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Volume 2

Bilingualism -
Concessive
Bilingualism 1

Bilingualism
Li Wei, University of Newcastle upon Tyne, Newcastle many people have learned foreign languages at school
upon Tyne, UK and only occasionally use them for specific purposes.
! 2006 Elsevier Ltd. All rights reserved. If we count these people as bilinguals, then monolin-
gual speakers would be a tiny minority in the world
today.
What Is Bilingualism? Yet the question of who is and who is not a bilin-
Bilingualism is a product of extensive language con- gual is more difficult to answer than it first appears.
tact (i.e., contacts between people who speak different Baker and Prys Jones (1998: 2) suggest that in defin-
languages). There are many reasons for speakers of ing a bilingual person, we may wish to consider the
different languages to get into contact with one an- following questions:
other. Some do so out of their own choosing, whereas . Should bilingualism be measured by how fluent
others are forced by circumstances. Among the fre- people are in two languages?
quently cited factors that contribute to language con- . Should bilinguals be only those people who have
tact are education, modern technology, economy, equal competence in both languages?
religion and culture, political or military acts, and . Is language proficiency the only criterion for asses-
natural disasters. One does not have to move to a sing bilingualism, or should the use of two lan-
different place to be in contact with people speaking guages also be considered?
a different language. There are plenty of opportu- . Most people would define a bilingual as a person
nities for language contact in the same country, the who can speak two languages. What about a per-
same community, the same neighborhood, or even son who can understand a second language perfect-
the same family. ly but cannot speak it? What about a person who
However, although language contact is a necessary can speak a language but is not literate in it? What
condition for bilingualism at the societal level, it does about an individual who cannot speak or under-
not automatically lead to bilingualism at the individ- stand speech in a second language but can read and
ual level. For example, Belgium, Canada, Finland, write it? Should these categories of people be con-
India, Luxembourg, Paraguay, and Singapore, to sidered bilingual?
name but a few countries, are bi- or multilingual, but . Should self-perception and self-categorization be
the degree or extent of bilingualism among the resi- considered in defining who is bilingual?
dents of these countries varies significantly. There are . Are there different degrees of bilingualism that can
large numbers of bilingual or multilingual individuals vary over time and with circumstances? For in-
in Luxembourg, Paraguay, and Singapore, but con- stance, a person may learn a minority language as
siderably fewer in the other officially bi- or multilin- a child at home and then later acquire another,
gual countries. Mackey (1962) claims that there are majority language in the community or at school.
actually fewer bilingual people in bilingual countries Over time, the second language may become the
than there are in the so-called ‘unilingual’ ones, be- stronger or dominant language. If that person
cause the main concerns of bi- or multilingual states moves away from the neighborhood or area in
are often the maintenance and use of two or more which the minority language is spoken or loses
languages in the same nation, rather than the promo- contact with those who speak it, he or she may
tion of bilingualism among their citizens. It is there- lose fluency in the minority language. Should bilin-
fore important to distinguish bilingualism as a social gualism therefore be a relative term?
or societal phenomenon from bilingualism as an
individual phenomenon. The word ‘bilingual’ primarily describes someone
with the possession of two languages. It can, however,
also be taken to include the many people in the world
Who Is Bilingual? who have varying degrees of proficiency in and inter-
People who are brought up in a society in which changeably use three, four or even more languages. In
monolingualism and uniculturalism are promoted as many countries of Africa and Asia, several languages
the normal way of life often think that bilingualism is coexist and large sections of the population speak
only for a few, ‘special’ people. In fact, one in three of three or more languages. Individual multilingualism
the world’s population routinely uses two or more in these countries is a fact of life. Many people speak
languages for work, family life, and leisure. There one or more local or ethnic languages, as well as
are even more people who make irregular use of another indigenous language which has become the
languages other than their native one; for example, medium of communication between different ethnic
2 Bilingualism

groups or speech communities. Such individuals may iii. How is the knowledge of two or more languages
also speak a foreign language – such as English, used by the same speaker in bilingual speech pro-
French or Spanish – which has been introduced duction?
into the community during the process of coloniza-
Taking the acquisition question first, earlier obser-
tion. This latter language is often the language of
vers of bilingual children concentrated on document-
education, bureaucracy and privilege.
ing the stages of their language development. Volterra
Multilingualism can also be the possession of indi-
and Taeschner (1978), for example, proposed a three-
viduals who do not live within a multilingual country
stage model of early bilingual development. Accord-
or speech community. Families can be trilingual when
ing to this model, the child initially possesses one
the husband and wife each speak a different language
lexical system composed of lexical items from both
as well as the common language of the place of resi-
languages. In stage two, the child distinguishes two
dence. People with sufficient social and educational
separate lexical codes but has one syntactic system at
advantages can learn a second, third, or fourth lan-
his or her disposal. Only when stage three is reached
guage at school or university; at work; or in their
do the two linguistic codes become entirely separate.
leisure time. In many continental European countries,
Volterra and Taeschner’s model gave rise to what is
children learn two languages at school – such as
now known as the ‘unitary language system hy-
English, German, or French – as well as being fluent
pothesis.’ In its strongest version, the hypothesis
in their home language – such as Danish, Dutch, or
supposes that the bilingual child has one single lan-
Luxembourgish.
guage system that they use for processing both of
It is important to recognize that a multilingual
their languages in the repertoire.
speaker uses different languages for different purposes
In the 1980s, the unitary language system hypoth-
and does not typically possess the same level or type of
esis came under intense scrutiny; for instance, by
proficiency in each language. In Morocco, for in-
Meisel (1989) and Genesee (1989). They argue that
stance, a native speaker of Berber may also be fluent
there is no conclusive evidence to support the exis-
in colloquial Moroccan Arabic but not literate in ei-
tence of an initial undifferentiated language system,
ther of these languages. This Berber speaker will be
and they also point out certain methodological incon-
educated in Modern Standard Arabic and use that
sistencies in the three-stage model. The phenomenon
language for writing and formal purposes. Classical
of language mixing, for instance, can be interpreted
Arabic is the language of the mosque, used for prayers
as a sign of two developing systems existing side by
and reading the Qur’an. Many Moroccans also
side, rather than as evidence of one fused system.
have some knowledge of French, the former colonial
Meisel’s and Genesee’s studies led to an alternative
language.
hypothesis, known as the ‘separate development hy-
pothesis’ or ‘independent development hypothesis.’
More recently, researchers have investigated the pos-
Theoretical Issues in Bilingualism sibility that different aspects of language (e.g., pho-
Research nology, vocabulary, syntax, pragmatics) of the
bilingual child’s language systems may develop at
Chomsky (1986) defined three basic questions for
different rates (e.g., Li and Zhu, 2001). Care needs
modern linguistics:
to be taken in interpreting research evidence using
i. What constitutes knowledge of language? children at different developmental stages.
ii. How is knowledge of language acquired? Although the ‘one-versus-two-systems’ debate (i.e.,
iii. How is knowledge of language put to use? whether bilingual children have an initially differen-
tiated or undifferentiated linguistic system) continues
For bilingualism research, these questions can be
to attract new empirical studies, a more interesting
rephrased to take in knowledge of more than one
question has emerged regarding the nature of bilin-
language (see also Cook, 1993):
gual development. More specifically, is bilingual
i. What is the nature of language, or grammar, in acquisition the same as monolingual acquisition?
the bilingual person’s mind, and how do two Theoretically, separate development is possible with-
systems of language knowledge coexist and inter- out there being any similarity with monolingual
act? acquisition. Most researchers argue that bilingual
ii. How is more than one grammatical system ac- children’s language development is, by and large, the
quired, either simultaneously or sequentially? In same as that of monolingual children. In very general
what aspects does bilingual language acquisition terms, both bilingual and monolingual children go
differ from unilingual language acquisition? through an initial babbling stage, followed by the
Bilingualism 3

one-word stage, the two-word stage, the multiword that children learning English and German simulta-
stage, and the multiclause stage. At the morpho- neously are prone to overgeneralize SVO word order
syntactic level, a number of studies have reported in their German because the VO order is reinforced
similarities rather than differences between bilingual on the surface of both the German and the English
and monolingual acquisition. Garcia (1983), for ex- input they hear.
ample, compared the use of English morpheme cate- Most of the studies that have examined cross-
gories by English monolingual children and bilingual linguistic influences in bilingual acquisition focus on
children acquiring English and Spanish simultaneous- morphosyntactic features. One area that has hitherto
ly and found no systematic difference at all. Pfaff and been underexplored is the interface between phonet-
Savas (1988) found that their 4-year-old Turkish/ ics and phonology in bilingual acquisition. Although
German subject made the same errors in Turkish case most people seem to believe that the onset of speech
marking as reported in the literature on monolingual by bilingual children is more or less the same as for
Turkish children. Muller’s (1990) study of two monolingual children, there are indications that bilin-
French/German children indicates that their use of gual children seem to develop differently from mono-
subject–verb agreement and finite verb placement in lingual children in the following three aspects: the
both languages is virtually identical to that of compa- overall rate of occurrence of developmental speech
rable monolingual children. De Houwer (1990) found errors, the types of speech errors and the quality of
that her Dutch/English bilingual subject, Kate, used sounds (Zhu and Dodd, 2005). For example, studies
exactly the same word orders in Dutch as monolin- on Cantonese/English (Holm and Dodd), Putonghua/
gual Dutch-speaking children, both in terms of types Cantonese (So and Leung), Welsh/English (Ball et al.),
and in proportional use. Furthermore, De Houwer Spanish/English (Yavas and Goldstein), and Punjabi/
found in Kate parallels to monolingual children for English (Stow and Pert) (also in Zhu and Dodd, 2006)
both Dutch and English in a range of structures, such bilingual children seem to indicate that bilingual chil-
as nonfinite verb placement, preposed elements in dren tend to make not only more speech errors but
affirmative sentences, clause types, sentence types, also different types of speech errors compared with
conjunctions, and question inversion. monolingual children of the same age. These speech
Nevertheless, one needs to be careful in the kinds of errors would be considered atypical if they had oc-
conclusions one draws from such evidence. Similari- curred in the speech of monolingual children. More-
ties between bilingual and monolingual acquisition over, although bilingual children seem to be able to
do not mean that the two languages a bilingual child acquire monolingual-like competence at the phone-
is acquiring develops in the same way or at the same mic level, there are qualitative differences at the pho-
speed, or that the two languages a bilingual child is netic level in terms of production. For example, using
acquiring do not influence and interact with each instrumental analysis, Khattab (also in Zhu and
other. Paradis and Genesee (1996), for example, Dodd, 2006) finds that although Arabic–English bi-
found that although the 2–3-year-old French–English lingual children have similar patterns of production
bilingual children they studied displayed patterns that and use of VOT, /l/, and /r/ in some respects to those
characterize the performance of monolingual children of monolinguals from each language, they also show
acquiring these languages separately, and they ac- differences that are intricately related to age, input,
quired these patterns within the same age range as and language context. These studies and others are
monolingual children, they used finite verb forms reported in Zhu and Dodd (2005).
earlier in French than in English; used subject pro- There is one area in which bilingual children clearly
nouns in French exclusively with finite verbs, but differ from monolingual children; namely, code-mix-
subject pronouns in English with both finite and non- ing. Studies show that bilingual children mix elements
finite verbs, in accordance with the status of subject from both languages in the same utterance as soon as
pronouns in French as clitics (or agreement markers) they can produce two-word utterances. Researchers
but full NPs in English; and placed verbal negatives generally agree that bilingual children’s mixing is
after lexical verbs in French (e.g., ‘n’aime pas’) but highly structured and grammatically constrained,
before lexical verbs in English (‘do not like’). Further although there is no consensus on the nature of
evidence of cross-linguistic influence has been the specific constraints that organize their mixing.
reported by Dopke (1992), for example, in her study Vihman (1985), who studied her own son Raivo,
of German–English bilingual children in Australia. who acquired English and Estonian simultaneously,
These children tended to overgeneralize the –VO argued, for example, that the language mixing by
word order of English to German, which instantiates bilingual children is qualitatively different from that
both VO and OV word orders, depending on the of more mature bilinguals. She invoked as evidence
clausal structure of the utterance. Dopke suggests for this claim the fact that young bilingual children
4 Bilingualism

indicate a propensity to mix function words over . Community: The language of one of the parents is
contentives (e.g., nouns, verbs, adjectives) – a type the dominant language of the community.
of mixing that is rare in older bilingual mixing. How- . Strategy: The parents each speak their own lan-
ever, Lanza’s (1997) study, although finding similar guage to the child from birth.
patterns in the mixing produced by her two
Norwegian–English bilingual subjects, argued that Type 2: Nondominant Home Language/One Language,
children’s mixing is qualitatively the same as that of One Environment
adults; their relatively greater degree of mixing of
. Parents: The parents have different native lan-
function words is evidence of what Lanza called
‘dominance’ of one language over another rather guages.
. Community: The language of one of the parents is
than of a substantial difference from bilingual adults’
mixing. Both Vihman and Lanza, as well as other the dominant language of the community.
. Strategy: Both parents speak the nondominant lan-
studies of children’s mixing, show that bilingual chil-
dren mix their languages in accordance with con- guage to the child, who is fully exposed to the
straints that operate on adult mixing. The operation dominant language only when outside the home,
of constraints based on surface features of grammar, and in particular in nursery school.
such as word order, is evident from the two-word/two- Type 3: Nondominant Home Language without Communi-
morpheme stage onward, and the operation of con- ty Support
straints based on abstract notions of grammatical
. Parents: The parents share the same native lan-
knowledge is most evident in bilingual children
guages.
once they demonstrate such knowledge overtly (e.g.,
. Community: The dominant language is not that of
verb tense and agreement markings), usually around
the parents.
two years and 6 months of age and older. As Genesee
. Strategy: The parents speak their own language to
(2002) points out, these findings indicate that in
the child.
addition to the linguistic competence needed to for-
mulate correct monolingual strings, bilingual children Type 4: Double Nondominant Home Language without
have the added capacity to coordinate their two lan- Community Support
guages in accordance with the grammatical con-
. Parents: The parents have different native lan-
straints of both languages during mixing. Although
guages.
these studies provide further evidence for the separate
. Community: The dominant language is different
development, or two-systems, argument, they also
from either of the parents.
indicate that there are both quantitative and qualita-
. Strategy: The parents each speak their own lan-
tive differences between bilingual acquisition and
guage to the child from birth.
monolingual acquisition.
Another area of interest in acquisitional studies of Type 5: Nonnative Parents
bilingual children is the role of input and social con-
. Parents: The parents share the same native lan-
text in the rate and order of language acquisition.
guage.
Earlier assumptions were that the bilingual child
. Community: The dominant language is the same as
would have half, or less, of the normal input in each
that of the parents.
of their two languages, compared with the monolin-
. Strategy: One of the parents always addresses the
gual child. More careful examinations of bilingual
child in a language that is not his or her native
children show considerable variations in the quantity
language.
and quality of input, interactional styles of the par-
ents, and environmental policies and attitudes toward Type 6: Mixed Languages
bilingualism. On the basis of Harding and Riley’s
. Parents: The parents are bilingual.
work (1986), Romaine (1995) distinguished six
. Community: Sectors of community may also be
types of early-childhood bilingualism according to
bilingual.
the native language of the parents, the language of
. Strategy: Parents code-switch and mix languages.
the community at large, and the parents’ strategy in
speaking to the child. The three headings Romaine used to classify the six
types of childhood bilingualism – the languages of the
Type 1: One person, one language.
parents, the sociolinguistic situation of the communi-
. Parents: The parents have different native lan- ty, and the discourse strategies of the parents and
guages, with each having some degree of compe- other immediate carers – are critical factors not only
tence in the other’s language. in the process of bilingual acquisition but also in
Bilingualism 5

Figure 1 Lexical association model. Figure 2 Dual-store model.

the final product of that process (i.e., the type of evidenced in grammaticality and fluency of speech,
bilingual speaker it produces). Arguably, the six types and some ‘coordinative’ bilinguals show difficulties
of bilingual children would grow up as different in processing two languages simultaneously (i.e., in
types of bilinguals with different mental representa- code-switching or in ‘foreign’ word identification
tions of the languages and different patterns of tasks). It must also be stressed that Weinreich’s dis-
language behavior. tinctions among bilingual individuals are distributed
Research on the cognitive organization and repre- along a continuum from a subordinate or compound
sentation of bilingual knowledge is inspired and influ- end to a coordinate end and can at the same time be
enced by the work of Weinreich. Focussing on the more subordinate or compound for certain concepts
relationship between the linguistic sign (or signifier) and more coordinate for others, depending on, among
and the semantic content (signified), Weinreich other things, the age and context of acquisition.
(1953) distinguished three types of bilinguals. In Weinreich’s work influenced much of the psycho-
type A, the individual combines a signifier from linguistic modelling of the bilingual lexicon. Potter
each language with a separate unit of the signified. et al. (1984) presented a reformulation of the manner
Weinreich called them ‘coordinative’ (later often in which bilingual lexical knowledge could be repre-
called ‘coordinate’) bilinguals. In type B, the individ- sented in the mind in terms of two competing models:
ual identifies two signifiers but regards them as a the Concept Mediation Model and the Word Associ-
single compound, or composite, unit of signified; ation model. In the Concept Mediation Model, words
hence ‘compound’ bilinguals. Type C refers to people of both L1 and L2 are linked to amodal conceptual
who learn a new language with the help of a previ- representations. In the Lexical Association Model, in
ously acquired one. They are called ‘subordinative’ contrast, words in a second language are understood
(or ‘subordinate’) bilinguals. Weinreich’s examples through L1 lexical representations. As can be seen in
were from English and Russian: Figure 1, the models are structurally equivalent to
(A) ‘book’ ‘kniga’ Weinreich’s distinction between coordinative and
? ? subordinative bilingualism. At the same time, several
/buk/ /kn’iga/ researchers (e.g., Kolers and Gonzalez [1980] and
Hummel [1986]) presented evidence for the so-called
dual-store model, as represented in Figure 2. This
latter model has also generated considerable research
on the existence of the putative ‘bilingual language
switch’ postulated to account for the bilingual’s
ability to switch between languages on the basis of
(C) ‘book’ environmental demands (e.g., MacNamara, 1967;
| MacNamara and Kushnir, 1971).
/buk/ Subsequent studies found conflicting evidence in
|
favor of different models. Some of the conflicting
/kn’iga/
evidence could be explained by the fact that different
Weinreich’s distinctions are often misinterpreted in types of bilingual speakers were used in the experi-
the literature as referring to differences in the degree ments in terms of proficiency level, age, and context
of proficiency in the languages, but in fact the rela- of acquisition. It is possible that lexical mediation is
tionship between language proficiency and cognitive associated with low levels of proficiency, and concept
organization of the bilingual individual, as concep- mediation with higher levels, especially for those who
tualized in Weinreich’s model, is far from clear. Some have become bilingual in later childhood or adult-
‘subordinate’ bilinguals demonstrate a very high hood. Some researchers called for a developmental
level of proficiency in processing both languages, as dimension in the modelling of bilingual knowledge.
6 Bilingualism

Figure 3 Revised hierarchical model.

Kroll and Stewart (1994), for example, proposed the


Revised Hierarchical Model, which represents con-
cept mediation and word association not as different
Figure 4 Adapted from Grosjean, 1982: 129.
models but as alternative routes within the same
model (see Figure 3).
An important distinctive feature of being bilingual
is being able to make appropriate language choices. mode of speaking, emanating from a single code-
Bilingual speakers choose to use their different lan- switching grammar.
guages depending on a variety of factors, including One important aspect of the code-switching gram-
the type of person addressed (e.g., members of the mar is that the two languages involved do not play the
family, schoolmates, colleagues, superiors, friends, same role in sentence making. Typically, one language
shopkeepers, officials, transport personnel, neigh- sets the grammatical framework, with the other
bors), the subject matter of the conversation (e.g., providing certain items to fit into the framework.
family concerns, schoolwork, politics, entertain- Code-switching therefore is not a simple combination
ment), location or social setting (e.g., at home, in the of two sets of grammatical rules but grammatical
street, in church, in the office, having lunch, attending integration of one language in another. Bilingual
a lecture, negotiating business deals), and relationship speakers of different proficiency levels in their two
with the addressee (e.g., kin, neighbors, colleagues, languages or speaking two typologically different lan-
superior/inferior, strangers). However, even more guages can engage in code-switching and, indeed,
complex are the many cases in which a bilingual vary it according to their needs. The possible exis-
talks to another bilingual with the same linguistic tence of a code-switching grammar calls into question
background and changes from one language to an- the traditional view of the bilingual as two mono-
other in the course of conversation. This is what is linguals in one person (for further discussions, see
known as code-switching. Figure 4 illustrates a deci- Grosjean, 1985). One consequence of the ‘two-
sion-making process of the bilingual speaker in in-one’ perspective is that bilingual speakers are
language choice and code-switching. often compared to monolinguals in terms of their
There is a widespread impression that bilingual language proficiency.
speakers code-switch because they cannot express For example, some researchers have suggested that
themselves adequately in one language. This may be bilingual children have smaller vocabularies and less-
true to some extent when a bilingual is momentarily developed grammars than their monolingual peers,
lost for words in one of his or her languages. How- while their ability to exploit the similarities and
ever, code-switching is an extremely common practice differences in two sets of grammatical rules to accom-
among bilinguals and takes many forms. A long nar- plish rule-governed code-switching was not consid-
rative may be divided into different parts expressed in ered relevant. In some experimental psycholinguistic
different languages, sentences may begin in one lan- studies, tests are given without taking into account
guage and finish in another, and words and phrases that bilingual speakers may have learned their two
from different languages may succeed each other. languages under different conditions for different
Linguists have devoted much attention to the study purposes and that they only use them in different
of code-switching. It has been demonstrated that situations with different people. It is important to
code-switching involves skilled manipulation of over- emphasize that bilingual speakers have a unique lin-
lapping sections of two or more grammars and guistic and psychological profile; their two languages
that there is virtually no instance of ungrammatical are constantly in different states of activation, and
combination of two languages in code-switching, they are able to call on their linguistic knowledge
regardless of the bilingual ability of the speaker. and resources according to the context and adapt
Some suggest that code-switching is itself a discrete their behavior to the task at hand.
Bilingualism 7

Bilingualism as a Sociopolitical Issue be damaging for nation-building efforts and disad-


vantage children by limiting their access to the wider
Language choice is not a purely linguistic issue. In
world. It should be pointed out that there is no scien-
many countries of the world, much of the social iden-
tific evidence to show that multilingual countries are
tification of individuals, as well as of groups, is ac-
particularly disadvantaged, in socioeconomic terms,
complished through language choice. By choosing
compared to monolingual ones. In fact, all the re-
one or another of the two or more languages in
search that was carried out in the 1960s and 1970s
one’s linguistic repertoire, a speaker reveals and
on the relationship between the linguistic diversity
defines his or her social relationships with other peo-
and economic well-being of a nation came to the
ple. At a societal level, whole groups of people, and in conclusion that a country can have any degree of
fact, entire nations, can be identified by the language
language uniformity or fragmentation and still be
or languages they use. Language, together with cul-
underdeveloped, and a country whose entire popula-
ture, religion, and history, is a major component of
tion speaks the same language can be anywhere from
national identity.
very rich to very poor. It might be true, however, that
Multilingual countries are often thought to have
linguistic uniformity and economic development re-
certain problems that monolingual states do not. On inforce each other; in other words, economic well-
the practical level, difficulties in communication being promotes the reduction of linguistic diversity. It
within a country can act as an impediment to com- would be lopsided logic, though, to view multilin-
merce and industry. More seriously, however, multi- gualism as the cause of the socioeconomic problems
lingualism is a problem for government. The process of a nation.
of governing requires communication both within the Multilingualism is an important resource at both
governing institutions and between the government the societal and personal levels. For a linguistically
and the people. This means that a language, or lan- diverse country to maintain ethnic group languages
guages, must be selected as the language for use in alongside the national or official languages can prove
governing. However, the selection of the ‘official lan- an effective way to motivate individuals while unify-
guage’ is not always easy, as it is not simply a prag- ing the nation. In addition, a multiethnic society is
matic issue. For example, on pragmatic grounds, the arguably a richer, more exciting, and more stimulat-
best immediate choice for the language of govern- ing place to live in than a community with only one
ment in a newly independent colony might be the dominant ethnic group. For the multilingual speaker,
old colonial language, as the colonial governing insti- the availability of various languages in the communi-
tutions and records are already in place in that lan- ty repertoire serves as a useful interactional resource.
guage, and those nationals with the most government Typically, multilingual societies tend to assign differ-
experience already know it. The old colonial lan- ent roles to different languages; one language may be
guage will not, however, be a good choice on nation- used in informal contexts with family and friends,
alist grounds. For a people that has just acquired its while another for the more formal situations of
own geographical territory, the language of the state work, education, and government. Imagine two
that had denied it territorial control would not be a friends who are both bilingual in the same ‘home’
desirable candidate for a national symbol. Ireland has and ‘official’ languages. Suppose that one of them
adopted a strategy in which both the national lan- also works for the local government and that her
guage, Irish, and the language of the deposed power, friend has some official business with her. Suppose
English, are declared as official; the colonial language further that the government employee has two pieces
is used for immediate, practical purposes, and the of advice to give to her friend: one based on her
national language is promoted and developed. How- official status as a government representative, and
ever, in many other multilingual countries that do not one based on their mutual friendship. If the official
have a colonial past, such as China, deciding which advice is given in the ‘government’ language and the
language should be selected as the national language friendly advice in the ‘home’ language, there is little
can sometimes lead to internal, ethnic conflicts. chance that there would be any misunderstanding
Similarly, selecting a language for education in a about which advice was which. The friend would
multilingual country is often problematic. In some not take the advice given in the ‘home’ language as
respects, the best strategy for language in education official.
is to use the various ethnic languages. After all, these There is a frequent debate in countries in which var-
are the languages the children already speak, and ious languages coexist concerning which languages
school instruction can begin immediately without are a resource. The favored languages tend to be
waiting until the children learn the official language. those that are both international and particularly
Some would argue, however, that this strategy could valuable in international trade. A lower place is
8 Bilingualism

given in the status ranking to minority languages, Changes in Attitudes Toward Bilingualism
which are small, regional, and of less perceived
From the early nineteenth century to about the 1960s,
value in the international marketplace. For example,
there was a widespread belief that bilingualism has a
French has traditionally been the number one
detrimental effect on a human beings’ intellectual and
modern language in the British school curriculum,
spiritual growth. Stories of children who persisted in
followed by German and Spanish, and then a choice
speaking two languages in school having had their
between Italian, Modern Greek, and Portuguese. One
mouths washed with soap and water or being beaten
may notice that all of these are European languages.
with a cane were not uncommon. The following is a
Despite large numbers of mother-tongue Bengali,
Cantonese, Gujarati, Hakka, Hindi, Punjabi, quote from a professor at Cambridge University that
illustrates the dominant belief of the time, even
Turkish, and Urdu speakers in England, these lan-
among academics and intellectuals:
guages occupy a very low position in the school
curriculum. In the British National Curriculum, the If it were possible for a child to live in two languages at
languages Arabic, Bengali, Chinese (Cantonese or once equally well, so much the worse. His intellectual
Mandarin), Gujarati, Modern Hebrew, Hindi, and spiritual growth would not thereby be doubled, but
Japanese, Punjabi, Russian, Turkish, and Urdu halved. Unity of mind and character would have great
are initially only allowed in secondary schools (for difficulty in asserting itself in such circumstances.
11–18 year olds) if a major European language (Laurie, 1890: 15)
such as French is taught first (Milroy and Milroy,
1985). Professor Laurie’s view represented a commonly
Clearly, multilingualism as a national and personal held belief throughout the twentieth century that bi-
resource requires careful planning, as would any other lingualism disadvantages rather than advantages
kind of resource. However, language planning has one’s intellectual development. Early research on
something that other kinds of economic planning bilingualism and cognition tended to confirm this
do not usually have: language as its own unique cul- negative viewpoint, finding that monolinguals were
tural symbolic value. As has been discussed earlier, superior to bilinguals on intelligence tests. One of the
language is a major component of the identity of most widely cited studies was done by Saer (1923)
a nation and an individual. Often, strong emotions who studied 1400 Welsh–English bilingual children
are evoked when talking about a certain language. between the ages of 7 and 14 years in five rural and
Language planning is not simply a matter of standar- two urban areas of Wales. A 10-point difference in IQ
dizing or modernizing a corpus of linguistic materials, was found between the bilinguals and the monolin-
nor is it a reassignment of functions and status. It is gual English speakers from rural backgrounds. From
also about power and influence. The dominance of this, Saer concluded that bilinguals were mentally
some languages and the dominated status of other confused and at a disadvantage in intelligence com-
languages are partly understandable if we examine pared with monolinguals. It was further suggested,
who holds positions of power and influence, who with a follow-up study of university students, that
belong to elite groups that are in control of decision- ‘‘the difference in mental ability as revealed by intelli-
making, and who are in subordinate groups, on gence tests is of a permanent nature since it persists in
whom decisions are implemented. It is more often students throughout their university career’’ (Saer,
than not the case that a given arrangement of lan- 1923: 53).
guages benefits only those who have influence and Controversies regarding the early versions of IQ
privileges. tests and the definition and measurement of intelli-
For the multilingual speaker, language choice is not gence aside, there were a number of problems with
only an effective means of communication but also an Saer’s study and its conclusions. First, it appeared to
act of identity (Le Page and Tabouret-Keller, 1985). be only in the rural areas that the correlation between
Every time we say something in one language when bilingualism and lower IQ held. In urban areas,
we might just as easily have said it in another, we are monolinguals and bilinguals were virtually the same;
reconnecting with people, situations, and power con- in fact, the average IQ for urban Welsh–English bilin-
figurations from our history of past interactions and gual children in Saer’s study was 100, whereas for
imprinting on that history our attitudes toward the monolingual, English-speaking children it was 99.
people and languages concerned. Through language The urban bilingual children had more contact with
choice, we maintain and change ethnic group bound- English both before beginning school and outside
aries and personal relationships and construct and school hours than did the rural bilinguals. Thus,
define ‘self’ and ‘other’ within a broader political the depressed scores of the rural population were
economy and historical context. probably more a reflection of lack of opportunity
Bilingualism 9

and contexts to use English and were not necessarily First, the educational tests used to measure lan-
indicative of any sociopsychological problems. guage proficiencies and to differentiate between peo-
More important, however, is the issue of statistical ple were insensitive to the qualitative aspects of
inference in this and other studies of a similar type. languages and to the great range of language compe-
Correlations do not allow us to infer cause-and-effect tences. Language may be specific to a context; a
relationships, particularly when other variables – person may be competent in some contexts but not
such as rural versus urban differences – may be med- in others. Second, bilingual children are still in the
iating factors. Another major factor is the language process of developing their languages. It is unfair to
in which such tests were administered, particularly compare them to some idealized adults. Their lan-
tests of verbal intelligence. Many such studies mea- guage skills change over time. Third, the comparison
sured bilinguals only in the second or nondominant with monolinguals is also unfair. It is important to
language. distinguish whether bilinguals are ‘naturally’ qualita-
At around the same time that Saer conducted tively and quantitatively different from monolinguals
studies on bilinguals’ intelligence, some well-known in their use of the two languages (i.e., as a function of
linguists expressed their doubts about bilingual being bilingual). Fourth, if languages are relatively
speakers’ linguistic competence. The following is underdeveloped, the origins may not be in bilingual-
Bloomfield’s characterization of a Menomini Indian ism per se but in the economic, political, and social
man in the United States, whom he believed to have conditions that evoke underdevelopment.
‘deficient’ knowledge of Menomini and English: The disparaging and belittling overtone of the term
‘semilingualism’ itself invokes expectations of under-
White Thunder, a man around 40, speaks less English
achievement in the bilingual speaker. Thus, rather
than Menomini, and that is a strong indictment, for his
Menomini is atrocious. His vocabulary is small, his than highlighting the apparent ‘deficits’ of bilingual
inflections are often barbarous, he constructs sentences speakers, the more positive approach is to emphasize
of a few threadbare models. He may be said to speak no that when suitable conditions are provided, languages
language tolerably. (Bloomfield, 1927: 395) are easily capable of development beyond the ‘semi’
state.
This is one of the early statements of a view that One of the specific issues Bloomfield raised in his
became fashionable in educational circles; namely, comments on the language behavior of members of
that it was possible for bilinguals not to acquire full the Menomini Indians in North America was the
competence in any of the languages they spoke. Such frequent mixing of their own language and English.
an individual was said to be ‘semilingual.’ These peo- It has been described as ‘verbal salad,’ not particular-
ple were believed to have linguistic deficits in six areas ly appealing but nevertheless harmless, or ‘garbage’
of language (see Hansegard, 1975; Skutnabb-Kangas, that is definitively worthless and vulgar. Unfortunate-
1981): ly, although switching and mixing of languages occurs
1. Size of vocabulary in practically all bilingual communities and all bilin-
2. Correctness of language gual speakers’ speech, it is stigmatized as an illegiti-
3. Unconscious processing of language mate mode of communication, even sometimes by the
4. Language creation bilingual speakers themselves. Haugen (1977: 97),
5. Mastery of the functions of language for example, reports that a visitor from Norway
6. Meanings and imagery. made the following comment on the speech of the
Norwegians in the United States: ‘‘Strictly speaking,
It is significant that the term ‘semilingualism’ it is no language whatever, but a gruesome mixture of
emerged in connection with the study of language Norwegian and English, and often one does not
skills of people belonging to ethnic minority groups. know whether to take it humorously or seriously.’’
Research that provided evidence in support of Gumperz (1982: 62–63) reports that some bilingual
the notion of ‘semilingualism’ was conducted in speakers who mixed languages regularly still believe
Scandinavia and North America and was concerned such behavior was ‘‘bad manners’’ or a sign of ‘‘lack
with accounting for the educational outcomes of sub- of education or improper control of language.’’ One
mersion programs in which minority children were of the Punjabi–English bilinguals Romaine inter-
taught through the medium of the majority language. viewed said: ‘‘I’m guilty as well in the sense that we
However, these studies, similar to the ones conducted speak English more and more and then what happens
by Saer, had serious methodological flaws, and is that when you speak your own language you get
the conclusions reached by the researchers were two or three English words in each sentence . . . but
misguided. I think that’s ‘wrong’’’ (Romaine, 1995: 294).
10 Bilingualism

Attitudes do not, of course, remain constant over assembly and association, political representation and
time. At a personal level, changes in attitudes may involvement, and administrative autonomy.
occur when there is some personal reward involved. However, real changes in attitudes toward bilin-
Speakers of minority languages will be more moti- gualism will not happen until people recognize or,
vated to maintain and use their languages if they better still, experience the advantages of being bilin-
prove to be useful in increasing their employability gual. Current research indicates that there are at least
or social mobility. In some cases, certain jobs are eight overlapping and interacting benefits for a bilin-
reserved for bilingual speakers only. At the societal gual person, encompassing communicative, cognitive
level, attitudes toward bilingualism change when the and cultural advantages (adapted from Baker and
political ideology changes. In California and else- Prys Jones, 1998: 6–8):
where in the southwestern United States, for instance,
Communicative advantages
pocho and calo used to serve as pejorative terms for
Relationships with parents: Where parents have differing
the Spanish of local Chicanos. With a rise in ethnic first languages, the advantage of children becoming bi-
consciousness, however, these speech styles have be- lingual is that they will be able to communicate in each
come symbolic of Chicano ethnicity and are now parent’s preferred language. This may enable a subtler,
increasingly used in contemporary Chicano litera- finer texture of relationship with the parent. Alternative-
ture. Since the 1960s, there has been a political move- ly they will be able to communicate with parents in one
ment, particularly in the United States, advocating language and with their friends and within the commu-
language rights. In the United States, questions nity in a different language.
about language rights are widely discussed not only Extended family relationships: Being a bilingual allows
in college classrooms and language communities but someone to bridge the generations. When grandparents,
uncles, aunts and other relatives in another region speak
also in government and federal legislatures.
a language that is different from the local language, the
Language rights have a history of being tested in
monolingual may be unable to communicate with them.
U.S. courtrooms. From the early 1920s to the present, The bilingual has the chance to bridge that generation
there has been a continuous debate in U.S. courts of gap, build closer relationships with relatives extended
law regarding the legal status of language minority family.
rights. To gain short-term protection and a medium- Community relationships: A bilingual has the chance to
term guarantee for minority languages, legal chal- communicate with a wider variety of people than a
lenges have become an important part of the language monolingual. Bilingual children will be able to commu-
rights movement. The legal battles concerned not just nicate in the wider community and with school and
minority language vs. majority language contests, but neighbourhood friends in different languages when
also children vs. schools, parents vs. school boards, necessary.
Transnational communication: One barrier between
state vs. the federal authorities, and so on. Whereas
nations and ethnic groups tends to be language. Lan-
minority language activists among the Basques in
guage is sometimes a barrier to communication and to
Spain and the Welsh in Britain have been taken to creating friendly relationships of mutual respect. Bilin-
court by the central government for their actions, U.S. guals in the home, in the community and in society have
minority language activists have taken the central and the potential for lowering such barriers. Bilinguals can
regional government to court. act as bridges within the nuclear and extended family,
The language rights movement has received some within the community and across societies.
support from organizations such as the United Language sensitivity: Being able to move between two
Nations, Unesco, the Council of Europe, and the Eu- languages may lead to more sensitivity in Communica-
ropean Union. Each of these four organizations has tion. Because bilinguals are constantly monitoring which
declared that minority language groups have the right language to use in different situations, they may be
more attuned to the communicative needs of those
to maintain their languages. In the European Union, a
with whom they talk. Research suggests that bilinguals
directive (77/486/E EC) stated that member states
may be more empathic towards listeners’ needs in com-
should promote the teaching of the mother tongue munication. When meeting those who do not speak their
and the culture of the country of origin in the educa- language particularly well, bilinguals may be more
tion of migrant workers’ children. The kind of rights, patient listeners than monolinguals.
apart from language rights, that minority groups may
Cultural advantages
claim include protection, membership of their ethnic
Another advantage of being a bilingual is having two or
group and separate existence, nondiscrimination and more worlds of experience. Bilingualism provides the
equal treatment, education and information in their opportunity to experience two or more cultures. The
ethnic language, freedom to worship, freedom of monolingual may experience a variety of cultures; for
belief freedom of movement, employment, peaceful example, from different neighbours and communities
Bilingualism 11

that use the same language but have different ways of to be said that for many bilingual people, identity is
life. The monolingual can also travel to neighbouring not a problem. Although speaking two languages,
countries and experience other cultures as a passive they are resolutely identified with one ethnic or cul-
onlooker. However, to penetrate different cultures tural group. For example, many bilinguals in Wales
requires the language of that culture. To participate and
see themselves as Welsh first, and possibly British
become involved in the core of a culture requires a
next, but not English. Others, however, find identity
knowledge of the language of that culture.
There are also potential economic advantages to being a real, problematic issue. Some immigrants, for in-
bilingual. A person with two languages may have a stance, desperately want to lose the identity of their
wider portfolio of jobs available. As economic trade native country and become assimilated and identified
barriers fall, as international relationships become clos- with the new home country, while some others
er, as unions and partnerships across nations become want to develop a new identity and feel more com-
more widespread, all increasing number of jobs are like- fortable with being culturally hyphenated, such as
ly to require a person to be bilingual or multilingual. jobs Chinese-American, Italian-Australian, Swedish-Finn,
in multinational companies, jobs selling and exporting, or Anglo-French. Yet identity crises and conflicts are
and employment prospects generated by translational never static. Identities change and evolve over time,
contact make the future of employment more versatile
with varying experiences, interactions, and collabora-
for bilinguals than monolinguals.
tions within and outside a language group.
Cognitive advantages
More recent research has shown that bilinguals may Bilingualism is not a static and unitary phenom-
have some advantages in thinking, ranging from creative enon; it is shaped in different ways, and it changes
thinking to faster, progress in early cognitive develop- depending on a variety of historical, cultural, politi-
ment and greater sensitivity in communication. For ex-
cal, economic, environmental, linguistic, psychologi-
ample, bilinguals may have two or more words for
cacti object and idea; sometimes corresponding words
cal, and other factors. Our understanding of bilingual
in different languages have different connotations. Bilin- speakers’ knowledge and skills will grow as research
guals are able to extend the range of meanings, associa- methodology is defined and refined and our attitudes
tions and images, and to think more flexibly and toward bilingualism change to the positive.
creatively. Therefore, a bilingual has the possibility of
more awareness of language and more fluency, flexibility See also: Bilingual Education; Bilingual Language Develop-
and elaboration in thinking than a monolingual. ment: Early Years; Bilingualism and Second Language
Learning; Interlanguage; Lingua Francas as Second Lan-
It would be misleading to suggest that there is no
guages; Society and Language: Overview.
disadvantage to bilingualism. Some problems, both
social and individual, may be falsely attributed to
bilingualism. For instance, when bilingual children Bibliography
exhibit language or personality problems, bilingual-
ism is sometimes blamed. Problems of social unrest Baker C & Prys Jones S (1998). Encyclopaedia of bilingual-
may unfairly be attributed to the presence of two or ism and bilingual education. Clevedon: Multilingual
more languages in a community. However, the real Matters.
Bloomfield L (1927). ‘Literate and illiterate speech.’ Ameri-
possible disadvantages of bilingualism tend to be
can Speech 2, 432–439.
temporary. For example, bilingual families may be Chomsky N (1986). Knowledge of language: its nature,
spending significantly more of their time and making origin and use. New York: Praeger.
much greater efforts to maintain two languages and Cook V (1993). Linguistics and second language acquisi-
bring up children bilingually. Some bilingual children tion. London: Macmillan.
may find it difficult to cope with the school curricu- De Houwer A (1990). The acquisition of two languages
lum in either language for a short period of time. from birth. Cambridge: Cambridge University Press.
However, the individual, cognitive, cultural, intellec- Dopke S (1992). One parent, one language. Amsterdam:
tual, and economic advantages bilingualism brings to Benjamins.
a person make all the effort worthwhile. Garcia E (1983). Early childhood bilingualism. Albuquer-
A more complex problem associated with bilin- que: University of New Mexico Press.
Genesee F (1989). ‘Early bilingual language development:
gualism is the question of identity of a bilingual. If a
one language or two?’ Journal of Child Language 16,
child has both a French and an English parent and 161–179.
speaks each language fluently, is he or she French, Genesee F (2002). ‘Rethinking bilingual acquisition.’ In
English, or Anglo-French? If a child speaks English Dewaele J-M, Housen A & Li W (eds.) Bilingualism:
and a minority language such as Welsh, is he or she beyond basic principles. Clevedon: Multilingual Matters.
Welsh, English, British, European, or what? It has 204–228.
12 Bilingualism

Grosjean F (1985). ‘The bilingual as a competent but MacNamara J & Kushnir S (1971). ‘The linguistic indepen-
specific speaker-hearer.’ Journal of Multilingual and dence of bilinguals: the input switch.’ Journal of Verbal
Multicultural Development 6, 467–477. Leaning and Verbal Behaviour 10, 480–487.
Gumperz J J (1982). Discourse strategies. Cambridge: Meisel J M (1989). ‘Early differentiation of languages in
Cambridge University Press. bilingual children.’ In Hyltenstam K & Obler L (eds.)
Hansegard N E (1975). ‘Tvasprakighet eller havsprakighet?’ Bilingualism across the lifespan: aspects of acquisition,
Invandrare och Minoriteter 3, 7–13. maturity and loss. Cambridge: Cambridge University
Harding E & Riley P (1986). The bilingual family. Press. 13–40.
Cambridge: Cambridge University Press. Milroy J & Milroy L (1985). Authority in language.
Haugen E (1977). ‘Norm and deviation in bilingual London: Routledge.
communities.’ In Hornby P (ed.) Bilingualism: psycho- Muller N (1990). ‘Developing two gender assignment sys-
logical, social and educational implications. New York: tems simultaneously.’ In Meisel J (ed.) Two first lan-
Academic Press. guages. Dordrecht: Foris. 193–236.
Hummel K (1986). ‘Memory for bilingual prose.’ In Vaid J Paradis J & Gensee F (1996). ‘Syntactic acquisition in bilin-
(ed.) Language processing in bilinguals: psycholinguistic gual children.’ Studies in Second Language Acquisition
and neurolinguistic perspectives. Hillsdale, NJ: Lawrence 18, 1–25.
Erlbaum. Pfaff C & Savas T (1988). ‘Language development in a
Kolers P & Gonzalez E (1980). ‘Memory for words, syno- bilingual setting.’ Paper presented at the 4th Turkish
nyms and translation.’ Journal of Experimental Psychol- Linguistics Conference, Ankara.
ogy: Human Learning and Memory 6, 53–65. Potter M C, So K-F, VonEchardt B & Feldman L B (1984).
Kroll J & Stewart E (1994). ‘Category interference in trans- ‘Lexical and conceptual representation in beginning and
lation and picture naming: evidence for asymmetric con- more proficient bilinguals.’ Journal of Verbal Learning
nections between bilingual memory representations.’ and Verbal Behaviour 23, 23–38.
Journal of Memory and Language 33, 149–174. Romaine S (1995). Bilingualism (2nd edn.). Oxford: Blackwell.
Lanza E (1997). Language mixing in infant bilingualism. Saer D J (1923). ‘An inquiry into the effect of bilingualism
Oxford: Oxford University Press. upon the intelligence of young children.’ Journal of
Laurie S S (1890). Lectures on language and linguistic meth- Experimental Psychology 6, 232–240, 266–274.
od in school. Cambridge: Cambridge University Press. Skutnabb-Kangas T (1981). Bilingualism or not: the educa-
Le Page R & Tabouret-Keller A (1985). Acts of identity: tion of minorities. Clevedon: Multilingual Matters.
Creole-based approaches to language and ethnicity. Vihman M (1985). ‘Language differentiation by the bilin-
Cambridge: Cambridge University Press. gual infant.’ Journal of Child Language 12, 297–324.
Li W & Zhu H (2001). ‘Development of code-switching Volterra V & Taeschner T (1978). ‘The acquisition and
and L1 attrition in L2 setting.’ In Almgren M, Barrena A, development of language by bilingual children.’ Journal
Ezeizabarrena M-J, Idiazabal I & MacWhinney B (eds.) of Child Language 5, 311–326.
Research on child language acquisition. Somerville, MA: Weinreich U (1953). Languages in contact: findings
Cascadilla Press. 174–187. and problems. New York: The Linguistic Circle of
Mackey W F (1962). ‘The description of bilingualism.’ New York.
Canadian Journal of Linguistics 7, 51–85. Zhu H & Dodd B (eds.) (2006). Phonological development
MacNamara J (1967). ‘The linguistic independence of bilin- and disorder: a multilingual perspective. Clevedon:
guals.’ Journal of Verbal Leaning and Verbal Behaviour Multilingual Matters.
6, 729–736.

Bilingualism and Aphasia


P C M Wong, Northwestern University, Evanston, proficient in the languages they know, often profi-
IL, USA ciency and use depend on the social/functional
! 2006 Elsevier Ltd. All rights reserved. situations (e.g., work vs. family settings). Thus, it
has been argued that bilinguals are not truly ‘two
Bilingual individuals, sometimes referred to as multi- monolinguals in one person’ but are holistic, unique,
linguals or polyglots, are broadly defined as individ- and specific speaker–hearers (Grosjean, 1989). In
uals who know (and use) two or more languages. the case of aphasia (language deficits as a result of
These individuals possibly acquire (or are still acquir- brain damage), the various languages can be affected
ing) the two or more languages at different times in and recovered differently. Consequently, assessing
their lives and use these languages at different levels and rehabilitating bilingual aphasics warrant con-
of proficiency. Although the term ‘perfect bilingual’ siderations that are different from (or additional to)
has been used to refer to individuals who are equally those associated with monolingual aphasics.
12 Bilingualism

Grosjean F (1985). ‘The bilingual as a competent but MacNamara J & Kushnir S (1971). ‘The linguistic indepen-
specific speaker-hearer.’ Journal of Multilingual and dence of bilinguals: the input switch.’ Journal of Verbal
Multicultural Development 6, 467–477. Leaning and Verbal Behaviour 10, 480–487.
Gumperz J J (1982). Discourse strategies. Cambridge: Meisel J M (1989). ‘Early differentiation of languages in
Cambridge University Press. bilingual children.’ In Hyltenstam K & Obler L (eds.)
Hansegard N E (1975). ‘Tvasprakighet eller havsprakighet?’ Bilingualism across the lifespan: aspects of acquisition,
Invandrare och Minoriteter 3, 7–13. maturity and loss. Cambridge: Cambridge University
Harding E & Riley P (1986). The bilingual family. Press. 13–40.
Cambridge: Cambridge University Press. Milroy J & Milroy L (1985). Authority in language.
Haugen E (1977). ‘Norm and deviation in bilingual London: Routledge.
communities.’ In Hornby P (ed.) Bilingualism: psycho- Muller N (1990). ‘Developing two gender assignment sys-
logical, social and educational implications. New York: tems simultaneously.’ In Meisel J (ed.) Two first lan-
Academic Press. guages. Dordrecht: Foris. 193–236.
Hummel K (1986). ‘Memory for bilingual prose.’ In Vaid J Paradis J & Gensee F (1996). ‘Syntactic acquisition in bilin-
(ed.) Language processing in bilinguals: psycholinguistic gual children.’ Studies in Second Language Acquisition
and neurolinguistic perspectives. Hillsdale, NJ: Lawrence 18, 1–25.
Erlbaum. Pfaff C & Savas T (1988). ‘Language development in a
Kolers P & Gonzalez E (1980). ‘Memory for words, syno- bilingual setting.’ Paper presented at the 4th Turkish
nyms and translation.’ Journal of Experimental Psychol- Linguistics Conference, Ankara.
ogy: Human Learning and Memory 6, 53–65. Potter M C, So K-F, VonEchardt B & Feldman L B (1984).
Kroll J & Stewart E (1994). ‘Category interference in trans- ‘Lexical and conceptual representation in beginning and
lation and picture naming: evidence for asymmetric con- more proficient bilinguals.’ Journal of Verbal Learning
nections between bilingual memory representations.’ and Verbal Behaviour 23, 23–38.
Journal of Memory and Language 33, 149–174. Romaine S (1995). Bilingualism (2nd edn.). Oxford: Blackwell.
Lanza E (1997). Language mixing in infant bilingualism. Saer D J (1923). ‘An inquiry into the effect of bilingualism
Oxford: Oxford University Press. upon the intelligence of young children.’ Journal of
Laurie S S (1890). Lectures on language and linguistic meth- Experimental Psychology 6, 232–240, 266–274.
od in school. Cambridge: Cambridge University Press. Skutnabb-Kangas T (1981). Bilingualism or not: the educa-
Le Page R & Tabouret-Keller A (1985). Acts of identity: tion of minorities. Clevedon: Multilingual Matters.
Creole-based approaches to language and ethnicity. Vihman M (1985). ‘Language differentiation by the bilin-
Cambridge: Cambridge University Press. gual infant.’ Journal of Child Language 12, 297–324.
Li W & Zhu H (2001). ‘Development of code-switching Volterra V & Taeschner T (1978). ‘The acquisition and
and L1 attrition in L2 setting.’ In Almgren M, Barrena A, development of language by bilingual children.’ Journal
Ezeizabarrena M-J, Idiazabal I & MacWhinney B (eds.) of Child Language 5, 311–326.
Research on child language acquisition. Somerville, MA: Weinreich U (1953). Languages in contact: findings
Cascadilla Press. 174–187. and problems. New York: The Linguistic Circle of
Mackey W F (1962). ‘The description of bilingualism.’ New York.
Canadian Journal of Linguistics 7, 51–85. Zhu H & Dodd B (eds.) (2006). Phonological development
MacNamara J (1967). ‘The linguistic independence of bilin- and disorder: a multilingual perspective. Clevedon:
guals.’ Journal of Verbal Leaning and Verbal Behaviour Multilingual Matters.
6, 729–736.

