’ or 30 According to Shi (2003), other alternative forms include ‘wei+Opurpose+V+(yu)+Otarget’, etc. In oracle-bone inscriptions another subtype is found, i.e. the Purpose-Material type of DOC, but it falls into disuse due to its communicative ineficiency. Objecthood and the general direction of the historical change… 301 tong ‘and/with’ introducing associated object, wei ‘for’ introducing Purpose, dui ‘to/towards’ or xiang ‘at/towards/in the direction of’ introducing Target, Goal or Direction,31yi ‘using/with’, jiang ‘holding/with’ or lai ‘with/replying on’ introducing Tool, Manner or Material, zai ‘in/at/on’ introducing Location, zi ‘from’ or cong ‘from’ introducing Source, dao ‘to/reaching the endpoint of’ introducing Terminal point, or ba ‘holding’ or jiang ‘holding’32 fronting a Patient object to the pre-verbal position so as to leave the former postverbal sentence-inal position to the complement which can function as the focus information (note that such a change directly affects Spatial DOC. Consequently, the syntactic patterns involving the use of those prepositions, i.e. ‘S+PP+V(O)’33 and ‘S+V(O)+PP’, gradually become dominant mainly because of their communicative explicitness. When their dominant position is well established in around the Late Old Chinese and Early Middle Chinese periods, the corresponding subtypes of the DOC die out. Zhang (2013) ascertains that they fall into (practical) disuse from the mid-West Han period. Naturally, certain subtypes and remnants of old uses survive. For instance, the pattern ‘V+Ocausee+Oresult’, which came into use in the East Han period, is still frequently used in Modern Standard Chinese. As to the Naming-Appointing DOC, some treat it as a subtype of jian yu shi ‘makeconstruction’ because a verb wei ‘to do’, zuo ‘to do/be’ or yue ‘to say (as)’ can be inserted between the two NPs in the ‘V+NP1+NP2’ pattern. But in Archaic Chinese such verbs often are not omitted, and in Modern Chinese they cannot be omitted, especially wei ‘to do’. Therefore, both using such verbs and not using them are constructionally signiicant. For another reason, the two constructions overlap semantically but also are restricted in a construction-speciic way. Some 31 The ‘S+PP+V(O)’ pattern is dominant. According to Zhou and Shao (2006), the preposition dui ‘to/towards’ appears at around the end of the 2nd century AD primarily because of the semantic overburden of yu, which has over-generalised meanings. In around the 3rd to the 1st century BC yu is used to indicate most semantic roles of objects in VO pattern, such as Location, Time, Source, Goal, Comparison reference, Experiencer, Agent, Dative, Patient, etc. So some new means is badly needed to share the burden. The number of prepositions increases from six in the Pre-Qin period (i.e. yu, zai, yi, yong, you, zi) to around twenty, including dui. The increase in the use of dui indicates a decrease in the use of yu. 32 Both ba and jiang were irst used as verbs to mean ‘(for one to) hold something in hand’, but later on they grammaticalised into preposition-like markers that front a Patient object to a pre-verbal position. 33 Hong (2010: 256–295) points out that locative elements irst take the postverbal position, but since the Old Chinese period, the existential location role has partly been used pre-verbally and all the other roles are used only pre-verbally except the Goal role. Most word order changes become accomplished or practically accomplished in the Old Chinese or Middle Chinese periods, motivated and conditioned mainly by PTS, which exerts profound inluence on word order patterns in Chinese in general. The major result of such changes is that locative elements as a whole are distributed much more rationally. 302 Guohua Zhang verbs, for example, can enter into jianyu shi, but with the same meaning, cannot enter into the DOC, such as fei ‘to remove title or dethrone’, and qu ‘to marry’, while some other verbs can enter both constructions but with a drastic difference in distribution. For instance, jin ‘to promote’ and ming ‘to appoint’ are dominantly used in jianyu shi. On the whole, the DOC is more restricted than jianyu shi, the latter being much less lexically restricted. The same is true of the Appointing-Naming subtype of the DOC. Yang and He (1992: 600, 610) point out that since Appointing-Naming verbs are stable and limited in number and the verbs following the dual-function NP are also limited in number, it is a well-established subtype of jianyu shi ‘make-construction’. And Appointing-Naming verbs that can enter into the DOC are even more limited in number, and are in fact mainly used in jianyu shi, such as hao ‘to call’, zun ‘to call respectfully’ and ming ‘to name’. In Modern Standard Chinese grammar, the prototypical DOC denotes a possessive relationship between the entities or persons denoted by O1 and O2, marked as [+HAVE]. That is, after the possessional transfer is accomplished, O1 possesses/HAVE O2. In contrast, the relationship in the Appointing-Naming subtype of the DOC is judgement, marked as [+BE]. That is, O1 is/BE O2. Therefore, such a subtype has always been atypical. Jianyu shi, on the other hand, is in itself different from the DOC and both constructions develop into increasingly different patterns, with the former being expressively more powerful and inclusive. In Modern Standard Chinese grammar, the AppointingNaming subtype of the DOC is generally classiied as a V-Complement pattern. Because of its semantic and formal similarity, some treat it as an atypical subtype of the DOC. 5.4 The development of the prototypical DOC The Giving subtype of the DOC is generally treated as the prototype of the construction. Since giving and taking are counter-images and the negation of one means the afirmation of the other one, the two closely associated notions are marked with such homogeneity and form a continuum. 