Bilingualism and Aphasia


P C M Wong, Northwestern University, Evanston, proficient in the languages they know, often profi-
IL, USA ciency and use depend on the social/functional
! 2006 Elsevier Ltd. All rights reserved. situations (e.g., work vs. family settings). Thus, it
has been argued that bilinguals are not truly ‘two
Bilingual individuals, sometimes referred to as multi- monolinguals in one person’ but are holistic, unique,
linguals or polyglots, are broadly defined as individ- and specific speaker–hearers (Grosjean, 1989). In
uals who know (and use) two or more languages. the case of aphasia (language deficits as a result of
These individuals possibly acquire (or are still acquir- brain damage), the various languages can be affected
ing) the two or more languages at different times in and recovered differently. Consequently, assessing
their lives and use these languages at different levels and rehabilitating bilingual aphasics warrant con-
of proficiency. Although the term ‘perfect bilingual’ siderations that are different from (or additional to)
has been used to refer to individuals who are equally those associated with monolingual aphasics.
Bilingualism and Aphasia 13

Bilingualism and the Brain knowledge in the neurobiology of monolingual


aphasia. For example, studies suggest that perilesional
In order to better understand how neurological inju-
areas may be recruited in aphasia recovery (Warburton
ries may affect the linguistic abilities of individuals et al., 1999). If, as Kim et al. (1997) suggested, L1 and
who speak more than one language, it is important to L2 in late bilinguals (who likely speak L2 with rela-
consider how multiple languages may be organized in tively low proficiency) are in the same gross neuro-
the brain. Traditionally, the debate has been centered anatomic region but nonoverlapping, then one
on ‘language laterality’ or ‘hemispheric specializa- language may be associated with the perilesional
tion’; that is, whether one side of the brain (the left areas, areas that surround the injured area, in certain
side) is mostly responsible for both languages, wheth- instances of brain injury (i.e., one language might be
er the right hemisphere contributes in the case of more preserved). Consequently, relying on these
bilinguals more so than in monolinguals, and whether perilesional areas (and the less disrupted language) in
one hemisphere contributes mostly to only one lan- rehabilitation of these individuals might be more pro-
guage (Paradis, 1990). Although the issue of laterality ductive than rehabilitation of their early bilingual or
has some bearing on predicting the presence or ab- even monolingual counterparts whose injury might
sence of aphasia as a result of brain injury, it only have caused disruption of all language(s) they speak.
considers the brain in very gross neuroanatomic terms It is important to note that although some ideas
(i.e., left and right hemispheres). Recently, the precise have been proposed (Green and Price, 2001), little
neuroanatomic circuits within and across cerebral evidence exists to support one rehabilitation strategy
hemispheres have been considered, as have other over another in bilingual aphasia.
structures in the nervous system, along with factors
such as language use, age of acquisition, proficiency,
and level and medium of exposure, which potentially
Types of Bilingual Aphasias and Patterns
have more extensive clinical implications. Recent of Recovery
neuroimaging studies, although involving only isola- Different types of bilingual aphasia, as well as differ-
ted linguistic tasks, suggest that attained proficiency ent patterns of recovery, have been reported, involv-
and the age of language acquisition may be deter- ing not only speaking and understanding speech but
mining factors in whether the two languages are also reading and writing (Streifler and Hofman,
subserved by the same neural circuits. Wong et al. 1976). In addition to cases in which the two or
(2005) found that even though both native more languages are equally impaired, it has been
Mandarin-speaking and English-speaking adults reported that some individuals showed selective
(who do not speak Mandarin) were able to discrimi- aphasia in which signs of aphasia were evident in
nate Mandarin lexical tone patterns, a feature of the one language but not the other (Paradis & Goldblum,
Mandarin language, the two groups used regions near 1989). Differential aphasia has also been reported
the inferior frontal gyrus but in opposite hemispheres where different types of aphasia were shown in dif-
when doing so, presumably due to their ferent languages (Albert and Obler, 1978; Silverberg
corresponding attained proficiency or lack thereof in and Gordon, 1979) – for example, conduction apha-
Mandarin. sia in one language and global aphasia in another.
Kim et al. (1997) found that early but not late In addition, some individuals showed involuntary
bilinguals showed spatially overlapping brain activa- blending of grammatical elements (e.g., syntactic
tions in the left inferior frontal gyrus associated with and morphologic units) of two languages (Glonig &
sentence generation in first (L1) and second (L2) lan- Glonig, 1965; Perecman, 1984) – for example, com-
guages. Late bilinguals also showed activation in the bining syllables of two languages, thus creating a new
left inferior frontal gyrus, but the centers of activation word (Paradis, 1998). This is different from ‘code
were further apart relative to the early bilinguals. switching,’ which involves the alternative use of two
However, since early bilinguals tend to have a higher or more languages in the same conversation (Milroy
level of proficiency in both languages, other studies and Myusken, 1995). Code switching can function to
have suggested that attained proficiency might be the convey emotional content, to emphasize or clarify the
most important factor in determining whether or not references being made, and to quote (De Fina, 1989),
the two languages are subserved by the same neural and it is considered to be an important aspect of
circuit (Perani et al., 1998; for a review, see Abutalebi normal bilingual discourse in many communities
et al., 2001). Converging evidence on brain and bilin- (Heller, 1995). Patterns of code switching were also
gualism is being built and shows great promise for the found to be different between bilingual aphasics and
effective assessment and rehabilitation of bilingual normal individuals (De Santi et al., 1995; Muñoz
aphasics, especially when combined with existing et al., 1999).
14 Bilingualism and Aphasia

It has been suggested that the degree and type of Bilingual Aphasia Assessment
linguistic impairments in bilingual aphasics may be
When evaluating a bilingual aphasic individual, vari-
specific to the structures of the language. For exam-
ous important issues warrant special considerations.
ple, it has been found that although Mandarin–
First, a ‘direct translation’ is not the same as cross-
Cantonese bilinguals showed impairment in the
language equivalency. Different languages have dif-
production of lexical tones (pitch patterns used to
ferent (nonoverlapping) grammatical structures and
contrast word meaning), a greater degree of deficit
vocabulary that can potentially influence how
was found in Cantonese production, possibly because
thoughts are expressed; consequently, certain linguis-
Cantonese contains six tonal contrasts, whereas
Mandarin contains only four (Lim and Douglas, tic impairments may or may not manifest themselves
depending on the language, as suggested previously
2000). In Friulian–Italian bilingual aphasics, the
in the Mandarin–Cantonese and Friulian–Italian
most frequently made errors in Friulian but not Ital-
bilingual cases. Furthermore, languages are used
ian involved the omission of the second obligatory
in different social and cultural contexts, resulting in
pronoun, which is a typical feature of Friulian but not
context-dependent interpretations even for the same
Italian (Fabbro and Frau, 2001). In other words, a
utterance. Second, because bilingual aphasics use the
type of linguistic impairment may not be apparent in
two or more languages in different social settings, and
one language because it does not occur as often (or at
all) in that language. This also reinforces the idea of because the two or more languages can be affected
and recovered differently, all languages the individ-
assessing multiple languages in bilingual aphasic
uals speak premorbidly need to be assessed in order to
individuals because impairments in one language do
gain a more complete picture of the aphasia. Third, in
not necessarily predict the same impairments in the
addition to any formal measures, a thorough case
other.
history detailing use and proficiency of each language
With regard to patterns of recovery, as well as
needs to be taken because it can potentially affect the
improvements in both languages in terms of compa-
rehabilitation process.
rable rate and extent (parallel recovery), individuals
show the following kinds of recovery: selective recov- Different formal/standardized test batteries are
available for assessing aphasics who speak different
ery, when only one language improves; successive
languages. These include tests that are originally con-
recovery, when one language improves before the
structed in English but then translated into other
other language; or differential recovery, when one
languages with considerations of the appropriate
language improves more so than the other. Most
linguistic and cultural contexts and/or normative
interestingly, some individuals show antagonistic
data for the specific groups. For example, there is a
recovery, namely improvement in one language but
Cantonese version of the Western Aphasia Battery
deterioration in another (Paradis and Goldblum,
1989). Some even demonstrate alternating antago- (Yiu, 1992), a Spanish version of the Boston Naming
Test (Taussig et al., 1992), and a Japanese version
nism, in which the improvement–deterioration pat-
of the Communication Abilities in Daily Living
tern of the two languages alternates (Paradis et al.,
(Sasanuma, 1991). In addition, there are also tests
1982). It has also been reported that some individuals
designed for assessing bilingual individuals, including
showed paradoxical recovery, namely when the
the Bilingual Aphasia Test developed by Paradis and
patient recovered a ‘dead’ language – that is, a lan-
colleagues for more than 65 languages and 170
guage the individual once had some knowledge of
specific language-pair combinations [e.g., an Urdu
but had never used it premorbidly for ordinary
communicative purposes. For example, Grasset version (Paradis and Janjua, 1987) and a Bulgarian–
French version (Paradis and Parcehian, 1991)] and
(1884) reported a case of a monolingual French-
the Multilingual Aphasia Examination in Chinese,
speaking Catholic woman who started to speak
French, German, Italian, Portuguese, and Spanish
single Latin words and prayers (the language of the
(Rey and Benton, 1991).
church) a few days following a left-hemisphere stroke
but was unable to speak French. It is worth noting
that it is not known what single factor influences
Rehabilitation
the pattern of recovery (Paradis, 1998). For example,
it is not always the case that the language spoken Traditional approaches employed in aphasia rehabili-
most proficiently premorbidly will be the language tation still apply to rehabilitating bilingual
affected the most or the least by brain injury or the aphasic individuals, such as language stimulation ap-
language that will be recovered first. proaches that emphasize individual linguistic units
Bilingualism and Aphasia 15

and processes such as grammar and naming, as well Bond S (1984). Bilingualism and aphasia: word retrieval
as compensatory approaches that target the indivi- skills in a bilingual anomic aphasic. Unpublished master’s
dual’s participation in vocational and social settings thesis, Denton: North Texas State University.
despite linguistic impairments. However, additional Chlenov L (1948). ‘Ob Afazii u Poliglotov.’ Izvestiia Aka-
demii Pedagogucheskikh NAUK RSFSR 15, 783–790.
challenges exist when more than two languages are
[Translated version: Hervouet-Zieber T (1983). ‘On
present. For example, should rehabilitation focus on
aphasia in polyglots.’ In Paradis M (ed.). 446–454.]
one or two languages? If one, which one? No one set De Fina A (1989). ‘Code-switching: grammatical and func-
of widely accepted guidelines exists for selecting one tional explanations.’ Ressenga-Italiana-di-Linguistica
or all languages in aphasia rehabilitation, and evi- 32, 107–140.
dence and arguments exist for either consideration DeSanti S, Obler L & Sabo-Abramson H (1995). ‘Discourse
(Bond, 1984; Chlenov, 1948; Linke, 1979; Wald, abilities and deficits in multilingual dementia.’ In Paradis
1958). Similarly, it is still unclear whether skills ac- M (ed.) Aspects of bilingual aphasia. San Diego: Singular.
quired from the rehabilitation of one language can be 224–235.
transferred to another. Evidence suggests that skill Fabbro F & Frau F (2001). ‘Manifestations of aphasia in
transfer across affected languages may be optimal if Friulian.’ Journal of Neurolinguistics 14, 255–279.
Gloning I & Gloning K (1965). ‘Aphasien bei Polyglotten.
the languages are closely related (e.g., Spanish and
Beitrag zur Dynamik des Sprachabbaus sowie zur Loka-
Italian) (Paradis, 1998). As stated previously, differ- lisationsfrage dieser Störunge.’ Wiener Zeitschrift für
ent individuals use their multiple languages in differ- Nervenheilkunde 22, 362–397. [Translated version:
ent social and vocational settings. In rehabilitation, Greenwood A & Keller E (1983). ‘Aphasias in polyglots.
the affected individual and her or his family should be Contribution to the dynamics of language disintegration
counseled to consider the preponderating need of one as well as to the question of the localization of these
language over another. For example, the social penal- impairments.’ In Paradis M (ed.). 681–716.]
ty of linguistic impairments in English may be greater Grasset J (1884). ‘Contribution clinique à l’étude des apha-
for Spanish–English bilinguals whose immediate sies (cécité et surdité verbales).’ Montpellier Médical,
peers are English-speaking, even though Spanish January (Observation II), 33–34. [Translated version:
might be the more proficient language. Mitchell C (1983). ‘Clinical contribution to the study of
aphasias.’ In Paradis M (ed.). 15.]
Green D & Price C (2001). ‘Functional imaging in the study
of recovery patterns in the bilingual aphasia.’ Bilingual-
Conclusion ism: Language and Cognition 4(2), 191–201.
Grosjean F (1989). ‘Neurolinguists, beware! The bilingual
Basic knowledge of how multiple languages are is not two monolinguals in one person.’ Brain and
represented in the brain and what factors influence Language 36, 3–15.
representation undoubtedly have bearing on the Heller M (1995). ‘Codeswitching and the politics of lan-
clinical process. Moreover, careful documentation of guage.’ In Milroy L & Muysken P (eds.) One speaker,
linguistic impairment characteristics and the course two languages. Cambridge: Cambridge University Press.
of recovery in the two languages can also inform us 115–135.
about how the brain is organized. With increasing Kim K, Relkin N & Lee K (1997). ‘Distinct cortical areas
interaction between individuals from diverse linguis- associated with native and second languages. Nature
tic and cultural backgrounds, due to factors such as (London) 388, 171–174.
Lim V & Douglas J (2000). Impairment of lexical tone
immigration, globalization, and state unionization,
production in stroke patients with bilingual aphasia.
the number and proportion of individuals who Academy of Aphasia meeting at the School of Human
know and use more than one language will most Communication Sciences, Australia: La Trobe University.
likely increase. The clinical population as well as Linke D (1979). ‘Zur Therapie polyglotter Aphasiker.’ In
clinical needs will likewise increase. Thus, a greater Peuser G (ed.) Studien zur Sprachtherapie. Munich:
basic and clinical understanding of bilingualism and Wilhelm Fink Verlag.
the brain is warranted. Milroy L & Myusken P (1995). ‘Introduction: codeswitch-
ing and bilingualism research.’ In Milroy L & Myusken P
(eds.) One speaker, two languages. Cambridge, UK:
Bibliography Cambridge University Press. 1–14.
Muñoz M, Marquardt T & Copeland G (1999). ‘A com-
Abutalebi J, Cappa F & Perani D (2001). ‘The bilingual parison of the codeswitching patterns in aphasic and
brain as revealed by functional neuroimaging.’ Bilingual- neurologically normal bilingual speakers of English
ism: Language and Cognition 4(3), 179–190. and Spanish.’ Brain and Language 66, 249–274.
Albert M & Obler L (1978). The bilingual brain. New Paradis M (ed.) (1983). Readings on aphasia in bilinguals
York: Academic Press. and polyglots. Montreal: Didier.
16 Bilingualism and Aphasia

Paradis M (1990). ‘Language lateralization in bilinguals: from the Asian-Pacific region. San Diego: Academic
enough already!’ Brain and Language 39, 576–586. Press.
Paradis M (1998). ‘Acquired aphasia in bilingual speakers.’ Silverberg R & Gordon H (1979). ‘Different aphasia in two
In Sarno M (ed.) Acquired aphasia, 3rd edn. New York: bilingual individuals.’ Neurology 29, 51–55.
Academic Press. 531–549. Streifler M & Hofman S (1976). ‘Sinistrad mirror writing
Paradis M & Goldblum M (1989). ‘Selective crossed apha- and reading after brain concussion in a by-systemic
sia followed by reciprocal antagonism in a trilingual (oriento-occidental) polyglot.’ Cortex 12, 356–364.
patient.’ Brain and Language 15, 55–69. Taussig I, Henderson V & Mack W (1988). Spanish trans-
Paradis M, Goldblum M & Abidi R (1982). ‘Alternate lation and validation of a neuropsychological battery:
antagonism with paradoxical translation behavior in performance of Spanish- and English-speaking Alzhei-
two bilingual aphasic patients.’ Brain and Language 15, mer’s disease patients and normal comparison subjects.
55–69. Paper presented at the meeting of the Gerontological
Paradis M & Janjua N (1998). Bilingual Aphasia Test Society of America, San Francisco.
(Urdu version). Hillsdale, NJ: Lawrence Erlbaum. Wald I (1968). Problema afazii poliglotov. Voprosy Kliniki I
Paradis M & Parcehian P (1991). Bilingual Aphasia Test Patofiziologii Afazii. 140–176.
(Bilingual-French version). Hillsdale, NJ: Lawrence Warburton E, Price C & Swinburn K (1999). ‘Mechanisms
Erlbaum. of recovery from aphasia: evidence from positron
Perani D, Paulesu E, Galles N S et al. (1998). ‘The bilingual emission tomography studies. Journal of Neurology,
brain. Proficiency and age of acquisition of the second Neurosurgery, and Psychiatry 66, 155–161.
language.’ Brain and Language 121(10), 1841–1852. Wong P C M, Parsons L M, Martinez M & Diehl R L
Perecman E (1984). ‘Spontaneous translation and language (2004). ‘The role of the insula cortex in pitch pattern
mixing in a polygot aphasic.’Brain and Language 2, 43–63. perception: the effect of linguistic contexts.’ Journal of
Rey G & Benton A (1991). Examen de afasia multilingue: Neuroscience 24, 9153–9160.
manual de intrucciones. Iowa City, IA: AJA Associates. Yiu E M-L (1992). ‘Linguistic assessment of Chinese-
Sasanuma S (1991). ‘Aphasia rehabilitation in Japan.’ In speaking aphasics: development of a Cantonese aphasia
Sarno M & Woods D (eds.) Aphasia rehabilitation: views battery.’ Journal of Neurolinguistics 7, 379–424.

Bilingualism and Second Language Learning


T K Bhatia, Syracuse University, Syracuse, NY, USA lingualism different from late bilingualism? Does sec-
! 2006 Elsevier Ltd. All rights reserved. ond language learning have adverse cognitive effects
on children? And how are two (or more) languages
represented in the brain? This chapter attempts to
Introduction answer these and other questions concerning bilingual
language learning and use.
There is a widespread perception in monolingual
societies, particularly in the United States, that bilin- Key Concepts
gualism is a rare and exceptional occurrence in com-
munication. By contrast, from a global perspective, Before discussing language development among bilin-
bilingualism is a world-wide phenomenon. In fact, guals, it is crucial to give an overview of key funda-
global communication is often carried out through mental concepts concerning language development in
a speaker’s second, third, or even fourth language. children and adults. Also, it should be mentioned that
According to David Crystal (1997) approximately the term ‘second language learning’ is used in a wider
two-thirds of the world’s children grow up in a bilin- sense to include the learning of any additional lan-
gual environment which, in turn, leads to adult guage during a period ranging from childhood to
bilingualism/multilingualism. However, childhood bi- adulthood. An additional language may be a lan-
lingualism is not the only reason for adult bilingual- guage of the country or spoken outside the country
ism. A host of different factors (such as marriage, (i.e. foreign language).
religion, education, linguistic plurality of a particular
Acquisition vs. Learning
region, migration, jobs, government policies, urbani-
zation, etc.) also lead to adult bilingualism. How, A child’s process of learning languages is different
then, do humans become bilingual? Is adult second- from an adult’s process. A child can learn any lan-
language learning different from child-language guage relatively effortlessly, while the same task
learning? Is bilingual-language acquisition different becomes rather challenging for adults. For this rea-
from monolingual-language acquisition? Is early bi- son, some second language researchers (Krashen,
16 Bilingualism and Aphasia

Paradis M (1990). ‘Language lateralization in bilinguals: from the Asian-Pacific region. San Diego: Academic
enough already!’ Brain and Language 39, 576–586. Press.
Paradis M (1998). ‘Acquired aphasia in bilingual speakers.’ Silverberg R & Gordon H (1979). ‘Different aphasia in two
In Sarno M (ed.) Acquired aphasia, 3rd edn. New York: bilingual individuals.’ Neurology 29, 51–55.
Academic Press. 531–549. Streifler M & Hofman S (1976). ‘Sinistrad mirror writing
Paradis M & Goldblum M (1989). ‘Selective crossed apha- and reading after brain concussion in a by-systemic
sia followed by reciprocal antagonism in a trilingual (oriento-occidental) polyglot.’ Cortex 12, 356–364.
patient.’ Brain and Language 15, 55–69. Taussig I, Henderson V & Mack W (1988). Spanish trans-
Paradis M, Goldblum M & Abidi R (1982). ‘Alternate lation and validation of a neuropsychological battery:
antagonism with paradoxical translation behavior in performance of Spanish- and English-speaking Alzhei-
two bilingual aphasic patients.’ Brain and Language 15, mer’s disease patients and normal comparison subjects.
55–69. Paper presented at the meeting of the Gerontological
Paradis M & Janjua N (1998). Bilingual Aphasia Test Society of America, San Francisco.
(Urdu version). Hillsdale, NJ: Lawrence Erlbaum. Wald I (1968). Problema afazii poliglotov. Voprosy Kliniki I
Paradis M & Parcehian P (1991). Bilingual Aphasia Test Patofiziologii Afazii. 140–176.
(Bilingual-French version). Hillsdale, NJ: Lawrence Warburton E, Price C & Swinburn K (1999). ‘Mechanisms
Erlbaum. of recovery from aphasia: evidence from positron
Perani D, Paulesu E, Galles N S et al. (1998). ‘The bilingual emission tomography studies. Journal of Neurology,
brain. Proficiency and age of acquisition of the second Neurosurgery, and Psychiatry 66, 155–161.
language.’ Brain and Language 121(10), 1841–1852. Wong P C M, Parsons L M, Martinez M & Diehl R L
Perecman E (1984). ‘Spontaneous translation and language (2004). ‘The role of the insula cortex in pitch pattern
mixing in a polygot aphasic.’Brain and Language 2, 43–63. perception: the effect of linguistic contexts.’ Journal of
Rey G & Benton A (1991). Examen de afasia multilingue: Neuroscience 24, 9153–9160.
manual de intrucciones. Iowa City, IA: AJA Associates. Yiu E M-L (1992). ‘Linguistic assessment of Chinese-
Sasanuma S (1991). ‘Aphasia rehabilitation in Japan.’ In speaking aphasics: development of a Cantonese aphasia
Sarno M & Woods D (eds.) Aphasia rehabilitation: views battery.’ Journal of Neurolinguistics 7, 379–424.

Bilingualism and Second Language Learning


T K Bhatia, Syracuse University, Syracuse, NY, USA lingualism different from late bilingualism? Does sec-
! 2006 Elsevier Ltd. All rights reserved. ond language learning have adverse cognitive effects
on children? And how are two (or more) languages
represented in the brain? This chapter attempts to
Introduction answer these and other questions concerning bilingual
language learning and use.
There is a widespread perception in monolingual
societies, particularly in the United States, that bilin- Key Concepts
gualism is a rare and exceptional occurrence in com-
munication. By contrast, from a global perspective, Before discussing language development among bilin-
bilingualism is a world-wide phenomenon. In fact, guals, it is crucial to give an overview of key funda-
global communication is often carried out through mental concepts concerning language development in
a speaker’s second, third, or even fourth language. children and adults. Also, it should be mentioned that
According to David Crystal (1997) approximately the term ‘second language learning’ is used in a wider
two-thirds of the world’s children grow up in a bilin- sense to include the learning of any additional lan-
gual environment which, in turn, leads to adult guage during a period ranging from childhood to
bilingualism/multilingualism. However, childhood bi- adulthood. An additional language may be a lan-
lingualism is not the only reason for adult bilingual- guage of the country or spoken outside the country
ism. A host of different factors (such as marriage, (i.e. foreign language).
religion, education, linguistic plurality of a particular
Acquisition vs. Learning
region, migration, jobs, government policies, urbani-
zation, etc.) also lead to adult bilingualism. How, A child’s process of learning languages is different
then, do humans become bilingual? Is adult second- from an adult’s process. A child can learn any lan-
language learning different from child-language guage relatively effortlessly, while the same task
learning? Is bilingual-language acquisition different becomes rather challenging for adults. For this rea-
from monolingual-language acquisition? Is early bi- son, some second language researchers (Krashen,
Bilingualism and Second Language Learning 17

1985) distinguish between two types of mechanisms how a child does not have to even learn the specific
in language development: a subconscious process word order of his/her language, but only has to
resulting in tacit knowledge of the language (i.e., choose between already specified values – head-
‘language acquisition’), and a more conscious process initial or head-final – based on the nature of the
(i.e., ‘language learning’). While children go through input language. Children begin to learn to set para-
the former process, adults undergo the latter in their metric values even from the one-word stage.
quest to become bilingual. A Japanese child learns to choose the head-final sys-
tem, whereas an English-speaking child chooses the
The Critical Period Hypothesis and Its
Biological Basis
head-initial value. These principles are generally
refereed to as a child’s language acquisition device
In addition to degree of effort, it has been frequently (LAD).
observed that even very proficient bilinguals fall short
of being perfect bilinguals. In spite of the complete Input and Learning Environment: Natural vs.
mastery of syntax, their speech is marked by traces of Unnatural Settings
the first language accent. Similarly, it is also shown Usually children become bilinguals or multilingual in
that in spite of considerable effort and motivation, the a natural way. A normal child can become a fluent
ultimate attainment of some grammatical structures bilingual by the age of five, for instance, without any
by adults is seldom achieved. To explain these and formal training. In the process of acquiring a lan-
other differences in language acquisition and recovery guage, the role of input (motherese, etc.) or imitation
from aphasia Lenneberg (1967) proposed the ‘‘critical is important but limited. Children do not learn a
period hypothesis,’’ which is sensitive to age. This language by mindlessly imitating the input provided
hypothesis claims that there is a period in the matura- by mothers or caretakers. That is, while the role of
tion of human organism, lasting from two years to parental input cannot be ruled out, language acquisi-
puberty, in which nearly effortless and complete tion studies show that neither motherese nor imita-
language acquisition is possible. Afterwards, this tion plays a significant role in a child’s language
hypothesis notes, language learning requires more development. Instead, this burden is carried by the
effort and motivation, largely because of a loss of child himself/herself. Research on child-language ac-
brain plasticity resulting in the completion of the quisition reveals that the child learns the language by
lateralization of the language function in the left using the ‘rule formulation strategy.’ For instance, an
hemisphere. Recent research claims have additionally English-speaking child learns on his/her own that by
shown that there are different critical periods for the addition of the inflection ‘-ed’ to a verbal stem,
different grammatical structures of language. Since one generates the corresponding past tense form of
the accent (phonetics and phonology) of a second the verb. In this process, the child over-generalizes
language is the most difficult to attain, the critical and produces utterances such as ‘I go-ed’ [go-PAST].
period for phonetics and phonology (approximately Even after being corrected [i.e. provided negative
from five to seven years) is earlier than that for evidence] by the mother or caretaker that the child
morphology and syntax. See Johnson and Newport meant ‘I went’ [go.PAST], the child still does not
(1991) and Bhatia and Ritchie (1999) for details. reject the rule s/he has formulated in his or her mind
Access to Universal Grammar (UG) and which s/he still produces in utterances such as ‘I
went-ed’ [go.PAST-PAST]. The role of the adult is
Children are born to acquire human languages. Re- thus to prevent the child’s grammar from overgener-
gardless of gender, race, ethnicity, or nationality, alization. In other words, the child has an innate
every normal child is capable at birth of acquiring capacity to acquire languages in an environment
any human language. In theoretical studies following which is termed a ‘natural’ environment, whereas,
from the Chomskyan mentalistic framework, this in- by contrast, adults and school-age children learn lan-
nate ability is termed the access to universal grammar guage in formal settings such as schools and colleges
(UG). In this case, a child has full access to universal through a formal instructional method.
grammar, whereas an adult has either limited or no
access. These and other universal principles of gram-
matical structures and principles of learning largely
Defining and Measuring Bilingualism
lead a child’s language development. The role of pa- What is bilingualism and who is bilingual? Defining
rental input then becomes to trigger an appropriate and measuring bilingualism is a very complex task
value for innately given or set parameters, specific to due to the number and types of input conditions,
the language to which the child is exposed. One such biological, socio-psychological, and other non-
parameter, called the ‘head parameter,’ describes linguistic factors that can lead to a varying degree
18 Bilingualism and Second Language Learning

of bilingual competencies. In short, there is no this second setting, described by Bhatia and Ritchie
widely-accepted definition or measures of bilinguals. (1999) as ‘‘discourse allocation,’’ restricts the use of
Instead, a rich range of scales, dichotomies, and one language to one social agent or social setting and
categories are employed to characterize bilinguals. If the other language to other social situations. The
a bilingual can understand but cannot speak a second various manifestations of such strategies are the fol-
language, such an individual is called a receptive lowing: (a) one-parent/one-language (e.g., the child’s
bilingual, whereas a productive bilingual demon- mother speaks one language and, the child’s father
strates a spoken proficiency in two languages. If speaks the other. This strategy was employed by
the second language is acquired in a natural setting Leopold (1939–1949) in his classic study of bilingual
before the age of five that individual is termed language development of his daughter, Hildegard;
an early bilingual, in contrast with a late bilingual (b) one-place/one-language (e.g. speaking one lan-
who learns his second language after the age of five guage in the kitchen and the other elsewhere); (c) a
either in home or in schools. Labels such as fluent vs. language/time approach; and (d) a topic-related ap-
non-fluent, functional vs. non-functional, balanced proach. Although the discourse allocation approach
vs. unbalanced, primary vs. secondary, and partial is better than providing no input and thus raising a
vs. complete refer, either to a varying command in monolingual child, it leads to different patterns in
different types of language proficiency (e.g., spoken, bilingual language development than developing bi-
listening, writing, etc.), or an asymmetrical relation- lingualism in a natural setting. For instance, during
ship (dominance) between two languages. A com- the early stages of Hildegard’s bilingualism, she de-
pound vs. coordinate bilingual refers to the way two veloped a rule that fathers speak German and
languages are processed in the brain. The list is by no mothers speak in English.
means exhaustive. Other major distinctions such
as simultaneous vs. sequential are discussed in the
Childhood Bilingualism
next section. Similarly, bilingualism can be viewed
from individual, societal (attitudes towards bilingual- Other factors such as age and amount of exposure to
ism), and political (i.e., government policies toward the two languages also result in differences in the
bilingualism) perspectives. pattern of childhood bilingualism. The distinction
In general, a bilingual person demonstrates many between simultaneous and sequential bilinguals in
complex attributes rarely seen in a monolingual per- research on bilingual language acquisition is based
son. For that reason, a bilingual is not equivalent to on age and the degree of exposure to two languages.
two monolinguals, but something entirely different. When the child is exposed to two languages to more
This working definition of bilingualism is offered by or less the same degree from birth onward, the pat-
Bloomfield (1933), who claimed that a bilingual is tern of language development is referred to as simul-
one who has a native-like control of two languages, taneous, whereas sequential bilingualism describes
i.e., a balanced bilingual (see Grosjean 1982 or the attainment of one language first and the second
Edwards, 2004 for more details). language later, preferably before the age of seven.
Similarly, the term late bilingual is used for those
Patterns and Mechanisms in Bilinglual sequential bilinguals who acquire their second lan-
guage at a relatively younger age than adults learning
Language Development
a second language. Although there is unanimous
Providing either a natural environment or inputs in agreement among researchers about the validity of
monolingual/dominant language speech communities the simultaneous and sequential bilinguals, there is
is not a challenging task. The same is also true for no consensus among scholars about the exact line of
those societies where social and political systems are demarcation between the two. See McLaughlin
conducive to bilingualism. For instance, in India, (1984) and De Houwer (1995) for either theoretical
where bilingualism is viewed as natural, approved or methodological grounds.
by society, and further nurtured by government lan- One of the most intriguing aspects of the childhood
guage policies, linguistic groups and communities do bilingualism is how children learn to separate the two
not need to take any special measures to assure that languages, particularly in a natural setting (i.e., a
their children receive input from two languages. In simultaneous bilingual) in initial stages. After all,
sharp contrast, in societies where bilingualism is not when parents provide input, they do not tag or
valued or where the language of a minority is distinct, prime their input with a language identification
it becomes imperative for families to plan meaningful label. Even if parents go to the absurd length of
strategies to ensure the smooth exposure to the family identifying the language of each word or sentence
language. One such strategy that families employ in they use, these labels are semantically empty for
Bilingualism and Second Language Learning 19

children. Furthermore, bilingual parents unwittingly For a more detailed treatment of the shortcomings of
make the task of separating the two languages even the unitary system hypothesis and the strengths of the
harder for children because of their normal tendency dual system hypothesis, see Bhatia and Ritchie 1999:
to mix two languages. In short, a child is provided 591–614.
with three distinct types of linguistic inputs: two lan- Another fascinating feature of bilingual speech is
guages, each in an unmixed/pure form, and one with that, not only are bilinguals capable of keeping the
a mixture of two languages. Given this state of affairs, two linguistic systems separate, but they often mix
how does the child learn to separate the two lan- them either within a sentence or inter-sententially.
guages in question? This task is not challenging for This behavior is often termed ‘code-mixing’ or ‘code-
a monolingual child because only one language serves switching’ in sociolinguistic literature. Depending
as a source of input. The two hypotheses which at- upon the theoretical and empirical objectives of their
tempt to shed light on this question are the unitary research, some researchers do not distinguish
system hypothesis and the dual system hypothesis. between the two terms and use them interchangeably;
According the unitary system hypothesis (Volterra for those researchers who distinguish between the
and Taeschner, 1978), the child undergoes three two, the code-mixing refers to intra-sentential mixing
stages before s/he is able to separate two input lan- while the term code-switching refers to the intersen-
guages. During the first two stages, the child experi- tential mixing in bilinguals. Both bilingual children
ences confusion. During the first stage, s/he is unable as well as adults show this behavior. What explains
to distinguish the two lexicons and grammars of the this behavior of language mixing? Earlier research
linguistic systems. At this stage, they have a single attempted to explain it in terms of the language defi-
lexicon made up of items drawn from the lexicons ciency hypothesis: it was claimed that bilinguals in
of both languages. Hence, no translational equiva- general and children in particular have language gaps.
lents or synonyms are found in their vocabulary. As claimed by the unitary system hypothesis the lack
Volterra and Taeschner claim that their two bilingual of synonyms compels them to mix the two lexical
subjects at the ages of 1 year 10 months and 1 year systems during stage I. Similarly, stage II yields the
6 months had a hybrid list of 137 words with no mixing of two language systems due to confusion. In
translational equivalents. During the second stage, other words, the lack of proficiency in either one
the child slowly learns to separate the two lexicons, language (i.e., the absence of balanced bilingualism)
but is still unable to separate the grammatical sys- or both languages (i.e., semi-bilingualism) leads to
tems. Cross-linguistic synonyms emerge, but the child mixing.
applies the same set of syntactic rules to both lan- The language augmentation hypothesis is capable
guages. It is only during the third stage that the child of offering deeper insights into the bilingual mixing
becomes capable of separating the two sets of voca- behavior. As it has been shown earlier in the discus-
bularies and grammars. Findings of recent research sion of the dual system hypothesis, children do not go
reveal that the unitary system hypothesis cannot sus- through the initial stages of treating the two linguistic
tain the scrutiny of the succeeding research and the systems as if they were one system, but begin to
evidence motivating the three stages of bilingual lan- distinguish them immediately. The consideration of
guage development is full of shortcomings and con- optimization leads bilinguals to mix language with an
tradictions both on methodological and empirical aim to get maximum mileage from the two linguistic
grounds. systems at their disposal. An analogy drawn from the
The dual system hypothesis states that bilingual beverage industry further explains this point. The
children, based on their access to Universal Grammar separation of juices (e.g., apple vs. orange juice) ren-
and language specific parameter setting, have the ders two distinct tastes. However, if one mixes the
capacity of separating the two grammars and lexical two juices, the result is a new taste, a distinct from the
systems right from the beginning. A wide variety of two pure juices. The same is true of bilingual lan-
cross-linguistic studies (e.g., different input condi- guage mixing. Research on the linguistic and socio-
tions – one parent/one language and mixed input linguistic motivations for language mixing both in
condition; and different word order types) lends sup- children and adults shows that such considerations
port to this hypothesis. For instance, in a study as semantic domains and semantic complexity (an
devoted to the language development of a Hindi- item less complex or salient in one language), stylistic
English bilingual child, it is clear that at age 2, the effects, clarification, elaboration, relief strategy (i.e.,
child is capable of developing two distinct lexicons a linguistic item is temporarily unavailable in one
using a syllabification strategy. At the age of 1 year 7 language), interlocutor’s identification, discourse
months, two different word orders develop – SVO strategies of participants/topics, addressee’s perceived
[subject-verb-object] for English and SOV for Hindi. linguistic capability and speaker’s own linguistic
20 Bilingualism and Second Language Learning

ability, and other complex socio-psychological rea- rules – of L1 to their second language. An English-
sons, such as attitudes, societal values, and personali- speaking learner of Hindi has difficulties in hearing
ty, prompt bilinguals to mix two languages. The list and producing a four-way contrast between Hindi
of motivations is by no means exhaustive (see Bhatia aspiration and voicing contrast (i.e., unvoiced unas-
and Ritchie, 1996, for more details). pirates, unvoiced aspirates, voiced unaspirates, and
voiced aspirates).
Adult Bilingualism: Second Language Learning
It would be a gross simplification to claim that L2
In contrast to sequential childhood bilingualism, learners transfer all grammatical features of L1 to L2.
adults who learn a second language after they have Adult learners possess a relatively higher level of logi-
learned their mother tongue experience the learning cal and cognitive ability than do children; therefore,
of a second language as a laborious and conscious these qualities color their second language learning.
task. As pointed out earlier, unlike children who are For instance, English-speaking learners of Hindi will
able to universally and uniformly acquire native com- not translate there in these sentences:
petency in their mother tongue, adults rarely achieve
1. There is a chair in the room
native-like competency in their second language.
2. The chair is over there
Depending on the level of their motivation and hard
work, adults can learn a second language with vary- in an identical way (i.e. by choosing the remote loca-
ing degrees of competence. However, there comes a tive adverb in both cases). Similarly, it would be an
point during the second language learning that even oversimplification to claim that childhood bilingual-
the most talented learner cannot bypass the stage of ism is free from the dominance relationship between
‘fossilization.’ This stage is marked with second lan- the two languages. Not only does the mother tongue
guage errors which no amount of training can cor- influence second language acquisition in children, it
rect. For these reasons, second language (L2) learning also affects their school achievement.
is viewed as fundamentally different from first lan-
guage (L1) acquisition. The hypothesis which aims at Approaches to Second Language Learning
accounting for these differences between the child
In adult language acquisition research, the term sec-
and the adult language is termed the fundamental
ond language is used in a wider sense to include both
difference hypothesis.
the acquisition of a second language which may or
In spite of the asymmetrical relation between L1
may not be foreign to a country. However, in the
and L2 learning, one should not draw a conclusion
context of language teaching the distinction between
that there is nothing in common between the two.
the two is made to highlight major differences in the
What is common between L1 and L2 learners is that
learning aims, teaching methods, and the achieve-
both undergo stages of language development. In
ment levels to be attained.
other words, like L1 learners, in the process of gram-
A number of approaches have been developed to
mar construction, L2 learners undergo stages of
facilitate the learning of second/foreign languages.
development: the intermediate stages of grammar
Some of the following are notable:
development between the initial stage and the ulti-
mate stage are termed interlanguage grammars. Take 1. Grammar-translation method: Following the tra-
the case of the development of negation in English L1 dition of teaching classical languages such as
and L2 learners. The grammar of negation in L2 Greek, Latin, and Sanskrit, this method places
learners of English shows the same stages of develop- emphasis on memorization and rote learning.
ment as in L1 English learners – Stage I: the sentence- Learners memorize nominal and verbal paradigms
initial placement of negation; Stage II: preverbal of the second language and translate L1 into L2 or
placement of negation with no auxiliary verb; and vice versa. Very little emphasis is placed on devel-
Stage III: preverbal placement of negation with an oping spoken proficiency in the foreign language,
appropriate auxiliary verb. while reading and written comprehension receives
overwhelming importance. This method is per-
Native Language Influence and Dominance
haps the oldest method of language teaching
An important way in which L2 learning is different which dates back to the 19th century.
from L1 learning is the influence of the mother tongue 2. The direct method: Also known as oral or natural
on second-language learning. The mother tongue or methods, it departs from the grammar-translation
L1 plays an important role in the process of L2 acqui- method in three important respects: one, memori-
sition. Research on grammatical errors of L2 shows zation receives a back seat in the learning of the
that L2 learners transfer the grammatical rules – second language; two, special emphasis is placed
phonetic, phonological, morphological, and syntactic on acquiring spoken and listening competencies;
Bilingualism and Second Language Learning 21

and three, the introduction of the target language diversity and pluralism by the introduction of the
is free from any reference to the native lan- Three Language Formula, which calls for trilingual-
guage of learners. Native language is never used ism in education. In addition to learning two national
as a tool to explain either grammar or other intri- languages, Hindi and English, students are expected
cacies of the target language usage. This model to learn a third language beyond their native tongue.
attempts to simulate the native speaker environ- For example, in northern India, students are expected
ment of the target language. However, in actual to learn one of the four Dravidian languages (Tamil,
practice there are severe constraints on replicating Telugu, Kannada, and Malayalam) from southern
the natural setting of the native speaker’s learning India.
environment in an actual classroom setting. While bi- or multi-lingual education programs like
3. The audio-lingual method is a byproduct of World India’s do not view bilingualism in general and the
War II during which the United States experienced maintenance of minority languages in particular as a
an urgent need to quickly train its troops in foreign threat to national integration, this is not the case with
languages for overseas military operations. An em- bilingual education in the United States. U.S. educa-
phasis is placed on spoken and listening compe- tional policies are not conducive to linguistic and
tencies, rather than on written ones. cultural diversity.
4. The structural method: In order to speed up the A notable feature of the Canadian bilingual educa-
acquisition of foreign languages, insights of struc- tion program is termed the language immersion pro-
tural linguistics were applied to language teaching. gram. Introduced in the 1960s in Quebec, the
This method exposes learners to different structur- program was introduced at the request of the En-
al patterns and transformation drills. glish-speaking minority to provide their children a
high level of proficiency in schools in the dominant
Audio-lingual structural models assume that L2 is
language of the region, French. Children were im-
acquired through imitation. The discussion in the key
mersed in schools in the second language of students
concept section shows the limitation of this model.
(i.e., French) in which children used their mother
A number of other methods such as the natural ap-
tongue to communicate with a bilingual teacher
proach and ‘suggestopedia’ have been proposed, but
who would reply in French. This process leads chil-
the fact remains that no method has a grip on the
dren from what Cummins (1981) calls basic interper-
complexity involving learning a second language.
sonal communication skills (BICS) proficiency to
cognitive-academic language proficiency (CALP) in
Bilingual Education: Additive vs. the school language. BICS refer to the language profi-
ciency level of students with restricted vocabulary
Subtractive Bilingualism
and simpler syntax, whereas CALP requires a type
Teaching children a school language, particularly if of proficiency suitable for academic pursuits – a de-
the school language is different from the child’s home veloped vocabulary and sufficiently complex syntax
language, is one of the major challenges for bilingual suited for abstract and analytical thinking. The suc-
education programs. Bilingual education programs in cess of the Canadian language immersion model con-
America aim at minority students learning English. tinues to generate enthusiasm and controversy in
Such programs have attracted a great deal of contro- bilingual education in the United States.
versy on the basis of their merit and outcome. While
there is rapid growth of bilingual education programs
Socio-Psychological Factors
in the United States, the aim of such programs is not
always to introduce additive bilingualism which Successful language learning not only depends on
ensures the maintenance of the child mother tongue, teaching methods but also on learners’ motivation,
while learning the school/dominant language. A large intelligence, opportunities, and other factors, such as
number of bilingual education programs in the United their attitude toward the target language and culture.
States aim at subtractive bilingualism. In other words, Keeping in mind the motivation and the learners’
while they offer children a transition to learning the attitudes, there are two types of learners: instrumen-
school/majority language, in that process they do not tal and integrative learners. Instrumental learners,
ensure the maintenance of the child’s mother tongue. who learn a language for the purpose of gaining
In contrast, the language policies of bilingual external rewards (monitory gains, good jobs, etc.),
nations such as India, Canada, and Switzerland are however, tend to be less successful learners than
very conducive to the promotion of language rights integrative learners, who have a positive attitude
for minority languages. The government of India, toward the culture of the target language. Psycholog-
for instance, favors the advancement of linguistic ical factors such as the affective filter (Krashen, 1985)
22 Bilingualism and Second Language Learning

either inhibit or promote the learning of a second indicate why no theory of language learning and/or
language: negative influences such as anxiety, lack teaching is capable of explaining bilingual verbal
of self-confidence, and inadequate motivation can behavior and the mechanisms leading to bilingual
create serious obstacles to successful language learn- language development.
ing. Due to a lack of self-esteem and a higher level of
performance anxiety, minority children tend to raise See also: Bilingualism; Bilingual Education; Bilingual Lan-
the affective filter, which results in the reduction of guage Development: Early Years; Code Switching and
comprehensible input. Consequently, it takes a toll on Mixing; Foreign Language Teaching Policy; Interlan-
their progress in language acquisition. Similarly, since guage; Second and Foreign Language Learning and
adults show more self-consciousness than children, Teaching; Second Language Acquisition: Phonology,
Morphology, Syntax.
they put themselves in a disadvantageous position in
terms of language acquisition.
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Universal Grammar, and second language acquisition.’ In
Does bilingualism have an adverse linguistic and cog-
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Cummins J (1981). Schooling and minority language stu-
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put to rest such a negative view of bilingualism: Fletcher P & MacWhinney B (eds.) Handbook of child
their findings and the work of succeeding researchers language. Oxford: Basil Blackwell Ltd. 219–250.
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sions of earlier research were premature, misguided T & Ritchie W (eds.) Handbook of bilingualism. Oxford:
(biased toward immigrant communities), and unnec- Blackwell Publishing. 7–31.
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Peal and Lambert’s study revealed a positive view of MA: Harvard University Press.
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Books, Inc.
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Johnson J & Newport E (1991). ‘Critical period effects on
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universal properties of language: The status of subjacency
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Northwestern University Press.
Conclusions McLaughlin B (1984). ‘Early bilingualism: methodological
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bilinguals clones of each other. These complexities of Child Language 5, 311–326.
Binding Theory 23

Binbinka See: Wambaya.

Binding Theory
A Asudeh, Carleton University, Ottawa, Canada Binding Conditions
M Dalrymple, Oxford University, Oxford, UK
Binding theory is typically stated in terms of con-
! 2006 Elsevier Ltd. All rights reserved. ditions that refer to three key aspects: the class of
nominal involved, the syntactic region that constitu-
What Is Binding? tes the domain of binding, and a structural condition
on the syntactic relation between a nominal and its
Binding theory concerns syntactic restrictions on potential binder.
nominal reference. It particularly focuses on the pos-
sible coreference relationships between a pronoun Classes of Nominals
and its antecedent (the nominal that a nondeictic
pronoun depends on for its reference). For instance, For the purposes of binding theory, nominals are tra-
in (1a) himself must refer to the same individual as he. ditionally partitioned into several classes, as shown
In contrast, in (1b) her cannot refer to the same indi- here:
vidual as she. Instead, the sentence must mean that (4)
some person voted for some other person.
(1a) He voted for himself.
(1b) She voted for her.
Pronouns like himself or ourselves, which must
corefer with some other noun phrase in the sentence,
The first major division is between pronouns and
are called reflexive pronouns or reflexives. Pronouns
nonpronouns. Pronouns are then further subdivided
like she, her, and us are called nonreflexive pronouns.
into reflexives and reciprocals, which are collectively
Two nominal expressions that corefer, or refer to the
referred to as ‘anaphors,’ and nonreflexive pronouns,
same individual or individuals, are annotated by iden-
often simply called ‘pronominals’ or ‘pronouns’ (in
tical subscripts; if two nominals do not corefer, they
opposition to anaphors). We will here refer to non-
are annotated with different subscripts:
reflexive pronouns as ‘pronominals,’ reserving the
(2a) Hei voted for himselfi. term ‘pronoun’ for the class that includes anaphors
(2b) Shei voted for herj. and other pronouns. This yields three classes for the
purposes of binding theory: anaphors, pronominals,
In an example like Hei voted for himselfi, we say
and nonpronouns. Each class is governed by its own
that the reflexive pronoun himself is bound by he, and
binding condition.
that he is the binder of himself.
Reciprocals like each other and one another must Binding Domains
also be bound by a local antecedent and are grouped
in binding-theoretic terms with reflexives: Traditional definitions of binding domains distinguish
local from nonlocal domains. Consider the following
(3a) Theyi voted for each otheri.
sentence:
(3b) * Ii voted for each otherj.
(5) Billi said that [Gonzoj voted for himself*i,j]
Reflexives and reciprocals are together called
anaphors. The reflexive himself must be bound in its local do-
Some major works on binding are Faltz (1977), main, here the subordinate clause Gonzo voted for
Wasow (1979), Chomsky (1981, 1986), Reinhart himself. The only appropriate binder in this domain
(1983), Dalrymple (1993), Reinhart and Reuland is Gonzo. The reflexive cannot be bound by the
(1993), and Pollard and Sag (1994). Huang (2000) higher subject Bill, which is outside the reflexive’s
contains a rich cross-linguistic survey of pronominal local domain. This is indicated by placing the marker
systems. Büring (2004) provides a recent comprehen- of ungrammaticality (*) beside the illicit index.
sive overview of the syntax and semantics of binding A pronominal in the same position must not be
and presents a new synthesis. bound in its local domain:
24 Binding Theory

(6) Billi said that [Gonzoj voted for himi,*j] Variation in Structural Relation
The local domain for the pronominal is also the sub- All versions of binding theory incorporate some notion
ordinate clause, and it cannot be bound in this do- of structural domination or superiority as a component
main. It can, however, be bound by the matrix of the binding relation. We referred to this relation
subject, which lies outside the local domain. above as command. One commonly assumed version
of command is the tree-configurational relation of
Command c-command (Reinhart, 1983):
Besides a syntactic domain condition, binding in-
(9a) A c-commands B if and only if A does not
volves the requirement that the binding nominal be
dominate B and the first branching node
in a structurally dominant position. This required dominating A also dominates B.
relation between a pronoun and its binder is called (9b)
‘command’ and is defined in different ways in differ-
ent theories. The structural condition on binding
means that certain elements cannot be binders, even
if they fall within the correct syntactic domain:
In the tree in (9b), the first branching node dom-
(7) Gonzoi’s friendj voted for himself*i,j.
inating A, labeled X, also dominates B, and A does
The entire subject Gonzo’s friend can bind the reflex- not dominate B. Therefore, A c-commands B. B does
ive, but the possessor Gonzo cannot, because the not c-command A, because the first branching node
possessor does not command the reflexive. dominating B is Y, and Y does not dominate A.
We have thus far seen that anaphors must be bound Other tree-based definitions of command have
within some local domain and that pronominals been proposed; in them, command is relativized to
cannot be bound within some local domain. Nonpro- nodes other than the first branching node. For exam-
nouns cannot be bound in any domain, whether local ple, the similar relation of m-command makes refer-
or nonlocal: ence to the first maximal projection dominating
A. Thus, in diagram (9b), A m-commands B if X is
(8a) * Hei voted for Billi.
a maximal projection (see X-Bar Theory). Notice also
(8b) * Hei said that Gonzo voted for Billi.
(8c) When hei voted for George, Gonzoi was drunk.
that if X is a maximal projection and Y is not a
maximal projection, then B also m-commands
In (8a) and (8b), the pronoun is in the proper struc- A because the first maximal projection dominating
tural relation to command the name. Since this results B dominates A and B does not dominate A. Some
in the nonpronoun being bound, the sentences are literature on binding continues to use the term
ungrammatical on the indexation indicated. In (8c), ‘c-command’ but defines it as m-command.
by contrast, the pronoun is not in the proper structur- Other theories define a command relation on lin-
al relation to command the name, because the pro- guistic structures other than trees. In lexical functional
noun is too deeply embedded. Although the pronoun grammar (LFG), command is defined on f(unctional)-
and the name corefer, as indicated by the coindexa- structures, which represent predicates and their
tion, there is no binding relation, and the sentence is adjuncts and subcategorized grammatical functions.
grammatical. The command relation relevant for binding in LFG is
Bringing these ideas together, a typical statement of called ‘f-command’ and is defined as follows:
binding conditions is as follows (based on Chomsky,
(10a) An f-structure A f-commands an f-structure B if
1981):
and only if A does not contain B and every
A. An anaphor (reflexive or reciprocal) must be f-structure that contains A also contains B.
bound in its local domain. (10b)
B. A pronominal (nonreflexive pronoun) must not be
bound in its local domain.
C. A nonpronoun must not be bound.
Following Chomsky (1981), these binding principles In the f-structure in (10b), the f-structure labeled A
are often referred to as Principle A, the condition f-commands B: A does not contain B, and the
on anaphors; Principle B, the condition on pronom- f-structure X that contains A also contains B. B does
inals; and Principle C, the condition on nonpronouns. not f-command A because there is an f-structure
Principles A, B, and C are also called Conditions A, Y that contains B but not A. Notice that in (10),
B, and C. A and Y f-command each other, just as in a tree there
Binding Theory 25

is mutual c-command between sisters. Since A can be on a thematic hierarchy, such as Agent > Goal >
the subject and Y the object, we need an additional Theme (Jackendoff, 1972; Wilkins, 1988).
principle to ensure that the subject binds the object
but not vice versa. Otherwise a perfectly grammatical
Variation in Binding Domain
sentence like (11) would be a Principle B violation
because the object reflexive would bind the subject Some theories assume that the local domain for the
pronominal. anaphoric and pronominal binding conditions (Prin-
ciples A and B) is the same: anaphors are required
(11) Hei injured himselfi. to be bound in exactly the same domains in which
pronouns are required not to be bound. For example,
Cases of mutual f-command like the above occur not Chomsky (1981) proposed that the local binding
just between subjects and objects but among all coar- domain for both anaphors and pronominals is the
guments of a given predicate. Such cases are handled governing category, where a governing category for
by an independently motivated relational hierarchy an element is the minimal domain containing a
of grammatical functions based on the notion of subject and the head that selects the element. This
obliqueness, in which the subject outranks the object, predicts that anaphors and pronominals are in com-
which in turn outranks the other arguments. plementary distribution, a prediction that seems to
In head-driven phrase structure grammar (HPSG), be borne out by examples like the following:
grammatical functions are encoded on SUBCAT (subcat-
egorization) lists, which are ordered according to the (13a) Gonzoi saw himselfi/*himi.
aforementioned obliqueness hierarchy: the subject is (13b) Gonzoi thought that George liked himi/
the first member of SUBCAT, the object is the second, *himselfi.
and so on. Early work in HPSG defined a version of Huang (1983) subsequently pointed out that the
command called o-command on the SUBCAT list, prediction above is incorrect, based on examples like
in terms of this obliqueness relation. A simplified the following:
definition of o-command follows:
(14a) Theyi saw each otheri’s pictures.
(12a) A o-commands B if and only if A does not (14b) Theyi saw theiri pictures.
contain B and A precedes B on a SUBCAT list,
or A o-commands X and X contains B. (15a) Theyi saw pictures of each otheri/themselvesi.
(12b) (15b) Theyi saw pictures of themi.
In (14) and (15), the anaphors and pronominals occur
in identical positions: there is no complementary dis-
In the SUBCAT list in (12b), A o-commands B because tribution. Chomsky (1986) addressed this problem
A o-commands X and X contains B. B does not by proposing that the local domain for anaphoric
o-command A, on the other hand, because B does and pronominal binding is the smallest domain in
not precede A on a SUBCAT list and B does not which the binding constraint in question could
o-command anything that contains A. The o-com- be satisfied. For the anaphoric cases in (14a) and
mand relation in HPSG and LFG’s f-command rela- (15a), there is no possibility of satisfying Principle
tion are similar in that they are defined on structures A within the noun phrase that contains the anaphor.
that encode grammatical functions. The two theories Therefore, the anaphor’s local domain becomes the
are also similar in using the relational hierarchy to domain of the containing NP; since the anaphors in
define binding constraints. (14a) and (15a) are bound in this slightly larger do-
More recent work in HPSG (Manning and Sag, main, the sentences are grammatical. In contrast, the
1999) defines binding on the ARG-ST (argument struc- local domain for the pronominals in (14b) and (15b)
ture) list, a basic representation of argument structure, is the smaller domain constituted by just the NP con-
rather than on SUBCAT. The ARG-ST version of taining the pronominal since Principle B is satisfiable
HPSG binding replaces o-command with a-com- within this domain.
mand, where a-command can be defined by replacing Although the English examples above are amenable
all mention of o-command in (12) with a-command to a treatment along these lines, data from other
and all mention of SUBCAT with ARG-ST. To the extent languages indicate that a unified notion of local bind-
that ARG-ST encodes thematic relations like agent ing domain for all anaphora is inadequate. Some
(logical subject) and patient (logical object), the a- languages have several anaphors, each with a differ-
command version of HPSG binding is related to ent local domain. Consider the two Norwegian
proposals that define the structural binding relation reflexives seg and seg selv:
26 Binding Theory

(16a) Joni fortalte meg om seg selvi /*segi (18) They like him.
J. told me about self
‘Jon told me about himself.’ Examples such as these have prompted some research-
(16b) Joni hørte oss snakke om segi /*seg selvi ers to revise the treatment of the binding relation by
J. heard us talk about self introducing a more complicated indexing system.
‘Jon heard us talk about him.’ Higginbotham (1983) proposed that the symmet-
rical coindexation mechanism be replaced with an
Based on data like the above, Manzini and Wexler
antisymmetrical linking mechanism, represented by
(1987), Dalrymple (1993), and others argued that
an arrow notation:
binding constraints must be parameterized as lexical
properties of particular pronouns. Thus, part of the
lexical entry for seg selv specifies that it must be (19)
bound to an argument of the same syntactic predi-
cate, whereas the lexical entry for seg specifies that This mechanism is particularly adept at representing
it must be bound in the minimal finite clause in split antecedents—cases in which a plural pronoun’s
which it is contained but cannot be bound by a co- antecedent is made up of two syntactically separate
argument. Thus, a single language can have various nominals:
anaphors, each with its own binding domain. Indeed,
Norwegian has a third reflexive (ham selv) that has (20)
yet a different binding domain.
Furthermore, many languages have long-distance
The referential dependency of the pronoun on the
reflexives that must be bound within the same sen-
two nominals is represented by linking it to both
tence but place no further restrictions on their binding
antecedents simultaneously.
domain (Koster and Reuland, 1991; Cole et al.,
The most extensively explored revision to the
2001). The possibility for a reflexive to allow long-
standard coindexation mechanism is the proposal to
distance binding has been claimed to correlate with
represent the index for plural noun phrases as a set
its morphological form (Faltz, 1977; Pica, 1987):
containing an index value for each individual in the
morphologically complex reflexives like English him-
set (Lasnik, 1981). In (21), they refers to two indivi-
self or Norwegian seg selv allow only local binding,
duals, i and j. This index value is used to prevent the
whereas morphologically simple reflexives like Nor-
object him from referring to either individual i or
wegian seg allow long-distance binding.
individual j:
A puzzle that has gone largely unaddressed in the
literature on binding is the local nature of reciprocal (21) They{i,j} like him*{i}/*{j}/{k}.
binding. Although there are many examples of reflex-
ive pronouns that need not be locally bound, there This move necessitates a corresponding adjustment
seem to be no comparable examples of long-distance to the binding condition for pronominals, which
reciprocals. Treating reflexives and reciprocals as must now refer to overlap of set-valued indices rather
anaphors that must obey the same binding principle than simply to identity of atomic indices. For exam-
does not lead us to expect this difference in behavior. ple, Principle B would be reformulated to require
that the index of a pronominal must not overlap
with the index of a commanding nominal in the pro-
Defining the Binding Relation nominal’s local domain. Overlap is understood in set-
In all of the examples we have examined so far, theoretic terms: a set index A does not overlap with a
the relation between the pronoun and its potential set index B if and only if the intersection of A and
antecedent has involved either coreference or non- B is empty. Notice that this treatment of indexation
coreference. In more complicated cases involving also blocks readings in which there is overlapping
plurals, the possibility of partial overlap of reference reference between plural pronouns:
arises. Lasnik (1981) discussed examples like (17),
(22) They{i,j} like them*{i,j}/*{i,k}/*{j,k}/{k,l}.
which he marked as ungrammatical:
With the move to set-valued indices and a notion of
(17) * We like me.
overlap based on intersection, the binding relation no
In this example, the speaker is included in the refer- longer concerns coreference and noncoreference, but
ent of the subject, leading to the impossibility of a rather coreference and disjoint reference. Principle
pronoun referring to the speaker in object position. B requires disjoint reference, as discussed above,
Lasnik also claimed that in (18), the group of people whereas Principle A still requires coreference, i.e.,
referred to as they cannot include the referent of him: total overlap/equality of set indices:
Binding Theory 27