34 The Message-exchanging type DOC is often treated as an extension of the ‘Giving’ subtype. Therefore, these three are treated as the core members of the DOC category. They have been developing since the Pre-Qin period. 34 One of the reasons for some linguists to exclude the Taking-DOC is that the verbs related meaning ‘taking’ in general cannot dominate an animate indirect object alone, but Zhang (2013) refutes the idea with solid linguistic facts. Additionally, the three subtypes of the DOC identiied in the present study have been developing in parallel ways ever since ancient times, which lends further support to the present treatment. Objecthood and the general direction of the historical change… 303 Xu (2013) and Zhang (2013) employ the same criterion for deining the DOC and carry out a diachronic investigation into it. Their indings overlap and are in a sense complementary. Based on these, some striking features and the general direction of the historical development of the DOC can be ascertained as follows: Firstly, throughout history, the DOC has had two word order patterns, namely, ‘V+Oi+Od’ (Type I) and ‘V+Od+Oi’ (Type II), which have co-existed and developed for a long time. However, Type I has always been dominant, whereas Type II remains common only in the pre-Tang period (before the 7th century). The number of semantic types of the verbs that can enter into Type II reaches its highest point during the West Han and East Han periods (202 BC–220AD) and then decreases with less language use and fewer semantic types. It declines further in the Song Dynasty (960–1279) and by the Ming Dynasty (1368–1644) it basically dies out in the common language and the Northern dialects of Chinese. Nevertheless, Type II is still in wide use in Southern dialects and certain meaning registers, mainly giving or taking. Secondly, the DOC as a whole becomes syntactically more and more complex as it can blend with other constructions. For example, since the Pre-Qin period it has been able to blend with a topical sentence; since the 13th century till the present it has been able to blend with a BA sentence and a BEI/passive sentence. A DOC sentence can be extended with another predicate to indicate the purpose of an action in a sentence that is functionally related to either of the objects. For instance: (57) a. wǒ xiǎng sòng tā yī běn shū kàn。 I want give 3SG one MW book read ‘I want to give him a book to read.’ b. wǒ xiǎng sòng tā yī tiáo gǒu kān mén I want give 3SG one MW dog guard door ‘I want to give him a dog to guard his house.’ The former pattern makes its appearance in the Pre-Qin period and it is still in wide use in present-day Chinese. The blended constructions demonstrate the principles of both economy and eficiency. Another feature is that some VO combinations lexicalised. Lexicalisation has been taking place since the West Han period (202 BC–9 AD) between the monosyllabic V and O1, and since the 12th century some monosyllabic V’s and O2’s have become closely tied so that they lexicalise into detachable or individual words. Such lexicalisation is obviously inluenced by the lexical disyllablisation. 304 Guohua Zhang Thirdly, in terms of verbal semantic changes, since the Pre-Qin period till the present, the number of verbs that can enter into the prototypical DOC has been increasing on the whole, though some words can no longer enter into it, e.g. jia ‘to marry’, which drops out of DOC use in the East Han period. The most frequently used verbs before the mid-18th century are ci ‘to grant or bestow’ and yu ‘to give’, while they are replaced by gei ‘to give’ and song ‘to give’ in Modern Chinese. Importantly, the number of those non-three-valence verbs that can enter into the DOC when they meet certain semantic conditions has been increasing on the whole, especially those verbs that are treated as two-valence ones. Obviously, this change relates closely to how the historical change in the valence of verbs affects the syntactic patterns they can enter into. Fourthly, in terms of the syllabic change of DOC verbs,35 Zhang (2013: 143) observes that a large number of disyllabic DOC verbs have made their appearance since the West Han period (202 BC–9 AD) which are synonymous, e.g. shangci ‘lit. to award-bestow’. Since the Song Dynasty (960–1279), verbs meaning ‘holding’ have regularly combined with other verbs meaning ‘giving’ somewhat like split words, e.g. ‘ba-huan ‘lit. to hold-return’. Since the 14th century, the ‘V+yu’ pattern-based disyllabic DOC verbs have grown in number. In addition, DOC verbs sharing the same morpheme and meaning but reverse in order arise, e.g. shi-feng and feng-shi, both meaning ‘to serve’ or ‘to wait upon’. Fifthly, the ability of DOC verbs to take objects changes all the time, which is mainly