(23a) They{i,j} like himself*{i}/*{j}. instances of overlapping reference do not obviously


(23b) They{i,j} like themselves{i,j}. involve collective predication or do not involve predi-
(23c) They{i,j} like themselves*{i,k}/*{i,j,k}. cates whose collective reading is logically distinct
Example (23a) is ungrammatical because there is no from their distributive reading (Büring, 2004), and
coindexation that can make the set index of the certain ungrammatical instances of overlapping refer-
reflexive equal to the set index of the antecedent ence similarly do not involve obviously distributive
(himself cannot be plural). Example (23b) is, by con- predicates.
trast, grammatical: the set index of the reflexive and
its antecedent are equal. Example (23c) illustrates Semantic Approaches to Binding Theory
that overlap of reference or intersection is not suffi-
Bach and Partee (1980) provided a semantic alter-
cient for reflexive binding, since the sentence cannot
native to syntactic binding theories, couched in
have an interpretation in which a group of people
Montague semantics. They argue that functional
likes another group of people that includes only
application in the semantics yields a sufficiently rich
some of the first group.
structural relation to model binding theory, provided
A problem for this approach is that there are gram-
that certain auxiliary assumptions are made. These
matical examples that appear to be structurally iden-
assumptions can be thought of as analogous to bind-
tical to the ungrammatical examples above. Berman
ing constraints. Bach and Partee principally sought to
and Hestvik (1997) presented the following example,
show that a semantic binding theory achieves a cov-
which, while syntactically similar to (18), is accept-
erage equal to syntactic binding theories (of the time),
able for many speakers:
but they noted that one advantage of their semantic
(24) John and Mary often connive behind their binding theory is that it generalizes readily to lan-
colleagues’ backs to advance the position of guages whose syntactic structure is less configu-
one or the other. This time they got her a job rational. These languages nonetheless have rules of
in the main offce. semantic composition similar to those of configu-
Since they refers to John and Mary and her refers to rational languages, even if notions like subject and
Mary, the grammatical sequence they{i,j} got her{j} a object in these languages are not defined configura-
job appears to be identical in binding-theoretic terms tionally. In this respect, their binding theory is similar
to the ungrammatical indexing they{i,j} like him{j} for to syntactic binding theories that define binding in
(18). terms of grammatical functions rather than on struc-
Reinhart and Reuland (1993) and Kiparsky (2002) tural configurations, which only indirectly model
proposed that the crucial difference between ungram- grammatical functions. The HPSG and LFG binding
matical and grammatical instances of overlapping re- theories discussed in an earlier part of this article are
ference lies in whether the predicate taking the two such theories.
pronominal as an argument is interpreted collectively Keenan (1988) also offered a semantic binding the-
or distributively. If the predicate is a collective predi- ory, but one based on his semantic case theory rather
cate, then overlapping reference is possible, but if it is than on Montague semantics. His binding theory
a distributive predicate, then overlapping reference is deals principally with reflexives and shares with the
impossible. This is meant to derive the difference Bach and Partee theory (1980) the advantage of ap-
between the grammatical (25a) and the putatively plying readily to nonconfigurational languages. The
ungrammatical (25b): basic insight behind Keenan’s theory of reflexiviza-
tion is that a reflexive denotes a function SELF that
(25a) We elected me. when applied to a binary relation R returns the set of
(25b) * We voted for me.
x such that hx, xi is in R. The function SELF thus
The idea is that elect is a collective predicate and reduces the arity of the relation that it applies to. This
the overlapping reference is allowed, but vote for treatment of reflexivization as an arity-reducing func-
involves each individual voting separately and is tion is shared by Bach and Partee (1980).
therefore distributive, rendering the sentence un- Reinhart and Reuland (1993) offered a mixed syn-
grammatical. Similarly, the context of (24) makes it tactic/semantic approach to binding theory. Their
clear that John and Mary together got her a job – the theory centers around the notion of predication,
predicate is interpreted collectively. However, many with syntactic predicates distinguished from semantic
speakers find (25b) just as grammatical as (25a), even predicates. A semantic predicate is a predicate and its
though vote for is presumably equally distributive semantic arguments. A syntactic predicate is a head,
for these speakers. In addition, certain grammatical all of its selected internal arguments, and, crucially,
28 Binding Theory

an external argument (a subject). Reinhart and Reu- Constraints on the distribution of exempt anaphors
land proposed the following two binding conditions: are often claimed to be defined in nonsyntactic terms.
For example, Pollard and Sag (1994) argued that
1. A reflexive-marked syntactic predicate is reflexive.
exempt anaphors are used to refer to an antecedent
2. A reflexive semantic predicate is reflexive-marked.
whose point of view is being reported. In this view,
A predicate is reflexive-marked if and only if one of exempt anaphors are subject to discourse and prag-
its arguments is a reflexive. A predicate is reflexive if matic constraints, as discussed extensively by Kuno
and only if two of its arguments are coindexed. (1987). In cases of noncomplementary distribution,
Given these conditions, a sentence like Gonzoi such as (27), Kuno argued that the reflexive indicates
injured himselfi is allowed since injured is a reflexive- that the speaker has taken on the subject’s point of
marked predicate (marked by himself), that is view but the pronoun does not. The encoding of point
reflexive (the arguments of the predicate are co- of view in pronominal systems is typically discussed
indexed). The sentence *Gonzoi injured himi is dis- under the rubric of logophoricity.
allowed because the predicate is reflexive but not Theories of exemption differ on the treatment of
reflexive-marked. And the sentence *Gonzoi said the specifier or possessor of a noun phrase. Reinhart
Kate injured himselfi is unacceptable since injured is and Reuland’s theory (1993), like Chomsky’s (1986),
reflexive-marked but not reflexive (Kate and himself treats specifiers of noun phrases as subjects for pur-
are not coindexed). poses of binding theory. This predicts that sentences
like (28) are ungrammatical:
Exemption and Logophoricity (28) * Gonzoi downloaded her picture of himselfi.
Certain formulations of binding theory allow some Since the specifier her is in the right structural posi-
occurrences of anaphors to be excluded from the tion to count as a subject, the reflexive must be bound
purview of binding constraints. For example, HPSG’s in the NP, either because it can be bound in this
Principle A states that a locally commanded anaphor minimal domain (in Chomsky’s 1986 account) or
must be locally bound (where the command relation because the head noun counts as a syntactic predicate
is either o-command or a-command, depending on and is reflexive marked (in the Reinhart and Reuland
the version of the theory, as discussed above). If an account).
anaphor is not locally commanded, HPSG’s Principle Recent psycholinguistic evidence has been shown to
A does not apply to it: the anaphor is exempt bear on this issue; speakers in fact find sentences like
from binding (Pollard and Sag, 1994). For example, (28) grammatical (Asudeh and Keller, 2001; Runner
the reflexive in the following sentence is an exempt et al., 2003):
anaphor:
(29) Gonzoi downloaded her picture of himselfi.
(26) Gonzoi downloaded a picture of himselfi.
Asudeh and Keller (2001) argued that the result
Similarly, in (27) the reflexive is in noncomplemen- exemplified by (29) supports predication-based bind-
tary distribution with a pronoun and is treated as ing theories that do not treat possessors as subjects,
exempt from binding constraints: such as certain versions of HPSG and LFG binding
(27) Gonzoi saw a snake near himi/himselfi. theory. They noted that the possessor in the noun
phrase is not an argument of the head noun and
The binding theory of Reinhart and Reuland (1993) is concluded that if the possessor is not a semantic argu-
similar in treating some anaphors as exempt. Recall ment, then it is not a subject in predication-based
that their Principle A requires a reflexive-marked theories. In an HPSG binding theory, the reflexive in
syntactic predicate to be reflexive. Crucially, a syntac- (29) is exempt. In an LFG account, the reflexive is not
tic predicate must have a subject. Therefore, although exempt but must be bound in the minimal domain
the noun picture in (27) is reflexive-marked, it does containing a subject, which corresponds to the matrix
not count as a syntactic predicate, and Reinhart and clause.
Reuland’s Principle A does not apply to it. Theories
like these, in which some anaphors are exempt
from binding constraints, contrast with approaches Pragmatic and Blocking Approaches to
like that of Chomsky (1986), sketched earlier. In
Binding
Chomsky’s view, reflexives in examples like (27) are
not exempt from binding but rather must be bound in In the binding theories reviewed thus far, Principle
a slightly larger syntactic domain. The binding theory A and Principle B derive a kind of blocking effect:
of LFG is similar in this regard. pronouns are in general barred where reflexives are
Binding Theory 29

required. Pronouns and reflexives are thus predicted (30d) * Johan skyndade Maria.
to be in mostly complementary distribution, although J. hurried M.
the complementarity is relaxed in certain situations, A question raised by this pattern of data is why the
using a variety of mechanisms. Kiparsky (2002) noted long-distance reflexive is used for valence reduction.
that this derivative notion of blocking has the concep- Reinhart and Reuland (1993) offered an explanation
tual disadvantage of lacking deep motivation: the of these facts based on the observation that long-
general complementarity seems merely coincidental. distance reflexives are morphologically simple
He argued that the grammar should include blocking (Faltz, 1977; Pica, 1987). However, in languages
principles that explicitly compare structures contain- like English, which lack morphologically simple
ing pronouns to ones containing reflexives. He gave reflexives, full reflexives seem to serve a similar func-
an overview of the issues involved and offered a hy- tion:
brid binding theory that includes blocking principles.
Huang (2000) presented an alternative sort of (31a) Gonzo behaved himself.
blocking account based on a theory of neo-Gricean (31b) * Gonzo behaved David.
pragmatics. Huang’s analysis followed in an estab- A detailed study of reflexivization and its relation to
lished tradition of pragmatic approaches to bind- syntactic and semantic valence reduction was pre-
ing, which he reviewed extensively. His account sented by Sells et al. (1987).
contrasts with that of Kiparsky (2002), in which the
blocking constraints rely on notions of featural and Binding and Movement
morphological economy rather than on pragmatic
Binding theory is invoked in certain treatments of
principles.
A-movement (movement to an argument position)
Although blocking accounts arguably provide an
and A-bar movement (movement to a nonargument
explanation of pronoun/reflexive complementarity
position) in transformational grammar. Such treat-
that nonblocking accounts lack, they are by the same
ments assume that the passive example of A-move-
token seriously challenged when the complementarity
ment in (32a) and the wh-question example of A-bar
breaks down. Reflexives and pronouns must be
movement in (32b) involve transformations, in which
shown to give rise to different meanings or pragmatic
the t represents the original position – the trace – of
effects in such environments, with the result that the
the coindexed element:
blocking relation fails to apply since it chooses only
between semantically or pragmatically equivalent (32a) Gonzoi was accosted ti.
options (Kiparsky, 2002; Huang, 2000). (32b) Whoi did someone accost ti?
The fact that binding theory applies to these examples
might initially appear puzzling since binding theory is
Reflexives and Valence Reduction
about anaphors, pronominals, and nonpronouns, and
Reflexive forms do not always fill a syntactic and traces do not seem to fit into any of these categories.
semantic role of a predicate. In many languages, the However, Chomsky (1982) gave a featural break-
same form can play two roles. It can be a reflexive down of overt noun phrases in terms of the features
pronoun with an independent syntactic and semantic [ ! a(naphor)] and [ ! p(ronominal)] and then ap-
role in some cases, and it can mark intransitivity or plied the classification to covert noun phrases, i.e.,
valence reduction, with no associated semantic role, empty categories. The passive trace is grouped with
in other cases. For example, the Swedish form sig anaphors using the feature assignment [þ a, #p]. The
serves as an argument long-distance reflexive in trace in wh-movement is grouped with nonpronouns
(30a). However, in (30b) it simply marks the verb as using the feature assignment [#a, #p]. This classifi-
intransitive. Examples (30c) and (30d) show that the cation enables the statement of locality relations on
verb is intransitive, since the verb cannot take a full transformations in terms of binding requirements on
local reflexive or a free object. traces of moved elements.
The binding-theoretic treatment of empty catego-
(30a) Johani hörde oss prata om sigi.
J. heard us talk about self ries has been considerably revised in more recent
‘Johan heard us talk about him.’ transformational work. Hornstein (2001) revived
(30b) Johan skyndade sig. the connection by claiming that anaphors are the
J. hurried self result of overt A-movement. In this view, pronom-
‘Johan hurried up.’ inals and reflexives are both claimed to be grammati-
(30c) * Johani skyndade sig självi. cal formatives introduced during derivations, not by
J. hurried self lexical insertion. This treatment of binding has the
30 Binding Theory

advantage for transformational grammar of reducing connectivity, as well as other issues concerning
binding to movement, which is independently moti- binding and movement.
vated in transformational theory. However, it faces a
number of challenges. The account does not readily See also: Anaphora, Cataphora, Exophora, Logophoricity;
extend to long-distance, intransitivizing, or exempt/ Anaphora: Philosophical Aspects; Command Relations;
logophoric reflexives. In addition, it treats deictic Coreference: Identity and Similarity; Deixis and Anaph-
pronouns differently from anaphors and pronom- ora: Pragmatic Approaches; Pronouns; Scope and
inals, as lexical items introduced through lexical Binding: Semantic Aspects; X-Bar Theory.
insertion. This raises the question of why nondeictic
personal pronouns, which are purely grammatical
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Biosemiotics
S Brier, Copenhagen Business School, Copenhagen, beings transcend the conceptual foundation of the
Denmark other natural sciences.
! 2006 Elsevier Ltd. All rights reserved. In the tradition of Peirce, who founded semiotics as
a logic and scientific study of dynamic sign action in
Semiotics develops a general theory of all possible human and nonhuman nature, biosemiotics attempts
kinds of signs, their modes of signification and infor- to use semiotic concepts to answer questions about
mation, whole behavior and properties, but is usually the biologic and evolutionary emergence of meaning,
restricted to human communication and culture. intentionality, and a psychic world. Peircian bio-
Biosemiotics (bios, life and semion, sign) is a growing semiotics builds on Peirce’s unique triadic concept of
field that studies the production, action, and interpre- semiosis, where the ‘interpretant’ is the sign concept
tation of signs, such as sounds, objects, smells, and in the organism that makes it see/recognize something
movements, as well as signs on molecular scales, in as an object. This is its interpretation of what the
an attempt to integrate the findings of biology and outer sign vehicle stands for in a motivated context
semiotics to form a new view of life and meaning as by relating to a code that is connected to that specific
immanent features of the natural world. Life and functionality. For instance, why a small gazelle, and
semiosis are seen as coexisting. The biology of recog- not an elephant, is seen as prey for a cheetah. As
nition, memory, categorization, mimicry, learning, Peirce’s semiotics is the only one that deals systemati-
and communication are of interest for biosemiotic cally with nonintentional signs of the body and of
research, together with the analysis of the application nature at large, and therefore accepts involuntary
of the tools and notions of semiotics such as interpre- body movements (such as instinctive motor patterns
tation, semiosis, types of sign, and meaning. The in animal courtship) and patterns of and within the
biosemiotic doctrine accepts nonconsciously inten- body (such as plumage for another bird and small-
tional signs in humans, nonintentional signs, also pox for a physician) as signs, and further patterns
between animals as well as between animals and and differences in nature (such as the track of a tor-
humans, and signs between organs and cells in the nado), it has become the main source for semiotic
body and between cells in the body or in nature. Thus contemplations of the similarities and differences of
the biological processes between and within living signs of inorganic nature, signs of the living systems,
Biosemiotics 31

Keenan E L (1988). ‘On semantics and the binding theory.’ Seventeenth Annual Meeting of the North Eastern Lin-
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words. [no. 53 in Studia Grammatica] Berlin: Akademie Reinhart T (1983). Anaphora and semantic interpretation.
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[Also in Lasnik H (1989). Essays on anaphora. Dor- Sells P, Zaenen A & Zec D (1987). ‘Reflexivization varia-
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Manzini M R & Wexler K (1987). ‘Parameters, binding E. Story.
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Pica P (1987). ‘On the nature of the reflexivization cycle.’ In In Wilkins W (ed.) Syntax and semantics: thematic rela-
McDonough J & Plunkett B (eds.) Proceedings of the tions, vol. 21. San Diego: Academic Press. 191–214.

Biosemiotics
S Brier, Copenhagen Business School, Copenhagen, beings transcend the conceptual foundation of the
Denmark other natural sciences.
! 2006 Elsevier Ltd. All rights reserved. In the tradition of Peirce, who founded semiotics as
a logic and scientific study of dynamic sign action in
Semiotics develops a general theory of all possible human and nonhuman nature, biosemiotics attempts
kinds of signs, their modes of signification and infor- to use semiotic concepts to answer questions about
mation, whole behavior and properties, but is usually the biologic and evolutionary emergence of meaning,
restricted to human communication and culture. intentionality, and a psychic world. Peircian bio-
Biosemiotics (bios, life and semion, sign) is a growing semiotics builds on Peirce’s unique triadic concept of
field that studies the production, action, and interpre- semiosis, where the ‘interpretant’ is the sign concept
tation of signs, such as sounds, objects, smells, and in the organism that makes it see/recognize something
movements, as well as signs on molecular scales, in as an object. This is its interpretation of what the
an attempt to integrate the findings of biology and outer sign vehicle stands for in a motivated context
semiotics to form a new view of life and meaning as by relating to a code that is connected to that specific
immanent features of the natural world. Life and functionality. For instance, why a small gazelle, and
semiosis are seen as coexisting. The biology of recog- not an elephant, is seen as prey for a cheetah. As
nition, memory, categorization, mimicry, learning, Peirce’s semiotics is the only one that deals systemati-
and communication are of interest for biosemiotic cally with nonintentional signs of the body and of
research, together with the analysis of the application nature at large, and therefore accepts involuntary
of the tools and notions of semiotics such as interpre- body movements (such as instinctive motor patterns
tation, semiosis, types of sign, and meaning. The in animal courtship) and patterns of and within the
biosemiotic doctrine accepts nonconsciously inten- body (such as plumage for another bird and small-
tional signs in humans, nonintentional signs, also pox for a physician) as signs, and further patterns
between animals as well as between animals and and differences in nature (such as the track of a tor-
humans, and signs between organs and cells in the nado), it has become the main source for semiotic
body and between cells in the body or in nature. Thus contemplations of the similarities and differences of
the biological processes between and within living signs of inorganic nature, signs of the living systems,
32 Biosemiotics

and the cultural and linguistic signs of humans living it is crucial that the correspondence is not a universal
together in a society. natural law but is motivated from a living signifying
Semiotics is also defined as the study – or doctrine – system. Thus machines do not make codes them-
of signs and sign systems, where sign systems are most selves. A sequence of differences such as the base
often understood as codes. Examples of biological pairs in DNA can be information for coding, but is
codes are those for the production of proteins from not a code in itself. Biosemiotics argues that codes are
the information of the genome, for the reception and triadic sign processes where an interpretant makes the
effects of hormones, and neurotransmitters spring to motivated connection between objects and signs
mind as obvious biological sign systems. Marcello (representamens). Living systems function based on
Barbieri (2001) has pointed to the importance of self-constructed codes. This differentiates them from
codes in living systems such as the genetic code, signal physical, chemical, and technological systems (com-
codes for hormones and between nerve cells, and puters do not make their own codes as they function
between nerve cells and muscles, codes for recogni- causally after the codes we have made and installed).
tion of foreign substances and life form in the immune As Alexis Sharov (1998) notes, a sign is an object that
system, etc. He defines codes as rules of correspon- is a part of some self-reproducing system. A sign is
dence between two independent worlds such as the always useful for the system and its value can be
Morse code standing for letters in the alphabet. determined by its contribution to the reproductive
A code gives meaning to differences or information value of the entire system. Thus semiosis is a crucial
in certain contexts. But information is not a code in part of those processes that make systems living and
itself. He also points to the peculiar fact that the lift them out of the physical world’s efficient causality
proteins in the living cell are different from proteins through the informational realm of formal causality
created through external spontaneous chemical pro- in chemistry into the final causation in semiotic pro-
cesses. Living systems are not natural in the same way cesses. Thus, biosemiotics works with more types of
as physical and chemical systems because the protein causation than classical sciences inspired by Peirce’s
molecules they are self-constructed from are manu- semiotic philosophy.
factured by molecular machines (the ribosomes and In Peirce’s philosophy, efficient causality works
connected processes). The ribosomes, that is an or- through the transfer of energy and is quantitatively
ganelle in the cell constructed by huge RNA mole- measurable. Formal causality works through pattern
cules connected with several enzymes, are systems fitting, difference, and with signals as information in
that are capable of assembling molecules by binding a dualistic proto-semiotic matter. Final causation is
their subunits together in the order provided by a semiotic signification and interpretation. Semiosis,
template. Cell proteins have the sequences of their both in the form of signification and communication,
amino acids determined by the internal code system is viewed as an important part of what makes living
in the cell connected to the genes in the nucleus’s systems transcend pure physical, chemical, and even
DNA. The ribosomal system for building proteins the informational explanations of how computers
uses the base sequence of messenger-RNA, which function. Molecules are composed of sequences of
comes out to the ribosome from inside the nucleus, atoms and make three-dimensional shapes. They in-
in itself a template of the gene in the DNA, to deter- teract informationally through formal causality. The
mine the amino acid sequence in the proteins. Living biological macromolecules are composed of minor
systems are thus built out of artificially produced, molecules often put in sequences. Cells interpret the
code-based molecules from the cell’s molecular as- molecules as coded signs and interact with them
sembler machine. They are autopoietic (self-creating) through final causation in semiosis.
– as pointed out by Maturana and Varela – as they Thus far, biosemiotics considers the living cell to be
produce their own elements and internal organiza- simplest system possessing real semiotic competence.
tion. A living system’s structure, organization, and Biosemiotics sees the evolution of life and the evolu-
processes are determined by internal codes and they tion of semiotic systems as two aspects of the same
are therefore in a certain way artificial. process. The scientific approach to the origin and
Thus a code is a set of process rules or habits (for evolution of life has overlooked the inner qualitative
instance, how the ribosome works) that connects aspects of sign action, leading to a reduced picture
elements in one area (e.g., genes) with another area of causality. The evolution of life is not only based
(e.g., proteins) in a specific meaning context (here on physical, chemical, and even informational
the creation, function, and survival of the cell). processes, but also on the development of semiotic
As the biosemiotician Kalevi Kull (1999) points out, possibilities, or semiotic freedom as one of the found-
codes are correspondences that cannot be inferred ing biosemioticians, Jesper Hoffmeyer (1996), calls it.
directly from natural laws. To most biosemioticians, It is the evolution of semiotic freedom that creates the
Biosemiotics 33

Figure 1 The model classifies types of semiosis and proto-semiotic (informational) processes. On the left side is Luhmann theory of
viewing the body, the psyche, and the linguistic system as autopoietic (closed and self-organized). The localization of the processes in
this diagram is symbolic and not really related to actual physical locations; for example, the head is also part of biological autopoiesis
and the location of endosemiotic processes. To simplify this model, I have placed all the cybernetic-autopoietic concepts on the left and
all the biosemiotic ones on the right, although all concepts concern both persons. Each person is placed within a signification sphere
(Umwelt). When these spheres are combined through sociocommunicative autopoietic language games, a common signification
sphere of culture is created. One part of exosemiotic signification is based on the linguistic processes of conceptualization and
classifications. Underneath the language games is the biological level of instinctually based sign games, and under that is the
informational exchange through structural couplings. Thus, exosemiotics also has a level of biopsychological, or emphatic, significa-
tion, as well as a level of structural couplings that the organism, or rather the species, has developed through evolution. Endosemiotics
is made up of the processes between cells and organs in the body. Phenosemiotics is prelinguistic sign processes in the mind such as
emotions and imaging, where thought semiosis is conceptualized thinking. On the far left side are the signification processes toward the
environment that consists of nonintentional potential signs that become the signification sphere when they are interpreted as signs.

zoosemiotic system of sign games, as the bio- and are governed by formal causality in the sense of the
cybersemiotician Søren Brier (1995) calls it. These downward causation from a higher level structure
sign games are the primary system behind the foun- (such as a tissue, an organ, or the entire organism)
dation of human language games and the tertiary to its individual cells, constraining their action, but
system of culture such as Thomas Sebeok and Marcel also endowing them with functional meanings in re-
Danesi (2000) have thoroughly shown in their lation to the entire metabolism (as systems science has
Modeling System Theory. shown). Organisms are governed by final causality in
Multicellular living individual beings are then un- the sense that they tend to take habits and generate
derstood as swarms of communicatively organized future interpretants of the present sign actions, as
semiotic cellular units. The human body is seen as in learning. In this sense (Brier, 1998), biosemiotics
organized in swarms of swarms of biological and draws upon the insights of fields such as systems
as layer upon layer of internal (endo) semiotic pro- theory, theoretical biology, and the physics of com-
cesses, as well as external (exo) signification processes plex self-organized systems. As Sharov (1998) points
building up a signification sphere (Umwelt) and final- out, biosemiotics can be viewed as a root of biology
ly exo-semiotic social processes between individuals and semiotics rather than a branch of semiotics (in
constructing language and first-person experiences its conventional limit to human languages). As such,
(see Figure 1). biosemiotics also represents a suggestion for a deep-
Complex self-organized living systems are not only er foundation that can connect biology with the
governed by physically efficient causation; they are humanities in another way than sociobiology and
also governed by formal and final causality. They evolutionary psychology do.
34 Biosemiotics

Biological systems are then understood as being second wave are contemporary scholars such as
held together for communicative reasons and are Jesper Hoffmeyer and Claus Emmeche (who formed
therefore not natural in physical–chemical under- the biosemiotic group in Copenhagen in the 1980s),
standing. They are communicative structures, as Kull Kalevi Kull (the Jakob von Uexküll center), Alexei
(2001) argues. One could also call them discursive Sharov, Søren Brier, Marcello Barbieri, Anton
material systems. As we can call humans language- Markos, Dario Martinelli (zoosemiotic musicolo-
cyborgs because our minds are artificially formed gy), and semioticians such as Floyd Merrell, John
by language, we can call all other living systems sign- Deely, Myrdene Anderson, Lucia Santaella, Frederik
cyborgs because they are made of coded molecules and Stjernfelt, Tommi Vehkavaara, and Winfried Nöth
organized communicatively by semiotic processes. have also contributed as part of their more general
But computers only work on and are organized work. In the following, we look into the foundations
around differences or informational bits. Thus, they and specific theories. However, it is interesting that
are dualistic and therefore proto-semiotic (Nöth, F. S. Rothschild (1899–1995), who did not notably
2002), as genuine semiosis is triadic according influence the development of biosemiotics, was the
to Peirce. The same goes for information in natural first to use the term in 1962 in the Annals of the New
systems, for example dissipative structures such as York Academy of Sciences 96: 774–784.
tornadoes.
Biosemiotics offers a rich field of exploration and Thomas Sebeok’s Development of
ongoing research into the life of signs as they are
Zoosemiotics and Biosemiotics
found in the actual world’s ecological, mental, and
artificial systems (Emmeche, 1998). Examples of Ever since Umberto Eco formulated the problem of
relevant topics are sign functions in physical, chemi- the semiotic threshold, Peircian semiotics has devel-
cal, biological, and computational systems such as oped further into the realm of biology. The efforts of
molecular biology, cognitive ethology, cognitive sci- Thomas Sebeok (1920–2001) have led to the devel-
ence, robotics, and neurobiology; communication opment of a biosemiotics encompassing all living
of all living systems including the area of ethology; systems, including plants and microorganisms as
the semiotics of cellular communication in the body sign users (Petrilli and Ponzio, 2001). Sebeok’s name
among organs, the immune system, and in the brain is associated most of all with the term ‘zoosemiotics,’
such as psychoneuroimmunology, the representa- the study of animal sign use (Sebeok, 1972). It was
tional dynamics of disease and possible relevance coined in 1963 and it deals with species-specific
for medical diagnose and treatment; the study of communication systems and their signifying beha-
the semiotics of complex systems, anticipatory sys- viour. Zoosemiotics is concerned more with the syn-
tems, artificial life, and real life; the semiotics of chronic perspective than the ethology of Lorenz and
collective biological phenomena such as emergent Tinbergen, which focuses more on the diachronic
signs in swarm intelligence; the metaphysics of dimension. Sebeok’s research succeeded in broaden-
Darwinism: can semiotics provide a foundation for ing the definition of semiotics beyond human lan-
a new evolutionary paradigm through Peirce’s idea guage and culture to a biosemiotics encompassing
of Thirdness, and the emergence of interpretants not only human nonverbal communication but also
in biotic evolution? Biosemiotics can help develop all sign processes between and within animals
the theory of biological self and its relation to the (Sebeok, 1990). He pointed out that we are living in
emotional and sign-producing systems in animals a world of signs: a ‘semiossphere.’ Sebeok argued that
as well as the linguistic thinking system in humans, the biosphere and the semiossphere are linked in a
the theory of the embodiment of consciousness and closed cybernetic loop where meaning itself powers
language and internal mental causation. Such may creation in self-excited circuits. With Sebeok’s enthu-
be a short and bold formulation of the biosemiotic siastic support as editor, the two large special volumes
view combining several researchers’ contribution to of Semiotica on biosemiotics (Sebeok et al., 1999),
a view that is as close to consensus as possible for and on Jakob von Uexküll’s contribution to the foun-
the leading researchers in this still young research dation of biosemiotics (Kull, 2001) were edited by
program. first the Copenhagen and next the Tartu school of
Apart from C. S. Peirce, early pioneers of biosemi- biosemiotics. Later, through the collaboration of
otics are Jakob von Uexküll (1864–1944), Charles these schools of biosemiotics, a series of annual con-
Morris (1901–1979), Heini Hediger (1908–1992), ferences under the name Gatherings in Biosemiotics
and Giorgio Prodi (1928–1987); the founding fathers has been developed since 2000, now also in collabo-
are Thomas A. Sebeok (1920–2001) and Thure von ration with biosemioticians in Prague. In 2004,
Uexküll (1908–2004), and the founders of the through further cooperation with the Italian school
Biosemiotics 35

of semantic biology (Barbieri), work on starting a


Journal of Biosemiotics has begun.

Hoffmeyer and Emmeche’s Theory of


Code Duality
Later Sebeok decided that that zoosemiotics rests on
a more comprehensive science of biosemiotics. This
global conception of semiotics, namely biosemiotics, Figure 2 Jakob von Uexküll’s functional circle that demon-
equates life with sign interpretation and communica- strates his (phenomenal constructivistic) concept of objects
(von Uexküll 1957: 10–11; referred to as ‘Figure 3.’) In cybernetic
tion. It is carried by an inspiration from Jakob von
recursive e processes between receptors and effectors, the per-
Uexküll’s theory that all living beings are the center ceptual object is created on the basis of a functional tone.
of a phenomenal Umwelt (Sebeok, 1989). This idea
was carried on through Thure von Uexküll, with
whom Sebeok interacted in creating the foundations In J. and T. von Uexküll’s writings (J. von Uexküll,
for a modern biosemiotics. In the late 1980s, these 1934; T. von Uexküll et al., 1982) on the species-
ideas merged with the ideas of the Danish biochemist specific and subjective Umwelt in animals, one finds
Jesper Hoffmeyer’s communicative view of life and the roots of important concepts such as sign stimuli,
his and the biophilosopher Claus Emmeche’s theory innate release mechanisms, and ‘functional tones’ that
(Emmeche and Hoffmeyer, 1991; Hoffmeyer and are later utilized in Lorenz’s ethological research pro-
Emmeche, 1991) of the foundational code duality of gram as the concept of motivation. J. von Uexküll’s
living systems: they see living systems defined by the ‘tone’ concept is the root of Lorenz’s specific
interactions through evolution between a digital code motivation, but it seems even more closely related to
in the gene or genotype and an analog code in the Gibson’s affordances, although it is unclear wheth-
whole individual or phenotype. The gene is a code for er Gibson ever read von Uexküll. The functional
memory and self-representation and the individual tones are the number of functions an animal can dis-
living body is a code for action and interaction tinguish in its surroundings, which creates its func-
with the real world and its ecology. Thus life appears tional images of ‘thing’ that thus becomes ‘object’ in
also to be an interplay of different types of self- and the animals Umwelt. Brier (1999) has coined the term
other-descriptions. The egg and the hen as two inter- ‘signification sphere’ to give a modern semiotic term
acting aspects of a living system evolving through to Uexküll’s presemiotic concepts. Figure 2 shows the
time and space is another example. Thus signs and presemiotic Uexküll model of object perception.
not molecules are the basic units of the study of life As von Uexküll’s concept of ‘tone’ becomes
and the semiotic niche is the species home. Biological Lorenz’s ‘motivation,’ the ‘subjectively defined ob-
evolution is a development toward more semiotic ject’ becomes the ‘sign stimuli’ in ethology, and fi-
freedom. Hoffmeyer’s contribution to biosemiotics nally the ‘functional relation between receptors
is summarized in Emmeche et al. (2002). and effectors’ becomes the ‘IRM’ (innate response
mechanism). However, it is clear that von Uexküll’s
biophenomenological concepts differ from the bio-
The Roots from Uexküll and Ethology cybernetic and partially mechanistic framework
found in the theoretical foundation of Lorenz and
Although biosemiotics is already prefigured in Jakob Tinbergen’s articles from around 1950. First in the
von Uexküll’s Umweltlehre, although not in semiotic new biosemiotics, this conceptual difference can be
terms, Sebeok fruitfully combined the influences of solved using Peirce’s philosophy (Brier, 2001).
von Uexküll and Charles S. Peirce, to merge them into
an original whole, in an evolutionary perspective,
arriving at the thesis that symbiosis and semiosis are
Animal Languages or Sign Games?
one and the same (Sebeok, 1989). Biosemiotics finds The empiricist and natural science readings Sebeok
its place as a master science, which encompasses the offers for communication were new to the semi-
parallel disciplines of ethology and comparative psy- otics field. References to animal models are made
chology. As Uexkull was one of Konrad Lorenz’s most throughout his work in the context of ethology. The
important teachers, the ethology he and Tinbergen approaches of ethology and sociobiology have been
developed fitted nicely into biosemiotics as it devel- controversial and, in their applicability to human
oped from Sebeok’s studies of animal communication culture and society, accused of reductionism. Sebeok
and ethology. shows that some of this controversy may find itself
36 Biosemiotics

played out in the new transdisciplinary framework of The Peircian Influence


biosemiotics. In 1992, he and his wife Jean Umiker-
The majority of biosemiotics builds on Peirce’s
Sebeok published ‘The semiotic web 1991’ as a vol-
unique triadic concept of semiosis, where the inter-
ume titled Biosemiotics. This volume was predicated
pretant is the sign concept in the organism’s mind,
on a book they edited in 1980, Speaking of apes,
which is the interpretation of what the outer sign
which presented a detailed critical evaluation of cur-
vehicle stands for: its object. For instance, that a
rent investigations of the ability of apes to learn lan-
raised fist’s object is a physical threat. Peircean biose-
guage. Sebeok showed in a profound critique of the
miotics is based on Peirce’s theory of mind as a basic
way the experiments were constructed that it is part of reality (in Firstness) existing in the material
very doubtful that apes have such capabilities. Thus
aspect of reality (in secondness) as the inner aspect of
biosemiotics does not entail that there are no signifi-
matter manifesting itself as awareness and experience
cant differences between human and ape linguis-
in animals and finally as consciousness in humans.
tic capabilities. But through biosemiotics, Sebeok
Peirce’s differentiation between the immediate object
and Danesi (2000) argued that a zoosemiotic system
of semiosis and the dynamic object – that is all we can
exists as the foundation of human language, which
get to know about it in time – is a differentiation
has to be called the primary one; thus languages
between the object of the organism and the environ-
become secondary and culture tertiary, as already ment or universe outside it. Biosemiotics begins with
mentioned.
the process of knowledge: how signification occurs
within living systems, making perception and cogni-
tion possible.
Anthroposemiotics as Part
of Biosemiotics
Peircian Biosemiotics
But biosemiotics does not only deal with animals
in zoosemiotics; it also deals with signs in plants Modern Peircian biosemiotics is very different from
in phytosemiotics, with bacterial communication. the symbolic semiotics of human language that cyber-
According to one standard scheme for the broad clas- neticians distanced themselves from many years ago.
sification of organisms, five super kingdoms are now The theories of Heinz von Foerster on recursive func-
distinguished: bacteria, protists (protozoa-like slime tions in the nervous system establishing perceptual
molds and primitive algae, all with a nucleus), plants; objects as eigen functions of this recursive cognitive
animals; and fungi. Thus the major classification interplay between nervous system and environment
categories in biosemiotics are: bacteriosemiotics, has supported Uexküll’s older concept of object
protistosemiotics, phytosemiotics (Krampen, 1981), (Brier, 1996). Humberto Maturana and Francisco
mycosemiotics, and zoosemiotics (Deely, 1990). Varela’s concept and theory of autopoiesis, the cell
Within zoosemiotics, anthroposemiotics encom- as a self- and closure-organizing system recursively
passes the human race. There are two biosemiotic reproducing the closure and internal organization
interpretations of anthroposemiotics. One is that it of living systems, have had a significant influence on
encompasses the traditional area of semiotics of lan- the development of the Copenhagen school of
guage and culture plus the embodiment of human biosemiotics (Brier, 1995). The interaction between
signification. The other one, that leading biosemioti- the autopoiesis, the genome, and semiosis in an ani-
cians share, is that it only deals with the human mal (here a small fish) as understood through bio-
body and the biological parts of human cognition semiotics can be modeled as shown in Figure 3.
and communication. Going into the body of multicel- Peircian biosemiotics is distinct from other semiot-
lular organisms, endosemiotics (T. von Uexküll et al., ic paradigms in that it not only deals with intentional
1993) deals with communication between the cells in signs of communication, but also encompasses non-
the body of all living systems, including human phys- intentional signs such as symptoms of the body and
iology. In the framework of endosemiotics, there is, patterns of an inanimate nature. Peircian semiotics
for instance, a special area of immunosemiotics breaks with the traditional dualistic epistemological
dealing with the immunological code, immunological problem of first-order science by framing its basic
memory, and recognition. The way that we now know concept of cognition, signification, within a triadic
that the nervous system’s, the hormone system’s, and semiotic philosophy. Triadic semiotics is integrated
the immunological system’s communicative codes into a theory of continuity between mind and mat-
work on each other is considered to be the basis of ter (Synechism) where the three basic categories
the biological self: an endosemiotic self-organized (Firstness, Secondness, and Thirdness) are not only
cybernetic system with a homeostasis. inside the perceiver’s mind, but also in the nature
Biosemiotics 37

Figure 3 Brier’s model showing two autopoietic systems (males) of the same species (gene pool) see the same sign in an object,
creating the interpretant of a female of the same species. This occurs through the partially inherited structural coupling that ethology
calls the innate response mechanism (IRM), which is tuned to anticipate certain differences as significant for survival and proliferation,
i.e., as sign stimuli. The whole model is within one life form (naturalizing Wittgenstein’s concept), mating, which again generates the
mating sign game or ground (Peirce). I have excluded here, for simplicity, the female’s point of view as a species-specific autopoietic
system.

perceived. This is connected to the second important informational terms (Brier, 1992). From a Peircian
ontological belief in Peirce’s philosophy, namely point of view, these phenomena are proto-semiotic,
Thycism that sees chance and chaos as basic charac- or quasi-semiotic, when compared to the semiosis of
teristics of Firstness. This is combined with an evolu- living systems, because they are only displays of Sec-
tionary theory of mind (Agapism), where mind has a ondness in the well-argued view of Winfred Nöth
tendency to form habits in nature. Chaos and chance (2002). There is thus competition between the infor-
are seen as a First, which is not to be explained further mational and the semiotic approaches in producing
(for instance, by regularities). It is the basis of habit- that new transdisciplinary framework that can unite
forming and evolution. The chaos of Firstness is not the traditional views of nature by the sciences, with
seen as the lack of law, as it is in mechanicism and the new understandings of computers and cognition
rationalism, but as something full of potential quali- and finally the social aspects of language and con-
ties to be manifested individually in Secondness and sciousness in communication.
as general habits and knowledge in dynamic objects But some scholars even accept to use the sign con-
and semiosis in Thirdness. This is the deep foundation cept on processes between nonliving entities in nature
of Peirce’s pragmaticism (Brier, 2003). and machine: physiosemiotics. John Deely (1990) is
one of the more prominent promoters of a Peircean
Biosemiotics and Information in view of semiotics as a transdisciplinary theory encom-
passing both the human mind and its text production
Computer and Physiosemiotics
as seen from phenomenology and hermeneutics as
The essential question for the current debate about well as all of nature and life seen from a biosemiotic
the possibility of a transdisciplinary information/ as well as a physiosemiotic viewpoint. That is not
signification science is whether the Percian biosemi- the discussion of whether any natural thing can be-
otics can comprise uninterpreted natural objects, come a sign when placed in a meaningful context by a
dissipative structures, and other spontaneous genera- living system, but if the objects and their processes
tions of order and patterns in nature as signs. These are signs per se.
objects were previously described in physical–chemi- It is interesting to see that semiotics thus has moved
cal terms. Now some adherents of the paninforma- from the humanities into biology and from there even
tional paradigm want to explain them in purely into the other natural sciences at the same time as the
38 Biosemiotics

and communication coming from cybernetics and


computer science with the semantic pragmatic
approaches coming from the linguistic point of view
and semiotics if we want to bridge this gap in our
culture and knowledge. Concepts of closure, self-or-
ganization, and differentiation of biological, psycho-
logical, and social systems developed in second-order
cybernetics and autopoiesis theory need to be
integrated into theories of embodiment and Peircian
biosemiotics.

Cyber(bio)semiotics
Søren Brier (2003) has developed such a philosophy
of information, cognition, and communication sci-
ence framework that encompasses biosemiotics
and information science and well as second-order
cybernetics and autopoiesis to this transdisciplinary
area, which he calls Cybersemiotics.
Peircean cybersemiotics is based on Peirce’s theory
of mind as a basic part of reality (in Firstness) existing
Figure 4 The relevance of the bottom-up informational view in the material aspect of reality (in Secondness) as
and the top-down semiotic view in the area of the foundation of the inner aspect of matter (hylozoism) manifesting
information science. On the left side is a hierarchy of sciences itself as awareness and experience in animals and
and their objects, from physics to humanities and vice versa. On
finally as consciousness in humans. Combining this
the right is an illustration of the two most common scientific
schemas for understanding and predicting communicative and with a general systems theory of emergence, self-
organizational behavior: (1) the semiotic top-down paradigm of organization, and closure/autopoiesis, and a semio-
signification, cognition, and communicative and (2) the informa- tized version of Luhmann’s triple autopoietic theory
tional bottom-up functionalistic view of organization, signal trans- of communication (see Figure 1) combined with prag-
mission, and AI. The width of the two paradigms in correlation
matic theories of embodied social meaning, it forms
with the various subject areas shows an estimate of how the
relevance of the paradigm is generally considered, although an explicit theory of how the inner world of an or-
both claim to encompass the entire spectrum. ganism is constituted and, therefore, how first-person
views are possible and are just as real as matter. Such
a theory has been missing from the modern discus-
formulation of objective informational concepts has sions of a science of consciousness. Through this
been used as the basis of understanding all types foundation for semiosis, a theory of meaning and
of cognitive processes in animals, machines, humans, interpretation including mind – at least as immanent
and organizations in the information processing in nature – is possible, and cybernetic views of infor-
paradigm. Information science is thus moving from mation as well as autopoietic views on structural
computer science down into nature and up into cog- couplings can be combined with pragmatic theories
nitive systems, human intelligence, consciousness and of language in the biosemiotic perspective.
social systems, and communication in competition The term ‘pro- and quasi-semiotic objects’ recog-
with semiotics that is moving in the other direction nizes that systems in nature and culture work with
(see Figure 4). differences, often in the form of coding, instead of
Information theory is now an important part of the through either physical causality or meaningful semi-
consciousness research program, but there is a great osis. Systems of Secondness have established an infor-
deal of work to do for serious philosophy, considering mation level above the energetic and causal level of
how many central philosophical topics of mind, lan- nature. This area, delimited from a semiotic point
guage, epistemology, and metaphysics will be affected of view, is part of what classical first-order cyber-
by the biosemiotic development. Peircian biosemio- netics considers their subject area: goal-oriented
tics may contribute to a new transdisciplinary frame- machines and pattern-forming, self-organized pro-
work in understanding knowledge, consciousness, cesses in nature that are based on information. The
meaning, and communication. But to do this, new terms ‘informational,’ ‘coding,’ and ‘signal’ are used
elements have to be integrated, making it possible to mainly in cybernetic contexts for these systems, be-
unite the functionalistic approaches to information fore attempts, foreshadowed by Wiener, to create a
Biosemiotics 39

paninformational paradigm (Brier, 1992). In Peircean chemistry. It is not only a matter of complexity but
biosemiotic philosophy, these levels can be bound also of organization and type of predominant cau-
together by Synechism, Tychism, and Agapism, com- sality, which here is formal causation.
bined with an evolutionary view of the interactions 4. On the fourth level, where life has self-organized,
between Firstness, Secondness, and Thirdness. The the actual semiotic interactions emerge. First inter-
view of Firstness as a blend of qualities of mind and nally in multicellular organisms, such as in endo-
matter containing qualia and living feeling and a semiotics, and between organisms such as in sign
tendency to form habits is crucial for understanding games. This framework – based on biosemiotics –
the self-organizing capabilities of nature and how points out that the informational concept may be
what seems to be dead matter can, through evolution- useful for analyzing life at the chemical level, but it
ary self-organization, become autopoietic and alive is not sufficient to capture the communicative,
with cognitive/semiotic and feeling abilities (Brier, dynamic organizational closure of living systems.
2003). This is one of the reasons why Maturana and
To summarize, cybersemiotics develops a semiotic Varela do not want to use the information concept
and informational theory accepting several levels of in their explanations of the dynamics of life and
existence, such as a physical and a conscious social concept. But they do not use a semiotic either.
linguistics, now placed in the broader cybersemiotics Final causation dominates here as in the next
framework that combines Peirce’s triadic semiotics level where it emerges as purpose.
with systemic and cybernetic views including auto- 5. Finally on the fifth level with syntactic language
poiesis and second-order cybernetics. When talking games, human self-consciousness emerges and
about reality, I think we should distinguish between: with that rationality, logical thinking, and creative
inferences (intelligence). Intelligence is closely
1. The first level of quantum vacuum fields entangled connected to abduction and conscious finality.
causality is not considered physically dead, as is Abduction is crucial to signification. It is the abili-
usually the case in physicalistic physics. Cyberse- ty to see something as a sign for something else.
miotics conceives it as a part of Firstness, which This something else has to be a habit of nature,
also holds qualia and pure feeling. Although mind or society. Some kind of regularity or stabili-
physicists may be bothered by this new metaphys- ty in nature that the mind can recognize as some-
ical understanding of this level of reality, they what lawful is necessary for it to be a fairly stable
cannot claim that there is no room for new inter- eigen value in the mind (an interpretant) and be
pretations, because physics has a complete under- useful for conscious purposeful action and inter-
standing of it. On the contrary, this is one of the action in communication as well as in ethical so-
most mysterious levels of reality we have encoun- cial praxis (Phronesis).
tered, and its implications and interaction with the
observers’ consciousness have been discussed since
the 1930s and were central in the disputes between See also: Barthes, Roland (1915–1980); Eco, Umberto
Bohr and Einstein, and now some researchers are (b. 1932); Information Theory; Jacobsen, Lis (1882–1961);
attempting to exploit the entanglement to explain Luhmann, Niklas (1927–1998); Morris, Charles (1901–
1979); Peirce, Charles Sanders (1839–1914); Sebeok,
the possibility of teleportation.
Thomas Albert: Modeling Systems Theory; Semiology ver-
2. The second level of efficient causation is clearly sus Semiotics.
what Peirce describes as Secondness. This realm
is ontologically dominated by physics as classical
kinematics and thermodynamics. But for Peirce, it Bibliography
is also the willpower of the mind. It is mainly ruled
by efficient causation. Thus Peircean cybersemio- Barbieri M (2001). The organic codes: the birth of semantic
tics does not accept a level of pure mechanical biology, PeQuod. Republished in 2003 as The organic
physics; nor did Ilya Prigogine. codes: an introduction to semantic biology. Cambridge:
Cambridge University Press.
3. The third level of information is where the formal
Brier S (1992). ‘Information and consciousness: a critique
causation manifests clearly and where the regula- of the mechanistic foundation of the concept of informa-
rities and Thirdness becomes crucial for interac- tion.’ Cybernetics & Human Knowing 1(2/3), 71–94.
tions through stable patterns that are as yet only Brier S (1995). ‘Cyber-semiotics: on autopoiesis, code-
proto-semiotic. This level is ontologically domi- duality and sign games in bio-semiotics.’ Cybernetics &
nated by the chemical sciences. This difference in Human Knowing 3(1), 3–14.
ontological character may be one of the keys to Brier S (1996). ‘From second order cybernetics to cyber-
understanding the differences between physics and semiotics: a semiotic reentry into the second order
40 Biosemiotics

cybernetics of Heinz von Foerster.’ Systems Research Petrilli S & Ponzio A (2001). Thomas Sebeok and the signs
13(3), 229–244. of life. Icon Books.
Brier S (1998). ‘The cybersemiotic explanation of the emer- Sebeok T A (1972). Perspectives in Zoosemiotics. The
gence of cognition: the explanation of cognition, signifi- Hague: Mouton.
cation and communication in a non-Cartesian cognitive Sebeok T (1989). Sources in Semiotics VIII. The sign & its
biology.’ Evolution and Cognition 4(1), 90–102. masters. New York: University Press of America.
Brier S (1999). ‘Biosemiotics and the foundation of cyber- Sebeok T A (1990). Essays in zoosemiotics. Toronto:
semiotics. Reconceptualizing the insights of ethology, Toronto Semiotic Circle.
second order cybernetics and Peirce’s semiotics in bio- Sebeok T A & Danesi M (2000). The forms of meaning:
semiotics to create a non-Cartesian information science.’ modeling systems theory and semiotic analysis. Berlin:
Semiotica 127(1/4), 169–198. Mouton de Gruyter.
Brier S (2001). ‘Cybersemiotics and Umweltslehre.’ Semio- Sebeok T A, Hoffmeyer J & Emmeche C (eds.) (1999).
tica 134(1/4), 779–814. Biosemiotica. Berlin: Mouton de Gruyter.
Brier S (2003). ‘The cybersemiotic model of communica- Sebeok T A & Umiker-Sebeok J (eds.) (1980). Speaking of
tion: an evolutionary view on the threshold between apes: a critical anthology of two-way communication
semiosis and informational exchange.’ TrippleC 1(1), with man. New York: Plenum Press.
71–94. http://triplec.uti.at/articles/tripleC1(1)_Brier. pdf. Sebeok T A & Umiker-Sebeok J (eds.) (1992). Biosemiotics:
Deely J (1990). Basics of semiotics. Bloomington: Indiana the semiotic web 1991. Berlin: Mouton de Gruyter.
University Press. Sharov A (1998). ‘From cybernetics to semiotics in biology.’
Emmeche C (1998). ‘Defining life as a semiotic phenom- Semiotica 120(3/4), 403–419.
enon.’ Cybernetics & Human Knowing 5(1), 33–42. Uexküll J von (1982). ‘The theory of meaning.’ Semiotica
Emmeche C & Hoffmeyer J (1991). ‘From language to 42(1), 25–82.
nature: the semiotic metaphor in biology.’ Semiotica Uexküll J von (1934). ‘A stroll through the worlds of
84(1/2), 1–42. animals and men. A picture book of invisible worlds.’
Emmeche C, Kull K & Stjernfelt F (2002). Reading Hoff- reprinted In Schiller C H (ed.) (1957) Instinctive behav-
meyer, rethinking biology. Tartu: Tartu University Press. ior. The development of a modern concept. New York:
Hoffmeyer J (1996). Signs of meaning in the universe. International Universities Press. 5–80.
Bloomington: Indiana University Press. Uexküll T von, Geigges W & Herrmann J M (1993).
Hoffmeyer J & Emmeche C (1991). ‘Code-duality and ‘Endosemiosis.’ Semiotica 96(1/2), 5–51.
the semiotics of nature.’ In Anderson M & Merrell F
(eds.) On semiotic modeling. Berlin: Mouton de Gruyter.
117–166.
Krampen M (1981). ‘Phytosemiotics.’ Semiotica 36(3/4),
187–209.
Relevant Websites
Kull K (1999). ‘Biosemiotics in the twentieth century: a http://www.ento.vt.edu – The international biosemiotics
view from biology.’ Semiotica 127(1/4), 385–414. page.
Kull K (ed.) (2001). ‘Jakob von Uexküll: a paradigm for http://www.nbi.dk – Gatherings in Biosemiotics.
biology and semiotics.’ Semiotica. 134(1/4), special issue, http://www.zbi.ee – Jakob von Uexküll Centre.
1–60. http://www.zoosemiotics.helsinki.fi/ – Zoosemiotics home
Nöth W (2002). ‘Semiotic Machine.’ Cybernetics and page.
Human Knowing 9(1), 3–22. http://triplec.uti.at – Brier’s article in TripleC.

Birdsong: a Key Model in Animal Communication


M Naguib, Universitat Bielefeld, Bielefeld, Germany environments, few people are aware that birdsong is
K Riebel, Leiden University, Leiden, The Netherlands one of the most elaborate acoustic communication
! 2006 Elsevier Ltd. All rights reserved. systems in the animal kingdom. Birdsong shows
some basic and almost unique similarities to human
speech, an aspect that has attracted considerable
interdisciplinary scientific attention from biologists,
Introduction
psychologists, and linguists. As in human speech
The melodious beauty and complexity of birdsong acquisition, vocal learning by songbirds plays a
have long attracted amateurs, naturalists, and scien- prominent role in song development (Catchpole and
tists alike. Despite the almost ubiquitous presence Slater, 1995). There is a sensitive period in which the
of birdsong in both natural and anthropogenous basic species-specific structure is acquired, in much
40 Biosemiotics

cybernetics of Heinz von Foerster.’ Systems Research Petrilli S & Ponzio A (2001). Thomas Sebeok and the signs
13(3), 229–244. of life. Icon Books.
Brier S (1998). ‘The cybersemiotic explanation of the emer- Sebeok T A (1972). Perspectives in Zoosemiotics. The
gence of cognition: the explanation of cognition, signifi- Hague: Mouton.
cation and communication in a non-Cartesian cognitive Sebeok T (1989). Sources in Semiotics VIII. The sign & its
biology.’ Evolution and Cognition 4(1), 90–102. masters. New York: University Press of America.
Brier S (1999). ‘Biosemiotics and the foundation of cyber- Sebeok T A (1990). Essays in zoosemiotics. Toronto:
semiotics. Reconceptualizing the insights of ethology, Toronto Semiotic Circle.
second order cybernetics and Peirce’s semiotics in bio- Sebeok T A & Danesi M (2000). The forms of meaning:
semiotics to create a non-Cartesian information science.’ modeling systems theory and semiotic analysis. Berlin:
Semiotica 127(1/4), 169–198. Mouton de Gruyter.
Brier S (2001). ‘Cybersemiotics and Umweltslehre.’ Semio- Sebeok T A, Hoffmeyer J & Emmeche C (eds.) (1999).
tica 134(1/4), 779–814. Biosemiotica. Berlin: Mouton de Gruyter.
Brier S (2003). ‘The cybersemiotic model of communica- Sebeok T A & Umiker-Sebeok J (eds.) (1980). Speaking of
tion: an evolutionary view on the threshold between apes: a critical anthology of two-way communication
semiosis and informational exchange.’ TrippleC 1(1), with man. New York: Plenum Press.
71–94. http://triplec.uti.at/articles/tripleC1(1)_Brier. pdf. Sebeok T A & Umiker-Sebeok J (eds.) (1992). Biosemiotics:
Deely J (1990). Basics of semiotics. Bloomington: Indiana the semiotic web 1991. Berlin: Mouton de Gruyter.
University Press. Sharov A (1998). ‘From cybernetics to semiotics in biology.’
Emmeche C (1998). ‘Defining life as a semiotic phenom- Semiotica 120(3/4), 403–419.
enon.’ Cybernetics & Human Knowing 5(1), 33–42. Uexküll J von (1982). ‘The theory of meaning.’ Semiotica
Emmeche C & Hoffmeyer J (1991). ‘From language to 42(1), 25–82.
nature: the semiotic metaphor in biology.’ Semiotica Uexküll J von (1934). ‘A stroll through the worlds of
84(1/2), 1–42. animals and men. A picture book of invisible worlds.’
Emmeche C, Kull K & Stjernfelt F (2002). Reading Hoff- reprinted In Schiller C H (ed.) (1957) Instinctive behav-
meyer, rethinking biology. Tartu: Tartu University Press. ior. The development of a modern concept. New York:
Hoffmeyer J (1996). Signs of meaning in the universe. International Universities Press. 5–80.
Bloomington: Indiana University Press. Uexküll T von, Geigges W & Herrmann J M (1993).
Hoffmeyer J & Emmeche C (1991). ‘Code-duality and ‘Endosemiosis.’ Semiotica 96(1/2), 5–51.
the semiotics of nature.’ In Anderson M & Merrell F
(eds.) On semiotic modeling. Berlin: Mouton de Gruyter.
117–166.
Krampen M (1981). ‘Phytosemiotics.’ Semiotica 36(3/4),
187–209.
Relevant Websites
Kull K (1999). ‘Biosemiotics in the twentieth century: a http://www.ento.vt.edu – The international biosemiotics
view from biology.’ Semiotica 127(1/4), 385–414. page.
Kull K (ed.) (2001). ‘Jakob von Uexküll: a paradigm for http://www.nbi.dk – Gatherings in Biosemiotics.
biology and semiotics.’ Semiotica. 134(1/4), special issue, http://www.zbi.ee – Jakob von Uexküll Centre.
1–60. http://www.zoosemiotics.helsinki.fi/ – Zoosemiotics home
Nöth W (2002). ‘Semiotic Machine.’ Cybernetics and page.
Human Knowing 9(1), 3–22. http://triplec.uti.at – Brier’s article in TripleC.

Birdsong: a Key Model in Animal Communication


M Naguib, Universitat Bielefeld, Bielefeld, Germany environments, few people are aware that birdsong is
K Riebel, Leiden University, Leiden, The Netherlands one of the most elaborate acoustic communication
! 2006 Elsevier Ltd. All rights reserved. systems in the animal kingdom. Birdsong shows
some basic and almost unique similarities to human
speech, an aspect that has attracted considerable
interdisciplinary scientific attention from biologists,
Introduction
psychologists, and linguists. As in human speech
The melodious beauty and complexity of birdsong acquisition, vocal learning by songbirds plays a
have long attracted amateurs, naturalists, and scien- prominent role in song development (Catchpole and
tists alike. Despite the almost ubiquitous presence Slater, 1995). There is a sensitive period in which the
of birdsong in both natural and anthropogenous basic species-specific structure is acquired, in much
Birdsong: a Key Model in Animal Communication 41

the same way that humans have to acquire the pho- However, with more studies addressing call learning,
nemes of their language in the first few years of life. it has emerged that there is much more developmental
The only other well-established examples of animal plasticity than previously thought. Among the vari-
communication in which learning plays such a central ous calls given by birds, the alarm calls given in
role in signal acquisition are found in parrots, hum- response to predators have received specific attention,
mingbirds, bats, and marine mammals (Janik and because they can vary gradually with the urgency of
Slater, 1997). the threat and even provide functionally referential
Using birdsong as a model system allows us to information (see Alarm Calls), a trait that has long
study the complexity of animal behavior from both been viewed to be specific to human language.
mechanistic and functional perspectives. Because it
Singing Versatility
is the best studied vertebrate communication system
on almost all levels of scientific investigation, from Birdsong structure and versatility vary enormously,
molecular biology to evolutionary ecology, birdsong from structurally simple songs with only one repeat-
development has become a textbook example for ed element (e.g., grasshopper warblers, Locustella
illustrating basic biological processes (Alcock, 2001; naevia) to highly complex songs (e.g., nightingales,
Campbell and Reece, 2001; Barnard, 2004). In most Luscinia megarhynchos) in which each male sings
songbirds that breed in the temperate zones, only the around 200 different song types, each of which is
males sing; their songs function to defend a territory composed of many different elements (Figure 1). For
against other males and to attract and stimulate the purpose of comparative studies, it has proved
females (Catchpole and Slater, 1995), but there is an useful to categorize birds into continuous and dis-
enormous variation in song structure and phenome- continuous singers (Hartshorne, 1973; Catchpole
nology, development, and delivery. The taxonomic and Slater, 1995). Continuous singers such as reed
order of perching birds (passerines) can be subdivided warblers (Acrocephalus scirpaceus) produce long, al-
into two distinct groups: the oscines (over 4000 spe- most continuous streams of elements (the basic units
cies), which in general learn their song, and the sub- of vocal production). The elements in the song re-
oscines (about 1000 species), for which there is limit- pertoire of a continuous singer are usually recom-
ed evidence that key structural components of the bined in various ways, so that each new sequence is
species-typical song are learned (Kroodsma, 2004). slightly different from the previous ones. Most male
Many of the sub-oscines are tropical birds and their songbirds, however, are discontinuous singers, i.e.,
song is often much simpler than is the highly complex they alternate songs (which are a specific combina-
song common in oscine species. Songbirds in the tion of song elements) with silent intervals (Figure 1).
tropics also differ from those in the temperate zones Among different species of discontinuous singers,
in how and when they sing: singing tends to occur all there are two discrete singing styles. In some species,
year round and often females also sing. Even more males repeat the same song type several times before
strikingly, mated pairs may combine their songs into switching to a song of a different type. This way of
highly coordinated duets (Hall, 2004). The speed and singing is most characteristic for species in which
precision in coordination of timing of duets results in males have a small to medium repertoire of different
a composite signal that, even for an experienced song types (i.e., a repertoire of 2 to 10 acoustically
human listener, sounds like the song of a single indi- distinct songs/male). There are some exceptions
vidual. This article will mainly focus on song by males to this rule, though; for example, Carolina wren
in temperate zone passerines, as these are much better (Thryothorus ludovicianus) males have a repertoire
studied than tropical birds and are ideal to illustrate of about 40 distinctly different song types, but deliver
general principles of songbird vocal communication. their repertoire with eventual variety. Birds following
this repetitive mode are generally said to be singing
Birdsong versus Bird Calls
with ‘eventual variety.’ Examples are song sparrows
Birdsong is distinguished from the remainder of song- (Melospiza melodia), yellowhammers (Emberiza
bird vocalizations, which are generally referred to citrinella), chaffinches (Fringilla coelebs), and great
as calls. Calls have been defined based on both struc- tits (Parus major). In other species, males hardly ever
tural and functional criteria. Calls are given by both repeat the same song type in immediate succession
sexes, they are simple in structure, and in many cases but instead, after each song, switch to a different song
they are highly context specific, such as begging calls type within their repertoire. This singing style is ‘re-
or alarm calls (Marler, 2004). Other than song, which ferred to as showing ‘immediate variety’ and is char-
is normally delivered only in the breeding season, acteristic of species that have larger song repertoires,
calling occurs all year. Calls have long been thought such as mockingbirds (Mimus polyglottus), European
to be affected little, if at all, by vocal learning. blackbirds (Turdus merula), or nightingales.
42 Birdsong: a Key Model in Animal Communication

Figure 1 Sound spectrograms of 25-s singing sequences by males of five different species of songbirds. (A) Grasshopper warbler,
Locustella naevia, (B) Carolina wren, Thryothorus ludovicianus, (C) song sparrow, Melospiza melodia, (D) yellowhammer, Emberiza citrinella,
(E) nightingale, Luscinia megarhynchos; (B)–(D) show singers with eventual variety and (E) shows a species with immediate variety.

Song Development reinforcement (‘channeled’ or ‘pre-programmed’ lear-


ning). Unlearned biases (varying in their specificity
Songbirds have an exceptional faculty for vocal
across species) guide what types of vocalizations are
learning (Figure 2). Song learning consists of a phase preferentially learned. Generally, the first auditory
of acquisition (sensory phase: memorization of song memories are laid down during the first weeks of
patterns) and a phase of production learning, i.e., life, often around the time when the young birds
the sensorimotor learning phase of the complex fledge from the nest, and the sensory learning phase
motor pattern. The timing of these two processes precedes the motor learning phase. In seasonal spe-
during development varies across species, from tight- cies, this might not occur until months after the off-
ly overlapping to completely separate in time. The spring heard adult birds sing. Early singing consists of
acquisition process is often limited to a sensitive quiet, amorphous warbling (subsong) that proceeds
phase during the first year of life (which is the to more structured and phonologically varied song
time to maturation in most songbird species), with (plastic song). Whereas these first two phases may
no additional learning after the first breeding take several weeks, the last transition, to the fully
season (‘closed-ended learners’; e.g., chaffinches or crystallized song, often occurs rather rapidly, within
zebra finches (Taeniopygia guttata)). In other species, a few days. After that, phonology, phonological
learning might continue throughout life (‘open-ended syntax, and timing fully are those of adult song
learners’; e.g., canaries (Serinus canaria) or starlings (Figures 3 and 4). The onset of motor practice and
(Sturnus vulgaris)). Often this entails repertoire size song crystallization correlates with changes in steroid
increasing with age. hormone levels, which are triggered by photoperiod
Song acquisition learning seems to take place dur- in temperate zones but exhibit less clear circannual
ing a sensitive phase without apparent external patterns in tropical nonseasonal species. Where song
Birdsong: a Key Model in Animal Communication 43

Figure 2 Culturally transmitted song types in the zebra finch (Taeniopygia guttata). Columns show spectrograms of tutors’ songs in the
top row (adult males w709 and o554, respectively) and their respective tutees. Young males were housed with their respective tutors
throughout the sensitive phase for song learning (days 35–65 posthatching); as a result, songs of tutees resemble the song of their tutor
and each other more than do those of full brothers.

by learning and plays an important role in the devel-


opment of full song in the subsequent sensori-
motor phase. This is in line with observations that
song developed by young birds deprived of adult
song tutors contains species-specific characteristics
(a song-deprived nightingale sounds different from
a song-deprived starling) but lacks the fine detail of
normal adult song. With the onset of the motor
learning phase, auditory feedback is crucial to adjust
the song output until it matches the template. Inter-
rupting the auditory feedback by masking it with
noise or by blocking the central nervous connections,
thus making the bird unable to hear its own song,
will result in the development of song that is even
more impoverished than the song of isolate-raised
Figure 3 An example of changes in one song motif in the
birds. The original model of song learning has been
course of ontogeny in a chaffinch, Fringilla coelebs. The crystal-
lized song type was also in the final song type repertoire of this updated and altered over the years, but both behav-
individual (illustrated in Figure 4, tutee song type 2). ioral and neurobiological findings seem to support
the principle underlying ideas of a two-phase process
(sensory and sensorimotor learning phases), and this
and testosterone titers are seasonal, a brief phase of still serves well as an appropriate description of the
subsong is observed before the onset of the breeding basic pattern observed in many species.
season even in adult birds. Consequences of vocal learning are increased
In the sensorimotor model of song learning, a crude interindividual and geographic variation arising
early template sets the sensory predispositions that from imprecise song copying (see individual w83 in
filter the types of acoustic stimuli that are laid down Figure 2 and differences between tutor’s and tutee’s
as specific song memories (the ‘template’) during songs in Figure 4). As in human speech, birds can
the sensory learning phase. The template is adjusted have local dialects that are discretely different from
44 Birdsong: a Key Model in Animal Communication

Figure 4 Four song types were played on tape to young fledgling chaffinches (tape tutor). The final repertoire of one of the respective
tutees in the subsequent spring is shown (for song development, see Figure 3). Redrawn from Riebel K and Slater P J B (1999), Ibis 141,
680–683.

other dialects in the same species, with clear-cut dia- species. Even in bird species in which the sexes do
lect boundaries (see Dialects in Birdsongs). Popula- not exhibit substantial morphological differences,
tion changes in time and space have been relatively adult males and females often show consistent differ-
well studied due to short avian generation times, and ences in acoustic parameters such as fundamental
cultural changes in song can be easily observed and frequencies and harmonic composition. These differ-
documented. Songbirds thus provide an important ences often seem to come about rather suddenly dur-
study system for nonhuman gene-culture co-evolu- ing sub-adult development and possibly coincide with
tion studies and diachronic and geographic change steroid hormone-induced changes of the vocal tract
such as dialect formation. (Ballintijn and ten Cate, 1997).
Development of Vocalizations in Non-oscine Birds
Song Production
In contrast to the extensive vocal learning process
in most songbirds, their closest relatives, the sub- Birds have a larynx located at the top of their trachea,
oscines, seem to be able to develop species-specific but vocalize with the aid of a specialized organ, the
song even when deprived of adult song or auditory syrinx, located much lower down where the two
feedback, although vocal learning now also has been bronchi join to form the trachea (see Vocal Production
shown to occur in some sub-oscines. Vocal learning in Birds). The tonal character of many bird vocaliza-
in songbirds seems to have evolved independently tions and the existence of a unique sound-producing
several times and has also been reported for at least organ have triggered a wealth of hypotheses as to
two other avian orders, parrots (Psittacidae) and possible fundamental differences in sound production
hummingbirds (Trochilidae). Vocal learning has mechanisms between birds and mammals. Recent
been little investigated in other avian taxa and may findings suggest that the basic mechanism is the
be even more widespread than reported (Kroodsma, same: cyclic opening and closing of the gap between
2004). Developmental changes during maturation the vocal membranes lead to harmonic sound at the
also occur in taxa not described as vocal learners. source, which undergoes filtering by the vocal tract.
For example, specialized juvenile vocalizations (such However, whereas a larynx consists of only one pair
as begging calls) may disappear from the vocal reper- of vocal folds, there are two sets (one in each bron-
toire or the characteristics of the vocal tract may chus) of each of the several pairs of membranes
change during growth. An analogue to human ‘voice involved in birdsong production (Goller and Larsen,
breaking’ has been described in a number of bird 2002). The two halves of the syrinx are innervated
Birdsong: a Key Model in Animal Communication 45

independently, creating two potential sound sources


that can, within certain limits, be operated indepen-
dently. In most songbirds, one side of the syrinx seems
dominant over the other, and this lateral dominance
might even differ from syllable to syllable and even
within a syllable. As in mammal sound production,
including human speech, the settings of the songbird
vocal tract act as a vocal filter and movements of
the neck, tongue, and beak contribute to changes in
resonance properties.

Neurobiological Correlates of Singing


and Song Learning
Songbird brains show special adaptations for the
production and acquisition of song (Figure 5).
A number of interconnected brain nuclei (the ‘song
system’) are absent in non-vocal-learning bird species
and are sexually dimorphic in those species in which
producing song is a behavioral dimorphism. The
brain areas involved are highly specialized and easy
to distinguish from surrounding brain tissue using
standard tissue staining techniques. Two main path-
ways are involved in sound production (Figure 5A).
The posterior (or motor) pathway descends from ce-
rebral areas to control the syrinx via the hypoglossal
nerve (XII); two cerebral regions (HVC and RA; see
Figure 5 for abbreviations) show neuronal activation
synchronized with singing. The anterior pathway
plays an important role in song learning, and lesions
in either Area X or MAN in young birds disrupt song Figure 5 Song system. Schematic drawings of a parasagittal
acquisition; such lesions do not affect singing in adult section of the songbird brain. Abbreviations are based on the
birds. The well-delineated sensitive phases of sensory revised nomenclature of Reiner et al. (2004), Journal of Comparative
Neurology 473, 377–414: CMM, caudal medial mesopallium (for-
learning in many songbird species allow controlled
mer: caudal medial hypertriatum ventrale, CMHV); DLM, medial
experimental assessment of the quantity and quality part of the dorsolateral thalamus; HVC, high vocal center; L, Field
of the sensory input. Avian song learning is thus a L2; LaM, lamina mesopallialis (former: lamina hyperstriatica,
prime model to study the neurobiological basis of LH); MAN, magnocellular nucleus of the anterior nidopallium;
vocal learning and adult neuronal plasticity (seasonal MLd, mesencephalic lateral dorsal nucleus (dashed lines indicate
the nucleus is located more medially than the illustrated section);
changes, neurogenesis). Insights from neurophysiolo-
NCM, caudal medial nidopallium; nXIIth, nucleus hypoglossalis
gy and anatomy and from studies on effects of differ- partis tracheosyringalis; Ov, nucleus ovoidalis; RA, magnocellular
ential gene expression mediating neuroanatomical nucleus of the arcopallium; V, lateral ventricle. (A) Anterior and
and functional change have greatly advanced our posterior pathway. Arrows connect nuclei of the conventional ‘song
understanding of the subtle neuroanatomical changes system’ that consists of the posterior (motor) pathway and the
anterior forebrain pathway. Two main pathways are involved in
involved in learning (Jarvis, 2004).
sound production and learning; the posterior (motor) pathway is
activated during singing and descends from the HVC (pallium):
Sex Differences HVC ! RA ! nXIIts ! syrinx. The anterior pathway, HVC !
Area X ! DLM ! MAN ! RA, is involved in vocal learning. (B)
The avian song system has provided examples of Auditory pathway: input from cochlea via auditory nerve (VIII) and
the most extreme sex differences in functional brain brain stem nuclei (not shown) ! MLd (mesencephalon) ! OV (in
anatomy in vertebrates documented so far. The pro- the thalamus) ! L (with primary and secondary auditory cells of the
nounced sex difference related to song systems and pallium) ! tertiary auditory areas of the nidopallium (NCM, CMM,
HVC shelf, and RA cup). From the HVC shelf there is also a des-
the pronounced seasonal changes in neuronal number
cending pathway via the RA cup to the auditory regions of the
and volume (up to threefold) and of the song nuclei midbrain. The gray areas show neuronal activation when the bird
(Tramontin and Brenowitz, 2000) provide interesting is exposed to conspecific song. Figure kindly provided by Terpstra
insights into the role of steroid hormones in neuronal N and Brittijn M (2004), Journal of Neurosciences 24, 4971–4977.
46 Birdsong: a Key Model in Animal Communication

development and differentiation. Large differences act as transducers, leading to sound-specific patterns
between closely related species, ranging from species of discharge in the auditory nerve (the (nVIIIth)).
in which females have never been observed to sing From nVIIIth, the auditory pathway (Figure 5B) con-
to those in which females sing as much as males, tinues, ascending via a number of nuclei in the brain
provide excellent opportunities for comparative stud- stem, the mesencephalon, and the thalamus (ovoi-
ies in neuroethology (Brenowitz, 1997; MacDougall- dalis) to primary and secondary auditory cells of
Shackleton and Ball, 1999). They also provide a the pallium. From there, auditory information is
prime model for the study of hormonal and genetic transmitted to tertiary auditory areas of the nidopal-
effects in gender differentiation. When song is sexual- lium. Thus, in line with songbirds’ sensory learning
ly dimorphic, it is possible to differentiate production abilities, there is a full ascending sensory pathway to
and perception learning and to identify specialized higher forebrain regions.
adaptations of the brain. In a cross-species compari-
son across 20 or so species, sex differences in the Hearing Range and Perception
neuronal song system were found to be correlated The hearing ranges of birds have been determined
with sex differences in song output and repertoire using both electrophysiological methods (recording
size (MacDougall-Shackleton and Ball, 1999). How- neuronal activities on sound playback) and behavior-
ever, it is unclear whether this is due to sex differences al methods (training birds to indicate behaviorally
in song output or to vocal learning. Most studies so far whether they can discriminate between two sounds).
have been based on sex differences related to quantity Bird hearing is remarkably acute both in the low-
and quality of adult song output and not to song and high-frequency ranges, despite the short basilar
learning (Gahr et al., 1998). Though many species papilla. Audiograms show species-specific peaks and
show clear sex differences in song usage, there have troughs, with specialists such as night-hunting owls
been few studies investigating female vocal learning showing higher sensitivities. Inspection of avian audi-
abilities, but this is a rapidly growing field of research bility curves reveals no ultra- or infrasonic hearing
(Riebel, 2003). Evidence is quickly accumulating that (Figure 6). Though birds might hear from roughly
early learning greatly influences adult female song 0.5 to 10 kHz, they generally hear best between
and its perception. Future studies will thus have to 1 and 6 kHz, with absolute sensitivity approach-
show whether females differ from males in when and ing 0–10 dB SPL at the most sensitive frequency,
what they learn, or only in how much they sing. which is usually at around 2–3 kHz (Dooling, 2004).
Generally, the sounds that birds produce map
Hearing and Perception
The Avian Ear and the Auditory Pathway

For any communication system, the study of physical


properties of signals and their production needs to be
paralleled by the study of the corresponding recep-
tors. Bird ears are similar to mammal ears in many
respects, but differ in a number of key features. The
outer ear lacks an external pinna, and its opening in
the skull is covered by feathers and there is only a
single middle ear bone (the columella). Moreover, the
basilar papilla is straight rather than coiled and shows
a greater diversity of sensory hair cell types compared
to mammal ears (Causey Whittow, 2000). These dif-
ferences might explain why the range of audible fre-
quencies seems little curtailed despite the remarkably
short basilar papilla, which is only about 2–3 mm
long (compared to up to 9 mm in owls and 30 mm
in humans). Despite these differences, in general,
birds’ ears work like those of mammals. Sound
waves set the membrane separating the inner from Figure 6 Avian and human audibility curves. Owls (Strigi-
the outer ear vibrating. This motion is transmitted via formes) have a higher sensitivity compared to an average song-
bird and to humans. Redrawn from Dooling R J et al. (2000), in
the columella to the fluid of the inner ear. The pres- Dooling R J, Fay R R, and Popper A N (eds.) Comparative hearing:
sure changes and motions within the fluid excite the birds and reptiles, 308–359, New York: Springer Verlag; and Dooling
hair cells on the sensory epithelium; the hair cells (2004).
Birdsong: a Key Model in Animal Communication 47

well onto the frequency range of their most sensitive experiences in non-singing females. Moreover, evi-
hearing. dence is accumulating that female preferences for spe-
Despite their small head size, songbirds also show cific variants of conspecific songs are also greatly
good directional hearing. Instead of integrating the influenced by social learning processes (Riebel, 2003).
information of directionality using differential arrival
times of a sound at both ears, songbirds’ ears are
Evolution and Functions of Birdsong
connected via the air cavities in the skull bones so
that sound is incident on the inner surface of the Functions of Birdsong
tympanic membrane at the opposite ear. Two differ-
So far we have dealt with the proximate causation of
ent pressures build up on either side of the mem-
song: its development, control and perception. But
branes; by moving its head until the two pressures
why do birds sing? And what kind of information
are equalized, the bird localizes the sound. The mag-
do they signal and extract from a song that they
nitude of spatial masking release is similar to that in
hear? It is well documented that birdsong is an adver-
humans (10–15 dB, with tone and masking noise 90!
tisement signal with a dual function: territory defense
apart). Masking effects of noise are frequency specific
and mate attraction. However, the precise functions
and strongest when overlapping with the actual signal
of song can differ among species. Moreover, within
(Klump, 1996). Compared to humans, birds do less
species, the function of song may differ with time of
well in detecting changes in intensity, but when dis-
day or season and it may differ depending on how
criminating between complex sounds, birds demon-
birds sing, i.e., which song patterns they sing and how
strate fine temporal resolution, exceeding that of
they use them when interacting with each other. Song
humans. However, birds’ perception also shows
encodes information about the singer and such infor-
some interesting parallels with human abilities, and
mation can be relevant for other males and females.
there is good experimental evidence for auditory
Nevertheless, females and males may attend to differ-
stream analysis (filtering of auditory objects from
ent aspects of song so that, even though song may be
general background noise) and categorical perception
addressed to both sexes, the specific traits that are
(both for avian and non-avian vocalizations; i.e.,
used to assess a singer may differ, depending on which
birds show categorical perception of human pho-
sex is listening.
nemes). Birds also superficially show complex serial
pattern recognition (for example, in the discrimina- Birdsong as a Long-Range Signal
tion of musical tunes), but use different strategies for
categorization than humans. Unlike humans, who Unlike human speech, birdsong, in common with
focus on differences in relative pitch, in bird species other advertisement signals in the animal kingdom,
tested so far, absolute pitch and absolute frequency is used as a long-range signal, often over 100 or more
range were more important in classification of complex meters. During transmission through the environ-
sounds. ment, acoustic signals inevitably attenuate and de-
grade (Wiley and Richards, 1982; Slabbekoorn,
Development of Hearing and Perception The de- 2004) (Figure 7). Thus the structure of a song at the
velopment of hearing and perception has not been position at which a receiver makes a decision differs
widely studied, compared to song production. How- from its structure at its source. The nature of these
ever, even in species not known as vocal learners, environmentally induced changes in a song depends
perception is modulated by experiences during devel- on habitat structure and weather conditions. The
opment. In ducklings (Anas platyrhynchos), prefer- differences in the acoustic properties of a given habi-
ences for and recognition of the species-specific tat are of evolutionary significance, and certain signal
maternal call are greatly impaired in birds that are structures will be more effective than others in long-
deprived of hearing their mother’s and their own calls range communication. As a consequence, songbirds
while still in the egg (Gottlieb, 1978). Development and in forests sing differently from those that live in open
learning are of even greater impact when complex areas, such as woodlands or fields. The reflecting
vocalizations, such as the learned songs in songbirds, surfaces of the vegetation in forests are the main
are concerned. During the sensorimotor learning cause of sound degradation (signal reverberation);
phase, auditory neurons develop specific responsive- in contrast, open habitats cause negligible rever-
ness to elements of, first, the tutor and, later, the bird’s beration. Rapid repetitions of elements with the
own song. Song discrimination abilities are impaired in same frequency structure, i.e., trills, are particularly
both males and females if they are deprived of species- susceptible to being blurred by reverberation. Indeed,
specific song during development, suggesting that the birds in closed habitats have been found to sing trills
fine tuning of song perception also depends on early with slower repetition rates compared to birds in
48 Birdsong: a Key Model in Animal Communication

Figure 7 Undegraded and degraded sound spectrograms and oscillograms of a chaffinch song. Upper panel: song as recorded from a
singing male within a distance of 10 m is undegraded. Lower panel: song as recorded at a distance of 40 m in a deciduous forest. Here
the oscillogram (top) and spectrogram (bottom) show temporal smearing of the sound.

open habitats. Because vegetation also causes addi-


tional attenuation of sound, and specifically of the
higher frequencies, there should be strong selection
to avoid higher frequencies for long-range communi-
cation in forests. Empirical findings show that birds
in open habitats use, on average, more high frequen-
cies than do birds in closed habitats. However, the
environmental effects on song transmission not only
mask information coded in the song but also
provide additional relevant information. Degradation
and attenuation with distance are to some extent
predictable, so that birds, like humans, have been
shown to use cues from degradation and attenuation
as distance cues (Figure 8). This can be crucial for an
effective defense of large territories against rival
males (Naguib and Wiley, 2001). Because they can
assess the distance to a singing rival, males need only
invest time and energy in repelling a rival that is
nearby and therefore is a likely threat; energy need Figure 8 Response scores of Carolina wrens to playback of
not be wasted when the rival is far away and beyond undegraded (clear) song and song with added distance cues.
the territorial boundary. Scores on the principal component (shown on the Y axis) indicate
strength of response. Birds, like humans, use reverberation and
Territorial Function and Communication high-frequency attenuation as separate cues to distance. Repro-
among Males duced from Naguib M (1995), Animal Behaviour 50, 1297–1307.

Song in most passerine birds is used as a territorial


signal, i.e., to advertise an area that will be defended broadcast (Figure 9). Territories in which no song or
against rival males. In a classic study on the territorial the control song (a tune on a tin whistle) was broad-
function of birdsong, Krebs and colleagues (Krebs, cast were occupied by new males earlier than when
1977) removed male great tits from their territories; conspecific songs were broadcast. This and subse-
installed loudspeakers then played recorded con- quent experiments provided convincing evidence
specific song or a control sound, or no sound was that male song keeps out rival males. Moreover,
Birdsong: a Key Model in Animal Communication 49

Figure 9 Schematic representation of a classic experiment on the territorial function of song in great tits. Males were removed from
their territory and were replaced by loudspeakers either playing great tit songs (‘experimental’) or playing back a control stimulus, or no
stimulus was broadcast. Shaded areas on the right indicate re-occupation of the territory by other males after 8 or 10 hours. Males settle
only in those areas (‘control silent’, ‘control sound’) in which no great tit songs were broadcast. Redrawn from Krebs J R and Davies
N B (1992), An introduction to behavioural ecology, Oxford: Blackwell Scientific.

playback experiments in the field and observations of in the territorial neighborhood, an issue that has
undisturbed singing in different contexts have shown received specific attention in studies using birdsong
that males obtain important information from a riv- as a model in investigating communication networks
al’s song on which they base their decision on how to (Naguib, 2005; Peake, 2005).
respond to that rival. As in all social behavior, indi- During territorial conflicts, males can signal their
vidual specific information is of central relevance readiness to escalate a contest by a range of different
when repeated encounters occur. Birds can use such singing strategies. There is variation within and
information to distinguish between familiar and un- among species as to which strategy has which signal
familiar individuals. Moreover, males discriminate value (Todt and Naguib, 2000). Males may time
not only between neighbors and strangers, but also their songs during an interaction so that they overlap
become more aggressive when they hear their neigh- songs of their opponent. In almost all species studied
bor’s song from the opposite side of their territory to date, song overlapping is used and perceived as an
(Figure 10). Thus, information on familiarity with agonistic signal. Another way of agonistically addres-
song is linked to a location from which it is usually sing a rival is to match his song type, i.e., to reply with
heard. The reduced response to a neighbor’s song the same song pattern the rival has just sung. Song
when received from the ‘correct’ direction is termed rate and the rate of switching among different song
the ‘dear enemy effect’ (Stoddard, 1996). Neighbors types can likewise signal changing levels of arousal.
are rivals in competition for space and matings, but, In barn swallows (Hirundo rustica), the structure of
once a relation is established, neighboring males the song can be correlated with levels of testosterone
benefit by reduced aggression toward each other. In (Figure 11), and thus song may be used as a predictor
addition, neighbors also can act as an early warning of fighting vigor. The importance of song in territory
system when a stranger starts singing somewhere defense also may vary with time of the season and
50 Birdsong: a Key Model in Animal Communication

Figure 10 Response strength of male territorial song sparrows


to playback, at different locations in their territory, of song of
neighbors and strangers. Neighbor/stranger discrimination usu- Figure 12 Nocturnal singing activity of male nightingales. Bars
ally occurs only at the boundary toward the territory of the neigh- indicate the period of the breeding cycle when males sing at
bor whose song is broadcast. At the center of a territory or at the night. Males cease nocturnal song after pairing but resume it
opposite boundary, no discrimination is observed, suggesting when their females lay eggs. Males that remain unpaired
that intrusions at these sites are assessed as equally threatening (‘bachelors’) continue nocturnal song throughout the entire
regardless of the identity of the intruder. Redrawn from Stoddard breeding season (bachelors, N ¼ 12; mated males, N ¼ 18).
P K et al. (1991), Behavioural Ecology and Sociobiology 29, 211–215. Modified from Amrhein et al. (2002), Animal Behaviour 64, 939–944.

use this information for pairing and mating decisions.


Females may choose a male partner on the basis of his
song and, once paired, still mate additionally with
other males with more attractive song, in so-called
extra-pair copulations. There are two lines of evi-
dence showing the function of song in female
choice. Field studies have shown that song traits
are linked to mating success and to paternity, and
laboratory studies have shown that females are
more responsive to specific song traits. In many bird
species, males change their singing behavior after
pairing, suggesting that the function of song differs
between the period of mate attraction and the period
Figure 11 Relation between levels of plasma testosterone and thereafter. Many warblers show a marked decrease
number of impulses per rattle in barn swallow songs. Males with in singing activity after pairing, and nocturnally
more impulses in the rattles of their song had higher testosterone singing birds such as the nightingale cease nocturnal
levels, suggesting that song codes information on the physiolog- song the day after a female has settled within their
ical state of the singer. Redrawn from Galeotti P et al. (1997),
territory (Amrhein et al., 2002) (Figure 12).
Animal Behaviour 53, 687–700.
Sedge warbler (Acrocephalus schoenobaenus) males
become paired earlier when they have large vocal
with time of the day. The dawn chorus, for instance, a repertoires (Figure 13), suggesting that repertoire size
marked peak of singing activity early in the morning is a trait used by females in mating decisions. Great
in many temperate-zone songbirds, has a specific reed warbler (Acrocephalus arundinaceus) females ex-
function in territory defense in some species (Staicer hibit more display behavior in response to complex
et al., 1996). songs than to simple ones (Figure 14) and have been
shown to copulate only with those neighboring males
that have a song repertoire larger than their social
Function in Mate Attraction
mate has (Figure 15). Dusky warblers (Phylloscopus
Song provides information on male motivation and fuscatus) that produce song elements at a higher rela-
quality and there is now good evidence that females tive amplitude gain more extra-pair matings than do
Birdsong: a Key Model in Animal Communication 51

Figure 14 Female copulation solicitation displays in response


to playback of songs of different complexity in great reed war-
blers. Female displays last longer in response to larger song
repertoires, suggesting that males with larger song repertoires
Figure 13 Pairing and song repertoire in sedge warblers. are more attractive. Redrawn from Catchpole C et al. (1986),
Males with larger song repertoires pair earlier, suggesting Ethology 73, 69–77.
that song repertoire is used in female choice. Redrawn from
Catchpole C (1980), Behaviour 74, 149–166.
subsong; humans: babbling). As in the (prelinguistic)
males that sing their elements ‘less well’. Further- acquisition of phonemes in humans, in birds a sensory
more, studies have shown that males usually increase learning phase precedes the first production attempts.
their song output when their mate disappears or is Babbling babies, like young birds, undergo a long
removed experimentally. In addition, studies under phase of motor practice during which initial phono-
controlled laboratory conditions have shown that logical (over)production moves toward producing
females show strong preferences for specific song phonological units that become more and more simi-
traits. Females show more copulation solicitation dis- lar to the phonologies that are heard. In human
plays (a specific posture females use to elicit co- speech acquisition, learning to produce the phonetic
pulations) when hearing large song repertoires than units precedes the mapping of meaning onto these
when hearing smaller, less complex song repertoires, units. It is thus in the acquisition of auditory
as in great reed warblers (Figure 14). In canaries, a memories and in the first (prelinguistic) phase of
substructure of the song, a complex syllable category motor learning that birdsong and speech develop-
(a trill), has been identified as a ‘sexy syllable’ to ment can perhaps best be seen as an analogue.
which females pay specific attention. More recent Next to similarities on the behavioral level, highly
studies have used operant techniques in which specialized brain regions control vocal learning,
females were allowed to peck a key to release play- memory, production, and perception, both in human
back of songs of different complexity, and with this speech and in birdsong. Songbirds’ vocal learning
technique it is possible to test female preference for ability is mirrored in highly specialized forebrain
song in more detail (Riebel, 2003). areas solely dedicated to the acquisition and percep-
tion of vocalizations and to the control of the com-
plex motor patterns underlying song. Both song and
Comparison to Human Speech
speech acquisition have sensitive periods during
Both human speech and birdsong consist of finite sets which learning is greatly enhanced and sensory ex-
of smaller units (humans: phonemes; birds: elements perience leads to learned representations guiding
or syllables) that are arranged by a species-specific vocal output via complex feedback mechanisms. In-
combinatorial system into larger units (humans: creasing experience and sub-adult hormonal changes
words and sentences; birds: phrases and songs). later slow down or stop further acquisition learning.
Despite the very different functions fulfilled by bird- These similarities of the acquisition of vocal units
song (territorial and mate-attracting signal) and suggest that similar neural mechanisms might under-
human speech (physical carrier of human language), lie vocal learning in birds and in humans. In line with
there are many parallels. Both types of communica- this, studies on functional morphology of the bird
tion are acquired by a form of channeled social brain now suggest that avian forebrain areas are
learning, whereby some sounds are more likely to be functionally much more equivalent to mammalian
copied than others. Learning of speech by humans forebrain areas than previously thought. Moreover,
and song by birds takes place without obvious exter- central and peripheral control of both song and
nal reward, occurs at specific phases during develop- speech show lateralization, which is a clear indication
ment, and relies on auditory feedback and a of evolutionarily highly derived systems. Birdsong
prolonged phase of motor learning (birds: phonology is often highly complex and can show
52 Birdsong: a Key Model in Animal Communication

Individual Recognition in Animal Species; Insect


Communication; Non-human Primate Communication;
Traditions in Animals; Vocal Production in Birds.

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review.’ Trends in Cognitive Sciences 4, 258–267.
speech (not language) and to nonverbal aspects of
Gahr M, Sonnenschein E & Wickler W (1998). ‘Sex differ-
acoustic communication. In this respect, it is a valu- ences in the size of the neural song control regions in
able model for comparative studies (Doupe and Kuhl, a duetting songbird with similar song repertoire size
1999; Hauser et al., 2002) on mechanisms (behavior- of males and females.’ Journal of Neuroscience 18,
al, neurobiological, gene regulatory, and hormonal) 1124–1131.
as well as on the evolution of vocal learning (Fitch, Goller F & Larsen O N (2002). ‘New perspectives on
2000). In addition, how learning processes affect mechanisms of sound generation in songbirds.’ Journal
diachronic change and geographical variation of sig- of Comparative Physiology A 188, 841–850.
naling provides interesting opportunities for com- Gottlieb G (1978). ‘Development of species identification
parative research into gene-culture co-evolutionary in ducklings IV: Changes in species-specific perception
caused by auditory deprivation.’ Journal of Comparative
processes (see Dialects in Birdsongs).
and Physiological Psychology 92, 375–387.
Hall M L (2004). ‘A review of hypotheses for the functions
See also: Alarm Calls; Animal Communication: Deception of avian duetting.’ Behavioral Ecology and Sociobiology
and Honest Signaling; Animal Communication: Dialogues; 55, 415–430.
Animal Communication: Long-Distance Signaling; Animal Hartshorne C (1973). Born to sing. Bloomington: Indiana
Communication Networks; Animal Communication: Over- University Press.
view; Animal Communication: Parent–Offspring; Animal Hauser M D, Chomsky N & Fitch W T (2002). ‘The faculty
Communication: Signal Detection; Animal Communica- of language: what is it, who has it, and how did it evolve?’
tion: Vocal Learning; Communication in Grey Parrots; Science 298, 1569–1579.
Communication in Marine Mammals; Development of Janik V M & Slater P J B (1997). ‘Vocal learning in
Communication in Animals; Dialects in Birdsongs; mammals.’ Advances in the Study of Behaviour 26,
Fish Communication; Frog and Toad Communication; 59–99.
Bislama 53

Jarvis E D (2004). ‘Brains and birdsong.’ In Marler P & Peake T M (2005). ‘Communication networks.’ In
Slabbekoorn H (eds.) Nature’s music: the science McGregor P K (ed.) Communication networks. Cam-
of birdsong. San Diego: Elsevier Academic Press. bridge: Cambridge University Press.
226–271. Riebel K (2003). ‘The ‘‘mute’’ sex revisited: vocal produc-
Klump G (1996). ‘Bird communication in the noisy world.’ tion and perception learning in female songbirds.’
In Kroodsma D E & Miller E H (eds.) Ecology and Advances in the Study of Behavior 33, 49–86.
evolution of acoustic communication in birds. Ithaca, Slabbekoorn H (2004). ‘Singing in the wild: the ecology of
New York: Cornell University Press. 321–338. birdsong.’ In Marler P & Slabbekoorn H (eds.) Nature’s
Krebs J R (1977). ‘Song and territory in the great tit Parus music: the science of birdsong. San Diego: Elsevier Aca-
major.’ In Stonehouse B & Perrins C (eds.) Evolutionary demic Press. 181–208.
ecology. London: Macmillan. 47–62. Staicer C A, Spector D A & Horn A G (1996). ‘The
Kroodsma D E (2004). ‘The diversity and plasticity of dawn chorus and other diel patterns in acoustic signal-
birdsong.’ In Marler P & Slabbekoorn H (eds.) Nature’s ing.’ In Kroodsma D E & Miller E H (eds.) Ecology and
music: the science of birdsong. San Diego: Elsevier evolution of acoustic communication in birds. London:
Academic Press. 108–131. Cornell University Press.
MacDougall-Shackleton S A & Ball G F (1999). ‘Compara- Stoddard P K (1996). ‘Vocal recognition of neighbors by
tive studies of sex differences in the song-control system territorial passerines.’ In Kroodsma D E & Miller E H
of songbirds.’ Trends in Neurosciences 22, 432–436. (eds.) Ecology and evolution of acoustic communication
Marler P I E B (2004). ‘Bird calls: a cornucopia for commu- in birds. Cornell: University Press. 356–376.
nication.’ In Marler P & Slabbekoorn H (eds.) Nature’s Todt D & Naguib M (2000). ‘Vocal interactions in birds:
music: the science of birdsong. San Diego: Elsevier the use of song as a model in communication.’ Advances
Academic Press. 132–177. in the Study of Behaviour 29, 247–296.
Naguib M (2005). ‘Singing interactions in song birds: im- Tramontin A D & Brenowitz E A (2000). ‘Seasonal plastic-
plications for social relations, territoriality and territorial ity in the adult brain.’ Trends in Neurosciences 23,
settlement.’ In McGregor P K (ed.) Communication 251–258.
networks. Cambridge: Cambridge University Press. Wiley R H & Richards D G (1982). ‘Adaptations for acous-
300–319. tic communication in birds: sound transmission and sig-
Naguib M & Wiley R H (2001). ‘Estimating the distance to nal detection.’ In Kroodsma D E & Miller E H (eds.)
a source of sound: mechanisms and adaptations for long- Acoustic communication in birds, vol. 2. New York:
range communication.’ Animal Behaviour 62, 825–837. Academic Press. 131–181.

Bislama
C Hyslop, La Trobe University, Bundoora, main language used at home in 58% of households;
VIC, Australia in rural areas, this figure is considerably lower, at
! 2006 Elsevier Ltd. All rights reserved. 13.3%. However, even in the most remote areas of
the country only a minority of elderly people are not
fluent in Bislama. Currently, English and French are
Bislama, an English-lexifier pidgin-creole, is the na- the principal languages of education in Vanuatu
tional language of Vanuatu, a republic in the south- and Bislama is generally banned in schools. However,
west Pacific within the region of Melanesia. Along Bislama is used for many other government and com-
with English and French, it is also one of the official munity services. For example, the majority of radio
languages of the country. As the national language, it broadcasts are in Bislama, although only some of
is spoken by the majority of the population as either the content of newspapers is published in Bislama.
a first or second language. There are as many as 100 Parliamentary debates are conducted in the language,
distinct languages spoken in Vanuatu (81 actively as are local island court cases.
spoken languages according to Lynch and Crowley, Bislama is a dialect of Melanesian Pidgin, mutually
2001) for a population of only 186 678 (1999 cen- intelligible with Solomons Pijin (Pijin), spoken in
sus), and as a result Bislama is vital as a lingua franca Solomon Islands, and Tok Pisin, spoken in Papua
between speakers of different language groups. In New Guinea. Thus, the language is not just an impor-
urban areas and even in some rural areas, it is fast tant lingua franca of Vanuatu, but also a common
becoming the main language used in daily life. regional language that allows for communication
According to the 1999 census, in urban areas, where among most peoples of Melanesia. Only in New
there is a great deal of intermarriage, Bislama is the Caledonia is Melanesian Pidgin not spoken.
Bislama 53

Jarvis E D (2004). ‘Brains and birdsong.’ In Marler P & Peake T M (2005). ‘Communication networks.’ In
Slabbekoorn H (eds.) Nature’s music: the science McGregor P K (ed.) Communication networks. Cam-
of birdsong. San Diego: Elsevier Academic Press. bridge: Cambridge University Press.
226–271. Riebel K (2003). ‘The ‘‘mute’’ sex revisited: vocal produc-
Klump G (1996). ‘Bird communication in the noisy world.’ tion and perception learning in female songbirds.’
In Kroodsma D E & Miller E H (eds.) Ecology and Advances in the Study of Behavior 33, 49–86.
evolution of acoustic communication in birds. Ithaca, Slabbekoorn H (2004). ‘Singing in the wild: the ecology of
New York: Cornell University Press. 321–338. birdsong.’ In Marler P & Slabbekoorn H (eds.) Nature’s
Krebs J R (1977). ‘Song and territory in the great tit Parus music: the science of birdsong. San Diego: Elsevier Aca-
major.’ In Stonehouse B & Perrins C (eds.) Evolutionary demic Press. 181–208.
ecology. London: Macmillan. 47–62. Staicer C A, Spector D A & Horn A G (1996). ‘The
Kroodsma D E (2004). ‘The diversity and plasticity of dawn chorus and other diel patterns in acoustic signal-
birdsong.’ In Marler P & Slabbekoorn H (eds.) Nature’s ing.’ In Kroodsma D E & Miller E H (eds.) Ecology and
music: the science of birdsong. San Diego: Elsevier evolution of acoustic communication in birds. London:
Academic Press. 108–131. Cornell University Press.
MacDougall-Shackleton S A & Ball G F (1999). ‘Compara- Stoddard P K (1996). ‘Vocal recognition of neighbors by
tive studies of sex differences in the song-control system territorial passerines.’ In Kroodsma D E & Miller E H
of songbirds.’ Trends in Neurosciences 22, 432–436. (eds.) Ecology and evolution of acoustic communication
Marler P I E B (2004). ‘Bird calls: a cornucopia for commu- in birds. Cornell: University Press. 356–376.
nication.’ In Marler P & Slabbekoorn H (eds.) Nature’s Todt D & Naguib M (2000). ‘Vocal interactions in birds:
music: the science of birdsong. San Diego: Elsevier the use of song as a model in communication.’ Advances
Academic Press. 132–177. in the Study of Behaviour 29, 247–296.
Naguib M (2005). ‘Singing interactions in song birds: im- Tramontin A D & Brenowitz E A (2000). ‘Seasonal plastic-
plications for social relations, territoriality and territorial ity in the adult brain.’ Trends in Neurosciences 23,
settlement.’ In McGregor P K (ed.) Communication 251–258.
networks. Cambridge: Cambridge University Press. Wiley R H & Richards D G (1982). ‘Adaptations for acous-
300–319. tic communication in birds: sound transmission and sig-
Naguib M & Wiley R H (2001). ‘Estimating the distance to nal detection.’ In Kroodsma D E & Miller E H (eds.)
a source of sound: mechanisms and adaptations for long- Acoustic communication in birds, vol. 2. New York:
range communication.’ Animal Behaviour 62, 825–837. Academic Press. 131–181.

Bislama
C Hyslop, La Trobe University, Bundoora, main language used at home in 58% of households;
VIC, Australia in rural areas, this figure is considerably lower, at
! 2006 Elsevier Ltd. All rights reserved. 13.3%. However, even in the most remote areas of
the country only a minority of elderly people are not
fluent in Bislama. Currently, English and French are
Bislama, an English-lexifier pidgin-creole, is the na- the principal languages of education in Vanuatu
tional language of Vanuatu, a republic in the south- and Bislama is generally banned in schools. However,
west Pacific within the region of Melanesia. Along Bislama is used for many other government and com-
with English and French, it is also one of the official munity services. For example, the majority of radio
languages of the country. As the national language, it broadcasts are in Bislama, although only some of
is spoken by the majority of the population as either the content of newspapers is published in Bislama.
a first or second language. There are as many as 100 Parliamentary debates are conducted in the language,
distinct languages spoken in Vanuatu (81 actively as are local island court cases.
spoken languages according to Lynch and Crowley, Bislama is a dialect of Melanesian Pidgin, mutually
2001) for a population of only 186 678 (1999 cen- intelligible with Solomons Pijin (Pijin), spoken in
sus), and as a result Bislama is vital as a lingua franca Solomon Islands, and Tok Pisin, spoken in Papua
between speakers of different language groups. In New Guinea. Thus, the language is not just an impor-
urban areas and even in some rural areas, it is fast tant lingua franca of Vanuatu, but also a common
becoming the main language used in daily life. regional language that allows for communication
According to the 1999 census, in urban areas, where among most peoples of Melanesia. Only in New
there is a great deal of intermarriage, Bislama is the Caledonia is Melanesian Pidgin not spoken.
54 Bislama

The formation and development of Bislama, and of and object of the clause. Peripheral arguments are
Melanesian Pidgin generally, took place within marked by prepositions. The preposition long has
Vanuatu and other regions of Melanesia and also in a wide general use; it marks the locative, allative,
Australia and other countries of the Pacific. A pidgin ablative, and dative. It can also mark the object of
first started to emerge in Vanuatu (known as the New comparison in a comparative construction, the in-
Hebrides at the time) in the mid-1800s as a result of strumental, and a number of other less easily de-
the sandalwood and sea slug trade. Further develop- fined functions. The preposition blong also has a
ment took place in the second half of the 19th centu- number of functions, marking the possessor in a
ry, with increasing numbers of Ni-Vanuatu being possessive construction, a part-whole relationship,
recruited to work on plantations both inside Vanuatu and a purposive role. Prepositions marking other
and in other areas of the Pacific, particularly in semantic roles are wetem ‘with’ (instrumental and
the sugarcane plantations of Queensland and Fiji comitative), from ‘for, because of’ (reason), and
(Crowley, 1990a). During the early decades of the olsem ‘like’ (similitive).
20th century, the language stabilized, such that its As is true of most pidgin languages, there is little
structure today is very close to what it was then. marking of tense, aspect, and mood. The preverbal
The status of and need for Bislama as a lingua franca markers bin and bae mark the past and future tense,
within the country increased in the period leading respectively. However, it is possible for an unmarked
up to independence in 1980, to the extent that today verb, preceded only by its subject, to indicate either
it has become the unifying language of the nation. past, present, or future tense, depending on the con-
The majority of the Bislama lexicon, approximately text. A number of auxiliaries also occur, with as-
84–90%, is derived from English, reflecting its histo- pectual or modal functions, such as stap, marking
ry of development alongside English-speaking traders, a continuous or habitual action; mas ‘must’; save
plantation owners, and colonists. Only approximately ‘be able’; and wantem ‘want.’ Verb serialization is
3.75% of the vocabulary originates from the vernac- a productive process in Bislama, encoding various
ular languages and 6–12% derives from French meanings and functions such as a cause-effect
(Crowley, 2004). Of those words that derive from relationship; a causative; or direction, position, or
local languages, the majority describe cultural arti- manner of action.
facts and concepts and endemic floral and faunal
species that have no common names in English, such See also: Central Solomon Languages; Papua New Guin-
as nasara ‘ceremonial ground,’ navele ‘Barringtonia ea: Language Situation; Pidgins and Creoles: Overview;
edulis,’ and nambilak ‘buff-banded rail.’ Note that Solomon Islands: Language Situation; Tok Pisin; Vanuatu:
many of these words start with na-, the form of an Language Situation.
article or noun marker in many Vanuatu languages.
Although the majority of the lexicon is derived
from English, the grammar of Bislama is greatly influ- Bibliography
enced by the vernacular languages. For example, in Crowley T (1990a). Beach-la-mar to Bislama: the
the pronominal system there is an inclusive-exclusive emergence of a national language in Vanuatu. Oxford
distinction in the first person, yumi ‘we (inclusive)’ is Studies in Language Contact. Oxford: Clarendon Press.
distinguished from mifala ‘we (exclusive).’ Dual and Crowley T (1990b). An illustrated Bislama-English and
trial number is also distinguished from the plural, as English-Bislama dictionary. Port Vila: University of the
yutufala ‘you (two),’ yutrifala ‘you (three),’ and South Pacific, Pacific Languages Unit.
yufala ‘you (pl.).’ Another feature that Bislama inher- Crowley T (2004). Bislama reference grammar. Honolulu:
its from the substratum languages is reduplication. University of Hawai’i Press.
Reduplication is a productive process for both verbs Lynch J & Crowley T (2001). Languages of Vanuatu: a new
and adjectives, but it is rarer for nouns. In verbs, survey and bibliography. Canberra, Australia: Pacific
Linguistics.
reduplication can mark an action as being continu-
Tryon D T (1987). Bislama: an introduction to the na-
ous, habitual, reciprocal, or random. It can mark tional language of Vanuatu. Canberra, Australia: Pacific
intensity in both verbs and adjectives, and it also Linguistics.
marks plurality in adjectives. Tryon D T & Charpentier J-M (2004). Pacific pidgins
Like English and many Vanuatu languages, and creoles: origins, growth and development. Trends in
Bislama is characterized by AVO/SV word order, linguistics studies and monographs 132. Berlin: Mouton
and this is the only means of recognizing the subject de Gruyter.
Black Islam 55