related to the ‘V+yu/gei’ pattern and the Taking-type DOC. Some DOC verbs change from the neutral type into the dative type, like yu ‘to give’, while some others change into the theme type, like gong ‘to provide’, or reversely, some verbs change from the dative type into the neutral type, like shang ‘to award by a superior to an inferior (for contribution or merit)’. Yu as a key verb which exclusively means ‘to give (between equals)’ used to be of the neutral type from the Archaic Chinese period to the Ming Dynasty (1368–1644), but its dominant position has been replaced by gei ‘give’ since the Qing Dynasty (1644–1911). Gei changes into the neutral type verb when it starts to carry a pure ‘giving’ meaning. Sixthly, the semantics and syntax of objects keep changing. Since the PreQin period, the feature [+animacy] of both Od and Oi has become generalised and can be extended to location through metaphor and/or metonymy; formally, 35 Guo (2005: 258) points out the general tendency of Chinese to undergo lexical disyllablisation, i.e., it germinates during the West Zhou period (around the 11th to 8th century BC) and experiences two periods of rapid change in the Spring-Autumn period and the Warring States period (around 8th to 3rd century BC) and the Wei-Jin period (around the 3rd to the 6th century), when a vast number of disyllabic words come into use. Until the Tang Dynasty and the Post-Tang period (around the 7th to the 10th century), disyllabic words have gradually established their position as the basic grammatical unit of the Chinese language. Objecthood and the general direction of the historical change… 305 Od can be NP and VP. Since the Ming Dynasty (1368–1644), VP-based objects have become more complex. The numeral forms of Od are ‘numeral+MW+N’ and ‘N+numeral+MW’, with the former being dominant and the latter sharply decreasing between the 13th and the 17th centuries. However, the ‘numeral+MW+N’ pattern becomes more structurally complex and semantically abstract.36 When Od is modiied, the modiier can be separated from the head. Throughout history, both objects can be pronouns, either personal or demonstrative ones, but Oi is more often a pronoun. Pronouns functioning as objects in different periods vary greatly, but are generally on the increase. Generally, Oi becomes more and more structurally complex irst, but then it becomes more and more simple. In contrast, Od has become formally more and more complex ever since ancient times.37 On the whole, Oi tends to become deinite and semantically more and more simple, while Od undergoes a reverse process. To sum up, the double-object structure used in the oracle-bone inscriptions is somehow not stable, but it is the ancestor of the DOC, and it develops in a stable way, becoming a fully-ledged construction. The changes that affect its prototypical members are generally minor.38 But its development is never autonomous or self-dependent because it is closely related to and conditioned by other parallel structures used in the same period that are structurally and semantically connected with it and constantly change as well. Important grammatical categories, such as aspectual markers, mood and voice markers, etc., that keep arising in different periods ind their expressions in the DOC. Therefore, the DOC develops within a dynamic balance. 6. Conclusion Typically, objects in Chinese are characterised with marked syntactic homogeneity and semantic heterogeneity so that their deinition is formally restricted and VO semantic relations are diverse. A wide variety of participants in a verb-based event can function as objects of the same verb, the combination of which activates event-based knowledge. From the very beginning 36 Xu (2013: 112–114) gives a detailed description of the structural changes of Od and points out the signiicance of the development of ‘yi/one+MW+N’, which maximises the expressive capacity of the DOC. 37 Xu (2013: 111–112) provides more details about such a change. 38 Xu (2013: 115–116) identiies three stages in the development of the DOC, i.e., the Germinating Period (around the 17th to the 11th century BC), the Developing Period (around the 11th century BC to the 13th century AD) and the Maturing Period (since around the 14th century AD). He proposes his criterion for the identiication and provides supporting facts. 306 Guohua Zhang the DOC is based on a VO construction of various semantic relations, so it is formally restricted as well. In the early periods of its development, it is overburdened semantically, which conforms to the principle of economy but violates the principle of effectiveness. For the explicit expression of V-O semantic relations and in the development of Chinese towards a higher degree of compactness and structural rationality, the DOC goes a long way from an unstable syntactic structure to a ixed construction, during which grammaticalisation and disyllablisation play important roles. More frequent uses of more prepositions share the semantic burden of the DOC and most PPs are used preverbally, so most subtypes of the DOC are substituted with newer and more effective constructions, i.e., constructions in which a verb takes only one object, while the other is introduced by a preposition. Only the core members of the DOC survive. 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