Black Islam
R Turner, University of Iowa, Iowa City, IA, USA who was enslaved in Mississippi; Omar Ibn Said
! 2006 Elsevier Ltd. All rights reserved. (1770–1864), a Fuble Muslim scholar who was a
slave in North Carolina and pretended a conversion
to Christianity; and numerous others.
The involvement of black Americans with Islam By the eve of the Civil War, the black Islam of the
reaches back to the earliest days of the African pres- West African Muslim slaves was, for all practical
ence in North America. The history of black Islam purposes defunct, because these Muslims were not
in the United States includes successive and varied able to develop community institutions to perpetuate
presentations of the religion that document black their religion. When they died, their presentation of
Americans’ struggles to define themselves indepen- Islam, which was West African, private, with main-
dently in the context of global Islam. This article is stream practices, disappeared. But they were impor-
a historical sketch of black Islam that focuses on tant nonetheless, because they brought black Islam
the following topics: Islam and transatlantic slavery, to America.
early 20th-century mainstream communities, early
20th-century racial separatist communities, and
Early 20th-Century Mainstream
mainstream Islam in contemporary black America.
Communities
In the late 19th century, the Pan-Africanist ideas of
Islam and Transatlantic Slavery
a Presbyterian minister in Liberia, Edward Wilmot
Muslim slaves – involuntary immigrants who had Blyden (1832–1912), which critiqued Christianity
been the urban-ruling elite in West Africa, constituted for its racism and suggested Islam as a viable religious
at least 15% of the slave population in the United alternative for black Americans, provided the politi-
States in the 18th and 19th centuries. Their religious cal framework for Islam’s appeal to black Americans
and ethnic roots could be traced to ancient black in the early 20th century. Moreover, the internation-
kingdoms in Ghana, Mali, and Songhay. Some of alist perspective of Marcus Garvey’s Universal Negro
these West African Muslim slaves brought the first Improvement Association and the Great Migration
mainstream Islamic beliefs and practices to America of more than one million black southerners to north-
by keeping Islamic names, writing in Arabic, fasting ern and midwestern cities during the World War
during the month of Ramadan, praying five times I era provided the social and political environment
a day, wearing Muslim clothing, and writing and for the rise of black American mainstream commu-
reciting the Qur’an. nities from the 1920s to the 1940s. The Ahmadiyya
The fascinating portrait of a West African Muslim Movement in Islam, a heterodox missionary commu-
slave in the United States who retained mainstream nity from India, laid the groundwork for mainstream
Islamic practices was that of a Georgia Sea Island Islam in black America by providing black Americans
slave, Bilali. He was one of at least 20 black Muslims with their first Qur’ans, important Islamic literature
who are reported to have lived and practiced their and education, and linkages to the world of Islam.
religion in Sapelo and St. Simon’s Islands during the Mufti Muhammad Sadiq, the first Ahmadiyya mis-
antebellum period. This area provided fertile ground sionary to the United States, established the American
for mainstream Islamic continuities because of its headquarters of the community in Chicago in 1920.
relative isolation from Euro-American influences. He recruited many of his earliest black American
Bilali was noted for his religious devotion: for wear- converts from the ranks of Marcus Garvey’s Universal
ing Islamic clothing, for his Muslim name, and for Negro Improvement Association. By the mid-1920s,
his ability to write and speak Arabic. Islamic tradi- Sadiq and black American converts, such as Brother
tions in his family were retained for at least three Ahmad Din and Sister Noor, had established The
generations. Muslim Sunrise, the first Islamic newspaper in the
Fascinating portraits of outstanding African Muslim United States, and thriving multiracial communities
slaves in the United States, which exist in the his- in Detroit, Michigan; Gary, Indiana; and St. Louis,
torical literature, also include Job Ben Solomon Missouri.
(1700–1773), a Maryland slave of Fuble Muslim ori- There were several dynamic early 20th-century
gins; Georgetown, Virginia, slave Yarrow Mamout, communities to which black American Sunni Mus-
who was close to 100 years old when his portrait lims can trace their roots. These communities – the
was painted by Charles Wilson Peale; Abd al-Rahman Islamic Mission to America, Jabul Arabiyya, and the
Ibrahima (1762–1825), a Muslim prince in Futa Jallon, First Cleveland Mosque – were influenced by Muslim
56 Black Islam

immigrants and their own constructed presentations Muslim communities economically and socially self-
of mainstream Islam in black communities. sufficient.
Four things influenced the Islamic Mission to In 1943, Wali Akram conducted the first session
America in New York City: the local Muslim immi- of the Uniting Islamic Society of America in Phila-
grant community; Muslim sailors from Yemen, delphia. This national group was established to
Somalia, and Madagascar; the Ahmadi translation unify disparate black American mainstream organi-
of the Qur’an; and the black American community. zations against the agenda of foreign Muslims. The
Shiek Daoud was born in Morocco and came to Uniting Islamic Society of America met several times
the United States from Trinidad. Daoud’s wife, from 1943 to 1947 to develop a united platform on
‘Mother’ Sayeda Kadija, who had Pakistani Muslim doctrine, politics, women’s issues, leadership, and
and Barbadian roots, became president of the relations with the immigrant community. Ultimately,
Muslim Ladies Cultural Society. The Islamic Mission this organization failed because of personality con-
to America published its own literature about main- flicts and different visions of the black American
stream Islam. Sheik Daoud believed that black mainstream Islamic community.
American Muslims should change themselves not The grassroots work of these mainstream groups
only spiritually, but also in ‘‘language, dress, and with their emphasis on study of the Arabic language
customs’’ to connect them to Islamic civilization and the Qur’an, the transformation of domestic
and revivalism in Asia and Africa. Daoud immersed space and community life, adoption of Islamic dress
himself in the complex experiences of, and bound- and customs, and cosmopolitan travels to Egypt,
aries between, Muslim immigrants and black con- Morocco, Trinidad, India, Barbados, Jamaica, and
verts to Islam in New York City and Brooklyn from New York City are key to understanding the Muslim
the 1920s to the 1960s. lifestyles of these early Sunni black American con-
Muhammad Ezaldeen, an English teacher and prin- verts as expressions of global Islam. These early black
cipal, was a Moorish Science Temple member in American Sunni communities were overshadowed
Newark, New Jersey, in the 1920s. After several by the successful missionary work of the heterodox
years of Arabic and Islamic studies in Egypt, he Ahmadiyya movement and later by the ascendancy of
returned to the United States to promote the Islamic the Nation of Islam in the 1950s. Mainstream Islam
connections between Arab and black American cul- did not become a popular option for black American
ture in the Adenu Allahe Universal Arabic Associa- Muslims until the 1960s.
tion. In 1938, he and his followers established
Jabul Arabiyya, a Sunni Muslim community ruled Early 20th-Century Racial Separatist
by Islamic law in rural West Valley, New York.
Communities
Communities of this association were founded in
New Jersey (Ezaldeen Village); Jacksonville, Florida; Noble Drew Ali (1886–1929) was the founder of
Rochester, New York; Philadelphia, Pennsylvania; the Moorish Science Temple of America in Newark,
and Detroit, Michigan. These communities empha- New Jersey, in 1913. This was the first mass religious
sized the hijra – the movement of early Arabian community in the history of black American Islam
Muslims from Mecca to Medina in 622 C.E. – as the and the black nationalist model for the Nation of
centerpiece of their spiritual philosophy. Islam. In the late 1920s, the Moorish American com-
Tensions between black American and immigrant munity in the United States grew to approximately
leaders in the Ahmadiyya Movement in Islam resulted 30 000 members and was the largest Islamic commu-
in the establishment of the Sunni First Cleveland nity in the United States before the ascendancy of the
Mosque by Imam Wali Akram in 1936 and the First Nation of Islam in the 1950s.
Muslim Mosque in Pittsburgh by Nasir Ahmad and The Moorish Americans, who established branches
Saeed Akmal in the same period. Wali Akram was of their community in several northern cities and
one of the first black American Muslim converts to made their headquarters in Chicago in the 1920s,
sever all ties with the immigrant community in order claimed to be descendants of Moroccan Muslims
to establish mainstream Islam in a black American and constructed a nationalist identity by changing
community. The imam and his wife, Kareema, learned their names, nationality, religion, diet, and dress.
Arabic and taught the language and the recitation Their esoteric spiritual philosophy was constructed
of the Qur’an to black converts. One of Akram’s from Islam, Christianity, and black Freemasonry. In
unique contributions to the black American commu- 1927, Ali wrote their sacred text, the Holy Koran of
nity was the Muslim Ten Year Plan, which utilized the Moorish Science Temple, also called the Circle
the faith and discipline of Sunni Islam to get black Seven Koran, to teach his followers their preslavery
people off welfare and to make black American religion, nationality, and genealogy. To support his
Black Islam 57

case for a Moorish American identity, he emphasized Elijah Muhammad’s institutional quest for economic
two important points: first, black Americans were power made the Nation of Islam into the wealthiest
really ‘Asiatics’ – the descendants of Jesus, and sec- black organization in American history. In this era,
ond, the destiny of western civilization was linked the Nation of Islam provided a community model
to the rise of the ‘Asiatic’ nation – Asians, Africans, and political inspiration for the black power move-
Native Americans, and black Americans. ment. Malcolm X’s phenomenal organizing efforts
In the Holy Koran of the Moorish Science Temple, among young lower-class black men and women in
Noble Drew Ali also argued that truth, peace, free- the northern cities created powerful constituencies
dom, justice, and love were the Islamic ideals that for the Nation of Islam across the United States,
his followers should emulate. The Moorish Science and the Muhammad Speaks newspaper, which was
Temple survived in factions after Noble Drew Ali’s edited by a leftward-leaning staff, provided exem-
mysterious death in 1929 and received official recog- plary coverage of international news and anticolonial
nition for its Islamic linkages to Morocco from struggles in Asia and Africa. Malcolm X provided a
the Moroccan ambassador to the United States in powerful message of racial separatism, self-discipline,
1986. Major communities exist today in Baltimore, and black community development in the midst of the
Pittsburgh, and Los Angeles. integrationist strategies and nonviolent demonstra-
The Nation of Islam began in Detroit, Michigan, in tions of the civil rights movement. However, as the
1930 as the Allah Temple of Islam – a small black political tactics and strategies of the civil rights and
nationalist Islamic movement founded by W. D. Fard, the black power movements became more sophisti-
an immigrant Muslim missionary, who preached a cated Elijah Muhammad’s economic agenda for his
philosophy of political self-determination and racial community resulted in a conservative vision regard-
separatism to the newly arrived black southerners ing political activism; this was one of the primary
of the Great Migration. Fard believed that Western factors that led to Malcolm X’s departure from the
civilization would soon end in a race war, and he Nation of Islam.
established an institutional framework – the Fruit of In the wake of President Kennedy’s assassina-
Islam, The Muslim Girls Training Corps, and the tion in 1963, a public controversy between Elijah
University of Islam to separate black Muslims from Muhammad and Malcolm X evolved into a perma-
white Christian America. Although his ethnic and nent separation. Establishing a new spiritual and
Islamic identity remains undocumented, Fard might political identity, Malcolm abandoned the heterodox,
have been a Druze, a sectarian branch of the Ismaili racial-separatist philosophy of the Nation of Islam
Shii Muslims, who have a long documented tradition and converted to multiracial Sunni Islam during the
of human divinity and esoteric interpretations of the last year of his life.
Qur’an. In March, 1964, he founded the Sunni Muslim
A victim of police brutality, he disappeared mys- Mosque, Inc. in Harlem as the base for a spiritual
teriously in 1934, after he assigned leadership of program to eliminate economic and social oppression
his community to Elijah Muhammad (1897–1975), against black Americans. Then, Malcolm made the
who led the Nation of Islam from 1934 to 1975 hajj, the Islamic pilgrimage to Mecca, Saudi Arabia,
from its Chicago headquarters and was an impor- in April 1964. There, he changed his name from
tant figure in the development of black nationalism Malcolm X to El Hajj Malik El-Shabazz, which
and Islam among black Americans in the 20th cen- signified the adoption of a new identity that was
tury. The members of the Nation of Islam believed linked to mainstream Islam. Malcolm’s Sunni Islamic
that their descendants were the Asiatics, who were identity became a significant model for many black
the original Muslims and the first inhabitants of the Americans who have converted to mainstream Islam
earth, and they claimed a divine identity for their since the 1960s.
founder, W. D. Fard, and prophetic status for Elijah After Mecca, Malcolm traveled extensively
Muhammad. through North and West Africa establishing impor-
During World War II, the Nation of Islam’s mem- tant religious and political linkages with Third World
bership decreased dramatically as Elijah Muhammad nations. These profound international experiences
and his son, Herbert, became involved politically with deepened his Pan-African political perspective. When
Satokata Takahashi, a Japanese national organizer Malcolm returned to the United States, he founded
among black Americans, and they were prisoners the Organization of Afro-American Unity in New
in the federal penitentiary in Milan, Michigan, from York City on June 29, 1964, to promote his political
1943 to 1946. In the 1950s and 1960s, as black perspective, which linked the black American strug-
Americans and Africans cracked the political power gle for social justice to global human rights issues
of white supremacy in the United States and abroad, in Africa, Asia, Latin America, and the Caribbean.
58 Black Islam

During the final weeks of Malcolm’s life in 1965, death in 1975. During the first years of his leadership,
he began to talk about the black American freedom he mandated sweeping changes, which he called
struggle as an aspect of ‘‘a worldwide revolution’’ the ‘‘Second Resurrection’’ of black Americans, in or-
against racism, corporate racism, classism, and sex- der to align his community with mainstream Islam.
ism. Because of his potential (if he had lived) to unite He refuted the Nation of Islam’s racial-separatist
many black Muslims and black Christians in America teachings and praised his father for achieving the
and abroad in a global liberation struggle that could ‘‘First Resurrection’’ of black Americans by introdu-
have involved the United Nations, there is no ques- cing them to Islam. But now the community’s mission
tion that the American intelligence community had was directed not only at black Americans, but also at
the incentive to be involved in Malcolm X’s murder. the entire American environment. The new leader
Since 1978, Louis Farrakhan has led the revived renamed the Nation of Islam the ‘‘World Community
Nation of Islam and published the Final Call news- of Al-Islam in the West’’ in 1976; the American
paper. Farrakhan speaks fluent Arabic and travels Muslim Mission in 1980; and the ‘‘American Society
frequently to the Middle East and West Africa to of Muslims’’ in the 1990s. Ministers of Islam were
promote the issues of black American Muslims. His renamed ‘imams’, and temples were renamed ‘mos-
greatest achievement as leader of the Nation of Islam ques’ and ‘masjids’. The community’s lucrative finan-
was the Million Man March in 1995, which brought cial holdings were liquidated, and mainstream rituals
the healing spirit of Islam to more than one million and customs were adopted. Although Warith Deen
black men who gathered in Washington, D.C. This Mohammed’s positive relationships with immigrant
was the largest political gathering of black Americans Muslims, the world of Islam, and the American gov-
in American history. On Saviours’ Day in Chicago ernment are important developments in the history of
in February 2000, Farrakhan announced changes in mainstream Islam in the United States, his group has
the Nation of Islam’s theology and ritual practices diminished in members since the 1980s, and he
that will bring his community closer to the center of resigned as the leader of the American Society of
mainstream Islam in North America. Muslims in 2003. In the wake of Mohammed’s depar-
Major factions of the Nation of Islam are led ture, Mustafa El-Amin, a black American imam in
by John Muhammad in Highland Park, Michigan; Newark, New Jersey, has attempted to revive this
Silis Muhammad in Atlanta, Georgia; and Emmanuel black mainstream Islamic community.
Muhammad in Baltimore, Maryland. The Five Darul Islam, founded in Brooklyn, New York, in
Percenters, also called the Nation of Gods and Earths, 1962 and having branches in many major American
are popular among rap musicians and the hip-hop cities, is probably the largest and most influential
community; they were founded by Clarence 13X in community of black American Sunni Muslims. Pres-
New York City in 1964. tige and leadership are based on knowledge of the
Qur’an, the hadith, and the Arabic language. Darul
Mainstream Islam in Contemporary Islam is a private decentralized community, which
did not allow immigrants in its midst until the
Black America
mid–1970s. The Hanafi Madh-hab Center, founded
Large numbers of black Americans have turned to by Hammas Abdul Khalis in the 1960s, is a black
mainstream Islamic practices and communities since American Sunni group that made headlines in the
Malcolm X’s conversion to Sunni Islam in 1964. Like 1970s because of its conversion of the basketball
Malcolm X, black American Sunni Muslims see star Kareem Abdul Jabbar and the assassination
themselves as part of the mainstream Muslim com- of Khalis’s family in their Washington, D.C., head-
munity in the world of Islam and study Arabic, fast quarters. Siraj Wahhaj leads an important black
during the month of Ramadan, pray five times a day, Sunni community in Bedford Stuyvesant in Brooklyn,
make the hajj to Mecca, practice charity and social New York.
justice, and believe in one God and Muhammad as his Although black American Muslims populate multi-
last prophet. The dramatic growth of mainstream ethnic Sunni masjids and organizations across the
Islam in black America is also related to the arrival United States, reportedly there are subtle racial and
of more than three million Muslims in the United ethnic tensions between black American and immi-
States after the American immigration laws were grant Muslims. Immigrant Muslims talk about ‘a
reformed in 1965. color- and race-blind Islam’ and the American
Elijah Muhammad’s son, Warith Deen Mohammed, dream, whereas black American Muslims continue
has played an important role within mainstream to place Islam at the forefront of the struggles for
Islam in the United States. He became the Supreme social justice, as the United States has entered a new
Minister of the Nation of Islam after his father’s century of frightening racial profiling and violence
Blaming and Denying: Pragmatics 59

in a post–September 11 world. Certainly, black See also: Islam in Africa; Islam in East Asia; Islam in
American and immigrant Muslims have a lot to Southeast Asia; Islam in the Near East; New Religious
learn from each other and need to present a united Movements; Religion: Overview.
front on social justice issues, as mainstream Islam’s
appeal and ascendancy in the United States in this
century may depend on American Muslims’ ability
Bibliography
to claim a moral and political high ground on social
justice and racial issues that have historically divided Austin A D (1997). African Muslims in antebellum America:
the American Christian population. In the wake of transatlantic stories and spiritual journeys. New York:
post–September 11 legislation, such as U.S. Patriot Routledge.
Act that has enabled the detention of Muslim immi- Clegg C A III (1997). An original man: the life and times of
grants and Muslim Americans, black American Mus- Elijah Muhammad. New York: St. Martin’s.
Dannin R (2002). Black pilgrimage to Islam. New York:
lims are probably in the strongest position to refute
Oxford University Press.
arguments that claim there is a clash of civilizations Diouf S A (1998). Servants of Allah: African Muslims
between Islam and the West because of the ethnic enslaved in the Americas. New York: New York Univer-
group’s history of contributions to the American sity Press.
experience. Essieu-Udom E U (1962). Black nationalism: a search for
Although there are no conclusive statistics, some identity in America. Chicago: University of Chicago
observers estimate that there are six to seven Press.
million Muslims in the United States and that black Haddad Y Y (ed.) (1991). The Muslims of America. New
American Muslims comprise 42% of the total popu- York: Oxford University Press.
lation. Finally, the future of American Muslim com- Haley A (1965). The autobiography of Malcolm X. New
munities in the 21st century may be determined York: Ballantine Books.
Lincoln C E (1994). The black Muslims in America (3rd
significantly by the conversion experiences and so-
edn.). Trenton, NJ: Africa World Press.
cial-political perspectives of young black Americans. McCloud A B (1995). African-American Islam. New York:
According to A report from the Mosque Study Routledge.
Project 2000, published by the Council on American– Nimer M (2002). The North American Muslim resource
Islamic Relations, black Americans constitute the guide: life in the United States and Canada. New York:
largest percentile of the yearly converts to main- Routledge.
stream Islam, and many of these converts are young Turner R B (2003). Islam in the African-American experi-
black men and women who reside in urban locations. ence (2nd edn.). Bloomington: Indiana University Press.

Blaming and Denying: Pragmatics


R Wodak, University of Vienna, Vienna, Austria, and denying can be related to psychological and psychiat-
Lancaster University, Lancaster, UK ric syndromes, wherein certain patterns are viewed as
! 2006 Elsevier Ltd. All rights reserved. compulsive and out of control, and to political debates
and persuasive discourses, in which blaming and de-
nying, by serving to promote one group and to debase
or attack the opposition, are carefully and strategi-
Definition of Terms cally planned and serve positive self-presentation and
Blaming and denying, frequent and constitutive fea- negative other-presentation. Thus, the linguistic anal-
tures of conflict talk, are expressed in many different ysis of those verbal practices that construct a dynamic
direct or indirect linguistic modes, depending on the of ‘justification discourses’ requires methodologies
specific broad and narrow contexts of the conversa- that are adequate for the specific genre and context
tions, on the functions of the utterances, and on the (speech act theory, conversation analysis, discourse
formality of the interactions. Moreover, the usages analysis, text linguistics, argumentation analysis,
and functions of blaming and denying are dealt with rhetoric, and so forth) (for overviews of some impor-
in many disciplines (psychoanalysis, sociopsychology, tant features of conflict talk in specific domains from
political sciences, sociology, anthropology, psychia- varying perspectives, see Austin, 1956/1957; Gruber,
try, linguistics, argumentation studies, history, and 1996; Kopperschmidt, 2000) (see also Discourse Mar-
so forth). For example, the specifics of blaming and kers; Psychoanalysis and Language).
Blaming and Denying: Pragmatics 59

in a post–September 11 world. Certainly, black See also: Islam in Africa; Islam in East Asia; Islam in
American and immigrant Muslims have a lot to Southeast Asia; Islam in the Near East; New Religious
learn from each other and need to present a united Movements; Religion: Overview.
front on social justice issues, as mainstream Islam’s
appeal and ascendancy in the United States in this
century may depend on American Muslims’ ability
Bibliography
to claim a moral and political high ground on social
justice and racial issues that have historically divided Austin A D (1997). African Muslims in antebellum America:
the American Christian population. In the wake of transatlantic stories and spiritual journeys. New York:
post–September 11 legislation, such as U.S. Patriot Routledge.
Act that has enabled the detention of Muslim immi- Clegg C A III (1997). An original man: the life and times of
grants and Muslim Americans, black American Mus- Elijah Muhammad. New York: St. Martin’s.
Dannin R (2002). Black pilgrimage to Islam. New York:
lims are probably in the strongest position to refute
Oxford University Press.
arguments that claim there is a clash of civilizations Diouf S A (1998). Servants of Allah: African Muslims
between Islam and the West because of the ethnic enslaved in the Americas. New York: New York Univer-
group’s history of contributions to the American sity Press.
experience. Essieu-Udom E U (1962). Black nationalism: a search for
Although there are no conclusive statistics, some identity in America. Chicago: University of Chicago
observers estimate that there are six to seven Press.
million Muslims in the United States and that black Haddad Y Y (ed.) (1991). The Muslims of America. New
American Muslims comprise 42% of the total popu- York: Oxford University Press.
lation. Finally, the future of American Muslim com- Haley A (1965). The autobiography of Malcolm X. New
munities in the 21st century may be determined York: Ballantine Books.
Lincoln C E (1994). The black Muslims in America (3rd
significantly by the conversion experiences and so-
edn.). Trenton, NJ: Africa World Press.
cial-political perspectives of young black Americans. McCloud A B (1995). African-American Islam. New York:
According to A report from the Mosque Study Routledge.
Project 2000, published by the Council on American– Nimer M (2002). The North American Muslim resource
Islamic Relations, black Americans constitute the guide: life in the United States and Canada. New York:
largest percentile of the yearly converts to main- Routledge.
stream Islam, and many of these converts are young Turner R B (2003). Islam in the African-American experi-
black men and women who reside in urban locations. ence (2nd edn.). Bloomington: Indiana University Press.

Blaming and Denying: Pragmatics


R Wodak, University of Vienna, Vienna, Austria, and denying can be related to psychological and psychiat-
Lancaster University, Lancaster, UK ric syndromes, wherein certain patterns are viewed as
! 2006 Elsevier Ltd. All rights reserved. compulsive and out of control, and to political debates
and persuasive discourses, in which blaming and de-
nying, by serving to promote one group and to debase
or attack the opposition, are carefully and strategi-
Definition of Terms cally planned and serve positive self-presentation and
Blaming and denying, frequent and constitutive fea- negative other-presentation. Thus, the linguistic anal-
tures of conflict talk, are expressed in many different ysis of those verbal practices that construct a dynamic
direct or indirect linguistic modes, depending on the of ‘justification discourses’ requires methodologies
specific broad and narrow contexts of the conversa- that are adequate for the specific genre and context
tions, on the functions of the utterances, and on the (speech act theory, conversation analysis, discourse
formality of the interactions. Moreover, the usages analysis, text linguistics, argumentation analysis,
and functions of blaming and denying are dealt with rhetoric, and so forth) (for overviews of some impor-
in many disciplines (psychoanalysis, sociopsychology, tant features of conflict talk in specific domains from
political sciences, sociology, anthropology, psychia- varying perspectives, see Austin, 1956/1957; Gruber,
try, linguistics, argumentation studies, history, and 1996; Kopperschmidt, 2000) (see also Discourse Mar-
so forth). For example, the specifics of blaming and kers; Psychoanalysis and Language).
60 Blaming and Denying: Pragmatics

The Use of Blaming and Denying: The Linguistic/Pragmatic Analysis of


Domains and Genres Blaming and Denying
Blaming and denying occur both in private, intimate Depending on the genre, different linguistic and/or
conversations and in the domains of politics, the law, pragmatic approaches are used in analysis. Most ob-
and the media. Linguistic manifestations depend on viously, speech act theory allows for the categoriza-
the choice of genre and on the formality/informality tion of direct and indirect forms of blaming and
of the settings. For example, studies on racist or anti- denying in conversations or debates (s e e Speech
Semitic discourses show that the more informal the Acts). In conversation analytic terms, blaming con-
setting (anonymous conversations, conversations sists of two parts: on the one hand, a specific action is
with friends, or e-mail postings), the more likely the presented; on the other hand, there is the negative
use of abusive language, derogatory terms, and dis- evaluation of this action, often an accusation. Gruber
criminatory language. If the setting is more formal (1996) listed several important forms of these so-
(for example, a televised debate or political speech), called ‘adjacency pairs’ (s e e Conversation Analysis).
the wording of ‘blaming’ is mitigated, more indirect, Accusations can either relate to situational factors or
and often introduced by disclaimers (S ome of my be s t to factors that are outside of the specific setting.
frie nds are J e wis h/Turks , but ; I love all pe ople , Either way, perceived violations of rules and norms
but ; and so forth), after which, the ‘other’ is may trigger the speech act of blaming. Moreover, accu-
attacked, often by a projection of guilt or by a turning sations can be formulated either directly or indirectly,
of the tables (van Dijk, 1993; Wodak, 2004) (s e e depending on the knowledge that the participants in
Mitigation). the debate or conflict are supposed to possess.
Justification discourses have been analyzed in studies Reacting to aggressive behavior, a defendant can
dealing with court trials (Scott and Lyman, 1976; either apologize and try to legitimize her/his actions
Alexy, 1996), relationships between parents and chil- through accounts, anecdotes, various kinds of evi-
dren (Wodak and Schulz, 1986), intimate relationships dence, and so forth (Scott and Lyman, 1968/1976),
(Jacobson and Kettelhack, 1995; Dejudicibus and or the accusation can be rejected. Conversation ana-
McCabe, 2001), media debates (Lamb and Keon, lysts propose that rejection is the preferred mode of
1995; Dickerson, 1998), and the speeches, print reaction (Pomerantz, 1978). Silence can also occur;
media, slogans, and debates of election campaigns this is usually interpreted as the accused acknowled-
(Chilton, 2004); they have also been focused on in the ging the legitimacy of the accusation. Sometimes, a
police environment and other bureaucratic settings counteraccusation may follow, or the accusation may
(Ehlich and Rehbein, 1986) and during proceedings in be partially or completely denied. These patterns of
which official bodies have attempted to come to terms speech acting can create a conversational dynamic
with traumatic past events (Ensink and Sauer, 2003; that it is very difficult to overcome.
Martin and Wodak, 2003). One of the most significant Argumentation analysis focuses on typical modes
manifestations of denial is ‘Holocaust denial,’ in which of arguments that are used in conflict talk. Certain
speakers and writers suggest evidence or arguments for topoi characterize blaming as well as denying; both
their claim that the Holocaust never happened, being – the topoi and the fallacies are difficult to deconstruct,
in their opinion – invented by a (supposedly Jewish) such that a rational debate becomes almost impossi-
conspiracy (Lipstadt, 1993). There is no doubt that ble. Many argumentative moves can be made while
such a denial serves many functions, probably pri- blaming an opponent, ranging from attacking the
marily to reject (individual and/or collective) guilt by opponent personally (argume ntum ad homine m) or
counterattacking an imaginary opponent. threatening the opponent and his/her freedom of ex-
Justification discourses are not restricted to oral, pression (argume ntum ad baculum), to undermining
spontaneous texts; the same types of blaming and the credibility of the opponent by showing that he/she
denying are also manifest in many written genres, does not adhere to the point of view that he/she
reflecting the intentions and aims of the authors of publicly defends (tu quoque, a variant of the ad homi-
newspaper articles, letters, party programs, election ne m argument) (for typical fallacies in conflict talk,
materials, or legal documents. The visual genres, es- see van Eemeren and Grootendorst, 1992; Reisigl and
pecially caricature, lend themselves to justification Wodak, 2001) (s e e als oArgument Structure).
discourses through the presentation of, and debate What holds for argumentation is also true of
about, visual evidence (e.g., photos representing war denials. Denials can occur as disclaimers (I am not a
crimes; see later). racis t, s e xis t, e tc., but ) or as direct rejections of
Blaming and Denying: Pragmatics 61

certain accusations; they can be formulated as coun- often criticized, both in the press and in other fora
terattacks (identification with the aggressor), or as of discussion): viz., that during World War II, the
‘straw man’ fallacies (when a fictitious standpoint is Wehrmacht was extensively involved, as an institu-
attributed to the opponent, or the opponent’s actual tion, in planning and implementing an unprecedented
standpoint is being distorted). Some of these fallacies war of annihilation. However, the second exhibition
have already been described in classical rhetoric (as in had shifted to a focus on texts, whereas the first exhi-
Aristotle’s De sophisticis elenchis), wherein fallacies bition had presented mainly photographs. The
are defined as incorrect moves adopted in dispute to exhibitions demonstrated the at times passive, at
refute a thesis (see van Eemeren and Grootendorst, times active, role of the Wehrmacht in German war
2004) (see also Rhetoric, Classical). crimes. From November, 2001, through March,
Discourse analysis focuses on the strategies em- 2004, this second exhibition was displayed in 11
ployed in blaming and denying. These strategies are German cities, as well as in Vienna and in Luxemburg,
realized linguistically in various, predictable ways, attracting more than 420000 visitors (the Hamburg
depending on the context. Moreover, mitigation Institute’s first exhibition on the same subject had
and intensification markers are of obvious interest, attracted about 800000 visitors). Both exhibitions
because they serve to open or close options for debate triggered a discussion throughout the Federal Repub-
and argument. Discursive strategies such as scape- lic of Germany and Austria about the crimes com-
goating, blaming the victim, blaming the messenger, mitted during the war waged by the National
victim–perpetrator reversal, the straw man fallacy, Socialist regime and about how postwar German so-
turning the tables, and so forth have been studied ciety dealt with this part of its past. Never before had
extensively; they all belong to the category of ‘dis- the West German and Austrian publics discussed their
courses of justification’ (Wodak et al., 1990; Van past with such intensity and for such a long period.
Leeuwen and Wodak, 1999). ‘Strategy’ is defined as In the debates surrounding the two exhibitions
a more or less detailed and directed plan of practices (1995 and 2001) on war crimes committed by the
(including discursive practices), adopted to achieve a German Wehrmacht in World War II, typical discur-
particular social, political, psychological, or linguistic sive strategies of blaming and denying become appar-
aim. As far as discursive strategies, i.e., systematic ent. Interviews with visitors to the exhibition
ways of using language, are concerned, they are lo- emphasized, on the one hand, the fact of ‘‘not having
cated at different levels of linguistic organization seen, known, or heard anything’’ about the deporta-
and complexity. Strategies, realized as macroconver- tion and extermination of prisoners of war as well of
sational patterns or moves, are often used to structure racial and ethnic groups such as Jews, Roma, and
public debates, such as on AIDS, poverty, econo- other civilians. On the other hand, the blame was
mic problems, the welfare state, racism, xenophobia, projected onto ‘a few soldiers,’ who were labeled as
and anti-Semitism; as well as on sexism and the rep- ‘exceptions’; in this way, any explicit involvement of
resentation of rape (Carlson, 1996; Maynard, 1998; the Wehrmacht as an institution was denied (Heer
Anderson et al., 2001). et al., 2003). The same patterns are found in the
reports on hearings of the South African Truth and
Reconciliation Commission (TRC) and in the debates
An Example: The War-Crimes Debate
about the pictures of tortured Iraqi prisoners that first
Between 1995 and 2004, the Hamburg Institute for appeared in 2004, during the Iraq war.
Social Research created and presented to the public Figure 1 summarizes the most important strategies
two itinerant exhibitions, under the common denomi- of denial (i.e., discursive reactions to blaming). The
nation Crimes of the German Wehrmacht (see Heer main distinction shown in the diagram is between
et al. (2003); for an extensive analysis of the debates people orienting themselves toward the context,
surrounding the exhibitions, as well as an analysis of i.e., acknowledging the fact that they are watching
the historical narratives in Germany and Austria an exhibition about the German army’s war crimes,
around the discursively constructed images of the and taking a stance toward that fact (the left side of the
German Wehrmacht, see also Wodak (2005)). The diagram), and people who do not orient themselves
first exhibition was shown from March, 1995, toward the context (the right side of the diagram).
through the end of 1999, at a total of 33 venues in The first three strategies negate the very context, at
the Federal Republic of Germany and in Austria. The least at the explicit level:
second exhibition was shown to the public for the
first time in Berlin in November, 2001; the new exhi- 1. People do not position themselves with respect to
bition upheld the main statement of the former their belief in the existence of war crimes. This
exhibition (which had been hotly debated and may be done by (a) refusing to deal with the issue
62 Blaming and Denying: Pragmatics

Figure 1 Array of discursive strategies (see Benke and Wodak, 2003: 124). Abbreviations: NS, Nazi state; SS, Schutzstaffel (Hitler’s
‘protection guard’ unit; SD, Sicherheitsdienst (security police). From Benke G & Wodak R (2003). ‘The discursive construction of individual
memories: how Austrian ‘‘German Wehrmacht’’ soldiers remember WW II.’ In Wodak R & Martin J R (eds.) Re/reading the past.
Amsterdam: Benjamins. 115–138. With kind permission by John Benjamins Publishing Company, Amsterdam/Philadelphia.

at all, (b) claiming ignorance, combined with a re- any relation to war crimes); the interviewees de-
fusal to take a stance (people using this strategy clare themselves to have acted responsibly, in such
claim that they do not/did not know anything a way that they are morally without blame.
about what happened), or (c) claiming victimhood
The following strategies acknowledge the fact of
(people adopting this strategy may offer elabo-
the exhibition at some level, either by acceptance or
rate stories about all sorts of terrible things that
refutation:
happened to them during and after the war; in
this way, they are able to avoid having to 1. In a strategy of acceptance, some people try to
deal with the issue of war crimes committed by understand what happened.
the Wehrmacht). 2. For the most part, however, people try not to deal
2. People lift the discussion up to a more general with the past; instead, they use several strategies to
level. Using the strategy of scientific rationaliza- justify, and/or deny, the existence of the war
tion, some people launch into extensive analyses crimes, either by (a) relativizing the facts (people
of the Nazi state, aiming to explain how National using this strategy will start to enumerate crimes
Socialism came to be successful, why people were of other nations, or use clichés, such as ‘‘every war
in favor of the Nazis, and so on. (This strategy was is horrible’’) or by (b) adopting two further strate-
found among all of the visitors to the exhibitions, gies seeking to provide a (pseudo-) rational causal
both in Germany and in Austria.) explanation for the war crimes. The first is char-
3. People engage in ‘positive-self’ presentation: the acterized by the interviewees’ continuing the un-
interviewee tells stories that portray him/her as mitigated and undisguised use of Nazi ideology
having performed good and praiseworthy deeds. and Nazi propaganda of the kind that was
War crimes are acknowledged, yet the actor claims promoted during that time to justify the war: ‘‘If
to have had no part in them (or fails to mention we hadn’t fought them, the Russians would be at
Blaming and Denying: Pragmatics 63

the Atlantic Ocean today.’’ The second of these Benke G & Wodak R (2003). ‘The discursive construction
strategies similarly stems from the Nazi period, of individual memories: how Austrian ‘‘German
but at least it acknowledges, however implicitly, Wehrmacht’’ soldiers remember WW II.’ In Wodak R &
that the war’s moral status is questionable: Martin J R (eds.) Re/reading the past. Amsterdam:
Benjamins. 115–138.
‘‘Others forced us.’’
Billig M, Condor S, Edwards D, Gane M, Middleton D &
3. Another strategy acknowledges that crimes indeed
Radley A (1988). Ideological dilemmas. A social psychol-
did happen, and that the army should perhaps be ogy of everyday thinking. London: Sage.
held responsible, yet it attributes the responsibility Carlson R G (1996). ‘The political-economy of AIDS among
to someone higher up, possibly within the army: drug-users in the United-States: beyond blaming the victim
‘‘I only did my duty.’’ or powerful others.’ American Anthropologist 98(2), 266.
4. Yet another strategy is the ‘‘Not ‘we,’ but ‘them’ ’’ Chilton P A (2004). Analyzing political discourse. London:
strategy, which attributes the crimes to units of the Routledge.
army other than the one in which the interviewee Dejudicibus M & McCabe M P (2001). ‘Blaming the tar-
served. A variant is: ‘‘Not ‘this,’ but ‘that’’’ (e.g., get of sexual harrassment: impact of gender-role, sexist
‘‘We didn’t bomb Copenhagen, only Rotterdam’’). attitudes, and work role.’ Sex Roles 44(7–8), 401–417.
Dickerson P (1998). ‘‘‘I did it for the nation’’: repertoires of
5. Finally, there is a strategy that simply denies the
intent in televised political discourse.’ British Journal of
fact that war crimes happened at all. In this strate- Social Psychology 37/4, 477–494.
gy, people often turn the focus of their memory on Ehlich K & Rehbein J (1986). ‘Begründen.’ In Ehlich K &
their particular Wehrmacht unit, in which horrors Rehbein J (eds.) Muster und Institution. Untersuchungen zur
of the kind shown in the exhibitions simply were schulischen Kommunikation. Tübingen: Narr. 88–132.
said to be unthinkable. Ensink T & Sauer C (eds.) (2003). The art of commemora-
tion. Amsterdam: Benjamins.
These discursive strategies are all strategies of
Gruber H (1996). Streitgespräche. Zur Pragmatik einer
responding to an interview situation following the in- Diskursform. Opladen: Westdeutscher Verlag.
terviewees’ presence at an exhibition where thou- Heer H, Manoschek W, Pollak A & Wodak R (eds.) (2003).
sands of photos of war crimes are shown. Though Wie Geschichte gemacht wird. Erinnerungen an Wehr-
people employ a number of strategies throughout an macht und Zweiten Weltkrieg. Vienna: Czernin.
interview, their answers can usually be grouped into Jacobson B & Kettelhack G (1995). If only you would
subsets, each of which serves primarily one of the listen. How to stop blaming his or her gender and start
strategic functions mentioned herein. Some of the communicating with the one you love. New York: St.
strategies are mutually exclusive, i.e., people who Martin’s Press.
completely deny the existence of war crimes would Kopperschmidt J (2000). Argumentationstheorie zur
Einführung. Hamburg: Junius.
not try to relativize them. This appears to be a logical
Lamb S & Keon S (1995). ‘Blaming the perpetrator: lan-
necessity, but as Billig et al. (1988) pointed out, logic
guage that distorts reality in newspaper articles on men
or logical consistency is not necessarily prevalent in battering women.’ Psychology of Women Quarterly
official texts; neither is it in everyday conversation, 19(2), 209–220.
and even less so in emotionally charged debates or Lipstadt D E (1993). Denying the Holocaust. The growing
conflicts. assault on truth and memory. New York: Plume.
Martin J & Wodak R (eds.) (2003). Re/reading the past.
See also: Argument Structure; Conversation Analysis; Dis-
Amsterdam: Benjamins.
course Markers; Mitigation; Psychoanalysis and Lan- Maynard D W (1998). ‘Praising versus blaming the messen-
guage; Rhetoric, Classical; Speech Acts. ger: moral issues in deliveries of good and bad news.’
Research on Language and Social Interaction 31(3–4),
359–395.
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blamings.’ Sociology 12, 115–133.
Alexy R (1996). Theorie der juristischen Argumentation. Reisigl M & Wodak R (2001). Discourse and discri-
Die Theorie des rationalen Diskurses als Theorie der mination. Rhetoric of racism and antisemitism. London:
juristischen Begründung. Frankfurt am Main: Suhrkamp. Routledge.
Anderson I, Beattie G & Spencer C (2001). ‘Can blaming Scott M B & Lyman S (1968). ‘Accounts.’ American Socio-
victims of rape be logical? Attribution theory and dis- logical Review 33.
course – analytic perspectives.’ Human Relations 54/4, Van Dijk T A (1993). ‘Denying racism: elite discourse and
445–467. racism.’ In Solomos J & Wrench J (eds.) Racism and
Aristotle (1928). Sophistical refutations. Ross W D (ed.). migration in Western Europe. Oxford: Berg. 179–193.
Oxford: Clarendon Press, [350 B.C.]. Van Eemeren F H & Grootendorst R (1992). Argumenta-
Austin J L (1956/1957). ‘A plea for excuses.’ In Proceedings tion, communication, and fallacies. A pragma-dialectical
of the Aristotelian Society. perspective. Hillsdale, NJ: Erlbaum.
64 Blaming and Denying: Pragmatics

Van Eemeren F H & Grootendorst R (2004). A systematic language of displacement. Amsterdam: Benjamins.
theory of argumentation. Cambridge: Cambridge Univer- 179–210.
sity Press. Wodak R & Schulz M (1986). The language of love and
Van Leeuwen T & Wodak R (1999). ‘Legitimizing immi- guilt. Amsterdam: Benjamins.
gration control.’ Discourse Studies 1/1, 83–118. Wodak R, Nowak P, Pelikan J, Gruber H, de Cillia R &
Wodak R (2004). ‘Discourse of silence: anti-semitic Mitten R (1990). ‘Wir sind alle unschuldige Täter’. Dis-
discourse in post-war Austria.’ In Thiesmeyer L (ed.) kurshistorische Studien zum Nachkriegsantisemitismus.
Discourse and silencing. Representation and the Frankfurt am Main: Suhrkamp.

Bleek, Wilhelm Heinrich Immanuel (1827–1875), and Family


E Hültenschmidt, University of Bielefeld, Bielefeld, because of fever. In the salon of the Prussian ambassa-
Germany dor in London, C. C. J. von Bunsen, who was an aris-
! 2006 Elsevier Ltd. All rights reserved. tocratic historian, a friend of Bleek’s family, a promoter
of Sanskrit and Oriental Studies, and a correspondent
of Alexander von Humboldt, Bleek got to know Sir
Wilhelm Heinrich Immanuel Bleek was born March 8, George Grey, governor of the Cape province (a British
1827, in Berlin, in what was then Prussia; he died in colony at this time) and J. W. Colenso, bishop of Natal.
Cape Town, in the Cape Colony in South Africa, Colenso engaged Bleek formally to accompany him to
on August 17, 1875. He was the son of the famous compile a Zulu grammar, and Bleek arrived in 1855 in
theologian and specialist in New Testament exegesis Natal. He had great plans for doing extended field
Friedrich Bleek, professor of theology at the University work and thus becoming a sort of Livingstone of lin-
of Bonn. His mother was Augusta Charlotte Marianne guistics, but the only concrete result was a stay at
Henriette, née Sethe, originating from a prominent the court of the famous Zulu king Mpanda. All other
family of Prussian civil servants. In 1862 in Cape plans had to be abandoned due to financial and health
Town, Wilhelm H. I. Bleek married Jemima C. Lloyd, problems.
daughter of an archdeacon. They had four children. The only institutions in the world where scientific
Bleek is recognized as the founder of German research was professionalized and thus constantly
African Studies. He attended the Gymnasium in remunerated at this time were the Prussian universi-
Bonn and then studied classics and theology at the ties; but Bleek was never a member of the staff of a
University of Bonn from 1845 to 1848 and from 1849 Prussian university. What helped him to survive and
to 1851. He chose as his main subject Old Testament to carry on his work, on a more limited scale, was
studies. Like all researchers in the Textwissenschaft of the patronage of Sir George. In 1856, Bleek became
the Old Testament, he compared several Semitic lan- the curator and bibliographer of Sir George’s enor-
guages to clarify some linguistic points; in this way, he mous collection of documents concerning the lan-
extended his interest to North African (Hamitic) lan- guages and the ethnology of southern Africa, and
guages. As a consequence, he studied in Berlin in 1848 he constantly extended this collection, which was
and 1849 with the famous specialist in Egyptological intended to become the most complete collection of
research, Richard Carl Lepsius. Here Bleek had to material on aboriginal languages from all over the
transcribe manuscripts of southern African languages, world. So Bleek spent the rest of his life in Cape
sent mostly by missionaries, into Lepsius’s phonetic Town; but here, at least, he had the opportunity in
alphabet. In 1851, Bleek submitted his doctoral thesis 1858 to meet Livingstone on his way to Mozambique.
at the University of Bonn. From this time on, he pro- In 1859, when Sir George was appointed governor of
pagated the hypothesis that the ‘Hottentot’ (Khoekhoe) New Zealand, he donated his collection to the South
language was typologically and genetically linked to the African Public Library at Cape Town, with Bleek as
North African (Hamitic) languages: like the Hamitic its curator (1862). In 1870, through the influence of
languages, it was a gender language, differing from Sir George, Bleek’s name was placed on Gladstone’s
the Bantu languages without nominal gender. Later, it Civil List, ensuring him a royal pension like other
was Bleek who created the classificatory term ‘Bantu- persons such as Charles Darwin or Charles Lyell.
languages.’ Only then, for the first time in his life, did he enjoy
From 1855 on, Bleek worked as an explorer- linguist financial independence. As a bibliographer, Bleek’s
in southern Africa, though he had to break off his main work was The library of H. E. Sir George
first attempt to explore Africa from the Guinea coast Grey, K. C. B. (1857–1867), but his main scientific
64 Blaming and Denying: Pragmatics

Van Eemeren F H & Grootendorst R (2004). A systematic language of displacement. Amsterdam: Benjamins.
theory of argumentation. Cambridge: Cambridge Univer- 179–210.
sity Press. Wodak R & Schulz M (1986). The language of love and
Van Leeuwen T & Wodak R (1999). ‘Legitimizing immi- guilt. Amsterdam: Benjamins.
gration control.’ Discourse Studies 1/1, 83–118. Wodak R, Nowak P, Pelikan J, Gruber H, de Cillia R &
Wodak R (2004). ‘Discourse of silence: anti-semitic Mitten R (1990). ‘Wir sind alle unschuldige Täter’. Dis-
discourse in post-war Austria.’ In Thiesmeyer L (ed.) kurshistorische Studien zum Nachkriegsantisemitismus.
Discourse and silencing. Representation and the Frankfurt am Main: Suhrkamp.

Bleek, Wilhelm Heinrich Immanuel (1827–1875), and Family


E Hültenschmidt, University of Bielefeld, Bielefeld, because of fever. In the salon of the Prussian ambassa-
Germany dor in London, C. C. J. von Bunsen, who was an aris-
! 2006 Elsevier Ltd. All rights reserved. tocratic historian, a friend of Bleek’s family, a promoter
of Sanskrit and Oriental Studies, and a correspondent
of Alexander von Humboldt, Bleek got to know Sir
Wilhelm Heinrich Immanuel Bleek was born March 8, George Grey, governor of the Cape province (a British
1827, in Berlin, in what was then Prussia; he died in colony at this time) and J. W. Colenso, bishop of Natal.
Cape Town, in the Cape Colony in South Africa, Colenso engaged Bleek formally to accompany him to
on August 17, 1875. He was the son of the famous compile a Zulu grammar, and Bleek arrived in 1855 in
theologian and specialist in New Testament exegesis Natal. He had great plans for doing extended field
Friedrich Bleek, professor of theology at the University work and thus becoming a sort of Livingstone of lin-
of Bonn. His mother was Augusta Charlotte Marianne guistics, but the only concrete result was a stay at
Henriette, née Sethe, originating from a prominent the court of the famous Zulu king Mpanda. All other
family of Prussian civil servants. In 1862 in Cape plans had to be abandoned due to financial and health
Town, Wilhelm H. I. Bleek married Jemima C. Lloyd, problems.
daughter of an archdeacon. They had four children. The only institutions in the world where scientific
Bleek is recognized as the founder of German research was professionalized and thus constantly
African Studies. He attended the Gymnasium in remunerated at this time were the Prussian universi-
Bonn and then studied classics and theology at the ties; but Bleek was never a member of the staff of a
University of Bonn from 1845 to 1848 and from 1849 Prussian university. What helped him to survive and
to 1851. He chose as his main subject Old Testament to carry on his work, on a more limited scale, was
studies. Like all researchers in the Textwissenschaft of the patronage of Sir George. In 1856, Bleek became
the Old Testament, he compared several Semitic lan- the curator and bibliographer of Sir George’s enor-
guages to clarify some linguistic points; in this way, he mous collection of documents concerning the lan-
extended his interest to North African (Hamitic) lan- guages and the ethnology of southern Africa, and
guages. As a consequence, he studied in Berlin in 1848 he constantly extended this collection, which was
and 1849 with the famous specialist in Egyptological intended to become the most complete collection of
research, Richard Carl Lepsius. Here Bleek had to material on aboriginal languages from all over the
transcribe manuscripts of southern African languages, world. So Bleek spent the rest of his life in Cape
sent mostly by missionaries, into Lepsius’s phonetic Town; but here, at least, he had the opportunity in
alphabet. In 1851, Bleek submitted his doctoral thesis 1858 to meet Livingstone on his way to Mozambique.
at the University of Bonn. From this time on, he pro- In 1859, when Sir George was appointed governor of
pagated the hypothesis that the ‘Hottentot’ (Khoekhoe) New Zealand, he donated his collection to the South
language was typologically and genetically linked to the African Public Library at Cape Town, with Bleek as
North African (Hamitic) languages: like the Hamitic its curator (1862). In 1870, through the influence of
languages, it was a gender language, differing from Sir George, Bleek’s name was placed on Gladstone’s
the Bantu languages without nominal gender. Later, it Civil List, ensuring him a royal pension like other
was Bleek who created the classificatory term ‘Bantu- persons such as Charles Darwin or Charles Lyell.
languages.’ Only then, for the first time in his life, did he enjoy
From 1855 on, Bleek worked as an explorer- linguist financial independence. As a bibliographer, Bleek’s
in southern Africa, though he had to break off his main work was The library of H. E. Sir George
first attempt to explore Africa from the Guinea coast Grey, K. C. B. (1857–1867), but his main scientific
Bleek, Wilhelm Heinrich Immanuel (1827–1875), and Family 65

work was A comparative grammar of South African 1911 by his sister-in-law, Lucy C. Lloyd. Here, as in his
languages (1862–1869). other works, the languages of the ‘negroes’ are legiti-
In his Comparative grammar, Bleek wanted not mate subjects of scientific research, not inferior to the
only to prove, by the means of the ‘science of lan- classical languages: each ‘race’ has a place in the history
guage,’ the kinship between the Hottentot and the of the evolution of man and is equally interesting. The
north African languages, but also to make a definitive more primitive ‘races’ may even be more interesting.
contribution to a question already posed in Sanskrit The Bushman dictionary constitutes an enormous
and Oriental linguistics: what are the very first, the compendium of information about languages that
primitive forms of human language (after the full have become in the meantime extinct.
natural evolution of man and language), and can Bleek’s main hypothesis concerning the kinship of
they be found in the Hottentot and ‘Kafir’ (Zulu) the Hottentot and the North African languages sur-
languages. An adherent of evolutionism, he was con- vived up to the work of the Hamburg Africanist Carl
vinced that in southern Africa the most primitive state Meinhof; when he tried to prove this kinship defini-
of mankind was preserved. tively by means of comparative philology, Meinhof
This was the immediate goal of his research, but he found that it did not exist. Comparative philology, or
also pursued another, more distant goal: to understand the science of language, was and is a modern research
the causes of the specific cultural difference between science capable of revising its own hypotheses. Bleek’s
populations adhering to a primitive or natural religion belief in the existence of a causal relation between
and those adhering to a transcendental religion. For language and mind in the sense of the structures
this son of a Protestant theologian, culture, mind, and of religious systems is no longer accepted. Compara-
religion were the same ‘thing.’ In this he refers to Max tive research into civilizations understands the differ-
Müller, whom he probably met in Bunsen’s house in ence between primitive or natural and transcendent
London, but without agreeing with him on every point. religions in a different way.
Bleek seeks the cause of religious or mental differences Dorothea Frances Bleek, born March 26, 1873,
in linguistic differences concerning the ‘forms’ and ‘ele- in Mowbray, Cape Colony, died June 27, 1948, in
ments’ of language, which he compares by analogy to Plumstead, South Africa. The youngest daughter of
certain nonmathematical and nonlogical sciences: W. H. I. Bleek, she was an eminent researcher in
to organic chemistry (phonology as the science of the the Hottentot (Khoekhoe) and Bushman (Khoisan)
‘elements’ of language) and to comparative anatomy languages. In 1904, she was a student of African
(the ‘forms’ as the skeleton of language). So in his main languages in Berlin, Germany; after 1908, she concen-
work as elsewhere, Bleek works not only as a compar- trated on research in the Bushman languages and
ative linguist, but as a linguistic researcher who has his cultures. She was introduced to these studies by her
intellectual background in Spinoza’s philosophy, as father’s sister-in-law, Lucy C. Lloyd. Miss Lloyd
transmitted among certain Lutheran theologians and continued and edited the work of W. H. I. Bleek,
elsewhere in German intellectual culture. encountering many difficulties, since she was ‘only’ a
Bleek’s debt to Spinoza’s philosophy is manifest woman in Victorian times.
mainly in his explicitly speculative work The origin of Dorothea F. Bleek continued and edited the work of
language, submitted in 1853 for the Volney Prize both W. H. I. Bleek and Lucy C. Lloyd. From 1910 to
(which he did not win), prefaced for publication 1930 she did extensive fieldwork among Bushman
in 1867 by himself and by his uncle, Ernst Haeckel, a populations. The results are documented in a series
researcher on human evolution and a Darwinist. This of publications, the most important of which is the
work advanced the thesis that there is no opposition, no Bushman dictionary, begun by her father about 1870,
essential difference between sciences and humanities, continued by Lucy C. Lloyd, but mainly established
between natural sciences and the sciences of the mind by Dorothea F. Bleek and published by the American
(Geisteswissenschaften). Spinoza’s philosophy implies Oriental Society in 1956. She was also active in other
epistemological naturalism, a continuity between man domains, such as Bushman anthropology, for the
and nature. To this naturalistic conception of history Africa Museum in Cape Town, and the study of Bush-
were opposed the post-Kantian and Hegelian idealistic man rock paintings. While Dorothea Bleek’s father was
German historicism and ‘Geisteswissenschaft.’ the inventor of the term ‘Bantu-languages,’ the daugh-
Bleek’s last great scientific enterprise was his Bush- ter established the distinction of three main regional
man dictionary, begun in about 1870 and completed by groups of the Khoisan languages: southern, northern,
his daughter Dorothea Frances Bleek in the 1940s, and central Khoisan, with the Hottentot (Khoekhoe)
published in the American Oriental Society series in language being a part of the central Khoisan group. Her
1956. His many works on Bushman tales, studied be- father’s hypothesis of a typological-genetic link be-
cause they give access to the religion, were published in tween the Hottentot and the Hamitic languages is no
66 Bleek, Wilhelm Heinrich Immanuel (1827–1875), and Family

longer accepted, but the main classificatory result of Bleek D F (1956). A Bushman dictionary. New Haven, CT:
the daughter’s work still holds. From 1923 to 1948, American Oriental Society.
Dorothea Bleek was Honorary Reader in the Bushman Bleek W H I (1851). De nominum linguarum Africae Aus-
Languages at the University of Cape Town. But she tralis, Copticae, Semiticarum aliarumque sexualium.
Bonn: A. Marcus.
refused the title of an Honorary Doctor, regarding
Bleek W H I (1858–1867). The library of H. E. Sir George
herself simply as her father’s humble disciple.
Grey, K. C. B. Philology (8 vols). London: Trübner.
Bleek W H I (1862 and 1869). A comparative grammar of
See also: Africa as a Linguistic Area; Bantu Languages; South African languages (2 vols). London: Trübner.
Lepsius, Carl Richard (1810–1884); Meinhof, Carl Frie- Bleek W H I (1868). Über den Ursprung der Sprache,
drich Michael (1857–1944); Müller, Friedrich Max (1823– als erstes Kapitel einer Entwicklungsgeschichte der
1900); South Africa: Language Situation. Menschheit. Weimar: Böhlau.
Engelbrecht J A (1956). ‘Introduction.’ In Bleek D F (ed.)
Bibliography A Bushman dictionary. New Haven, CT: American
Oriental Society.
Bleek D F (1927). ‘The distribution of Bushman languages Lloyd L C (ed.) (1911). Specimens of Bushman folklore.
in South Africa.’ In Festschrift Meinhof. Hamburg: London: Allen & Co.
Augustin. 55–64. Spohr O H (1962). Wilhelm Heinrich Immanuel Bleek: a
Bleek D F (1929). Comparative vocabularies of Bushman bio-bibliographical sketch. Cape Town: University of
languages. Cambridge: Cambridge University Press. Cape Town Libraries.
Bleek D F (1953). Cave artists of South Africa. Cape Town: Velten C (1903). ‘Bleek.’ In Allgemeine Deutsche Biogra-
Balkema. phie 47. Berlin: Duncker & Humblot. 15–17.

Blend
O Bat-El, Tel-Aviv University, Tel-Aviv, Israel A blend is one word that delivers the concept of its
! 2006 Elsevier Ltd. All rights reserved. two base words and its meaning is thus contingent on
the semantic relation between the two base words. In
skinoe (ski þ canoe), the word canoe functions as the
semantic head, since skinoe is a type of canoe. In
Introduction snazzy, however, neither snappy nor jazzy functions
The word Oxbridge is composed of a string of seg- as a head and the meaning of the blend is thus a
ments corresponding to segments at the left edge hybrid of the meaning of the two (sometimes near-
of Oxford and the right edge of Cambridge. This is a synonymous) base words.
blend, and so are vodkatini (vodka þ martini), jazz- The most intriguing question with respect to blends
ercise (jazz þ exercise), and maridelic (marijuana þ is whether their phonological structure, i.e., their size,
psychedelic). Blends (also called portmanteau words) syllable structure, and segmental makeup, is predict-
exhibit some sort of structural fusion, in which a able on the basis of the base words (Bauer, 1983).
single word is formed from two words (and in a hand- For example, why do we get beefalo from beef and
ful of cases from three). The byproduct of this fusion is buffalo, rather than *beelo or *beebuffalo? And since
the truncation of segmental material from the inner the order of the base words affects the phonological
edges of the two words or only one of them (i.e., the shape of the blend, we may also ask why the order is
material not underlined in the examples above). Note not buffalo þ beef, which would result in *buffabeef
that blends refer only to cases where the inner edges or *bubeef?
are truncated. Forms in which the right edges of In most cases, two base words provide only one
the two (or more) words are truncated, such as possible blend (there is a handful of cases where both
sitcom (situation þ comedy), modem (modulator þ orders are available, e.g., tigon (tiger þ lion) versus
demodulator), and fortran (formula þ translation), liger (lion þ tiger), absotively (absolutely þ positively)
are called clipped compounds. Blends in which only versus posilutely (positively þ absolutely), and
the first word undergoes truncation could also be moorth (moon þ earth) versus earthoon (earth þ
considered a clipped compound (mocamp from moon)). Therefore, we may suspect that the forma-
motor þ camp), especially when each word contri- tion of blends is not accidental, but rather governed
butes only one syllable to the surface form, which is by some general principles. The principles reflect two
a characteristic of clipped compounds. competing tendencies: (i) to truncate segments from
66 Bleek, Wilhelm Heinrich Immanuel (1827–1875), and Family

longer accepted, but the main classificatory result of Bleek D F (1956). A Bushman dictionary. New Haven, CT:
the daughter’s work still holds. From 1923 to 1948, American Oriental Society.
Dorothea Bleek was Honorary Reader in the Bushman Bleek W H I (1851). De nominum linguarum Africae Aus-
Languages at the University of Cape Town. But she tralis, Copticae, Semiticarum aliarumque sexualium.
Bonn: A. Marcus.
refused the title of an Honorary Doctor, regarding
Bleek W H I (1858–1867). The library of H. E. Sir George
herself simply as her father’s humble disciple.
Grey, K. C. B. Philology (8 vols). London: Trübner.
Bleek W H I (1862 and 1869). A comparative grammar of
See also: Africa as a Linguistic Area; Bantu Languages; South African languages (2 vols). London: Trübner.
Lepsius, Carl Richard (1810–1884); Meinhof, Carl Frie- Bleek W H I (1868). Über den Ursprung der Sprache,
drich Michael (1857–1944); Müller, Friedrich Max (1823– als erstes Kapitel einer Entwicklungsgeschichte der
1900); South Africa: Language Situation. Menschheit. Weimar: Böhlau.
Engelbrecht J A (1956). ‘Introduction.’ In Bleek D F (ed.)
Bibliography A Bushman dictionary. New Haven, CT: American
Oriental Society.
Bleek D F (1927). ‘The distribution of Bushman languages Lloyd L C (ed.) (1911). Specimens of Bushman folklore.
in South Africa.’ In Festschrift Meinhof. Hamburg: London: Allen & Co.
Augustin. 55–64. Spohr O H (1962). Wilhelm Heinrich Immanuel Bleek: a
Bleek D F (1929). Comparative vocabularies of Bushman bio-bibliographical sketch. Cape Town: University of
languages. Cambridge: Cambridge University Press. Cape Town Libraries.
Bleek D F (1953). Cave artists of South Africa. Cape Town: Velten C (1903). ‘Bleek.’ In Allgemeine Deutsche Biogra-
Balkema. phie 47. Berlin: Duncker & Humblot. 15–17.

Blend
O Bat-El, Tel-Aviv University, Tel-Aviv, Israel A blend is one word that delivers the concept of its
! 2006 Elsevier Ltd. All rights reserved. two base words and its meaning is thus contingent on
the semantic relation between the two base words. In
skinoe (ski þ canoe), the word canoe functions as the
semantic head, since skinoe is a type of canoe. In
Introduction snazzy, however, neither snappy nor jazzy functions
The word Oxbridge is composed of a string of seg- as a head and the meaning of the blend is thus a
ments corresponding to segments at the left edge hybrid of the meaning of the two (sometimes near-
of Oxford and the right edge of Cambridge. This is a synonymous) base words.
blend, and so are vodkatini (vodka þ martini), jazz- The most intriguing question with respect to blends
ercise (jazz þ exercise), and maridelic (marijuana þ is whether their phonological structure, i.e., their size,
psychedelic). Blends (also called portmanteau words) syllable structure, and segmental makeup, is predict-
exhibit some sort of structural fusion, in which a able on the basis of the base words (Bauer, 1983).
single word is formed from two words (and in a hand- For example, why do we get beefalo from beef and
ful of cases from three). The byproduct of this fusion is buffalo, rather than *beelo or *beebuffalo? And since
the truncation of segmental material from the inner the order of the base words affects the phonological
edges of the two words or only one of them (i.e., the shape of the blend, we may also ask why the order is
material not underlined in the examples above). Note not buffalo þ beef, which would result in *buffabeef
that blends refer only to cases where the inner edges or *bubeef?
are truncated. Forms in which the right edges of In most cases, two base words provide only one
the two (or more) words are truncated, such as possible blend (there is a handful of cases where both
sitcom (situation þ comedy), modem (modulator þ orders are available, e.g., tigon (tiger þ lion) versus
demodulator), and fortran (formula þ translation), liger (lion þ tiger), absotively (absolutely þ positively)
are called clipped compounds. Blends in which only versus posilutely (positively þ absolutely), and
the first word undergoes truncation could also be moorth (moon þ earth) versus earthoon (earth þ
considered a clipped compound (mocamp from moon)). Therefore, we may suspect that the forma-
motor þ camp), especially when each word contri- tion of blends is not accidental, but rather governed
butes only one syllable to the surface form, which is by some general principles. The principles reflect two
a characteristic of clipped compounds. competing tendencies: (i) to truncate segments from
Blend 67

Table 1 Types of semantic relations between the base words Table 2 The number of syllables in a blend equals the number
of syllables in Its longer base word
Base words Blend
Blend Base words
(a) Endocentric relation: one of the words functions as a
semantic head (in bold below) and the other as a alphameric (4) alphabetic (4) þ numeric (3)
modifier econocrat (4) economist (4) þ bureaucrat (3)
klan þ koran kloran pinkermint (3) pink (1) þ peppermint (3)
‘a bible used by plastinaut (3) plastic (2) þ astronaut (3)
the members of portalight (3) portable (3) þ light (1)
KKK’ smothercate (3) smother (2) þ suffocate (3)
education þ entertainment edutainment tangemon (3) tangerine (3) þ lemon (2)
‘educational Texaco (3) Texas (2) þ (New) Mexico (3)
entertainment’ zebrule (2) zebra (2) þ mule (1)
key þ container keytainer
‘a container for
keys’ pollution’ (endocentric). The same is true for brunch
(b) Exocentric relation: both words have the same semantic (breakfast þ lunch), which means either ‘lunch with
status, and thus none of them serves as a head
alphabetic þ numeric alphameric
some characteristics of breakfast’ (endocentric) or ‘a
‘consisting of both mixture of breakfast and lunch’ (exocentric).
letters and These two types of relations also appear in com-
numbers’ pounds (Bauer, 1988; Spencer, 1991), but blends are
escalator þ lift escalift much more permissive in this respect. Blends allow
‘a hybrid device
with the advantage
any possible combination of lexical categories, in-
of both an cluding some that do not appear in compounds
escalator and a lift’ (e.g., verb–verb, as in baffound, from baffle þ con-
tangerine þ lemon tangemon found). In addition, blends do not show preference
‘a hybrid of for endo- or exocentric relation, whereas compounds
tangerine and
lemon’
are mostly endocentric. Finally, in endocentric com-
pounds the order of the head and the modifier is
fixed and this is also true for most endocentric blends
the base in order to allow the blend to have the length in English (Kubozono, 1990), which are right-
a single word, preferably one of the base words, and headed, like compounds. In Hebrew, however, whose
(ii) to preserve as many segments from the base words compounds are left-headed, blends can be either
as possible and thus maximize the semantic transpar- right- or left-headed (Bat-El, 1996).
ency of the blend.
The principles proposed in the following sections
The Size of the Blend
take English blends as the empirical basis (the data
are drawn mostly from Adams (1973) and Bryant The formation of a blend aims toward two competing
(1974)). However, these principles should be appli- goals. On the one hand, it must have the structure of a
cable to blends from other languages, though some single word, unlike compounds, in which the two
parameter settings might be required (see Kubazuno base words are accessible. For this purpose, the
(1990) for English and Japanese; Bat-El (1996) for blend often adopts the number of syllables in one of
Hebrew; Fradin (2000) for French; and Piñeros its base words, thus truncating some segmental mate-
(2004) for Spanish). rial. On the other hand, a blend must preserve as
much of the structure from its base words as possible.
The Semantic Relation between the To accommodate the first goal and maximize the
fulfillment of the second, the number of syllables
Base Words
in a blend is often identical to the number of sylla-
The meaning of a blend is composed of the meaning bles in the longer base word (number of syllables in
of its base words, which exhibit two types of semantic parentheses) (see Table 2).
relation, endocentric and exocentric (Table 1) (see By adopting the number of syllables from the
Adams (1973) and Algeo (1977) for other types of longer rather than the shorter base word, the blend
relation). obtains the structure of one word and maximizes its
In some cases, it is not clear whether the seman- size. Maximization facilitates the semantic recover-
tic relation is endo- or exocentric. The blend smog ability of the base words, since the more segmental
(smoke þ fog), for example, has two meanings, ‘a mix- material from the base words there is, the easier it is
ture of fog and smoke’ (exocentric) and ‘an airborne to identify them.
68 Blend

Table 3 Segmental maximization also determines the order of


the base words in exocentric blends

A þ B – Maximizing order B þ A – Nonmaximizing order

blurt blow þ spurt *spow spurt þ blow Figure 1 Segmental overlap.


glaze glare þ gaze *gare gaze þ glare
smash smack þ mash *mack mash þ smack
snazzy snappy þ jazzy *jappy jazzy þ snappy
swacket sweater þ jacket *jater jacket þ sweater The Switch Point at Segmental Overlap
camcorder camera þ *recmera recorder þ
recorder camera Contrary to the principle given above, there are blends
citrange citrus þ orange *ortrus orange þ citrus consisting of more, and sometimes fewer, syllables
than the longer base word. In many cases, this is due
to the presence of one or more segments (shown in
There are, however, some exceptions, for example, boldface below) shared by the two base words. In such
plumcot (2) from plum (1) þ apricot (3); brunch (1) cases, the position of the shared segments determines
from breakfast (2) þ lunch (1); goon (1) from gorilla the ‘switch point’ of the blend, i.e., where the first
(3) þ baboon (2); and bionic (3) from biology (4) and base word ends and the second begins (see Table 4).
electronic (4). It should be noted that Kubozono The selection of the position of the shared seg-
(1990) claims that the number of syllables in a blend ment(s) as the switch point contributes to segmental
is identical to the number of syllables in the rightmost maximization. The shared segments overlap and thus
word, but some of the exceptions above (bionic, correspond to segments in both base words, allowing
plumcot, goon) do not obey this generalization either. more segments from each word to be preserved in the
When the two base words have an identical number blend. For example, diabesity preserves diabe from
of syllables, the number of segments often plays a diabetes and besity from obesity. Notice that in Chi-
role. Here again, in order to facilitate recoverability, cagorilla all segments of the base words appear in the
blends tend to preserve as many base segments as blend. Of course, the more segments of the base
possible, given the restriction on the number of sylla- words in the blend there are, the more transparent
bles noted above. This tendency affects the order of the base words are (see Figure 1).
the base words in exocentric blends, in which the Segmental overlap by the shared segments may also
order is not determined by a head–modifier relation. determine the order of the base words in exocentric
For example, a word with a complex onset will be blends (in which the order of the base words is not
first and a word with a complex coda second. That is, determined by the head–modifier relation) (see
the order of the base words is determined by the Table 5). There are cases where only one order of
principle requiring the maximization of the number the two words allows a segmental overlap of the
of segments (see Table 3). shared segments.
In some cases, segmental maximization is blocked The requirement to have the switch point at the
by the phonotactics of the language. For example, segmental overlap usually overrides the requirement
from bang þ smash we obtain bash, rather than to maintain the same number of syllables in the blend
the segmentally richer form *smang (smash þ bang), as in the longer base word (see Table 4). In a few
since English does not allow monomorphemic sCVC cases, such as Bisquick ‘quick biscuit.’ it also over-
words where the two Cs are nasal (Davis, 1988). The rides the order imposed by the head–modifier relation
fact that blends are subject to stem phonotactics (Algeo, 1977). However, there are plenty of blends
supports the claim that blends are monomorphemic that meet all the requirements (see Table 6).
despite their polymorphemic base.

Table 4 The switch point at the overlap of the identical segments shared by the base words

Blend Base words Expected number of syllables

Chicagorilla (5) Chicago (3) þ gorilla (3) *Chicalla (3)


cinemagpie (4) cinema (3) þ magpie (2) *cinegpie (3)
croissandwich (3) croissant (2) þ sandwich (2) *croiwich (2)
diabesity (5) diabetes (4) þ obesity (4) *diasity (4)
escalift (3) escalator (4) þ lift (1) *escalalift (4)
lumist (2) luminous (3) þ mist (1) *lumimist (3)
optronic (3) optic (2) þ electronic (4) *optictronic (4)
transistena (4) transistor (3) þ antenna (3) *transisna (3)
Blend 69

Table 5 The switch point at the shared segments determines Table 7 The switch point in monosyllabic blends
the order of the base words
Base words C!VC CV!C
A þ B – Overlap of shared B þ A – No overlap of shared W1 word onset – W1 onset þ nucleus –
segment(s) segment(s) W2 nucleus þ coda W2 word coda

beef þ buffalo beefalo buffalo þ beef *buffabeef blank þ beep bleep *blap
clam þ tomato clamato tomato þ clam *tomaclam blow þ spurt blurt *blort
window þ wall windowall wall þ window *wallindow smoke þ haze smaze *smoze
polo þ lacrosse polocrosse lacrosse þ polo *lacrolo Swiss þ watch swatch *switch
oval þ elliptic ovalliptic elliptic þ oval *elliptal bump þ conk bonk *bunk
spiced þ ham spam *spim
snazzy þ ritzy snitzy *snatzy
Table 6 Blends that meet all the requirements

Blend Base words

advertainment (4) advertisement (4) þ entertainment (4)


the coda to be more sonorous than the adjacent onset.
dynetic (3) dynamic (3) þ magnetic (4) When this requirement is not met, or when the dis-
narcoma (3) narcotic (3) þ coma (2) tance in sonority between the coda and the onset is
shamateur (3) shame (1) þ amateur (3) insufficient, the switch point is at the onset–nucleus
snoblem (2) snob (1) þ problem (2) boundary of the second word (as in monosyl-
velocitone (4) velocity (4) þ tone (1)
westralia (4) west (1) þ Australia (4)
labic blends). Thus, rocket þ balloon does not yield
*rock!lloon, due to the offending kl contact and
therefore the surface form is rock!oon.

The Switch Point at Syllable


Constituency Conclusion
When the two base words do not have a shared The discussion above suggests that the formation of
segment, the syllable structure plays a role in deter- blends is governed by several principles that together
mining the switch point. In monosyllabic blends, determine the order of the base words, the size of the
derived from two monosyllabic base words, the blend, and the switch point.
switch point (marked with !) must be at the onset– The order of the base words is determined by the
nucleus boundary (see Table 7). The question is: head–modifier relation, requiring the head to follow
which word contributes its nucleus, the first (CV!C) its modifier (see Table 1a). In the absence of such a
or the second (C!VC)? It appears that there is a relation, i.e., in an exocentric relation, the phonology
preference for the latter option; that is, the first plays a role. When the two base words have one or
word contributes only its onset and the second more shared segments, the order of the base words is
contributes its nucleus and coda, i.e., its entire such that these segments overlap (Table 6). In the
rhyme (Kubozono, 1990). absence of shared segments, segmental maximization
Since the onset and the nucleus are perceptually determines the order (Table 3).
more salient than the coda, this division allows the The number of syllables in the blend is also deter-
blend to preserve one perceptually salient element mined by the overlap of the shared segments, which
from each base word, i.e., the onset from the first demarcate the switch point (Table 4). In the absence
word and the nucleus from the second. There of a shared segment, the number of syllables in the
are, however, several exceptions, some of which are blend is identical to that in the longer base word
due to lexical blocking, for example, slosh (*slush – (Table 2). If the two base words have an identical
lexical blocking) from slop þ slush; boost (*boist) number of syllables, then segmental maximization
from boom þ hoist; and moorth (*mearth – lexical plays a role (Table 3).
blocking) from moon þ earth. The switch point is determined by the shared seg-
In polysyllabic blends, there is a preference for the ments, which overlap in the blend (Tables 4 and 5). In
switch point to be at the syllable boundary in the the absence of a shared segment, the switch point is
blend, which allows maximization of the segmental determined by syllabic constituency. In monosyllabic
material (see Table 8). That is, camera þ recorder blends, the switch point is at the onset–nucleus
yields cam!corder rather than *cam!order. However, boundary, such that the blend preserves the onset of
there is a restriction on the type of coda–onset contact the first word and the nucleus plus the coda of the
at the switch point. This restriction, known as the second (Table 7). In polysyllabic blends, the switch
Syllable Contact Law (Vennemann, 1988), requires point is at the syllable boundary, in cases where the
70 Blend

Table 8 The switch point in polysyllabic blends

Base words Switch point at syllable boundary Switch point at onset–nucleus boundary

camera þ recorder cam"corder *cam"order


color þ asbestos color"bestos *color"estos
proletariat þ cult prolet"cult *prolet"ult
smother þ suffocate smother"cate *smother"ate
sun þ reflector sun"flector *sun"ector
rudder þ elevator rudder"vator *radder"ator
brush þ terrific *brush"riffic brush"erific
cattle þ buffalo *cat"ffalo catt"alo
earth þ moon *earth"moon earth"oon
hurricane þ balloon *hurric"lloon hurric"oon
molecule þ organism *molec"nism molec"ism
pink þ peppermint *pink"permint pink"ermint
rocket þ balloon *rock"lloon rock"oon
slanting þ perpendicular *slant"pendicular slant"endicular
zebra þ mule *zeb"mule zebr"ule

coda–onset contact respects the Syllable Contact Algeo J (1977). ‘Blends, a structural and systemic view.’
Law; otherwise, it is at the onset–nucleus boundary American Speech 52, 47–64.
(Table 8). Bat-El O (1996). ‘Selecting the best of the worst: The
The principles governing the formation of blends grammar of Hebrew blends.’ Phonology 13, 283–328.
Bauer L (1983). English word formation. Cambridge:
are not always obeyed. The few exceptions found
Cambridge University Press.
reflect a natural state of affairs in derivational mor- Bauer L (1988). Introducing linguistic morphology.
phology, where exceptions are often due to some Edinburgh: Edinburgh University Press.
extragrammatical factors. There is, however, inter- Bryant M M (1974). ‘Blends are increasing.’ American
grammatical (nonexceptional) violation of principles, Speech 49, 163–184.
in cases of conflict (e.g., switch point at syllable Fradin B (2000). ‘Combining forms, blends and related
constituency and the Syllable Contact Law (Table 8). phenomena.’ In Doleschal U & Thornton A M (eds.)
In such cases, one principle has a (language-specific) Extragrammatical and marginal morphology. Munich:
priority over the other, allowing a deterministic Lincom Europa. 11–59.
selection of the surface form. A model of conflicting Kubozono H (1990). ‘Phonological constraints on blending
principles and violation under conflict is provided in English as a case for phonology–morphology inter-
face.’ Yearbook of Morphology 3, 1–20.
by Optimality Theory (Prince and Smolensky, 1993).
Piñeros C E (2004). ‘The creation of portmanteaus in the
extragrammatical morphology of Spanish.’ Probus 16,
See also: Complex Segments; Compound; Head/Depen- 201–238.
dent Marking; Neoclassical Compounding; Pragmatics: Prince A & Smolensky P (1993). Optimality theory: Con-
Optimality Theory; Syllable: Phonology. straint interaction in generative grammar. Technical re-
port RuCCSTR-2. Rutgers Center for Cognitive Science.
Spencer A (1991). Morphological theory. Oxford:
Bibliography Blackwell.
Vennemann T (1988). Preference laws for syllable struc-
Adams V (1973). An introduction to Modern English word- ture. Berlin: Mouton de Gruyter.
formation. London: Longman.
Blessings 71

Blessings
B G Szuchewycz the strict association of specific texts to specific
! 2006 Elsevier Ltd. All rights reserved. occasions.
In the Bible, the Hebrew root brk ‘blessing’ is asso-
This article is reproduced from the previous edition, ciated with a number of meanings. A blessing may be an
volume 1, pp. 370–371, ! 1994, Elsevier Ltd. expression of praise or adoration of God, a divine be-
stowal of spiritual, material, or social prosperity, or an
Blessings are utterances associated primarily with the act of consecration that renders objects holy. The Greek
sphere of religious activity, but they also appear with eulogia of the New Testament stresses the spiritual ben-
varying frequency in the politeness formulas and par- efits that are obtainable through Christ, the gospels, and
enthetical expressions of everyday conversation. In the institution of the church (e.g., liturgical blessings).
both contexts, the dominant linguistic feature is the Each instance – praise, benediction, and consecration –
use of formal and/or formulaic language. Blessings, represents a social and religious act accomplished
particularly in religious ritual, may also be accompa- through the use of a highly conventionalized form of
nied by specific nonlinguistic features including ges- language.
tures (e.g., laying on of hands, the sign of the cross) Blessings often function as ‘performatives.’ A per-
and the use of special objects (e.g., a crucifix) or formative is a speech act that, when uttered, alters
substances (e.g., water, oil). Concern with such some state of affairs in the world. Under the appro-
patterned relationships between linguistic form, priate conditions, if a minister states, ‘I pronounce
on the one hand, and social context and function, you man and wife,’ then a marriage has been socially
on the other, is central to the study of the role of established. If someone says, ‘I promise,’ then a prom-
language in social life. ise has been made. Similarly, blessings function as
Linguistically, blessings (and their opposite, curses) religious performatives, in that the utterance of the
are marked by the use of a special language, which requisite expression precipitates a change in spiritual
may be either a highly formal or archaic variety of the state.
dominant language (e.g., Classical Arabic) or a differ- Mastery of the linguistic formulas, however, is not
ent code entirely (e.g., Latin). In addition to their sufficient for the successful realization of blessings
specific content, linguistic features such as repetition, (and other performatives). The existence of an extra-
special form (e.g., parallel couplets), special prosody linguistic institution (e.g., family, descent group, reli-
(e.g., chant), and fixity of pattern distinguish bles- gious institution) with differentiated social roles and
sings from other types of speech and contribute to statuses for the blessor and blessee(s) is a necessary
their formal and formulaic character. precondition to an authentic and valid performance
The concept of blessing in Jewish, Christian, and of the act. Only certain individuals may pronounce a
Muslim thought, as in many other traditions, is couple man and wife and create a legally binding
concerned with the bestowal of divine favor or bene- marriage. The same is true of blessings.
diction through the utterance of prescribed words. As Catholicism, for example, distinguishes those bles-
such, blessings represent an example of the belief in the sings exchanged between lay persons, the spiritual
magical power of words, other manifestations of which value of which depends on the personal sanctity of
include the use of spells, incantations, and curses. the blessor, from liturgical blessings, which carry the
As an aspect of religious behavior, blessings are force of the ecclesiastical institution. As the institu-
associated with essential components of public and tion itself is hierarchically organized, so too is the
private ritual activity. They are performed by reli- right to confer particular blessings. Some may be
gious specialists in situations of communal worship performed by the pontiff alone, some only by a bish-
as, for example, in rituals where a general blessing of op, others by a parish priest, and yet others by a
those present marks the end of the event. Blessings are member of a religious order. Similarly, and in a very
also used by nonspecialists to solemnize, sacralize, different ethnographic context, among the Merina of
and/or mark the boundaries of social events. In tradi- Madagascar the tsodrano is a ritual blessing in which
tional Judaism, for example, brokhe ‘blessings’ in- seniors act as intermediaries between ancestors and
clude short formulaic expressions used in a wide those being blessed, their juniors. A father bestows
variety of situations as well as longer texts associated fertility and wealth on his son through a ceremonial
with domestic ceremonies (e.g., a grace after a meal) public blessing that transfers to the son the power of
and specific occasions or rites (e.g., Passover, wed- the ancestors in a ritual stressing the continuity and
dings, funerals). Common to all is a fixity of form and reproduction of the descent group.
72 Blessings

Like other performatives, blessings operate proper- When embedded parenthetically within larger sen-
ly only within a context of social and cultural norms tences or longer texts, blessings may also function as
and institutions, which are necessary for their realiza- semantically and interactionally significant units. In
tion and to legitimate and maintain their force. oral narratives, the use of a blessing (or curse) serves
Much of human face-to-face interaction is ritualistic to communicate directly the emotional state or atti-
in nature, and it has been argued that the use of for- tude of the speaker toward the topic, providing a
malized and prepatterned linguistic and nonlinguistic means of internal evaluation and signaling speaker
behavior in everyday life is evidence of a link between involvement in the text. Yiddish speakers, for exam-
interpersonal rituals of politeness, on the one hand, ple, make extensive use of a large set of fixed expres-
and ritual behavior in the sacred sphere, on the other sions, many of which are blessings, for just such a
(Brown and Levinson, 1987). Blessings are an example purpose (Matisoff, 1979).
of a specific linguistic routine common to both.
In nonreligious contexts, blessings are evident in the
politeness formulas and parenthetical expressions of Bibliography
everyday conversation: for example, the English ‘Bless
you!’ as a conventional response to a sneeze. Similarly, Brown P & Levinson S C (1987). Politeness: Some
universals in Language usage. Cambridge: Cambridge
in greetings, thanks, and leave-takings, blessings are
University Press.
exchanged between interlocutors and, although they
Matisoff J A (1979). Blessings, curses, hopes and fears:
may literally express a wish for supernatural benefits, Psychoostensive expressions in Yiddish. Philadelphia,
their primary communicative function is as highly PA: Institute for the Study of Human Issues.
conventionalized markers of social and/or interac- Ries J (1987). ‘Blessing.’ In Eliade M (ed.) The encyclopedia
tional status. In both their religious and secular uses, of religion. New York: Macmillan.
blessings thus function as expressions of solidarity, Westermann C (1978). Blessing: In the Bible and the life of
approval, and good will. the church. Philadelphia, PA: Fortress Press.

Bloch, Bernard (1907–1965)


J G Fought, Diamond Bar, CA, USA many papers each year, most of them under famous
! 2006 Elsevier Ltd. All rights reserved. pseudonyms.
Bloch and Leonard Bloomfield shared intensely
demanding applied linguistic work during the war.
Bernard Bloch studied English and German (A.B. Although he was Bloomfield’s junior colleague at
1928, M.A. 1929) at the University of Kansas, Yale for only a few years, Bloomfield’s influence on
where his father Albert taught art. Continuing at him was profound (Bloch, 1949). The austere mod-
Northwestern University, he took a course in linguis- ernist intellectual architecture of their work is very
tics with Werner F. Leopold in 1931. That same year, similar (Bloch, 1948); Bloch’s writing is much friend-
he was chosen as a field worker on the Linguistic Atlas lier to readers. His wartime work on Japanese was
of New England, directed by Hans Kurath. In 1933 published as a basic course, and later in a series of
he followed Kurath and the Atlas project to Brown descriptive publications capped by the article on
University. Bernard (and his wife Julia) did much phonemics (Bloch, 1950), all meant to illustrate the
exacting editorial work on the Atlas. He completed application of the principles of linguistic description.
his Ph.D. at Brown in 1935, in English and linguistics, His ‘English verb inflection’ (Bloch, 1947) is an ex-
teaching English and modern languages there until emplar of distributionalist structural morphology,
moving to Yale’s linguistics department in 1943. compactly presenting a remarkably complete solution
His character, his intelligent and disciplined schol- together with its rationale.
arship, and his extraordinary writing and editorial Bloch was an extraordinary teacher, delivering
skills soon made Bloch an influential presence within beautifully composed informal lectures as lightly as
the Linguistic Society of America. In 1940 he became one might carry on a conversation, sustaining an
the second editor of its journal, Language, and easy exchange of statements, questions, and answers.
continued as editor until his death. His insistence on He would sometimes read a few sentences from
clarifying each point in a manuscript made it no idle some unidentified publication, extracts chosen for
jest when he later remarked that he had published their comic value in illustrating various rhetorical or
72 Blessings

Like other performatives, blessings operate proper- When embedded parenthetically within larger sen-
ly only within a context of social and cultural norms tences or longer texts, blessings may also function as
and institutions, which are necessary for their realiza- semantically and interactionally significant units. In
tion and to legitimate and maintain their force. oral narratives, the use of a blessing (or curse) serves
Much of human face-to-face interaction is ritualistic to communicate directly the emotional state or atti-
in nature, and it has been argued that the use of for- tude of the speaker toward the topic, providing a
malized and prepatterned linguistic and nonlinguistic means of internal evaluation and signaling speaker
behavior in everyday life is evidence of a link between involvement in the text. Yiddish speakers, for exam-
interpersonal rituals of politeness, on the one hand, ple, make extensive use of a large set of fixed expres-
and ritual behavior in the sacred sphere, on the other sions, many of which are blessings, for just such a
(Brown and Levinson, 1987). Blessings are an example purpose (Matisoff, 1979).
of a specific linguistic routine common to both.
In nonreligious contexts, blessings are evident in the
politeness formulas and parenthetical expressions of Bibliography
everyday conversation: for example, the English ‘Bless
you!’ as a conventional response to a sneeze. Similarly, Brown P & Levinson S C (1987). Politeness: Some
universals in Language usage. Cambridge: Cambridge
in greetings, thanks, and leave-takings, blessings are
University Press.
exchanged between interlocutors and, although they
Matisoff J A (1979). Blessings, curses, hopes and fears:
may literally express a wish for supernatural benefits, Psychoostensive expressions in Yiddish. Philadelphia,
their primary communicative function is as highly PA: Institute for the Study of Human Issues.
conventionalized markers of social and/or interac- Ries J (1987). ‘Blessing.’ In Eliade M (ed.) The encyclopedia
tional status. In both their religious and secular uses, of religion. New York: Macmillan.
blessings thus function as expressions of solidarity, Westermann C (1978). Blessing: In the Bible and the life of
approval, and good will. the church. Philadelphia, PA: Fortress Press.

Bloch, Bernard (1907–1965)


J G Fought, Diamond Bar, CA, USA many papers each year, most of them under famous
! 2006 Elsevier Ltd. All rights reserved. pseudonyms.
Bloch and Leonard Bloomfield shared intensely
demanding applied linguistic work during the war.
Bernard Bloch studied English and German (A.B. Although he was Bloomfield’s junior colleague at
1928, M.A. 1929) at the University of Kansas, Yale for only a few years, Bloomfield’s influence on
where his father Albert taught art. Continuing at him was profound (Bloch, 1949). The austere mod-
Northwestern University, he took a course in linguis- ernist intellectual architecture of their work is very
tics with Werner F. Leopold in 1931. That same year, similar (Bloch, 1948); Bloch’s writing is much friend-
he was chosen as a field worker on the Linguistic Atlas lier to readers. His wartime work on Japanese was
of New England, directed by Hans Kurath. In 1933 published as a basic course, and later in a series of
he followed Kurath and the Atlas project to Brown descriptive publications capped by the article on
University. Bernard (and his wife Julia) did much phonemics (Bloch, 1950), all meant to illustrate the
exacting editorial work on the Atlas. He completed application of the principles of linguistic description.
his Ph.D. at Brown in 1935, in English and linguistics, His ‘English verb inflection’ (Bloch, 1947) is an ex-
teaching English and modern languages there until emplar of distributionalist structural morphology,
moving to Yale’s linguistics department in 1943. compactly presenting a remarkably complete solution
His character, his intelligent and disciplined schol- together with its rationale.
arship, and his extraordinary writing and editorial Bloch was an extraordinary teacher, delivering
skills soon made Bloch an influential presence within beautifully composed informal lectures as lightly as
the Linguistic Society of America. In 1940 he became one might carry on a conversation, sustaining an
the second editor of its journal, Language, and easy exchange of statements, questions, and answers.
continued as editor until his death. His insistence on He would sometimes read a few sentences from
clarifying each point in a manuscript made it no idle some unidentified publication, extracts chosen for
jest when he later remarked that he had published their comic value in illustrating various rhetorical or
Bloch, Jules (1880–1953) 73

factual blunders. It transpired that all of these exam- Bibliography


ples were drawn from his own published work. Stu-
Bloch B (1947). ‘English verb inflection.’ Language 23,
dents in his introductory course wrote a two-page
399–418.
essay each week on a topic relevant to the readings.
Bloch B (1948). ‘A set of postulates for phonemic analysis.’
These were returned at the next class, edited with the Language 24, 3–46.
same fierce devotion to clarity and professionalism Bloch B (1949). ‘Leonard Bloomfield.’ Language 25,
that he brought to all papers sent to the editor of 87–98.
Language. They came back folded lengthwise with Bloch B (1950). ‘Studies in colloquial Japanese: IV. Phone-
his unsparing comments typed in a narrow column on mics.’ Language 26, 86–125.
the back. Many of us kept those papers as treasures. Joos M (1967). ‘Bernard Bloch.’ Language 43, 3–19.

See also: Bloomfield, Leonard (1887–1949); Japanese;


Kurath, Hans (1891–1992); Phoneme; Structuralism.

Bloch, Jules (1880–1953)


M McCaskey, Georgetown University, Washington, sergeant to lieutenant and was awarded the Croix de
DC, USA Guerre for bravery.
! 2006 Elsevier Ltd. All rights reserved. Bloch returned to the École des Hautes Études
in 1919, and was made Director of Studies there in
1920. He also served as Professor of Sanskrit at
Jules Bloch was born in Paris on May 1, 1880, and the Sorbonne, and in 1937 became a professor at the
attended the Lycée Louis-le-Grand as a scholarship Collège de France, where he remained until his retire-
student. He completed his Licence ès Lettres, and ment in 1951. Bloch also served as the secretary of the
subsequently became a graduate student in Sanskrit Société Linguistique in France for close to a quarter of
and ancient literature and culture in the École des a century (1920–1944), keeping in close touch with
Hautes Études at the University of Paris. other leading linguists in Europe and India through-
In 1905, he undertook his first major academic proj- out his career. He also guided and assisted many
ect toward the end of his graduate training. He and two Indian students in Paris, and a number of them sub-
other researchers were given the task of translating sequently distinguished themselves in the field of
large portions of the monumental three-volume Kurze Indo-European linguistic studies.
vergleichende Grammatik der indogermanischen Bloch developed proficiency in and did research on
Sprachen (1902–1904) by the Indo-European linguists a number of languages of India, ancient and modern,
Karl Brugmann and Berthold Delbrück. Bloch then including Sanskrit, Pali, Vedic language, Hindi, and
helped edit an abridged version of the translated text, Marathi, an Indo-European language spoken by
Abrégé de grammaire comparée des langues indo- over 65 000 000 people. Bloch also did research on
européennes (1905), supervised by Antoine Meillet, a Tamil, a Dravidian language spoken by more than
specialist in Indo-European linguistics at the École des 50 000 000 people in India, Sri Lanka, Malaysia,
Hautes Études. and elsewhere in Southeast Asia. His Structure gram-
In 1906, Bloch published his own diploma thesis on maticale des langues dravidiennes (1946) was one of
Sanskrit, La phrase nominale en sanscrit, and went on the first modern linguistic studies of the Dravidian
to pursue the study of Hindi and Tamil. He performed family of languages.
research in the field in India, later moving to Vietnam, Bloch also began a project to translate the Pali
where he served on the faculty of the École Française Buddhist Canon, with his inaugural volume of the
d’Extrême Orient in Hanoi. Canon bouddhique Pāli (1949), but this work was
In 1914, Bloch completed and submitted his doc- unfortunately not continued by others. In the last year
toral thesis, La formation de la langue marathe, a of his life, Bloch published one of the first modern
diachronic study of Marathi; for this he received the scholarly studies of the Romany-speaking people, Les
Prix Volney, a prestigious linguistic prize awarded Tsiganes (1953). Romany, spoken by an estimated
annually by the Institut de France since 1822. His 2 000 000 people, is an Indo-European language
research was soon interrupted by infantry service for with origins in India and grammatical affinities with
four years in World War I, during which he rose from Sanskrit. Bloch was one of the first Indo-European
Bloch, Jules (1880–1953) 73

factual blunders. It transpired that all of these exam- Bibliography


ples were drawn from his own published work. Stu-
Bloch B (1947). ‘English verb inflection.’ Language 23,
dents in his introductory course wrote a two-page
399–418.
essay each week on a topic relevant to the readings.
Bloch B (1948). ‘A set of postulates for phonemic analysis.’
These were returned at the next class, edited with the Language 24, 3–46.
same fierce devotion to clarity and professionalism Bloch B (1949). ‘Leonard Bloomfield.’ Language 25,
that he brought to all papers sent to the editor of 87–98.
Language. They came back folded lengthwise with Bloch B (1950). ‘Studies in colloquial Japanese: IV. Phone-
his unsparing comments typed in a narrow column on mics.’ Language 26, 86–125.
the back. Many of us kept those papers as treasures. Joos M (1967). ‘Bernard Bloch.’ Language 43, 3–19.

See also: Bloomfield, Leonard (1887–1949); Japanese;


Kurath, Hans (1891–1992); Phoneme; Structuralism.

Bloch, Jules (1880–1953)


M McCaskey, Georgetown University, Washington, sergeant to lieutenant and was awarded the Croix de
DC, USA Guerre for bravery.
! 2006 Elsevier Ltd. All rights reserved. Bloch returned to the École des Hautes Études
in 1919, and was made Director of Studies there in
1920. He also served as Professor of Sanskrit at
Jules Bloch was born in Paris on May 1, 1880, and the Sorbonne, and in 1937 became a professor at the
attended the Lycée Louis-le-Grand as a scholarship Collège de France, where he remained until his retire-
student. He completed his Licence ès Lettres, and ment in 1951. Bloch also served as the secretary of the
subsequently became a graduate student in Sanskrit Société Linguistique in France for close to a quarter of
and ancient literature and culture in the École des a century (1920–1944), keeping in close touch with
Hautes Études at the University of Paris. other leading linguists in Europe and India through-
In 1905, he undertook his first major academic proj- out his career. He also guided and assisted many
ect toward the end of his graduate training. He and two Indian students in Paris, and a number of them sub-
other researchers were given the task of translating sequently distinguished themselves in the field of
large portions of the monumental three-volume Kurze Indo-European linguistic studies.
vergleichende Grammatik der indogermanischen Bloch developed proficiency in and did research on
Sprachen (1902–1904) by the Indo-European linguists a number of languages of India, ancient and modern,
Karl Brugmann and Berthold Delbrück. Bloch then including Sanskrit, Pali, Vedic language, Hindi, and
helped edit an abridged version of the translated text, Marathi, an Indo-European language spoken by
Abrégé de grammaire comparée des langues indo- over 65 000 000 people. Bloch also did research on
européennes (1905), supervised by Antoine Meillet, a Tamil, a Dravidian language spoken by more than
specialist in Indo-European linguistics at the École des 50 000 000 people in India, Sri Lanka, Malaysia,
Hautes Études. and elsewhere in Southeast Asia. His Structure gram-
In 1906, Bloch published his own diploma thesis on maticale des langues dravidiennes (1946) was one of
Sanskrit, La phrase nominale en sanscrit, and went on the first modern linguistic studies of the Dravidian
to pursue the study of Hindi and Tamil. He performed family of languages.
research in the field in India, later moving to Vietnam, Bloch also began a project to translate the Pali
where he served on the faculty of the École Française Buddhist Canon, with his inaugural volume of the
d’Extrême Orient in Hanoi. Canon bouddhique Pāli (1949), but this work was
In 1914, Bloch completed and submitted his doc- unfortunately not continued by others. In the last year
toral thesis, La formation de la langue marathe, a of his life, Bloch published one of the first modern
diachronic study of Marathi; for this he received the scholarly studies of the Romany-speaking people, Les
Prix Volney, a prestigious linguistic prize awarded Tsiganes (1953). Romany, spoken by an estimated
annually by the Institut de France since 1822. His 2 000 000 people, is an Indo-European language
research was soon interrupted by infantry service for with origins in India and grammatical affinities with
four years in World War I, during which he rose from Sanskrit. Bloch was one of the first Indo-European
74 Bloch, Jules (1880–1953)

linguists to undertake the systematic study of Romany Bloch J (1934). L’indo-aryen du Veda aux temps modernes.
language and culture. Paris: Adrien-Maisonneuve.
Bloch J (1946). Structure grammaticale des langues dravi-
See also: Brugmann, Karl (1849–1919); Delbrück, Berthold diennes. Publications du Musée Guimet. Bibliothèque
(1842–1922); Dravidian Languages; Indo–Aryan Lan- d’études, t. 56. Paris: A. Maisonneuve.
guages; Indo–European Languages; Meillit, Antoine Bloch J (1949). Canon bouddhique Pāli (Tripitaka) Texte et
(Paul Jules) (1866–1936). traduction par Jules Bloch, Jean Filliozat, Louis Renou.
Paris: Adrien-Maisonneuve.
Bloch J (1950). Les inscriptions d’Asoka; traduites et com-
Bibliography mentées par Jules Bloch. Paris: Les Belles Lettres.
Bloch J (1953). Les Tsiganes. Paris: Presses universitaires de
Bloch J (1905). Abrégé de grammaire comparée des langues
France.
indo-européennes, d’après le Précis de grammaire com-
Bloch J (1970). The formation of the Marāthı̄ language,
parée de K. Brugmann et B. Delbrück. Tr. par J. Bloch,
translated by Dev Raj Chanana. Delhi: Motilal Banarsi-
A. Cuny et A. Ernout, sous la direction de A. Meillet et
dass.
R. Gauthiot. Paris: C. Klincksieck.
Bloch J (1985). Recueil d’articles de Jules Bloch, 1906–
Bloch J (1906). ‘La phrase nominale en sanscrit.’ Mémoires
1955: textes rassemblés par Colette Caillat. Paris: Col-
de la Société de Linguistique de Paris, vol. XIV, 27–96.
lege de France, Institut de Civilisation Indienne.
Bloch J (1920). La formation de la langue marathe. Paris: É.
Champion.

Bloomfield, Leonard (1887–1949)


J G Fought, Diamond Bar, CA, USA approach, though its role in his work has been greatly
! 2006 Elsevier Ltd. All rights reserved. exaggerated. There Bloomfield also took part, with
George Melville Bolling (1871–1963), in founding
the Linguistic Society of America in 1925. Esper
Leonard Bloomfield was born in Chicago; his family (1968) was an invaluable eyewitness report on this
moved to rural Wisconsin when he was nine. He period in Bloomfield’s career. In 1927, Bloomfield
graduated from Harvard in 1906. When he sought returned to the University of Chicago, where he and
an assistantship in German at the University of Edward Sapir (1884–1939) were briefly colleagues.
Wisconsin that summer, he met the Germanist His years at the University of Chicago seem to have
Eduard Prokosch (1876–1938), who introduced him been the most pleasant and productive of his working
to linguistics. Bloomfield took his doctorate in Ger- life. In 1940 he went to Yale, as Sterling Professor, the
manic philology at the University of Chicago in 1909. successor of Prokosch and to some degree also of
He taught German (German, Standard) for one year Sapir. Bloomfield led the linguistics program and
at the University of Cincinnati as an instructor, later took an active role in war-related work on practical
moving to the University of Illinois. In 1913–1914 he language-learning materials, writing and editing a
studied with the Neogrammarians Karl Brugmann, number of manuals. A stroke ended his working life
August Leskien, and Hermann Oldenberg at the Uni- in 1946; he died in 1949.
versities of Leipzig and Göttingen and then returned His family life was darkened by tragedies. Bernard
to Illinois, only then becoming an assistant professor, Bloch, who knew and admired him, described his
his rank until 1921. During his stay at Illinois he also personality as ‘‘not strongly magnetic’’ (1949: 91).
published his first work on a non-Indo-European lan- Anecdotes show his readiness to use highly refined
guage, Tagalog texts with grammatical analysis sarcasm in dealing with critics, colleagues, and stu-
(1917), whose conception and organization were dents alike. For an extended example, see Bloomfield,
very probably influenced by his friend Franz Boas 1944; in a more typical instance, he claimed that his
(1858–1942). In 1919, he began his work on the introductory textbook Language (1933) could be un-
Algonquian languages (1928, 1930, 1934, 1946), derstood by any bright high-school student. This re-
some of which was edited and published posthumously mark has often been cited as evidence of Bloomfield’s
(1957, 1962, 1975). innocence by scholars who have struggled with this
In 1921, he moved to Ohio State University as a full formidable book. It is not.
professor. While there, he and the behavioral psychol- He supervised only a handful of dissertations, and
ogist Albert Paul Weiss (1879–1931) became friends, he sometimes tried to discourage students from spe-
and Bloomfield adopted some of the idiom of that cializing in linguistics. It was through his publications,
74 Bloch, Jules (1880–1953)

linguists to undertake the systematic study of Romany Bloch J (1934). L’indo-aryen du Veda aux temps modernes.
language and culture. Paris: Adrien-Maisonneuve.
Bloch J (1946). Structure grammaticale des langues dravi-
See also: Brugmann, Karl (1849–1919); Delbrück, Berthold diennes. Publications du Musée Guimet. Bibliothèque
(1842–1922); Dravidian Languages; Indo–Aryan Lan- d’études, t. 56. Paris: A. Maisonneuve.
guages; Indo–European Languages; Meillit, Antoine Bloch J (1949). Canon bouddhique Pāli (Tripitaka) Texte et
(Paul Jules) (1866–1936). traduction par Jules Bloch, Jean Filliozat, Louis Renou.
Paris: Adrien-Maisonneuve.
Bloch J (1950). Les inscriptions d’Asoka; traduites et com-
Bibliography mentées par Jules Bloch. Paris: Les Belles Lettres.
Bloch J (1953). Les Tsiganes. Paris: Presses universitaires de
Bloch J (1905). Abrégé de grammaire comparée des langues
France.
indo-européennes, d’après le Précis de grammaire com-
Bloch J (1970). The formation of the Marāthı̄ language,
parée de K. Brugmann et B. Delbrück. Tr. par J. Bloch,
translated by Dev Raj Chanana. Delhi: Motilal Banarsi-
A. Cuny et A. Ernout, sous la direction de A. Meillet et
dass.
R. Gauthiot. Paris: C. Klincksieck.
Bloch J (1985). Recueil d’articles de Jules Bloch, 1906–
Bloch J (1906). ‘La phrase nominale en sanscrit.’ Mémoires
1955: textes rassemblés par Colette Caillat. Paris: Col-
de la Société de Linguistique de Paris, vol. XIV, 27–96.
lege de France, Institut de Civilisation Indienne.
Bloch J (1920). La formation de la langue marathe. Paris: É.
Champion.

Bloomfield, Leonard (1887–1949)


J G Fought, Diamond Bar, CA, USA approach, though its role in his work has been greatly
! 2006 Elsevier Ltd. All rights reserved. exaggerated. There Bloomfield also took part, with
George Melville Bolling (1871–1963), in founding
the Linguistic Society of America in 1925. Esper
Leonard Bloomfield was born in Chicago; his family (1968) was an invaluable eyewitness report on this
moved to rural Wisconsin when he was nine. He period in Bloomfield’s career. In 1927, Bloomfield
graduated from Harvard in 1906. When he sought returned to the University of Chicago, where he and
an assistantship in German at the University of Edward Sapir (1884–1939) were briefly colleagues.
Wisconsin that summer, he met the Germanist His years at the University of Chicago seem to have
Eduard Prokosch (1876–1938), who introduced him been the most pleasant and productive of his working
to linguistics. Bloomfield took his doctorate in Ger- life. In 1940 he went to Yale, as Sterling Professor, the
manic philology at the University of Chicago in 1909. successor of Prokosch and to some degree also of
He taught German (German, Standard) for one year Sapir. Bloomfield led the linguistics program and
at the University of Cincinnati as an instructor, later took an active role in war-related work on practical
moving to the University of Illinois. In 1913–1914 he language-learning materials, writing and editing a
studied with the Neogrammarians Karl Brugmann, number of manuals. A stroke ended his working life
August Leskien, and Hermann Oldenberg at the Uni- in 1946; he died in 1949.
versities of Leipzig and Göttingen and then returned His family life was darkened by tragedies. Bernard
to Illinois, only then becoming an assistant professor, Bloch, who knew and admired him, described his
his rank until 1921. During his stay at Illinois he also personality as ‘‘not strongly magnetic’’ (1949: 91).
published his first work on a non-Indo-European lan- Anecdotes show his readiness to use highly refined
guage, Tagalog texts with grammatical analysis sarcasm in dealing with critics, colleagues, and stu-
(1917), whose conception and organization were dents alike. For an extended example, see Bloomfield,
very probably influenced by his friend Franz Boas 1944; in a more typical instance, he claimed that his
(1858–1942). In 1919, he began his work on the introductory textbook Language (1933) could be un-
Algonquian languages (1928, 1930, 1934, 1946), derstood by any bright high-school student. This re-
some of which was edited and published posthumously mark has often been cited as evidence of Bloomfield’s
(1957, 1962, 1975). innocence by scholars who have struggled with this
In 1921, he moved to Ohio State University as a full formidable book. It is not.
professor. While there, he and the behavioral psychol- He supervised only a handful of dissertations, and
ogist Albert Paul Weiss (1879–1931) became friends, he sometimes tried to discourage students from spe-
and Bloomfield adopted some of the idiom of that cializing in linguistics. It was through his publications,
Bloomfield, Leonard (1887–1949) 75

especially Language, that he shaped American de- Literature (vol. 3, Nos. 2–4). Urbana: University of
scriptive linguistics as a discipline during its structur- Illinois Press.
alist period. Bloomfield began as a Germanist and Bloomfield L (1926). ‘A set of postulates for the science of
Indo-Europeanist in the Neogrammarian tradition. language.’ Language 2, 152–164.
Bloomfield L (1927). ‘Literate and illiterate speech.’
These disciplines, and his rigorous cast of mind,
American Speech 2, 432–439.
provided the foundation for his austere approach to
Bloomfield L (1928). Menomini texts (Publications of
language description. The contrastive comparison of the American Ethnological Society, vol. 12). New York:
linguistic forms through the construction of textual G. E. Stechert, agents.
concordances, the logic of textual variants, and many Bloomfield L (1930). Sacred stories of the Sweet Grass Cree
other analytical techniques and concepts of the classi- (National Museum of Canada, Bulletin No. 6). Ottawa:
cal comparative method, all became basic tools of F. A. Acland.
descriptive and pedagogical applications of linguis- Bloomfield L (1933). Language. New York: Holt.
tics. Bloomfield’s Outline guide for the practical Bloomfield L (1934). Plains Cree texts (Publications of
study of foreign languages (1942) described this the American Ethnological Society, vol. 16). New York:
toolkit and explained its use. His method was based G. E. Stechert, agents.
Bloomfield L (1942). Outline guide for the practical study
on the notion of the linguistic sign; it called for com-
of foreign languages. Baltimore: Linguistic Society of
paring linguistic forms that are partly alike and partly America.
different, and then looking for other examples of each Bloomfield L (1944). ‘Secondary and tertiary responses to
part so as to understand how they are alike and how language.’ Language 20, 45–55.
they are different in form and function. In a letter to Bloomfield L (1946). ‘Algonquian.’ In Hoijer H et al. (eds.)
Truman Michelson written in 1919, Bloomfield, then Linguistic structures of native America (Viking Fund
32, had already condensed his method of analysis into publications in anthropology, 6, 85–129). New York:
one sentence: ‘‘No preconceptions; find out which Wenner-Gren Foundation.
sound variations are distinctive (as to meaning) and Bloomfield L (1957). Eastern Ojibwa: Grammatical sketch,
then analyze morphology and syntax by putting to- texts, and word list. Ann Arbor: University of Michigan
gether everything that is alike’’ (Hockett, 1987: 41). Press.
Bloomfield L (1962). The Menomini language. New Haven
When compiling a descriptive grammar, however,
& London: Yale University Press.
Bloomfield selected among variants in his data to
Bloomfield L ed. by Charles F Hockett (1975). Menomini
build and then describe a community norm of usage. lexicon. Milwaukee, WI: Milwaukee Public Museum
Such a norm was implicit in his account of usage Press.
differences among Menomini speakers (1927); the Hockett C F (1987). Letters from Bloomfield to Michelson
details of its construction were brilliantly illuminated and Spair. In Hall R A (ed.) Leonard Bloomfield: Essays
by Goddard (1987). on his life and work. Amsterdam: John Benjamins.
39–60.
See also: Algonquian and Ritwan Languages; Bloch, Ber- Esper E A (1968). Mentalism and objectivism in linguistics:
nard (1907–1965); Boas, Franz (1858–1942); Brugmann, the sources of Leonard Bloomfield’s psychology of lan-
Karl (1849–1919); Germanic Languages; Hockett, Charles guage. New York: American Elsevier.
Francis (1916–2000); Leskien, August (1840–1916); Lin- Goddard I (1987). ‘Leonard Bloomfield’s descriptive and
guistics as a Science; Sapir, Edward (1884–1939); Struc- comparative studies of Algonquian.’ In Hall R A (ed.)
turalism; Tagalog. Leonard Bloomfield: essays on his life and work.
Amsterdam: John Benjamins. 179–217.
Hockett C F (ed.) (1970). A Leonard Bloomfield anthology.
Bloomington: Indiana University Press.
Bibliography
Hockett C F (1987). Letters from Bloomfield to Michelson
Bloch B (1949). ‘Leonard Bloomfield.’ Language 25, 87– and Spair. In Hall R A (ed.) Leonard Bloomfield: Essays
94. on his life and work. Amsterdam: John Benjamins.
Bloomfield L (1917). Tagalog texts with grammatical 39–60.
analysis. University of Illinois Studies in Language and
76 Blumer, Herbert (1900–1987)

Blumer, Herbert (1900–1987)


N Denzin, University of Illinois at Urbana–Champaign, papers on Industrialization as an agent of social
Urbana, IL, USA change: a critical analysis, as well as The collected
! 2006 Elsevier Ltd. All rights reserved. papers of Herbert Blumer: George Herbert Mead
and human conduct and Selected works of Herbert
Blumer: a public philosophy for mass society.
Herbert Blumer is the founding father of the unique Blumer is remembered for his athletic prowess, his
social psychological perspective called ‘symbolic warmth as a person, his capacity as a sympathetic and
interactionism.’ The foremost student of George understanding listener, and his acute memory and
Herbert Mead (see Mead, George Herbert (1863– critical mind. He was a powerful and effective teacher
1931)), he translated Mead’s philosophy into a theory of several generations of students who ‘‘found them-
of self, society, and interaction that has come to be selves and their careers while sitting in his classes’’
known as the ‘symbolic interactionist perspective’ in (Shibutani, 1970: viii).
contemporary U.S. sociology. Blumer’s impact on U.S. sociology has been sub-
Blumer received his bachelor’s and master’s degrees stantial. A loyal opponent of functionalism, positiv-
from the University of Missouri in 1921 and 1922, ism in sociology, and behavioral and cognitive
respectively. He taught there until 1925, when he left psychology, he long championed the interpretive,
to enter the doctoral program of the department of naturalistic approach to human experience, social
sociology at the University of Chicago, where he theory, and social research. Many of the ideas he put
received his Ph.D. in 1928. He became an instructor forth early in his career have since, as Shibutani
in sociology at Chicago in 1925, was an associate noted, become generally accepted. His studies of
professor from 1931 to 1947, and was a professor the movies, fashion, collective behavior, racism and
from 1947 to 1952. When Mead died in 1931, prejudice, the industrialization process, and social
Blumer took over his social psychology course. problems have become sociological classics and
From 1930 to 1935, Blumer was secretary–treasurer models of research for other scholars. As the chief
of the American Sociological Association and was systematizer of the sociological implications of
elected president in 1955. In 1954, he was elected Mead’s thought, his writings on symbolic inter-
president of the Society for the Study of Social action have served to define this perspective within
Problems. He also served as president of the Pacific the international sociological community.
Sociological Association and as vice president of the Blumer’s sociology involved the following assump-
International Sociological Association. From 1941 to tions. Human beings act toward things on the basis of
1952, he was editor of the American Journal of Soci- the meanings things have for them. Meanings arise
ology. During World War II, he served as liaison out of, and are modified in, the process of social
officer between the Office of War Information and interaction. Society consists of the joint interactions
the Bureau of Economic Warfare and as a public of individuals. These joint actions describe recurrent
panel chairman of the War Labor Board. He taught patterns of collective activity, complex networks of
at the University of Chicago from 1925 to 1952. In institutional relations, and historical processes and
1952, he went as chair to the Department of Sociol- forces. The proper study of society is at the inter-
ogy at the University of California at Berkeley, where group, interactional level. Society is a framework for
he remained as a faculty member until his death in the operation of social, symbolic, economic, political,
1987. religious, kinship, and legal interactions. The notion
Blumer was the author of approximately 60 arti- of structure as process is central to Blumer’s argu-
cles, dozens of book reviews (in the American Journal ment. Social structures are composed of interacting
of Sociology), two monographs [The rationale of units ‘‘caught up in the interplay of opposing process-
labor–management relations (1958), and The world es of persistence and change’’ (Morrione, 2004: xvi).
of youthful drug use (1967)], at least three review Social reality is situated in these sites of interaction.
essays, three obituaries (Louis Wirth, Ernest Burgess, Blumer put in motion a methodological project
and Joseph Lohman), and four books [Movies and that assumed an obdurate natural social world that
conduct (1933), Movies, delinquency, and crime could be studied scientifically – that is, mapped,
(with D. M. Hauser, 1933), Critiques of research in reproduced, and made sense of through the careful
the social sciences, I. An appraisal of Thomas and work of the naturalistic researcher who gets close
Znaniecki’s The Polish Peasant in Europe and Amer- to the phenomenon under investigation. He sought a
ica (1939), and Symbolic interactionism (1969)]. processual, interpretive social science that would
Posthumous publications include a collection of his utilize sensitizing concepts grounded in subjective
Boas, Franz (1858–1942) 77

human experience. The empirical materials of this Blumer H (1990). Industrialization as an agent of social
science would be valid, reliable, and permit the test- change: a critical analysis. In Maines D R & Morrone
ing of hypotheses and the formulation of theoretical T J (eds.). New York: DeGruyter.
generalizations. Interpretive theory would confront Blumer H (2004). Herbert Blumer: George Herbert Mead
and human conduct. In Morrone T J (ed.). Walnut Creek,
the obdurate features of human group life and be
CA: AltaMira.
shaped around the previously mentioned kinds of
Lyman S M & Vidich A J (1988). Social order and the
materials. public philosophy: an analysis and interpretation of the
When the Society for the Study of Symbolic Inter- work of Herbert Blumer. Fayetteville: University of
action formed in 1974, Blumer was an immediate Arkansas Press.
supporter. His impact on symbolic interactionism Lyman S M & Vidich A J (eds.) (2000). Selected works of
has been permanently recognized by the society Herbert Blumer: a public philosophy for mass society.
with its annual Herbert Blumer Award, which is Urbana: University of Illinois Press.
given to the outstanding graduate student paper best Morrione T J (2004). ‘Preface.’ In Morrone T J (ed.)
representing the tradition associated with Blumer’s Herbert Blumer: George Herbert Mead and human
scholarship. conduct. Walnut Creek, CA: AltaMira. ix–xviii.
Shibutani S (ed.) (1970). Human nature and collective be-
havior: papers in honor of Herbert Blumer. Englewood
See also: Mead, George Herbert (1863–1931).
Cliffs, NJ: Prentice-Hall.
Symbolic Interaction 11(1) (1988, Spring). Entire issue on
Bibliography Herbert Blumer’s legacy.
Wiseman J P (1987). In memoriam: Herbert Blumer
Blumer H (1969). Symbolic interactionism: perspective and (1900–87). Journal of Contemporary Ethnography 16,
method. Englewood Cliffs, NJ: Prentice-Hall. 243–249.

Boas, Franz (1858–1942)


J G Fought, Pomona College, Claremont, As the developer and impresario of modern Ameri-
CA, USA can anthropology and the mentor of many of its lead-
! 2006 Elsevier Ltd. All rights reserved. ing figures, he made an immensely significant
contribution to American linguistics. Further, as a
Franz Boas was born in Minden, Germany to a family linguist in his own right, his contribution was highly
of merchants. He graduated from the University of respectable. Boas was self-taught in linguistics. He
Kiel (Ph.D., 1881), specializing in psychophysics and was more successful in establishing standards for lin-
geography. His first field work was conducted in guistic field work than in re-inventing historical and
Baffin Land in 1883; apparently this is when the comparative linguistics as a tool of culture history. His
focus of his interests began to shift from geography background in perceptual psychology led him to pub-
to anthropology. He came to the United States in lish (1889) an insight into naı̈ve impressions of foreign
1886, working for a time at assorted jobs, including language sounds that is a very early and independent
teaching, and managing anthropology exhibits at expression of what became the phonemic principle.
the Chicago World’s Fair (1892–1895). In these The magnitude of his overall contribution to the de-
years he also began his long examination of Kwakiutl, velopment of field linguistics and the study of Native
Tsimshian, and other Northwest Coast languages and American languages, even after making allowances
cultures. for the personal contributions of Edward Sapir, his
In 1899 he secured an appointment at Columbia brilliant student, and Leonard Bloomfield, his friend,
University, an affiliation he retained for the rest of his is only slightly exaggerated in Bloomfield’s memorial
life. He was a master of administration and fund statement (1943: 198): ‘‘Boas amassed a tremendous
raising. From his secure academic position, he soon body of observation, including much carefully
made Columbia the source from which the profes- recorded text, and forged, almost single-handed, the
sionalization of American anthropology would tools of phonetic and structural description.’’
spread, shifting its focus from museums of artifacts
to academic and field research, with linguistics as a See also: Bloomfield, Leonard (1887–1949); Canada: Lan-
core discipline. He strove always to reorient the field guage Situation; Cultural Evolution of Language; Linguis-
away from racism, whether overt or tacit. tic Anthropology; Primitive Languages; Relativism; Sapir,
Boas, Franz (1858–1942) 77

human experience. The empirical materials of this Blumer H (1990). Industrialization as an agent of social
science would be valid, reliable, and permit the test- change: a critical analysis. In Maines D R & Morrone
ing of hypotheses and the formulation of theoretical T J (eds.). New York: DeGruyter.
generalizations. Interpretive theory would confront Blumer H (2004). Herbert Blumer: George Herbert Mead
and human conduct. In Morrone T J (ed.). Walnut Creek,
the obdurate features of human group life and be
CA: AltaMira.
shaped around the previously mentioned kinds of
Lyman S M & Vidich A J (1988). Social order and the
materials. public philosophy: an analysis and interpretation of the
When the Society for the Study of Symbolic Inter- work of Herbert Blumer. Fayetteville: University of
action formed in 1974, Blumer was an immediate Arkansas Press.
supporter. His impact on symbolic interactionism Lyman S M & Vidich A J (eds.) (2000). Selected works of
has been permanently recognized by the society Herbert Blumer: a public philosophy for mass society.
with its annual Herbert Blumer Award, which is Urbana: University of Illinois Press.
given to the outstanding graduate student paper best Morrione T J (2004). ‘Preface.’ In Morrone T J (ed.)
representing the tradition associated with Blumer’s Herbert Blumer: George Herbert Mead and human
scholarship. conduct. Walnut Creek, CA: AltaMira. ix–xviii.
Shibutani S (ed.) (1970). Human nature and collective be-
havior: papers in honor of Herbert Blumer. Englewood
See also: Mead, George Herbert (1863–1931).
Cliffs, NJ: Prentice-Hall.
Symbolic Interaction 11(1) (1988, Spring). Entire issue on
Bibliography Herbert Blumer’s legacy.
Wiseman J P (1987). In memoriam: Herbert Blumer
Blumer H (1969). Symbolic interactionism: perspective and (1900–87). Journal of Contemporary Ethnography 16,
method. Englewood Cliffs, NJ: Prentice-Hall. 243–249.

Boas, Franz (1858–1942)


J G Fought, Pomona College, Claremont, As the developer and impresario of modern Ameri-
CA, USA can anthropology and the mentor of many of its lead-
! 2006 Elsevier Ltd. All rights reserved. ing figures, he made an immensely significant
contribution to American linguistics. Further, as a
Franz Boas was born in Minden, Germany to a family linguist in his own right, his contribution was highly
of merchants. He graduated from the University of respectable. Boas was self-taught in linguistics. He
Kiel (Ph.D., 1881), specializing in psychophysics and was more successful in establishing standards for lin-
geography. His first field work was conducted in guistic field work than in re-inventing historical and
Baffin Land in 1883; apparently this is when the comparative linguistics as a tool of culture history. His
focus of his interests began to shift from geography background in perceptual psychology led him to pub-
to anthropology. He came to the United States in lish (1889) an insight into naı̈ve impressions of foreign
1886, working for a time at assorted jobs, including language sounds that is a very early and independent
teaching, and managing anthropology exhibits at expression of what became the phonemic principle.
the Chicago World’s Fair (1892–1895). In these The magnitude of his overall contribution to the de-
years he also began his long examination of Kwakiutl, velopment of field linguistics and the study of Native
Tsimshian, and other Northwest Coast languages and American languages, even after making allowances
cultures. for the personal contributions of Edward Sapir, his
In 1899 he secured an appointment at Columbia brilliant student, and Leonard Bloomfield, his friend,
University, an affiliation he retained for the rest of his is only slightly exaggerated in Bloomfield’s memorial
life. He was a master of administration and fund statement (1943: 198): ‘‘Boas amassed a tremendous
raising. From his secure academic position, he soon body of observation, including much carefully
made Columbia the source from which the profes- recorded text, and forged, almost single-handed, the
sionalization of American anthropology would tools of phonetic and structural description.’’
spread, shifting its focus from museums of artifacts
to academic and field research, with linguistics as a See also: Bloomfield, Leonard (1887–1949); Canada: Lan-
core discipline. He strove always to reorient the field guage Situation; Cultural Evolution of Language; Linguis-
away from racism, whether overt or tacit. tic Anthropology; Primitive Languages; Relativism; Sapir,
78 Boas, Franz (1858–1942)

Edward (1884–1939); Structuralism; United States of Amer- Boas F (1940). Race, language, and culture. New York:
ica: Language Situation. Macmillan (reprinted 1966, New York: Free Press).
Boas F (1860–1942). Papers. Philadelphia: American
Philosophical Society.
Bibliography Cole D (1999). Franz Boas: The early years, 1858–1906.
Seattle and London: University of Washington Press.
Bloomfield L (1943). ‘Franz Boas.’ Language 19, 198. Mackert M (1993). ‘The roots of Franz Boas’ view of
Boas F (1889). ‘On alternating sounds.’ American Anthro- linguistic categories as a window to the human mind.’
pologist 2, 47–53. Historiographia Linguistica 20, 331–351.
Boas F (ed.) (1911). Handbook of American Indian lan- Stocking G W (1974). The shaping of American anthropol-
guages. Bulletin 40. Washington, DC: Bureau of Ameri- ogy, 1883–1911: A Franz Boas reader. New York: Basic
can Ethnology. Books.

Body Language
A Ponzio, Università di Bari, Bari, Italy differences of signification for individual inter-
! 2006 Elsevier Ltd. All rights reserved. preters, but such differences are not then regarded
as linguistic.
3. The signs constituting a language must be ‘com-
Body Language as Human Semiosis signs’ – that is, producible by the members of the
interpreter-family. Comsigns are either activities
Body language belongs to the sphere of anthropo- of the organisms (e.g., gestures) or the products
semiosis, the object of anthroposemiotics (see Anthro- of such activities (e.g., sounds, traces left on a
posemiotics). In fact, the term ‘language’ in today’s material medium, or constructed objects).
semiotics is specific to human semiosis (i.e., human 4. The signs that constitute a language are plurisitua-
sign behavior). tional signs – that is, signs with a relative constan-
Following Charles Morris’s and Thomas Sebeok’s cy of signification in every situation in which a
terminological specifications, semiotics describes sign sign of the sign-family in question appears.
behavior with general reference to the organism (i.e., 5. The signs in a language must constitute a system of
it identifies semiosis and life), and distinguishes be- interconnected signs combinable in some ways
tween ‘signs in human animals’ and ‘signs in nonhu- and not in others in order to form a variety of
man animals,’ reserving the term language as a special complex sign-processes.
term for the former. In others words, language is spe-
cific to man as a semiotic animal – that is, as a living If language is considered as synonymous with
being not only able to use signs (capable of semiosis) ‘communication,’ animals no doubt also possess lan-
but also able to reflect on signs through signs (capable guage. If, on the contrary, language is distinguished
of semiotics). In this acceptation, language is not ver- from communication and determined by the five cri-
bal language alone: Language refers to both verbal teria mentioned previously, then animals certainly do
and nonverbal human signs. In this view – that is, not have language, although they do communicate.
from a semiotic and not a linguistic perspective (per- Even if some of the conditions that enable us to speak
taining to linguistics) – language is not reduced to of language would seem to occur in animals, they do
speech but speech is a specification of language. Lan- not occur together.
guage is acoustic language as much as the gestural or On this subject, the following statement by Morris
the tactile, etc., depending on the kind of sign vehicle (1946/1971a: 130) seems important:
that intervenes, which is not necessarily limited But even if these conditions were met [i.e., if all the other
to the verbal in a strict sense. Following Morris requirements were met in nonhuman animal communica-
(1946/1971a: 112–114), there are five criteria for tion], the fifth requirement is a harder hurdle. For though
the definition of language: animal signs may be interconnected, and interconnected
in such a way that animals may be said to infer, there is
1. Language is composed of a plurality of signs. no evidence that these signs are combined by animals
2. In a language each sign has a signification com- which produce them according to limitations of combi-
mon to a number of interpretants: this is linguistic nations necessary for the signs to form a language system.
signification, common to members of the inter- Such considerations strongly favor the hypothesis that
preter-family, whereas there may, of course, be language – as here defined – is unique to man.
78 Boas, Franz (1858–1942)

Edward (1884–1939); Structuralism; United States of Amer- Boas F (1940). Race, language, and culture. New York:
ica: Language Situation. Macmillan (reprinted 1966, New York: Free Press).
Boas F (1860–1942). Papers. Philadelphia: American
Philosophical Society.
Bibliography Cole D (1999). Franz Boas: The early years, 1858–1906.
Seattle and London: University of Washington Press.
Bloomfield L (1943). ‘Franz Boas.’ Language 19, 198. Mackert M (1993). ‘The roots of Franz Boas’ view of
Boas F (1889). ‘On alternating sounds.’ American Anthro- linguistic categories as a window to the human mind.’
pologist 2, 47–53. Historiographia Linguistica 20, 331–351.
Boas F (ed.) (1911). Handbook of American Indian lan- Stocking G W (1974). The shaping of American anthropol-
guages. Bulletin 40. Washington, DC: Bureau of Ameri- ogy, 1883–1911: A Franz Boas reader. New York: Basic
can Ethnology. Books.

Body Language
A Ponzio, Università di Bari, Bari, Italy differences of signification for individual inter-
! 2006 Elsevier Ltd. All rights reserved. preters, but such differences are not then regarded
as linguistic.
3. The signs constituting a language must be ‘com-
Body Language as Human Semiosis signs’ – that is, producible by the members of the
interpreter-family. Comsigns are either activities
Body language belongs to the sphere of anthropo- of the organisms (e.g., gestures) or the products
semiosis, the object of anthroposemiotics (see Anthro- of such activities (e.g., sounds, traces left on a
posemiotics). In fact, the term ‘language’ in today’s material medium, or constructed objects).
semiotics is specific to human semiosis (i.e., human 4. The signs that constitute a language are plurisitua-
sign behavior). tional signs – that is, signs with a relative constan-
Following Charles Morris’s and Thomas Sebeok’s cy of signification in every situation in which a
terminological specifications, semiotics describes sign sign of the sign-family in question appears.
behavior with general reference to the organism (i.e., 5. The signs in a language must constitute a system of
it identifies semiosis and life), and distinguishes be- interconnected signs combinable in some ways
tween ‘signs in human animals’ and ‘signs in nonhu- and not in others in order to form a variety of
man animals,’ reserving the term language as a special complex sign-processes.
term for the former. In others words, language is spe-
cific to man as a semiotic animal – that is, as a living If language is considered as synonymous with
being not only able to use signs (capable of semiosis) ‘communication,’ animals no doubt also possess lan-
but also able to reflect on signs through signs (capable guage. If, on the contrary, language is distinguished
of semiotics). In this acceptation, language is not ver- from communication and determined by the five cri-
bal language alone: Language refers to both verbal teria mentioned previously, then animals certainly do
and nonverbal human signs. In this view – that is, not have language, although they do communicate.
from a semiotic and not a linguistic perspective (per- Even if some of the conditions that enable us to speak
taining to linguistics) – language is not reduced to of language would seem to occur in animals, they do
speech but speech is a specification of language. Lan- not occur together.
guage is acoustic language as much as the gestural or On this subject, the following statement by Morris
the tactile, etc., depending on the kind of sign vehicle (1946/1971a: 130) seems important:
that intervenes, which is not necessarily limited But even if these conditions were met [i.e., if all the other
to the verbal in a strict sense. Following Morris requirements were met in nonhuman animal communica-
(1946/1971a: 112–114), there are five criteria for tion], the fifth requirement is a harder hurdle. For though
the definition of language: animal signs may be interconnected, and interconnected
in such a way that animals may be said to infer, there is
1. Language is composed of a plurality of signs. no evidence that these signs are combined by animals
2. In a language each sign has a signification com- which produce them according to limitations of combi-
mon to a number of interpretants: this is linguistic nations necessary for the signs to form a language system.
signification, common to members of the inter- Such considerations strongly favor the hypothesis that
preter-family, whereas there may, of course, be language – as here defined – is unique to man.
Body Language 79

This means that by comparison with animal signs, signs. As Morris (1946/1971b: 13) concludes his dis-
human language is characterized by the fact that its cussion of the distinction between nonhuman animal
signs can be combined to form compound signs. It signs and human signs, human language (and the
would seem, therefore, that in the last analysis, this postlanguage symbols it makes possible) goes far be-
‘capacity for combination’ is the most distinctive ele- yond the sign-behavior of animals. On this sub-
ment. This conception is very close to Sebeok’s ject, the following observation is similar to Sebeok’s
when he states that language (he too distinguishing conception of human signs:
it from the communicative function) is characterized
But language-behavior is still sign-behavior, and lan-
by ‘syntax’ – that is, the possibility of using a finite guage signs rest upon, and never completely take the
number of signs to produce an infinite number of place of [italics added], the simpler signs which they
combinations through recourse to given rules. presuppose. The continuity is as real as the discontinuity,
Body language includes different sign systems. and the similarity of human and animal sign-behavior as
Common to these sign systems is their foundation in genuine as the difference.
language intended as a specific human modeling
All sign processes include the body in some sense
device (Sebeok, 1991, 2001b).
because the entire sign process takes place in a
All animal species have models to construct their
biological, social, or technical medium; it must have
world, and language is the model belonging to human
beings. However, the distinctive feature of language a channel of access to the object interpreted. Chan-
nels and media are different and consequently have
with respect to other zoosemiotic systems (although
different ways to connect sign and body. The source
this feature is present in endosemiotic systems, such
may be (1) an inorganic body, such as a natural
as the genetic code, the immune code, the metabolic
inorganic object or manufactured inorganic object,
code, and the neural code) is syntax, through which
and in this case, the interpreted may be a sign only
the same construction pieces may be assembled in an
because it receives an interpretation from the inter-
infinite number of ways. Consequently, the human
preter (‘semiosis of information’), or (2) an organic
primary modeling system can produce an indefinite
number of models and worlds. substance or a living being (organism or components)
belonging to H. sapiens or speechless creatures (‘se-
All species communicate in a world peculiar to
miosis of symptomatization,’ in which the sign is
that species alone ensuing from the type of modeling
unintentional, and ‘semiosis of communication,’ in
characteristic of that species. In the early stages of its
which the sign is intentional). In body signs of symp-
development, the hominid was endowed with a mod-
tomatization semiosis (symptoms, clues, and traces)
eling device able to produce an infinite number of
the interpreted sign is already an interpretant re-
worlds. This explains the evolution of hominids into
sponse before being interpreted as a sign by an inter-
Homo sapiens sapiens. The reason why it is possible
for such animals to produce a limitless number of pretant. However, this response is not oriented to
being interpreted as a sign; that is, it does not
worlds is that the human modeling device, or lan-
come to life for the purpose of being interpreted. On
guage, functions in terms of syntax – that is, in terms
the contrary, in semiosis of communication where
of construction, deconstruction, and reconstruction
too the interpreted is already an interpretant re-
with a finite number of elements that may be com-
sponse before being interpreted as a sign by the inter-
posed and recomposed in an infinitely great variety of
pretant, this interpretant response is intended to be
different forms. We are referring to the human ability
interpreted as a sign.
to reflect on sign materials, means, and models (i.e.,
on that which has already been modeled), to the end When an organism or a machine takes an object as
a sign of another object, it must have a ‘channel,’ a
of using such materials in new modeling processes.
passageway to access it. Possible channels are gases,
This is what is intended by specific human semiosis –
liquids, and solids with regard to matter; they are
that is, ‘semiotics.’ Body languages are semiotical.
chemical and physical with regard to energy. Concern-
ing the latter, channels may be acoustic (air, water,
Body Language and the Sign–Body
and solids) or optical (reflected daylight or biolu-
General Connection minescence; Sebeok, 1991: 27–28), tactile, chemical,
The previous discussion demonstrated the connection electric, magnetic, or thermal. Semiosis may engage
with body language and human semiosis. However, several channels and also a simultaneous use of more
body language belongs to the general connection be- than one channel, as is frequently the case in human
tween signs and bodies that is found in all the universe communication.
of life (i.e., in all planetary semiosis). This implies ‘Medium’ can be used as a synonym of channel
continuity from nonhuman animal signs to human (Sebeok, 1991: 27), but medium is also the world in
80 Body Language

which semiosis takes place. It may be a biological, life: This is about the semiotic materiality of language
social, or technical medium. In this double sense that as human primary modeling. ‘‘Language is as old as
connects medium to model and modeling, we may consciousness, language is practical consciousness
refer to semiosis in the world of technical instruments that exists also for other men, and for that reason
and social institutions. In any type of semiosis there is alone it exists for me personally as well’’ (Marx and
a connection between signs and bodies, signata and Engels, 1845/1968: 42). Language is ‘‘the immediate
signantia, media/channels and significata, semiosis actuality of thought. . . . Neither the thought, nor the
and materiality. Materiality of the signans (Petrilli, language exist in an independent realm from life’’
1990: 365–401; Rossi-Landi, 1992: 271–299) is not (Marx and Engels, 1845/1968: 503–504).
limited to extrasign materiality, physical materiality As a body, the sign is material in a physical sense;
(the body of the signans and its channel), and instru- as sign, it is material in a semiosic sense; and as
mental materiality (nonsign bodily residues of non- human historicosocial matter, it is material in a semi-
verbal signs, i.e., their nonsign uses and functions; otic sense. In human worlds modeled by language, a
Rossi-Landi, 1985: 65–82). More than this, material- body is a sign because of its historicosocial materiali-
ity of the signans is ‘semiosic materiality,’ and in ty. It is this kind of materiality that interests us when
the sphere of anthroposemiosis it is also ‘semiotic a body is taken into consideration and studied as a
materiality.’ Semiotic materiality is historicosocial human sign (i.e., in a semiotic framework).
materiality at more or less high levels of complexity,
elaboration, and/or articulation (elaboration materi-
ality). It is ideological materiality, extraintentional The Body in the Sign
materiality (i.e., objectivity independent from con-
In contemporary general semiotics, of which the most
sciousness and volition), as well as signifying other-
holistic expression is Sebeok’s ‘global semiotics,’ the
ness materiality (i.e., the possibility of engendering
criterion of life (i.e., of living body) is semiosis. Using
other signata than the signatum of any specific inter-
the formula employed by Marcel Danesi to sum up
pretive route) (Ponzio, 1990: 15–61, 1994: 42–45).
Sebeok’s conception of the semiosic character of liv-
Signs are bodies. However, the physical object may
ing beings, we may say that the body is in the sign
be transformed into a sign while still belonging to the
(i.e., life is defined by semiosis). In the human animal,
world of physical matter due to ‘sign work,’ to use
or ‘semiotic animal,’ this means that semiosis is the
Rossi-Landi’s terminology. As a sign, the physical
bond that links together body, mind, and culture
body acquires meaning engendered in the relation to
(Danesi, 1998: 16). Studies on the manifestation pat-
something else, it defers to something external to
terns of semiosis in nature and culture show persua-
itself, and it reflects and refracts another reality
sively that in anthroposemiosis there exists an
from itself (Voloshinov, 1929/1973: 10):
inextricable nexus among sign, body, and culture.
Signs also are particular, material things; and . . . any The type of sign (according to Charles S. Peirce’s
item of nature, technology, or consumption can become typology of signs), in which the body lives and orga-
a sign acquiring in the process a meaning that goes nizes its world on the basis of its species-specific
beyond its given particularity. A sign does not simply modeling device, is first and foremost the ‘icon.’ In
exist as a part of reality – it reflects and refracts another
other words, iconicity is a basic signifying strategy in
reality.
various life-forms. The iconic mode of representation
The following distinction is proposed: The expres- is the relation of the sign with its referent through
sion ‘semiosic corporeality’ is used for bodies that replication, simulation, imitation, or resemblance.
have become signs in a world modeled by living Iconicity is the default form of semiosis, as Sebeok
beings where sign processes are languageless, and demonstrated by documenting that in vastly different
semiotic corporeality is used where bodies that are species the manifestation of the capacity to produce
signs presuppose a world modeled by language (i.e., a signs stands in some direct simulative relation to their
human world). referents. In his works, Sebeok showed the variety of
As Marx (Marx and Engels, 1845/1968: 42), sug- manifestations of iconicity in different species. Iconic
gested, ‘‘From the start the ‘spirit’ is afflicted with the signs can thus be vocal, visual, olfactory, gustatory, or
course of being ‘burdened’ with matter, which here tactile in their form. It may be that in humans too all
makes its appearance in the form of agitated layers of signs start out as a simulative relation to their refer-
air, sounds, in short, of language.’’ Here, language ential domains. Like Peirce, Sebeok viewed iconicity
is ‘‘agitated layers of air, sounds’’: This is about as the primordial representational strategy in the
its physical materiality. However, language is also human species. Danesi (1998: 10) considers iconicity
human consciousness and the organization of human as an aspect of utmost relevance in the study of signs.
Body Language 81

He emphasizes the important role of iconicity – appropriate foresight of the ‘zones of proximal develop-
documented by Sebeok especially in the final three ment’ of each particular learner.
chapters of his 1986 book – in the bond that links
semiosis, body, mind, and culture. This inextricable The Body in the Languages of
nexus manifests itself in the form of iconical rep-
Globalization and ‘Grotesque Realism’
resentational behavior. ‘‘Iconicity is, in effect,
evidence of this nexus’’ (Danesi, 1998: 37). Here, another argument is added to those proposed
Danesi (1998: 18–20) refers to the conception that by Danesi in order to consider the implications of
the iconic mode of representation is the primary the formula ‘the body in the sign’ for education.
means of bodily semiosis as the ‘iconicity hypothesis.’ Included as goals in education are the capacity for
Consequently, another principle of global semiotics criticism, social conscience, and responsible behav-
or semiotics of life is the ‘sense-implication hypoth- ior. On this subject, the previously mentioned formu-
esis’ (Danesi, 1998: 17), which suggests that semiosis la has implications for an adequate consciousness
is grounded in the experiential realm of sense. This and comprehensive interpretation of communica-
principle has a philosophical antecedent in John tion under present-day semiosis conditions (i.e., in
Locke – according to which all ideas came from sen- the phase named ‘globalization’).
sation first and reflection later – but it is connected In the current age, characterized by the auto-
with modeling theory: what is acquired through the mated industrial revolution, the global market, con-
body is modeled differently through the innate mod- sumerism, and the pervasiveness of communication
eling system possessed by different species. In fact, a through the whole production cycle (communication
species perceives according to its own particular ana- – production, communicative exchange, and con-
tomical structure and to its own particular kind of sumption of goods that are messages), ‘the body in
modeling system. Due to its species-specific modeling the sign’ highlights that globalization and therefore
system, called language by Sebeok, Homo, the semi- languages of globalized communication incorporate
otic animal, not only is a sophisticated modeler of the human life in all its manifestations. ‘Life in all its
world but also has a remarkable ability to re-create manifestations’ refers to life in the form of develop-
his world in an infinite number of forms. ment (well-being and consumerism) as well as in the
The living body is initially an iconic sign – that is, in form of underdevelopment (poverty and impossibility
a world iconically modeled. This is valid too in the of survival); in the form of health and of disease; in
case of the human species on the ontogenetic and the form of normality and deviation; in the form
phylogenetic levels. Natural learning flow (i.e., the integration and emargination; in the form employ-
semiosic process in which children acquire knowl- ment and unemployment; in the form functional
edge) takes place through the body and human pri- transfer of the workforce, characteristic of emigration
mary modeling system and proceeds from iconicity to and migration, which expresses the denied request of
the forms of modeling that children learn in the cul- hospitality; and in the form of exposition to war
tural context. To recognize that the body is, lives, in disseminated at a worldwide level, and planned as
the sign with reference to human ontogenetic devel- infinite. Again, incorporation of the body in the lan-
opment in the body–sign–culture relation implies, as guages of globalized communication is not limited to
Danesi (1998: 61) states, that the semiosic capacities human life alone. Life over the whole planet is now
of the learner and the determination of his or her involved (even compromised and put at risk).
semiosic stage – rather than the subject matter to be The planetary perspective of global semiotics
learned – should therefore be the focus of education. allows for the necessary distance and indeclinable
The main implication of the formula ‘the body in the responsibility (a responsibility without alibis) for an
sign’ and modeling theory for education is of a method- approach to contemporaneousness that does not re-
ological nature. If the teacher is familiar with the forms main imprisoned within the confines of contempora-
of the semiosic process in human learning, he or she neity itself.
would be in a better position to help the learner acquire The controlled insertion of bodies into languages of
knowledge and skill more effectively and efficiently. the production apparatus of global communication
In fact, the key to successful learning, states Danesi, goes hand in hand with the spread of the concept
lies, arguably, in determining at what point the learning of the individual as a separate and self-sufficient enti-
phase is ready to be overtaken by the following – that ty. The body is understood and experienced as an
is, what the Russian psychologist Vygotsky (1934/ isolated biological entity, as belonging to the indi-
1962) called the ‘proximal zone’ of learning. The semi- vidual, as an autonomous sphere of private interests.
otic approach to education, as the psychologist and Such an attitude has led to the almost total extinction
semiotician Vygotsky claimed, is indispensable for an of cultural practices and worldviews based on
82 Body Language

intercorporeality (i.e., reciprocal interdependency), According to Sebeok’s (2001a: 17–30) reconstruc-


exposition and opening of the living body. Think of tion, hominids to H. erectus (included) communicated
the ways the body is perceived in popular culture, with each other by nonverbal means, in the manner
discussed by Bakhtin (1965) in the forms of carnival of all other primates. However, differently from the
and grotesque realism, where the body and corporeal latter, its body signs were already body languages
life generally are conceived neither individualistically because they were founded on a specific human pri-
nor separately from the rest of terrestrial life and, mary modeling device. Homo habilis (‘handy man,’
indeed, from the world. 2.4–2.0 million years ago) and H. erectus (‘upright
We refer to verbal and nonverbal languages of the man,’ more than 1.5 million years ago) with a brain
grotesque body that we may find in all cultures on the volume of 800–1200 cm3 and a far more elaborate
planet and in the literary carnivalized genres of all tool kit (including fire), had language, but not speech,
national literatures. Grotesque realism presents the and communicated with mute body languages (i.e., in
body as something that is not defined once and for an articulate and organized world on the basis of
all, that is not confined to itself, but as flourishing in syntax inherent to human primary modeling). Speech
symbiosis with other bodies, in relations of transfor- did not appear until our own immediate archaic
mation and renewal that far exceed the limits of sapiens (‘wise man’) ancestors appeared (approxi-
individual life. mately 300 000 years ago), who, as indicated by
Globalization, in which communication is exploited evidence from rule-governed behavior, not only
for profit, does not weaken the individualistic, pri- had language but also manifested it in the form of
vate, and static conception of the body, connected speech.
with the rise of the bourgeoisie, but, on the contrary Thus, although language as a specific human pri-
reinforces it. Division and separatism among the mary modeling system emerged on the scene perhaps
sciences are functional to the ideological–social neces- 2.5 or 3.0 million years ago, verbal language or
sities of the ‘recent new cannon of the individualized speech appeared solely in H. sapiens as a communi-
body’ (Bakhtin, 1965). This in turn is functional to the cation system and developed slowly in H. sapiens
controlled insertion of bodies into the languages of sapiens also as a cognitive system, namely as a
the reproduction cycle of today’s production system. secondary modeling system. However, the human
The interdisciplinary focus of global semiotics and nonverbal system had body languages as communica-
attention on the signs of the interconnection between tive devices implicating, similarly to future speech,
living bodies, human and nonhuman, are the presup- language not reducible to a communicative device:
positions of an education that is free from stereotyped, The specific function of language in the evolution of
limited, and distorted ideas and practices of commu- anthroposemiosis was not to transmit messages and
nication under present-day conditions. This is another give information but to model species-specific human
implication of the semiotic global approach for edu- worlds. Following Sebeok, we may say that language
cation and another possible meaning of the proposi- is essentially ‘mind work,’ whereas speech is ‘ear and
tion chosen by Danesi to sum up what Sebeok said: mouth work.’
‘The body is in the sign’ – that is, semiosis is the bond The relatively simple, nonverbal models that non-
that links the body, the mind, and culture. human animals live by, that hominids used to com-
municate, and that normal human infants (in-fans)
Body Language and Speech in Human likewise employ are indeed kinds of primary model-
ing. Consequently, the sign systems of nonhuman
Phylogenesis
animals are merely body sign systems, whereas sign
It appears virtually certain that early hominid forms systems of the human animal (semiotic animal) in-
that evolved to Homo erectus had language as an cluding hominids and today’s normal infants are body
interior modeling device, although not speech. As languages. However, as a type of primary modeling,
previously mentioned, a modeling system is a tool all these models are more or less pliable representa-
with which an organism analyzes its surroundings. tions that must fit ‘reality’ sufficiently to tend to
Language as a modeling system seems to have secure survival in one’s Umwelt.
always been an exclusive property of the species Such ‘top-down’ modeling (to use a current jargon
Homo. It is an original lingua mutola (a mute, speech- borrowed from the cognitive sciences) can persist and
less language) described by Giambattista Vico in La become very sophisticated indeed in the adult life of
scienza nuova, and which consists in the inventive, exceptionally gifted individuals, as borne out by
‘poetic’ capacity to model different possible worlds at Einstein’s testimonial or by what we know about
the basis of communication among members of the Mozart’s and Picasso’s abilities to model intricate
early hominid species. auditory or visual compositions in their heads in
Body Language 83

anticipation of transcribing this onto paper or canvas. the reflexologists, as well as both Freudianism and
This kind of nonverbal modeling is indeed primary, in mechanistic materialism (e.g., the mechanistic view of
both a phylogenetic and an ontogenetic sense. Syntax the relation between base and superstructure). In
makes it possible for hominids not only to represent Bakhtin’s view, each of these different trends is
immediate ‘reality’ (in the sense discussed previously) vitiated by false scientific claims that underestimate
but also, uniquely among animals, to frame an indef- the dialogic relation between body and world. Such
inite number of possible worlds in the sense of Leibniz approaches either dematerialize the living body or
(Sebeok, 1991: 57–58). physicalize it in terms of mechanistic relations.
Bakhtin formulated the category of ‘carnivalesque’
in his study on Rabelais, which he extended to culture
Dialogism of Body Language
at a world level insofar as it is human and not just
In Bakhtin’s view, dialogue consists of the fact that Western culture. The carnivalesque participates in
one’s own word alludes always and in spite of itself, ‘great experience,’ understood as offering a global
whether it knows it or not, to the word of the view of the complex and intricate life of bodies,
other. Dialogue is not an initiative taken by self. As signs, and languages. As Bakhtin shows in the 1963
clearly emerges from Bakhtin’s analysis of novels by edition of his book on Dostoevsky, dialogue in the
Dostoevsky, the human person does not enter into polyphonic novel has its roots in the carnivalesque
dialogue with the other out of respect for the other language of the grotesque body. Plurivocality, ductili-
but, rather, in spite of oneself. Both word and self are ty, and ambiguity of sense in verbal language (the
dialogic in the sense that they are passively involved expression of centrifugal forces in linguistic life) are
with the word and self of the other. Internal and also connected with the grotesque body. This is espe-
external verbal discourse is implied dialogically in cially evident in the double character of verbal and
otherness, just as the ‘grotesque body’ (Bakhtin, gestural ‘language of the public place,’ of vulgar ex-
1965) is implied in the body of the other. In pression that is simultaneously laudatory and offen-
fact, dialogue and body are closely interconnected. sive. Most interesting on this subject is Bakhtin’s
Bakhtin’s dialogism cannot be understood separately reference (in Voloshinov, 1929/1973) to Dostoevsky’s
from his biosemiotic conception of sign. On this notes on an animated conversation formed of a single
basis, he criticized both subjective individualism and vulgar bodily word used with different meanings.
objective abstraction. According to Bakhtin, there
cannot be dialogism among disembodied minds. Un-
Foremost Expressions of Body Language
like platonic dialogue, and similarly to Dostoevsky,
for Bakhtin, dialogue is not only cognitive and func- On the basis of the discussion of an issue that is
tional to abstract truth, but it is also a life need essentially methodological and that also concerns
grounded in the inevitable interconnection of the body language (which coincides with the human
self’s body with the body of other. semiosphere; i.e., the special semioses characteristic
For Bakhtin, dialogue is the embodied, intercorpor- of the semiotic animal, the sole animal gifted with the
eal expression of the involvement of one’s body with primary modeling device called language by Sebeok),
the body of the other. The concept of the body as an we may now consider some exemplars of body
individual, separate, and autonomous body is only an language.
illusion. The image that most adequately expresses As the expression of body language, we have al-
the condition of intercorporeity is the grotesque ready discussed such human signs as gesture, face
body (Bakhtin, 1965) in popular culture, in vulgar expression, vocal songs, and bodily movements used
language of the public place, and in the masks of to communicate in phases antecedent to verbal lan-
carnival. This is the body in its vital and indissoluble guage (i.e., speech) on both the phylogenetic and the
relation to the world and to the body of others. ontogenetic level. These are nonverbal signs used by
In 1926, Bakhtin published an article on the infants and hominids before the advent of H. sapiens.
biological and philosophical subject titled ‘Contem- Body language includes signs studied by physiog-
porary vitalism’ (signed by the biologist I. I. Kanaev, nomics – the discipline that studies the relations
who subsequently declared that Bakhtin was the au- between bodily characteristics, especially facial fea-
thor). In his description of the interaction between tures, and psychic characters of the human individu-
living body and environment and opposing the dual- al. In semiotics, an important work on the bond
ism of life force and physical–chemical processes, between body and temperament is The open self
Bakhtin maintained that the organism forms a mon- by Charles Morris (1948), who used the typology
istic unit with the surrounding world. In his works of (‘endomorphy,’ ‘mesomorphy,’ and ‘ectomorphy’)
the 1920s, Bakhtin criticized both the vitalists and proposed by psychologist William H. Sheldon in
84 Body Language

The varieties of human physique and Varieties of depends on their common participation in language
temperament from a semiotic perspective. understood as human primary modeling.
Body language involves modifications of the cultur- Concerning verbal intonation, and specifically the
al body, which belong to some complex sign system important phenomenon of language creativity called
or merely to the binary presence/absence system, in ‘intonational metaphor,’ Bakhtin (1926/1983) ob-
a wide range of cultural alterations operated on served that an intimate kinship binds the intonational
the body from brands, tattoos, the stripping of the metaphor in real-life speech with the ‘metaphor of
flesh, and piercing to maquillage, including the use gesticulation.’ In fact, the word itself was originally
of belladonna to dilate the pupils. Body language a ‘linguistic gesture,’ a ‘component of a complex body
also includes dance, especially ritual dances, in gesture,’ understanding gesture broadly to include
which any small body movement can have a precise facial expression, gesticulation of the face. Intonation
meaning. and gesture belong to body language, and they ex-
We have also mentioned cultural modifications in press a living, dynamic relationship with the outside
the distinctive pheromonal function of the human world and social environment.
chemical signature now studied by semiochemistry By using intonation and gesticulation, stated
(Sebeok, 2001b: 96). On this subject, Sebeok cited Bakhtin (1926/1983), an individual takes up an
both the novel Das perfume by Patrick Süskind, based active social position with regard to certain values.
entirely on the indexical facets of human semiochem- Of course, this position is conditioned by social
istry, and a passage from Peirce concerning the study instances. Verbal intonation and gesture participate
of odors as signs, with special reference to women’s in the creative modeling of human language. In this
favorite perfumes. Human odors are classified by sense, they belong to the anthroposemiotic bond re-
Sebeok as indexical signs, but this body language lating sign–mind–culture. In this bond also reside the
also has an iconic aspect (i.e., it also signifies on the aesthetic–creative forces of body language that create
basis of similarity): In the passage cited by Sebeok, and organize artistic forms.
Peirce’s comment is the following: ‘‘Surely there must
be some subtle resemblance between the odor and the See also: Anthroposemiotics; Biosemiotics; Gesture:
impression I get of this or that woman’s nature’’ Sociocultural Analysis; Gestures: Pragmatic Aspects;
(Sebeok, 2001b: 313). Indexicality: Theory; Kinesics; Performance in Culture;
Signs of body language are also signs that relate to Semiotic Anthropology; Sign Language: Overview; Signif-
phrenology, anthropometry, palmistry, and grapholo- ics: Theory; Silence: Cultural Aspects; Social Semiotics;
gy or practices such as handwriting authentication Structuralism.
and identification by fingerprinting or by individual
unique sequences of DNA molecules. Moreover, body Bibliography
language is studied by the branch of semiotics called
proxemics – that is, the semiotics of interpersonal Bakhtin M M (1965). Rabelais and his world. Cambridge:
space, originally developed by Edward T. Hall in the MIT Press.
context of cultural anthropology. Bakhtin M M (1983). ‘Discourse in life and discourse
in poetry.’ In Shukman A (ed.) Bakthin school papers,
Finally, body language includes such human sign
Russian Poetics in Translation No. 10. Oxford: RPT.
systems as the ‘sign language’ of the American Indians (Original work published 1926.)
(Sebeok, 1979), monastic signs (Sebeok and Umiker- Danesi M (1998). The body in the sign: Thomas A. Sebeok
Sebeok, 1987), and the language of deaf-mutes. The and semiotics. Toronto: Legas.
latter is further proof of the fact that man as a semi- Fano G (1992). Origins and nature of language. Petrilli S
otic animal is not the speaking animal but the animal (trans.). Bloomington: Indiana University Press. (Original
that is endowed with language, the primary modeling work published 1972.)
device. It is not true that dogs only lack speech. Dogs Kanaev I I (1926). ‘Sovremennyj vitalizm.’ Chelovek i prir-
and other nonhuman animals lack language. Instead, oda 1, 33–42; 9–23. (New edn. (1993) in Dialog, Karna-
the deaf-mute only lacks speech, as a pathology. val, Chronotop 4, 99–115.)
This means that other nonverbal systems, such as Marx K & Engels F (1968). Selected works in one volume.
London: Lawrence & Wishart. (Original work published
the gestural, can be grafted onto the human primary
1845.)
modeling device. Also, due to these sign systems the Marx K & Rayzankaya S (eds.) (1968). The German ideol-
deaf-mute is able to accomplish the same inventive ogy. Moscow: Progress Publishers. (Original work
and creative mental functions as any other human published 1845–1846.)
animal. Morris C (1948). The open self. New York: Prentice Hall.
It must be emphasized that the connection be- Morris C (1971a). ‘Signs language and behavior.’ In Morris
tween verbal language and body language largely C (ed.). 73–398. (Original work published 1946.)
Boeckh, August (1785–1867) 85

Morris C (1971b). Writings on the general theory of signs. foundations of nature and culture (3 vols). Berlin: de
Sebeok T A (ed.). The Hague, The Netherlands: Mouton. Gruyter.
(Original work published 1946.) Rossi-Landi F (1985). Metodica filosofica e scienza dei
Peirce C S (1931–1958). Collected papers (8 vols). segni. Milan: Bompiani.
Cambridge, MA: Belknap Press of Harvard University Rossi-Landi F (1992). Between signs and non-signs. Petrilli
Press. S (ed.). Amsterdam: Benjamins.
Petrilli S (1990). ‘On the materiality of signs.’ In Ponzio A. Sebeok T A (1976). Contributions to the doctrine of signs.
365–401. Lisse: Peter de Ridder Press. (2nd edn. Lanham: Univer-
Petrilli S (1998). Teoria dei segni e del linguaggio. Bari, sity Press of America.)
Italy: Graphis. Sebeok T A (1979). The sign & its masters. Austin: Univer-
Petrilli S (ed.) (2003). Linguaggi. Bari, Italy: Laterza. sity of Texas Press.
Petrilli S (2005a). Percorsi della semiotica. Bari, Italy: Sebeok T A (1981). The play of musement. Bloomington:
Graphis. Indiana University Press.
Petrilli S (ed.) (2005b). Communication and its semiotic bases: Sebeok T A (1986). I think I am a verb. More contributions
studies in global communication. Madison, WI: Atwood. to the doctrine of signs. New York: Plenum.
Petrilli S (2005c). ‘Bodies, signs and values in global com- Sebeok T A (1991). A sign is just a sign. Bloomington:
munication.’ In Petrilli S (ed.). Indiana University Press.
Petrilli S & Calefato P (2003). Logica, dialogica, ideologi- Sebeok T A (2001a). Global semiotics. Bloomington:
cal. I segni fra funzionalità ed eccedenza. Milan: Mimesis. Indiana University Press.
Ponzio A (1990). Man as a sign. Essays on the philosophy of Sebeok T A (2001b). Signs. An introduction to semiotics.
language. Petrilli S (trans. & ed.). Berlin: de Gruyter. Toronto: Toronto University Press.
Ponzio A, Calefato P & Petrilli S (1994). Fondamenti di Sebeok T A & Danesi M (2000). The forms of meanings.
filosofia del linguaggio. Rome: Laterza. Modelling systems theory and semiotic analysis. Berlin:
Ponzio A & Petrilli S (2000). Il sentire nella comunicazione de Gruyter.
globale. Rome: Meltemi. Sebeok T A & Umiker-Sebeok J (eds.) (1987). Monastic sign
Ponzio A & Petrilli S (2001). Sebeok and the signs of life. languages. Berlin: de Gruyter.
London: Icon Books. Voloshinov V N (1973). Marxism and the philosophy of
Ponzio A & Petrilli S (2005). Semiotics unbounded. Inter- language. Matejka L & Titunik I R (trans.). Cambridge,
pretive routes through the open network of signs. MA: Harvard University Press. (Original work published
Toronto: Toronto University Press. 1929.)
Posner R, Robering K & Sebeok T A (eds.) (1997–2004). Vygotsky L S (1962). Thought and language. Cambridge:
Semiotik/Semiotics. A handbook on the sign-theoretic MIT Press. (Original work published 1934.)

Boeckh, August (1785–1867)


S Fornaro, University of Sassari, Italy ‘Zum Grauen Kloster.’ As a member of the seminar,
! 2006 Elsevier Ltd. All rights reserved. Boeckh taught Latin, French, and history. He soon
developed a friendship with Professors Buttmann and
Heindorf, with whom he founded the Berliner Grie-
August Boeckh (Figure 1) was born in Karlsruhe on chische Gesellschaft, also known as Graeca. After
November 24, 1785, as the son of court secretary and finishing his dissertation at Halle University, he
notary Georg Matthäus Boeckh (1735–1790). Fol- moved to Heidelberg. He immediately passed his Ha-
lowing the advice of his mother, he attended the bilitation, thereby obtaining an Extraordinariat,
well-known ‘Gymnasium illustre’ in Karlsruhe, which was raised to an Ordinariat für Klassische
where he received a special education under the su- Philologie in 1809, in the seminar founded by
pervision of mathematician and physicist Johannes Friedrich Creuzer (1771–1858). Through cordial
Lorenz Böckmann (1741–1802), graduating as Can- relations with Clemens Brentano (1778–1842) and
didatus theologicus. The influence of Schleiermacher Achim von Arnim (1781–1831), Boeckh introduced
and Friedrich August Wolf (1759–1824) led Boeckh in detail Schleiermacher’s Plato translations in the
to break off his theological studies in 1805 and devote Heidelbergische Jahrbücher. Two years later, W. von
himself to the study of Greek antiquity. Completing Humboldt offered him a professorship in Berlin,
his studies in 1806, Boeckh went to Berlin to attend where he earned high praise in the organization of
the ‘Seminar für gelehrte Schulen,’ directed by J. J. teaching and research at the newly founded univer-
Bellermann, then headmaster of the Gymnasium sity. In 1812, the philological seminar, developed
Boeckh, August (1785–1867) 85

Morris C (1971b). Writings on the general theory of signs. foundations of nature and culture (3 vols). Berlin: de
Sebeok T A (ed.). The Hague, The Netherlands: Mouton. Gruyter.
(Original work published 1946.) Rossi-Landi F (1985). Metodica filosofica e scienza dei
Peirce C S (1931–1958). Collected papers (8 vols). segni. Milan: Bompiani.
Cambridge, MA: Belknap Press of Harvard University Rossi-Landi F (1992). Between signs and non-signs. Petrilli
Press. S (ed.). Amsterdam: Benjamins.
Petrilli S (1990). ‘On the materiality of signs.’ In Ponzio A. Sebeok T A (1976). Contributions to the doctrine of signs.
365–401. Lisse: Peter de Ridder Press. (2nd edn. Lanham: Univer-
Petrilli S (1998). Teoria dei segni e del linguaggio. Bari, sity Press of America.)
Italy: Graphis. Sebeok T A (1979). The sign & its masters. Austin: Univer-
Petrilli S (ed.) (2003). Linguaggi. Bari, Italy: Laterza. sity of Texas Press.
Petrilli S (2005a). Percorsi della semiotica. Bari, Italy: Sebeok T A (1981). The play of musement. Bloomington:
Graphis. Indiana University Press.
Petrilli S (ed.) (2005b). Communication and its semiotic bases: Sebeok T A (1986). I think I am a verb. More contributions
studies in global communication. Madison, WI: Atwood. to the doctrine of signs. New York: Plenum.
Petrilli S (2005c). ‘Bodies, signs and values in global com- Sebeok T A (1991). A sign is just a sign. Bloomington:
munication.’ In Petrilli S (ed.). Indiana University Press.
Petrilli S & Calefato P (2003). Logica, dialogica, ideologi- Sebeok T A (2001a). Global semiotics. Bloomington:
cal. I segni fra funzionalità ed eccedenza. Milan: Mimesis. Indiana University Press.
Ponzio A (1990). Man as a sign. Essays on the philosophy of Sebeok T A (2001b). Signs. An introduction to semiotics.
language. Petrilli S (trans. & ed.). Berlin: de Gruyter. Toronto: Toronto University Press.
Ponzio A, Calefato P & Petrilli S (1994). Fondamenti di Sebeok T A & Danesi M (2000). The forms of meanings.
filosofia del linguaggio. Rome: Laterza. Modelling systems theory and semiotic analysis. Berlin:
Ponzio A & Petrilli S (2000). Il sentire nella comunicazione de Gruyter.
globale. Rome: Meltemi. Sebeok T A & Umiker-Sebeok J (eds.) (1987). Monastic sign
Ponzio A & Petrilli S (2001). Sebeok and the signs of life. languages. Berlin: de Gruyter.
London: Icon Books. Voloshinov V N (1973). Marxism and the philosophy of
Ponzio A & Petrilli S (2005). Semiotics unbounded. Inter- language. Matejka L & Titunik I R (trans.). Cambridge,
pretive routes through the open network of signs. MA: Harvard University Press. (Original work published
Toronto: Toronto University Press. 1929.)
Posner R, Robering K & Sebeok T A (eds.) (1997–2004). Vygotsky L S (1962). Thought and language. Cambridge:
Semiotik/Semiotics. A handbook on the sign-theoretic MIT Press. (Original work published 1934.)

Boeckh, August (1785–1867)


S Fornaro, University of Sassari, Italy ‘Zum Grauen Kloster.’ As a member of the seminar,
! 2006 Elsevier Ltd. All rights reserved. Boeckh taught Latin, French, and history. He soon
developed a friendship with Professors Buttmann and
Heindorf, with whom he founded the Berliner Grie-
August Boeckh (Figure 1) was born in Karlsruhe on chische Gesellschaft, also known as Graeca. After
November 24, 1785, as the son of court secretary and finishing his dissertation at Halle University, he
notary Georg Matthäus Boeckh (1735–1790). Fol- moved to Heidelberg. He immediately passed his Ha-
lowing the advice of his mother, he attended the bilitation, thereby obtaining an Extraordinariat,
well-known ‘Gymnasium illustre’ in Karlsruhe, which was raised to an Ordinariat für Klassische
where he received a special education under the su- Philologie in 1809, in the seminar founded by
pervision of mathematician and physicist Johannes Friedrich Creuzer (1771–1858). Through cordial
Lorenz Böckmann (1741–1802), graduating as Can- relations with Clemens Brentano (1778–1842) and
didatus theologicus. The influence of Schleiermacher Achim von Arnim (1781–1831), Boeckh introduced
and Friedrich August Wolf (1759–1824) led Boeckh in detail Schleiermacher’s Plato translations in the
to break off his theological studies in 1805 and devote Heidelbergische Jahrbücher. Two years later, W. von
himself to the study of Greek antiquity. Completing Humboldt offered him a professorship in Berlin,
his studies in 1806, Boeckh went to Berlin to attend where he earned high praise in the organization of
the ‘Seminar für gelehrte Schulen,’ directed by J. J. teaching and research at the newly founded univer-
Bellermann, then headmaster of the Gymnasium sity. In 1812, the philological seminar, developed
86 Boeckh, August (1785–1867)

education program and becomes even clearer by


his dedication to German unification and academic
freedom.
Boeckh’s high offices at the university and the
Academy, combined with his indisputable intellectual
authority as a scholar, made him an important con-
tact person for both court and state. He was careful,
however, to preserve his independence, merely
accepting the title of Geheimer Regierungsrat. In
1832, he ostentatiously declined working for the cen-
sorship agency, followed by his refusal to become
Kultusminister in 1848.
Even without a political office, Boeckh exerted
considerable influence over the intellectual life of his
time, transcending the university and the academy. By
accepting the philology chair, Boeckh had become
Professor eloquentiae et poeseos. This position in-
cluded not only formulating a foreword for the lec-
ture timetable each semester and composing all Latin
Figure 1 August Boeckh 1857 (Berlin, Stadtmuseum Berlin. university documents, it also involved being the uni-
Fotografie: Christel Lehmann). versity’s main speaker on festive occasions, a task he
conscientiously fulfilled until shortly before his death.
Boeckh’s personal correspondence provides evidence
and directed by Boeckh, was raised to university level. that limitations on freedom of speech made this by no
Along with Schleiermacher, Savigny, and the anato- means easy for him. Yet Boeckh, who called himself a
mist Carl Asmund Rudolphi (1771–1832), Boeckh ‘Protestant’ in the actual sense of the word, never
joined a commission charged with evaluating the uni- deviated from his personal opinion. His numerous
versity statutes that were introduced at the Alma speeches, which focused on the concept of academic
mater Berolinensis in 1817. freedom, profess a liberal point of view and a pugna-
A large part of Boeckh’s scientific lifework emerged cious humanism. Academic freedom found in him
within the context of the Prussian Academy of Sciences, one of its most eloquent and persistent defenders.
to which he was admitted in 1814. As successor of Boeckh was married twice. In 1809 he married
his friend Schleiermacher, Boeckh was secretary of Dorothea Wagermann, the daughter of superinten-
the humanities section for 27 years (1834–1861). dent general Gottfried Wagermann. After her early
In 1815, he initiated on behalf of the Academy the death, Boeckh married Anna Taube in 1830. On
four-volume Corpus Inscriptionum Graecum (CIG), August 3, 1867, August Boeckh died at the age of
published between 1825 and 1859. The ambitious 82 as a result of lung disease.
enterprise of collecting all antique inscriptions led to Boeckh began with studies on Plato (especially
Boeckh’s reputation as the father of epigraphy and ‘Timaios’) and the Pythagorean Philolaos, using his
initiated the monumental academy projects suc- thorough mathematical education. Through Greek mu-
cessfully implemented by his successors Mommsen, sical studies he discovered the field of Greek metrics.
Harnack, Wilamowitz, and Diels. In Berlin, Boeckh developed a special interest in rhe-
Boeckh was no armchair philologist. Besides lectur- torical-antiquarian matters, due to B. G. Niebuhr’s
ing and his academy work, he took on increasingly influence. In 1817, he published Die Staatshaushal-
administrative tasks within the framework of build- tung der Athener, the first Attic economic history. In
ing and extending the university. He was dean for the the foreword, he articulates his wish that science
first time in 1814/1815, and was elected Rektor first should expand from a one-sided linguistic approach
in 1825. He held this office five times consecutively, to an all-comprehensive exploration of Greek life.
last in 1860 at the age of nearly 75, when Berlin Boeckh did theoretically design and practically imple-
University celebrated its 50th birthday. ment an extensive science of classical antiquity, com-
Boeckh’s commitment reached far beyond the uni- prising as equal components of a complex whole
versity. Not only did he remain interested throughout all areas of life and all of its cultural expressions.
his life in political issues, he also participated actively The over-enthusiastic plan of his youth to create a
on a regular basis. This is illustrated, e.g., by his cultural-historical oeuvre entitled ‘Hellen,’ – intended
commitment to the reform of the Prussian teacher to present an overall picture of Greek life in all of
Boethius of Dacia (fl. 1275) 87

its political, economic, religious, and intellectual Bibliography


facets – remained beyond his reach, mainly due to
Augustii Borckhii Commentatio Academica de Platonica
the existence of only insufficient preparatory work,
corporis mundani fabrica conflati ex elementis geome-
or none at all, for too many sections of his envisioned
trica ratione concinnatis. Heidelbergae, 1810.
composition. He never discarded his central idea of Boeckh, August. Gesammelte Kleine Schriften, Bd. 1–7.
an interdisciplinary, cultural-study-based approach Leipzig: Teubner, 1858–1874.
to classical antiquity. Instead, he advanced to Boeckh, August. Encyclopädie und Methodologie
heading the realistic philological school in opposition der Philologischen Wissenschaften. Bratuscheck E &
to the linguistic-text-critical school or so-called Klussmann R (eds.), 2nd edn. Leipzig: Teubner. (Repr.
‘Wortphilologie,’ of Gottfried Hermann (1772– Darmstadt: Wissenschaftliche Buchgesellschaft, 1966.)
1848). Hermann and his supporters argued that Corpus Inscriptionum Graecarum, Auctoritate et impen-
only through language could ‘‘everything else sis Academiae Litterarum Regiae Borussicae. vol. 2.
that characterizes a people be comprehended and Boeckhius, Augustus (ed.) Berolini ex Oficina Acade-
mica, 1828–1843.
understood.’’ The dispute, begun with a review by
Die Staatshaushaltung der Athener. Berlin: Realschulbuch-
Hermann of the first issue of CIG journal, continued
handlung, 1817; Berlin: Reimer, 1886.
for several years. Besides his interdisciplinary empha- Metrologische Untersuchungen über Gewichte, Münzfüße
sis, it is especially Boeckh’s insistence on a solid und Maße des Altertums. Berlin: Veit, 1838. (Repr.
methodological basis for every research that casts Karlsruhe: Badenia Verlag, 1978.)
him in such a modern light. His famous lecture on Pindari carmina quae supersunt cum deperditorum frag-
Encyklopädie und Methodologie der Wissenschaften, mentis selectis. Rec. Augustus Boeckhius. Editio secunda
given regularly between 1809 and 1865, should be correctior. Lipsiae: Weisel, 1825.
required reading for every philologist even today. Schneider B. August Boeckh, Altertumsforscher, Universi-
tätslehrer und Wissenschaftsorganisator im Berlin des 19.
Jahrhunderts: Ausstellung zum 200. Geburtstag, 22. No-
See also: Greek, Ancient; Humboldt, Wilhelm von (1767– vember 1985–18. Januar 1986, Berlin, Staatsbibliothek
1835); Paleography, Greek and Latin; Wolf, Friedrich Preussischer Kulturbesitz. (Ausstellung und Katalog,
August (1759–1824). Bernd Schneider.)

Boethius of Dacia (fl. 1275)


E Bell Canon, University of Georgia, Athens, GA, USA of grammar, including parts of speech in Modi Signi-
! 2006 Elsevier Ltd. All rights reserved. ficandi sive Quaestiones Super Priscianum Maiorem
(1980). In this work, he broke with the linguistic
philosophy of Priscian by establishing grammar as a
Boethius of Dacia, also known as Boethius the Dane science:
and Boethius of Sweden, was born in the early 13th
Quia ergo ea, de quibus est grammatica, sunt compre-
century. He was associated with the University of hensibilia ab intellectu et habent causas per se, ideo
Paris as a teacher of philosophy and grammar, and grammatica est scientia. (‘Because, therefore, those
his theory of language and grammar was based in the things with which grammar is concerned are comprehen-
Averroist tradition of Aristotelian philosophy. Also sible by the intellect and have causes per se, it follows
called a ‘radical Aristotelian,’ Boethius found many that grammar is a science.’) (Quote and translation from
of his philosophical writings condemned in 1270 and McDermott, 1980.)
again in 1277 by the Bishop of Paris. It is possible that
Boethius believed that philosophy and grammar were
later in life, Boethius joined the Dominican Order and
intertwined:
probably served in Dacia, Romania.
As a grammarian, Boethius was part of a group One ought to be grammarian, in order that he might
of like-minded thinkers called the ‘Modistae.’ The consider modes of signifying; a philosopher, so as to
Modistae produced written works on the nature of consider the properties of objects, and a philosopher-
language based on the then-recently rediscovered phi- grammarian so as to derive the modes of signifying
losophies of the ancient Greeks, particularly Aristotle. from the properties of objects. (Translation from
McDermott, 1980.)
They developed the notion of ‘speculative grammar,’
or the function of language as a mirror of what is real His belief that the human soul was not immortal,
in the world. Boethius wrote on the nature and origin that the world was eternal, as well as his association
Boethius of Dacia (fl. 1275) 87

its political, economic, religious, and intellectual Bibliography


facets – remained beyond his reach, mainly due to
Augustii Borckhii Commentatio Academica de Platonica
the existence of only insufficient preparatory work,
corporis mundani fabrica conflati ex elementis geome-
or none at all, for too many sections of his envisioned
trica ratione concinnatis. Heidelbergae, 1810.
composition. He never discarded his central idea of Boeckh, August. Gesammelte Kleine Schriften, Bd. 1–7.
an interdisciplinary, cultural-study-based approach Leipzig: Teubner, 1858–1874.
to classical antiquity. Instead, he advanced to Boeckh, August. Encyclopädie und Methodologie
heading the realistic philological school in opposition der Philologischen Wissenschaften. Bratuscheck E &
to the linguistic-text-critical school or so-called Klussmann R (eds.), 2nd edn. Leipzig: Teubner. (Repr.
‘Wortphilologie,’ of Gottfried Hermann (1772– Darmstadt: Wissenschaftliche Buchgesellschaft, 1966.)
1848). Hermann and his supporters argued that Corpus Inscriptionum Graecarum, Auctoritate et impen-
only through language could ‘‘everything else sis Academiae Litterarum Regiae Borussicae. vol. 2.
that characterizes a people be comprehended and Boeckhius, Augustus (ed.) Berolini ex Oficina Acade-
mica, 1828–1843.
understood.’’ The dispute, begun with a review by
Die Staatshaushaltung der Athener. Berlin: Realschulbuch-
Hermann of the first issue of CIG journal, continued
handlung, 1817; Berlin: Reimer, 1886.
for several years. Besides his interdisciplinary empha- Metrologische Untersuchungen über Gewichte, Münzfüße
sis, it is especially Boeckh’s insistence on a solid und Maße des Altertums. Berlin: Veit, 1838. (Repr.
methodological basis for every research that casts Karlsruhe: Badenia Verlag, 1978.)
him in such a modern light. His famous lecture on Pindari carmina quae supersunt cum deperditorum frag-
Encyklopädie und Methodologie der Wissenschaften, mentis selectis. Rec. Augustus Boeckhius. Editio secunda
given regularly between 1809 and 1865, should be correctior. Lipsiae: Weisel, 1825.
required reading for every philologist even today. Schneider B. August Boeckh, Altertumsforscher, Universi-
tätslehrer und Wissenschaftsorganisator im Berlin des 19.
Jahrhunderts: Ausstellung zum 200. Geburtstag, 22. No-
See also: Greek, Ancient; Humboldt, Wilhelm von (1767– vember 1985–18. Januar 1986, Berlin, Staatsbibliothek
1835); Paleography, Greek and Latin; Wolf, Friedrich Preussischer Kulturbesitz. (Ausstellung und Katalog,
August (1759–1824). Bernd Schneider.)

Boethius of Dacia (fl. 1275)


E Bell Canon, University of Georgia, Athens, GA, USA of grammar, including parts of speech in Modi Signi-
! 2006 Elsevier Ltd. All rights reserved. ficandi sive Quaestiones Super Priscianum Maiorem
(1980). In this work, he broke with the linguistic
philosophy of Priscian by establishing grammar as a
Boethius of Dacia, also known as Boethius the Dane science:
and Boethius of Sweden, was born in the early 13th
Quia ergo ea, de quibus est grammatica, sunt compre-
century. He was associated with the University of hensibilia ab intellectu et habent causas per se, ideo
Paris as a teacher of philosophy and grammar, and grammatica est scientia. (‘Because, therefore, those
his theory of language and grammar was based in the things with which grammar is concerned are comprehen-
Averroist tradition of Aristotelian philosophy. Also sible by the intellect and have causes per se, it follows
called a ‘radical Aristotelian,’ Boethius found many that grammar is a science.’) (Quote and translation from
of his philosophical writings condemned in 1270 and McDermott, 1980.)
again in 1277 by the Bishop of Paris. It is possible that
Boethius believed that philosophy and grammar were
later in life, Boethius joined the Dominican Order and
intertwined:
probably served in Dacia, Romania.
As a grammarian, Boethius was part of a group One ought to be grammarian, in order that he might
of like-minded thinkers called the ‘Modistae.’ The consider modes of signifying; a philosopher, so as to
Modistae produced written works on the nature of consider the properties of objects, and a philosopher-
language based on the then-recently rediscovered phi- grammarian so as to derive the modes of signifying
losophies of the ancient Greeks, particularly Aristotle. from the properties of objects. (Translation from
McDermott, 1980.)
They developed the notion of ‘speculative grammar,’
or the function of language as a mirror of what is real His belief that the human soul was not immortal,
in the world. Boethius wrote on the nature and origin that the world was eternal, as well as his association
88 Boethius of Dacia (fl. 1275)

with other Averroists such as Siger of Brabant, ulti- Bibliography


mately resulted in the condemnation of his writings by
Bursill-Hall G L (1971). Speculative grammars of the mid-
Etienne Tempier, bishop of Paris, in 1270 and again in
dle ages, the doctrine of Partes Orationis of the Modistae
1277. Many of his writings are either lost or remain
(Approaches to Semiotics 11). The Hague: Mouton.
unedited. His three best-known works are De summo Maurer A (1967). ‘Boethius of Dacia.’ In The Catholic
bono (‘On the supreme good’), De aeternitate mundi University of America (ed.) New Catholic Encyclopedia,
(‘On the eternity of the world’), and De somniis (‘On 19 vols. New York: McGraw-Hill.
dreams’). Although he professed his faith in Christ as McDermott A & Senape C (eds.) (1980). Godfrey of
a Christian and may have joined the Dominican Fontaine’s Abridgement of Boethius of Dacia’s Modi
Order, his philosophical theories kept him at odds Significandi Sive Quaestiones Super Priscianum
with the church for the remainder of his life. The Maiorem. (Amsterdam Studies in the Theory and History
exact date and place of his death are unknown. of Linguistic Science 3) (Vol. 22). Amsterdam: John
Benjamins B. V.

See also: Aristotle and Linguistics; Aristotle and the Stoics


on Language; Priscianus Caesariensis (d. ca. 530).

Böhtlingk, Otto Nikolaus (1815–1904)


S A Romashko, Moscow, Russia and historical philology to distinguish the inherited
! 2006 Elsevier Ltd. All rights reserved. Turkic vocabulary of Yakut from Mongolian and
other borrowings.
The main work of Boehtlingk was the Sanskrit
Born into a family of a German merchant in dictionary (Boehtlingk and Roth, 1855–1875), also
St Petersburg, Russia, Otto von Boehtlingk studied known as the St Petersburg dictionary, which was
Oriental Languages at the university of his native city, compiled with assistance of Rudolf von Roth and
but in 1835 he moved to Germany, where he felt that other sanskritologists. It was the first European San-
his interest in Sanskrit could be satisfied. After a short skrit dictionary based not on Indian lexicographic
time in Berlin, he finished his studies in Bonn as works, but on the thorough study of primary texts.
a pupil of August Wilhelm von Schlegel and Chr. It was also a historical dictionary, representing the
Lassen. In Bonn he published his first work, the San- development of Sanskrit from the Vedic hymns
skrit grammar of Pānini with Indian scholia and his through the late stages of the language. To complete
own commentary (Boehtlingk, 1839–1840). his dictionary, Boehtlingk moved to Germany in
In 1842 Boehtlingk returned to Russia to enter the 1868, with the permission of Russian authorities,
Imperial Academy of Sciences in St Petersburg as a where copious Sanskrit resources were available. He
research fellow (he became a full member of the stayed in Germany until the end of his life, first in Jena
Academy in 1852). He published a series of articles and later in Leipzig. The so-called ‘shorter version’ of
on Sanskrit grammar, but the announced plan of his Sanskrit dictionary (Boehtlingk, 1879–1889, also
an integral Sanskrit grammar never came into being. prepared with assistance of many sanskritologists)
Instead, for a time he interrupted his work on San- in fact includes an enlarged number of entries versus
skrit and approached a new, pioneering task; the his earlier work; however, most of the examples were
Academy commissioned him to systematize the omitted from this version. An offspring of Boehtlingk’s
Yakut data that had been collected by A. Th. von lexicographical work was a collection of Indian sayings
Middendorff’s Siberian expedition. At that time, this (Boehtlingk, 1863–1865). During his life Boehtlingk
unwritten peripheral Turkic language from Eastern published a number of Indian texts; his second edition
Siberia was hardly known. Analyzing the received of Pānini’s grammar (Boehtlingk, 1887) contains not
data and working with an informant he found in only the text and a German translation, but almost
St Petersburg, Boehtlingk provided a descriptive the half of the book consists of indices, word and
work (Boehtlingk, 1851), which is still considered a root lists, grammatical commentaries, and other useful
classic in the field of Altaic studies. Boehtlingk supplements.
adapted the ideas of early European typological theo-
ry (from W. von Humboldt, A. F. Pott, and
H. Steinthal) for the practical analysis of an aggluti- See also: Panini; Sanskrit; Schlegel, August Wilhelm von
nating language and used the methods of comparative (1767–1845); Turkic Languages; Yakut.
88 Boethius of Dacia (fl. 1275)

with other Averroists such as Siger of Brabant, ulti- Bibliography


mately resulted in the condemnation of his writings by
Bursill-Hall G L (1971). Speculative grammars of the mid-
Etienne Tempier, bishop of Paris, in 1270 and again in
dle ages, the doctrine of Partes Orationis of the Modistae
1277. Many of his writings are either lost or remain
(Approaches to Semiotics 11). The Hague: Mouton.
unedited. His three best-known works are De summo Maurer A (1967). ‘Boethius of Dacia.’ In The Catholic
bono (‘On the supreme good’), De aeternitate mundi University of America (ed.) New Catholic Encyclopedia,
(‘On the eternity of the world’), and De somniis (‘On 19 vols. New York: McGraw-Hill.
dreams’). Although he professed his faith in Christ as McDermott A & Senape C (eds.) (1980). Godfrey of
a Christian and may have joined the Dominican Fontaine’s Abridgement of Boethius of Dacia’s Modi
Order, his philosophical theories kept him at odds Significandi Sive Quaestiones Super Priscianum
with the church for the remainder of his life. The Maiorem. (Amsterdam Studies in the Theory and History
exact date and place of his death are unknown. of Linguistic Science 3) (Vol. 22). Amsterdam: John
Benjamins B. V.

See also: Aristotle and Linguistics; Aristotle and the Stoics


on Language; Priscianus Caesariensis (d. ca. 530).

Böhtlingk, Otto Nikolaus (1815–1904)


S A Romashko, Moscow, Russia and historical philology to distinguish the inherited
! 2006 Elsevier Ltd. All rights reserved. Turkic vocabulary of Yakut from Mongolian and
other borrowings.
The main work of Boehtlingk was the Sanskrit
Born into a family of a German merchant in dictionary (Boehtlingk and Roth, 1855–1875), also
St Petersburg, Russia, Otto von Boehtlingk studied known as the St Petersburg dictionary, which was
Oriental Languages at the university of his native city, compiled with assistance of Rudolf von Roth and
but in 1835 he moved to Germany, where he felt that other sanskritologists. It was the first European San-
his interest in Sanskrit could be satisfied. After a short skrit dictionary based not on Indian lexicographic
time in Berlin, he finished his studies in Bonn as works, but on the thorough study of primary texts.
a pupil of August Wilhelm von Schlegel and Chr. It was also a historical dictionary, representing the
Lassen. In Bonn he published his first work, the San- development of Sanskrit from the Vedic hymns
skrit grammar of Pānini with Indian scholia and his through the late stages of the language. To complete
own commentary (Boehtlingk, 1839–1840). his dictionary, Boehtlingk moved to Germany in
In 1842 Boehtlingk returned to Russia to enter the 1868, with the permission of Russian authorities,
Imperial Academy of Sciences in St Petersburg as a where copious Sanskrit resources were available. He
research fellow (he became a full member of the stayed in Germany until the end of his life, first in Jena
Academy in 1852). He published a series of articles and later in Leipzig. The so-called ‘shorter version’ of
on Sanskrit grammar, but the announced plan of his Sanskrit dictionary (Boehtlingk, 1879–1889, also
an integral Sanskrit grammar never came into being. prepared with assistance of many sanskritologists)
Instead, for a time he interrupted his work on San- in fact includes an enlarged number of entries versus
skrit and approached a new, pioneering task; the his earlier work; however, most of the examples were
Academy commissioned him to systematize the omitted from this version. An offspring of Boehtlingk’s
Yakut data that had been collected by A. Th. von lexicographical work was a collection of Indian sayings
Middendorff’s Siberian expedition. At that time, this (Boehtlingk, 1863–1865). During his life Boehtlingk
unwritten peripheral Turkic language from Eastern published a number of Indian texts; his second edition
Siberia was hardly known. Analyzing the received of Pānini’s grammar (Boehtlingk, 1887) contains not
data and working with an informant he found in only the text and a German translation, but almost
St Petersburg, Boehtlingk provided a descriptive the half of the book consists of indices, word and
work (Boehtlingk, 1851), which is still considered a root lists, grammatical commentaries, and other useful
classic in the field of Altaic studies. Boehtlingk supplements.
adapted the ideas of early European typological theo-
ry (from W. von Humboldt, A. F. Pott, and
H. Steinthal) for the practical analysis of an aggluti- See also: Panini; Sanskrit; Schlegel, August Wilhelm von
nating language and used the methods of comparative (1767–1845); Turkic Languages; Yakut.
Bolivia: Language Situation 89

Bibliography Boehtlingk O N (1879–1889). Sanskrit-Wörterbuch in kür-


zerer Fassung (7 vols). St Petersburg: Kaiserliche Akade-
Boehtlingk O N (1839–1840). Pânini’s acht Bücher mie der Wissenschaften. [Reprint: Osnabrück: Zeller/
grammatischer Regeln (2 vols). Bonn: König. Wiesbaden: Harrassowitz, 1966.]
Boehtlingk O N (1845). Sanskrit-Chrestomatie. St Peters- Boehtlingk O N (1887). Pânini’s Grammatik. Leipzig:
burg: Kaiserliche Akademie der Wissenschaften. [2nd Haessel. [Reprints: Hildesheim: Olms, 1964/Delhi:
edn. 1877.] Motilal Banarsidass, 1998.]
Boehtlingk O N (1851). Über die Sprache der Jakuten. Bulich S K (1904). ‘Pamjati O. N. f. Betlinga.’ Izvestija
St Petersburg: Kaiserliche Akademie der Wissenschaften. Otdelenija russkogo jazyka i slovesnosti Imperatorskoj
[Reprinted: The Hague: Mouton, 1964.] Akademii nauk 9, 187–200.
Boehtlingk O N & Roth R (1855–1875). Sanskrit-Wörter- Kirfel W (1955). ‘Boehtlingk, Otto Nikolaus von.’ In
buch (7 vols). St Petersburg: Kaiserliche Akademie der Neue Deutsche Biographie, vol. 2. Berlin: Duncker &
Wissenschaften. [Reprint: Osnabrück: Zeller/Wiesbaden: Humblot. 396–397.
Harrassowitz, 1966.] Salemann K & Oldenburg S von (1892). ‘Boehtlingk’s
Boehtlingk O N (1863–1865). Indische Sprüche (3 vols). Druckschriften.’ Mélange Asiatique 10, 247–256.
St Petersburg: Kaiserliche Akademie der Wissenschaften. Windisch E (1920). Geschichte der Sanskrit-Philologie
[2nd edn., 1870–1873; reprint of the 2nd edn.: und indischen Altertumskunde (vol. 2). Strassburg:
Osnabrück: Zeller/Wiesbaden: Harrassowitz, 1966.] Trübner.

Bolivia: Language Situation


M Crowhurst, University of Texas, Austin, TX, USA of better economic opportunities. A third Andean
! 2006 Elsevier Ltd. All rights reserved. language, Leco, is nearly extinct, according to data
from Bolivia’s Rural Indigenous Census of 1994 (the
source for all numerical figures in this article). Finally,
Bolivia is home to approximately 40 indigenous Callahuaya (Callawalla), which blends Quechua
languages representing four distinct Amerindian morphosyntax with roots from Puquina, an extinct
stocks, an impressive degree of linguistic diversity language of Peru, was a specialized (nonnative) lan-
(see Figure 1). Two European languages are also guage used by Incan herb doctors, and is still used by
spoken: in addition to Spanish, Plautdietsch (Low a few herb doctors today.
German) is spoken in eastern Bolivia by Mennonites The great majority of Bolivia’s languages spring from
who emigrated from Canada (possibly via Mexico) to the Equatorial-Tucanoan and Macro-Panoan stocks (see
avoid conscription during World War I. Figures 2 and 3). A final group of three varieties – Besiro,
The best represented of the Amerindian stocks, as well as the now extinct Moncoca and Churapa –
in terms of number of living speakers, is Andean: belong to the Chiquitano family, a linguistic isolate.
Aymara and Quechua are spoken natively by millions (Note: the Ethnologue classifies Chiquitano as
of Bolivians. These languages are spoken primarily in Macro-Ge. This is probably an oversimplification:
the mountainous southwestern third of Bolivia. In Dı́ez Astete and Murillo (1998: 75–76) indicated
recent years, the presence of Quechua and Aymara that Chiquitano is an artificial family constituted of
in urban centers further to the east has increased more than 40 languages spoken by ethnolinguistic
dramatically as speakers have migrated in search groups who were forcibly relocated in Jesuit missions

Figure 1 Macro-linguistic affiliation of Bolivian languages (References: Ruhlen, 1991; Ethnologue).


Bolivia: Language Situation 89

Bibliography Boehtlingk O N (1879–1889). Sanskrit-Wörterbuch in kür-


zerer Fassung (7 vols). St Petersburg: Kaiserliche Akade-
Boehtlingk O N (1839–1840). Pânini’s acht Bücher mie der Wissenschaften. [Reprint: Osnabrück: Zeller/
grammatischer Regeln (2 vols). Bonn: König. Wiesbaden: Harrassowitz, 1966.]
Boehtlingk O N (1845). Sanskrit-Chrestomatie. St Peters- Boehtlingk O N (1887). Pânini’s Grammatik. Leipzig:
burg: Kaiserliche Akademie der Wissenschaften. [2nd Haessel. [Reprints: Hildesheim: Olms, 1964/Delhi:
edn. 1877.] Motilal Banarsidass, 1998.]
Boehtlingk O N (1851). Über die Sprache der Jakuten. Bulich S K (1904). ‘Pamjati O. N. f. Betlinga.’ Izvestija
St Petersburg: Kaiserliche Akademie der Wissenschaften. Otdelenija russkogo jazyka i slovesnosti Imperatorskoj
[Reprinted: The Hague: Mouton, 1964.] Akademii nauk 9, 187–200.
Boehtlingk O N & Roth R (1855–1875). Sanskrit-Wörter- Kirfel W (1955). ‘Boehtlingk, Otto Nikolaus von.’ In
buch (7 vols). St Petersburg: Kaiserliche Akademie der Neue Deutsche Biographie, vol. 2. Berlin: Duncker &
Wissenschaften. [Reprint: Osnabrück: Zeller/Wiesbaden: Humblot. 396–397.
Harrassowitz, 1966.] Salemann K & Oldenburg S von (1892). ‘Boehtlingk’s
Boehtlingk O N (1863–1865). Indische Sprüche (3 vols). Druckschriften.’ Mélange Asiatique 10, 247–256.
St Petersburg: Kaiserliche Akademie der Wissenschaften. Windisch E (1920). Geschichte der Sanskrit-Philologie
[2nd edn., 1870–1873; reprint of the 2nd edn.: und indischen Altertumskunde (vol. 2). Strassburg:
Osnabrück: Zeller/Wiesbaden: Harrassowitz, 1966.] Trübner.

Bolivia: Language Situation


M Crowhurst, University of Texas, Austin, TX, USA of better economic opportunities. A third Andean
! 2006 Elsevier Ltd. All rights reserved. language, Leco, is nearly extinct, according to data
from Bolivia’s Rural Indigenous Census of 1994 (the
source for all numerical figures in this article). Finally,
Bolivia is home to approximately 40 indigenous Callahuaya (Callawalla), which blends Quechua
languages representing four distinct Amerindian morphosyntax with roots from Puquina, an extinct
stocks, an impressive degree of linguistic diversity language of Peru, was a specialized (nonnative) lan-
(see Figure 1). Two European languages are also guage used by Incan herb doctors, and is still used by
spoken: in addition to Spanish, Plautdietsch (Low a few herb doctors today.
German) is spoken in eastern Bolivia by Mennonites The great majority of Bolivia’s languages spring from
who emigrated from Canada (possibly via Mexico) to the Equatorial-Tucanoan and Macro-Panoan stocks (see
avoid conscription during World War I. Figures 2 and 3). A final group of three varieties – Besiro,
The best represented of the Amerindian stocks, as well as the now extinct Moncoca and Churapa –
in terms of number of living speakers, is Andean: belong to the Chiquitano family, a linguistic isolate.
Aymara and Quechua are spoken natively by millions (Note: the Ethnologue classifies Chiquitano as
of Bolivians. These languages are spoken primarily in Macro-Ge. This is probably an oversimplification:
the mountainous southwestern third of Bolivia. In Dı́ez Astete and Murillo (1998: 75–76) indicated
recent years, the presence of Quechua and Aymara that Chiquitano is an artificial family constituted of
in urban centers further to the east has increased more than 40 languages spoken by ethnolinguistic
dramatically as speakers have migrated in search groups who were forcibly relocated in Jesuit missions

Figure 1 Macro-linguistic affiliation of Bolivian languages (References: Ruhlen, 1991; Ethnologue).


90 Bolivia: Language Situation

Figure 2 Equatorial-Tucanoan languages spoken in Bolivia (More detailed information concerning classification can be found in
Ruhlen, 1991; Jensen, 1999; and the Ethnologue).

Figure 3 Macro-Panoan Languages Spoken in Bolivia (References: Ruhlen, 1991; Ethnologue).

in the Chiquitos region beginning in 1550. The rela- endangered to a greater or lesser extent. Many, includ-
tionships among these languages is not known. Besiro ing Canichana, Cayubaba, and Reyesano, will become
is thought to have resulted from contact among sev- extinct once the few remaining, elderly speakers have
eral languages in this group.) passed away. Some lowland languages, for example,
Bolivia’s Equatorial-Tucanoan, Macro-Panoan, and Guaranı́ and the Moxo varieties, are relatively stable.
Chiquitano languages, along with Itonama (Paezan), Still other languages, at greater risk of extinction,
are (or were) spoken in the Tierras Bajas, or Lowlands, represent two general situations. Some are robust
in the zones known as Amazonı́a (in the north), within their heritage communities, but the futures of
Oriente, and the Chaco (south, adjacent to Paraguay the groups themselves are uncertain because their
and Argentina). All of the lowland languages are members are too few to guarantee sustainability (for
Bolivia: Language Situation 91

Table 1 Population and language statistics for the indigenous groups of Bolivia’s Lowland Region

Linguistic Heritage Total population of Population % pop. aged 6þ yrs. % pop. aged 6þ yrs. % 6–14-year-
family languagea ethnolinguistic group aged 6þ monolingual in heritage bilingual in heritage lang. & olds who are
(all ages) yrs language and Spanish bilingual

Arawak Baure 631 504 0.4 2.4 0


Moxo 20 805 15 793 1.8 37.0 22.51
Machinere 155 105 0.0 0.0 100
Chiquitano Besiro 47 086 36 255 0.7 32.4 23.22
Tupı́an Sirionó 419 311 1.9 92.9 95.8
Yuqui (Bı̈ä-Yë) 138 109 7.3 91.1 100
Guarayu 7235 5509 6.6 77.8 81.86
Guaranı́ 36 917 28 823 4.9 88.3 89.23
Tapieté 74 55 2 (abs)b 41 (abs) 84.21
Zamucoan Ayoreo 856 629 9.7 80.9 85.0
Mataco Chorote 2081 1637 7.8 85.2 89.16
(Weenhayek)
Tacanan Araona 90 71 41 (abs) 23 (abs) 95.0
Tacana 5058 3863 0.3 36.3 13.58
Reyesano 4118 3169 0.3 7.3 1.08
Cavineño 1736 1339 1.2 66.7 58.78
Ese Ejja 584 444 4.5 79.7 83.45
Panoan Yaminawa 161 117 0.9 0.0 95.5
Pacahuara 18 17 0.0 1 (abs) 0
Chacobo 767 568 17.1 55.6 74.86
Chapacura More (Itenez) 108 93 1.1 31.2 10.53
Moseten Chimané 5907 4221 42.4 46.5 86.0
Moseten 1177 869 2.2 82.6 78.28
Paezan Itonama 5090 3911 0.2 2.5 0.79
Quechuan Leco 9 7 0.0 1 (abs) 0
Tucanoan Movima 6528 4934 0.5 22.6 4.08
Canichana 583 480 0.0 3.5 0
Equatorial Cayubaba 794 609 0.5 7.6 0.44
Yuracare 3333 2457 1.8 76.8 64.0
a
Churapa, Moncoca, Jorá, Paunaca, Saraveca, Toromona, and Pauserna are not included in Table 1 because no data is available for
these languages (which are extinct or nearly extinct). Callahuaya is not included because it is not spoken as a first language.
b
Figures accompanies by the abbreviation ‘‘abs’’ represent absolute numbers, not percentage.
(Source: the Rural Indigenous Census of 1994, reported in Dı́ez Astete & Murillo 1998.)

example, Araona, Ayoreo, and Sirionó). In other cases, Language Maps (Appendix 1): Map 50.
the ethnolinguistic group itself faces no risk of immi-
nent collapse but is undergoing a process of language
shift in which the heritage language is gradually Bibliography
replaced by a regionally dominant language in all Albo X (1976). Lengua y sociedad en Bolivia. La Paz:
spheres of life. Examples are Guarayu, and especially Republica de Bolivia, Ministerio de Planeamiento y
Besiro, which is being passed on at a rate of only one Coordinacion, Instituto Nacional de Estadistica.
child learner per eight adult speakers. The displacing Albo X (1995). Bolivia plurilingüe: guı́a para planificadores
language in Bolivia has generally been Spanish, but this y educadores, vols 1 and 2. Cuadernos de Investigación
has not always been the case: Chané (Arawakan), a 44. La Paz: Imprenta Publicidad Papiro.
language of the Chaco, was displaced by northwardly Dı́ez Astete A & Murrillo D (1998). Pueblos indı́genas de
migrating Guaranı́ who conquered and enslaved the Tierras Bajas: caracterı́sticas principales. La Paz: Talleres
Chané people before the arrival of the Spaniards in the Gráficos.
Dietrich W (1986). El idioma Chiriguano: gramatica, tex-
16th century (Pifarré, 1989; Dı́ez Astete and Murillo,
tos, vocabulario. Madrid: Ediciones Cultural Hispanica,
1998). Contact between Guaranı́ and Chané produced Instituto de Cooperación Iberoamericana.
the antecedent of what is now Izoceño, one of three Hardman M, Vásquez J & Yapita J D (1988). Aymara:
main dialects of Bolivian Guaranı́ (see Figure 2). De- compendio de estructura fonológica y gramatical. La
tailed demographic information concerning the lin- Paz: Gramma Impresión.
guistic status of Bolivia’s lowland languages is Hoeller A P (1932a). Grammatik der Guarayo Sprache. Hall
provided in Table 1. im Tirol: Verlag der Missionsprokura der Franziskaner.
92 Bolivia: Language Situation

Hoeller A P (1932b). Guarayo-Deutsches Wörterbuch. Hall Métraux A (1927). Migrations historiques des Tupı́-Guaranı́.
im Tirol: Verlag der Missionsprokura der Franziskaner. Paris: Maisonneuve frères.
Ibarra Grasso D E (1982). Las lenguas indigenas en Bolivia. Métraux A (1942). ‘The native tribes of eastern Bolivia and
La Paz: Libreria Editorial Juventud. western Matto Grosso.’ Bureau of American Ethnology,
Instituto Nacional de Estudios Lingüı́sticos (1984). Atlas bulletin no. 134. Smithsonian Institution.
etnolingüı́stico de Bolivia. La Paz: Instituto Nacional de Montaño Aragon M (1987). Guia etnografica linguistica de
Antropologı́a. Bolivia: tribus de la selva. La Paz: Editorial Don Bosco.
Jensen C (1999). ‘Tupi-Guarani.’ In Dixon R M W & Pifarré F (1989). Los Guaranı́-Chiriguano 2: historia de un
Aikhenvald A Y (eds.) The Amazonian languages. pueblo. La Paz: Librerı́a Editorial Popular.
Cambridge: Cambridge University Press. 125–164. Ruhlen M (1991). A guide to the world’s languages, vol. 1:
Lema A M (1998). Pueblos indı́genas de la Amazonı́a Classification. Stanford, CA: Stanford University Press.
Boliviana. La Paz: AIP FIDA-CAF. Summer Institute of Linguistics (1965). Gramaticas estruc-
Melià B (1989). Los Guaranı́-Chiriguano 1: Ñande Reko: turales de lenguas bolivianas. Riberalta, Bolivia: Summer
nuestro modo de ser. La Paz: Librerı́a Editorial Popular. Institute of Linguistics.

Boole and Algebraic Semantics


E L Keenan, University of California, Los Angeles, CA, (xRy and yRx implies x ¼ y). For example, the ordi-
USA nary arithmetical " relation is a partial order: n " n,
A Szabolcsi, New York University, New York, NY, USA any natural number n; if n " m and m " p, then
! 2006 Elsevier Ltd. All rights reserved. n " p; and if n " m and m " n, then n ¼ m. Similarly,
the subset relation # is reflexive: any set A is a subset
of itself. And if A # B and B # C, then A # C, so # is
In 1854 George Boole, a largely self-educated British transitive. And finally, if A # B and B # A, then A ¼ B,
mathematician, published a remarkable book, The that is, A and B are the same set, since they have the
laws of thought, in which he presented an algebraic same members. So partial order relations are quite
formulation of ‘‘those operations of the mind by familiar from elementary mathematics.
which reasoning is performed’’ (Bell, 1965: 1). Since A case of interest to us is the arithmetical " restricted
then, boolean algebra has become a rich subbranch of to {0, 1}. Here 0 " 1, 0 " 0 and 1 " 1, but 1 is not " 0.
mathematics (Koppelberg, 1989), with extensive Representing the truth value ‘False’ as 0 and ‘True’ as
applications in computer science and, to a lesser ex- 1, we can say that a conditional sentence ‘if P then Q’
tent, linguistics (Keenan and Faltz, 1985). Here we is True if and only if TV(P) " TV(Q), where TV(P) is
illustrate the core boolean notions currently used in the truth value of P, etc. Thus we think of sentences
the study of natural language semantics. Most such of the True/False sort as denoting in a set {0, 1} on
applications postdate Boole’s work by more than a which is defined a partial order, ". The denotations
century, though Boole (1952: 59) anticipated some of of expressions in other categories defined in terms of
the linguistic observations, pointing out, for example, {0, 1} inherit this order. For example, one-place pre-
that Animals are either rational or irrational does not dicates (P1s), such as is even or lives in Brooklyn, can
mean the same as Either animals are rational or ani- be presented as properties of the elements of the set
mals are irrational; similarly, Men are, if wise, then E of objects under discussion. Such a property p looks
temperate does not mean If all men are wise then all at each entity x in E and says ‘True’ or ‘False’ depend-
men are temperate. Generative grammarians redis- ing on whether x has p or not. So we represent proper-
covered such truths in the latter third of the 20th ties p, q as functions from E into {0, 1}, and we define
century. p " q if and only if (iff) for all x in E, p(x) " q(x),
We begin with the basic notion of a partially which just means if p is True of x, then so is q.
ordered set (poset) and characterize richer structures The " relation just defined on functions (from E into
with linguistic applications as posets satisfying {0, 1}) is provably a partial order.
additional conditions (Szabolcsi, 1997; Landman, Other expressions similarly find their denotations
1991). in a set with a natural partial order (often denoted
A poset consists of a domain D of objects on which with a symbol like ‘"’). A crucial example for lin-
is defined a binary relation R, called a partial order guists concerns the denotations of count NPs
relation, which is reflexive (for all x in D, xRx), tran- (Noun Phrases), such as some poets, most poets,
sitive (xRy and yRz implies xRz), and antisymmetric etc., as they occur in sentences (Ss) like Some poets
92 Bolivia: Language Situation

Hoeller A P (1932b). Guarayo-Deutsches Wörterbuch. Hall Métraux A (1927). Migrations historiques des Tupı́-Guaranı́.
im Tirol: Verlag der Missionsprokura der Franziskaner. Paris: Maisonneuve frères.
Ibarra Grasso D E (1982). Las lenguas indigenas en Bolivia. Métraux A (1942). ‘The native tribes of eastern Bolivia and
La Paz: Libreria Editorial Juventud. western Matto Grosso.’ Bureau of American Ethnology,
Instituto Nacional de Estudios Lingüı́sticos (1984). Atlas bulletin no. 134. Smithsonian Institution.
etnolingüı́stico de Bolivia. La Paz: Instituto Nacional de Montaño Aragon M (1987). Guia etnografica linguistica de
Antropologı́a. Bolivia: tribus de la selva. La Paz: Editorial Don Bosco.
Jensen C (1999). ‘Tupi-Guarani.’ In Dixon R M W & Pifarré F (1989). Los Guaranı́-Chiriguano 2: historia de un
Aikhenvald A Y (eds.) The Amazonian languages. pueblo. La Paz: Librerı́a Editorial Popular.
Cambridge: Cambridge University Press. 125–164. Ruhlen M (1991). A guide to the world’s languages, vol. 1:
Lema A M (1998). Pueblos indı́genas de la Amazonı́a Classification. Stanford, CA: Stanford University Press.
Boliviana. La Paz: AIP FIDA-CAF. Summer Institute of Linguistics (1965). Gramaticas estruc-
Melià B (1989). Los Guaranı́-Chiriguano 1: Ñande Reko: turales de lenguas bolivianas. Riberalta, Bolivia: Summer
nuestro modo de ser. La Paz: Librerı́a Editorial Popular. Institute of Linguistics.

Boole and Algebraic Semantics


E L Keenan, University of California, Los Angeles, CA, (xRy and yRx implies x ¼ y). For example, the ordi-
USA nary arithmetical " relation is a partial order: n " n,
A Szabolcsi, New York University, New York, NY, USA any natural number n; if n " m and m " p, then
! 2006 Elsevier Ltd. All rights reserved. n " p; and if n " m and m " n, then n ¼ m. Similarly,
the subset relation # is reflexive: any set A is a subset
of itself. And if A # B and B # C, then A # C, so # is
In 1854 George Boole, a largely self-educated British transitive. And finally, if A # B and B # A, then A ¼ B,
mathematician, published a remarkable book, The that is, A and B are the same set, since they have the
laws of thought, in which he presented an algebraic same members. So partial order relations are quite
formulation of ‘‘those operations of the mind by familiar from elementary mathematics.
which reasoning is performed’’ (Bell, 1965: 1). Since A case of interest to us is the arithmetical " restricted
then, boolean algebra has become a rich subbranch of to {0, 1}. Here 0 " 1, 0 " 0 and 1 " 1, but 1 is not " 0.
mathematics (Koppelberg, 1989), with extensive Representing the truth value ‘False’ as 0 and ‘True’ as
applications in computer science and, to a lesser ex- 1, we can say that a conditional sentence ‘if P then Q’
tent, linguistics (Keenan and Faltz, 1985). Here we is True if and only if TV(P) " TV(Q), where TV(P) is
illustrate the core boolean notions currently used in the truth value of P, etc. Thus we think of sentences
the study of natural language semantics. Most such of the True/False sort as denoting in a set {0, 1} on
applications postdate Boole’s work by more than a which is defined a partial order, ". The denotations
century, though Boole (1952: 59) anticipated some of of expressions in other categories defined in terms of
the linguistic observations, pointing out, for example, {0, 1} inherit this order. For example, one-place pre-
that Animals are either rational or irrational does not dicates (P1s), such as is even or lives in Brooklyn, can
mean the same as Either animals are rational or ani- be presented as properties of the elements of the set
mals are irrational; similarly, Men are, if wise, then E of objects under discussion. Such a property p looks
temperate does not mean If all men are wise then all at each entity x in E and says ‘True’ or ‘False’ depend-
men are temperate. Generative grammarians redis- ing on whether x has p or not. So we represent proper-
covered such truths in the latter third of the 20th ties p, q as functions from E into {0, 1}, and we define
century. p " q if and only if (iff) for all x in E, p(x) " q(x),
We begin with the basic notion of a partially which just means if p is True of x, then so is q.
ordered set (poset) and characterize richer structures The " relation just defined on functions (from E into
with linguistic applications as posets satisfying {0, 1}) is provably a partial order.
additional conditions (Szabolcsi, 1997; Landman, Other expressions similarly find their denotations
1991). in a set with a natural partial order (often denoted
A poset consists of a domain D of objects on which with a symbol like ‘"’). A crucial example for lin-
is defined a binary relation R, called a partial order guists concerns the denotations of count NPs
relation, which is reflexive (for all x in D, xRx), tran- (Noun Phrases), such as some poets, most poets,
sitive (xRy and yRz implies xRz), and antisymmetric etc., as they occur in sentences (Ss) like Some poets
Boole and Algebraic Semantics 93

daydream. We interpret this S as True iff there is an 1 _ 1 ¼ 1, 1 _ 0 ¼ 1, 0 _ 1 ¼ 1, and 0 _ 0 ¼ 0. That is,


entity x that both the ‘poet’ property p and the a disjunction of two false Ss is False, but True other-
‘daydreams’ property d map to 1. Similarly, No wise. Similarly, glbs are given by the truth table for
poets daydream is True iff there is no such x. And conjunction: a conjunction of Ss is True iff each con-
Most poets daydream is True iff the set of x such that junct is, and False otherwise. So here the denotation
p(x) and d(x) ¼ 1 outnumbers the set such that of or is given by _, and that for and by ^. And this is
p(x) ¼ 1 and d(x) ¼ 0. That is, the set of poets that quite generally the case. In our lattices of functions,
daydream is larger than the set that don’t. And for for example, f _g, the lub of {f, g}, is that function
F,G possible NP denotations (called generalized mapping each argument x to f(x) _ g(x). Similarly,
quantifiers), we define F " G iff for all properties p, f ^ g maps each x to f(x) ^ g(x). So, for example, in
F(p) " G(p). This relation is again a partial order. the lattice of properties, the glb of {POET, DOCTOR}
As NP denotations map one poset (properties) to is that property which an entity x has iff POET (x) ¼ 1
another (truth values), it makes sense to ask whether and DOCTOR (x) ¼ 1, that is, x is both a poet and a
a given function F preserves the order (if p " q, then doctor. So, in general, we see that the lattice structure
F(p) " F(q)), reverses it (if p " q, then F(q) " F(p)), or provides denotations for the operations of conjunc-
does neither. Some/all/most poets preserve the order, tion and a disjunction, regardless of the category of
since, for example, is laughing loudly " is laughing expression we are combining. We might emphasize
and Some poet is laughing loudly " Some poet is that the kinds of objects denoted by Ss, P1s, Adject-
laughing, which just means, recall, that if the first ives, NPs, etc., are quite different, but in each cate-
sentence is True, then the second is. In contrast, no gory conjunctions and disjunctions are generally
poet reverses the order, since, in the same conditions, interpreted by glbs and lubs of the conjuncts and
No poet is laughing implies No poet is laughing loud- disjuncts. So Boole’s original intuition that these
ly. The reader can verify that fewer than five poets, operations represent properties of mind – how we
neither poet, at most six poets, and neither John nor look at things – rather than properties specific to
Bill are all order reversing. And here is an unexpected any one of these categories, is supported.
linguistic correlation: reversing order correlates well And we are not done: boolean lattices present an
with those subject NPs that license negative-polarity additional operation, complement, which provides a
items, such as ever: denotation for negation. Note that negation does
combine with expressions in a variety of categories:
(1a) No student here has ever been to Pinsk.
with Adjectives in a bright but not very diligent student,
(1b) *Some student here has ever been to Pinsk.
with P1s in Most of the students drink but don’t smoke,
Observe that as a second linguistic application, etc. Formally, a lattice is said to be bounded if its
modifying adjectives combine with property-denoting domain has a glb (noted 0) and a lub (noted 1). Such
expressions (nouns) to form property-denoting a lattice is complemented if for every x there is a y such
expressions and can be represented semantically that x ^ y ¼ 0 and x _ y ¼ 1. If for each x there is exactly
by functions f from properties to properties. For one such y, it is noted :x and called the complement
example, tall combines with student to form tall of x. In {0, 1}, for example, :0 ¼ 1 and :1 ¼ 0.
student, and semantically it maps the property of In our function lattices, :f is that function mapping
being a student to that of being a tall student. And each x to :(f(x)). In distributive lattices (ones satisfying
overwhelmingly when f is an adjective function and x ^ (y _ z) ¼ (x ^ y) _ (x ^ z) and x _ (y ^ z) ¼ (x _ y)^
p a property, f(p) " p. All tall students are students, etc. (x _ z)), each x has a unique complement. A lattice
In fact, the denotation sets for the expressions we is called boolean if it is a complemented distribu-
have discussed possess a structure much richer than a tive lattice. And, again, a linguistic generalization: the
mere partial order: they are (boolean) lattices. negation of an expression d in general denotes the
A lattice is a poset in which for all elements x, y of complement of the denotation of d.
the domain, the set {x, y} has a least upper bound Given uniqueness of complements, : is a function
(lub) noted (x _ y) and read as ‘x join y,’ and a greatest from the lattice to itself, one that reverses the order: if
lower bound (glb), noted (x ^ y) and read as ‘x meet x " y, then :y " :x. We expect, correctly then, that
y.’ An upper bound (ub) for a subset K of a poset is an negation licenses negative-polarity items in the predi-
element z that every element of K is " to. An ub z for cate, and it does: He hasn’t ever been to Pinsk is
K is a lub for K iff z " every ub for K. Dually a lower natural, *He has ever been to Pinsk is not. Reversing
bound (lb) for K is an element w " every element of K; the order on denotations, then, is what ordinary ne-
such a w is a glb for K iff every lb for K is " w. For gation has in common with NPs such as no poet,
example, in the truth value lattice {0,1}, lubs are neither John nor Bill, etc., which as we saw earlier
given by the standard truth table for disjunction: also license negative-polarity items.
94 Boole and Algebraic Semantics

The boolean lattices we have so far invoked have compounds of individuals. The predicates in the Ss in
further common properties. They are, for example, (5) force us to interpret their subjects as groups.
complete, meaning that each subset, not just ones of
(5a) John and Mary respect each other/are a nice
the form {x, y}, has a glb and a lub. They are also atomic
couple.
(Keenan and Faltz, 1985: 56). In addition, different (5b) Russell and Whitehead wrote Principia
categories have some distinctive properties – which, mathematica together.
with one exception, space limitations prevent us from (5c) The students gathered in the courtyard/
reviewing (see also Keenan, 1983). The exception is the surrounded the building.
lattice of count NP denotations, needed for expressions (5d) Six teaching assistants graded 120 papers
such as most poets and five of John’s students. This between them.
lattice has the property of having a set of complete, Respecting each other (being a nice couple, etc.) holds
independent (free) generators, called individuals (deno- of a group of individuals if certain conditions among
table by definite singular NPs, such as John, Mary, this them obtain. But it does not make sense to say *John
poet). This means that any function from properties to respects each other (*He is a nice couple, etc.), so we
truth values is in fact a boolean function (meet, join, must interpret and somewhat differently from the glb
complement) of individuals (Keenan and Faltz, 1985: operator discussed earlier. We note that the other
92). And this implies that the truth value of an S of the boolean connectives – such as either . . . or . . . and
form [[Det N] þ P1], for P1 noncollective, is booleanly neither . . . nor . . . – do not admit of a reinterpretation
computable if we know which individuals have the in the way that and does (Winter, 2001). *Either John
N and the P1 properties. The truth of Ss like Most of or Mary respect each other is nonsense: the disjunctive
the students laughed, No students laughed, etc., is de- subject still forces a lub interpretation in which respect
termined once that information is given. This semantic each other would hold of at least one of the disjuncts.
reduction to individuals is a major simplification, in First attempts to provide denotations for the sub-
that the number of individuals is the number of ele- ject NPs in (5) involve enriching the understood do-
ments in E, whereas the number of possible NP denota- main E of entities with a partial order relation called
tions is that of the power set of the power set of E. So part-of, to capture the sense in which the individual
speaking of an E with just four elements, we find there John is part of the denotation of John and Mary in
are just four individuals but 65 536 NP denotations. (5a) or some individual student is part of the group of
These freely generated algebras show up in another, students in (5c), etc. The group itself is a new type of
unexpected syntactic way. Szabolcsi and Zwarts object, one that is the lub of its parts. And new types
(1993) observed that negation determines a context of predicates, such as those in (5), can select these new
that limits the class of questions (relative clauses, etc.) objects as arguments. Thus, the domain of a model is
we can grammatically form. Thus, the questions no longer a mere set E but is a join semi-lattice, a set
in (2) are natural, but those in (3), in which the equipped with a part-of partial order in which each
predicates are negated, are not: nonempty subset has a lub (see Link, 1983, 1998;
(2) How tall is John? How much did the car Landman, 1991).
cost? Yet other new types of arguments are mass terms
(3) *How tall isn’t *How much didn’t the car (6a) and event nominals (6b).
John? cost?
(6a) Water and alcohol don’t mix.
It is tempting to say simply that we cannot question (6b) 4000 ships passed through the lock last year.
out of negative contexts, but that is not correct. Both (Krifka, 1991)
questions in (4) are acceptable:
Mass term denotations have a natural part-of rela-
(4) How many of the books on the list did/didn’t tion: if I pour a cup of coffee from a full pot, the
you read? coffee that remains, as well as that in my cup, is part
of the original coffee. So mass term denotations are in
A more accurate statement is that negation blocks
some way ontologically uniform, with the result that
questioning from domains that lack individuals (free
generators), such as amounts and degrees. So, as with definitional properties of a whole also apply to their
the distribution of negative-polarity items, we find parts – the coffee I poured and the coffee that remains
are both coffee. This contrasts with predicates in (5),
an unexpected grammatical sensitivity to boolean
where respect each other, gather in the courtyard,
structure.
etc., do not make sense even when applied to the
Much ongoing work in algebraic semantics focuses
proper parts of their arguments. In general, mass
on NPs (and their predicates) that are not boolean
Boole, George (1815–1864) 95

terms are much less well understood than count terms Carlson G (1977). ‘A unified analysis of the English bare
(see Pelletier and Schubert, 1989; Link, 1998). plural.’ Linguistics and Philosophy 1, 413–456.
Last, observe that (6b) is ambiguous. It has a count Keenan E L (1983). ‘Facing the truth: some advantages
reading, on which there are 4000 ships each of which of direct interpretation.’ Linguistics and Philosophy 6,
335–371.
passed through the lock (at least once) last year. But it
Keenan E L & Faltz L M (1985). Boolean semantics for
also has an event reading, of interest here, on which it
natural language. Dordrecht: D. Reidel.
means that there were 4000 events of ships passing Koppelberg S (1989). Monk J D & Bonnet R (eds.) Hand-
through the lock. If, for example, each ship in our book of boolean algebras, vol. 1. North-Holland:
fleet of 2000 did so twice, then there were 4000 Amsterdam.
passings but only 2000 ships that passed. Krifka M (1991). ‘Four thousand ships passed through the
Now, the event in (6b) has the individual passing lock: object-induced measure functions on events.’ Lin-
events as parts, so such complex events exhibit some- guistics and Philosophy 13, 487–520.
thing of the ontological uniformity of mass terms. But Krifka M (1992). ‘Thematic relations as links between nom-
there are limits. The subevents of a single passing inal reference and temporal constitution.’ In Sag I A &
(throwing lines to the tugboats, etc.) are not them- Szabolcsi A (eds.) Lexical matters. Chicago: CSLI Publi-
cations, Chicago University Press. 29–53.
selves passings. So events present a part-of partial
Landman F (1991). Structures for semantics. Dordrecht:
order with limited uniformity, and at least some events Kluwer.
can be represented as the lubs of their parts. But in Landman F (2000). Events and plurality. Dordrecht: Kluwer.
distinction to pure mass terms, events are ontological- Link G (1983). ‘A logical analysis of plurals and mass
ly complex, requiring time and place coordinates, terms: a lattice-theoretic approach.’ In Bäuerle R et al.
Agent and Patient participants, etc., resulting in a (eds.) Meaning, use and interpretation in language.
considerable enrichment of our naı̈ve ontology (see Berlin: de Gruyter. 302–323.
Parsons, 1990; Schein, 1993; and Landman, 2000). Link G (1998). Algebraic semantics in language and phi-
losophy. Stanford: CSLI.
Parsons T (1990). Events in the semantics of English: a study
See also: Formal Semantics; Monotonicity and in subatomic semantics. Cambridge, MA: MIT Press.
Generalized Quantifiers; Negation: Semantic Aspects; Pelletier F J & Schubert L K (1989). ‘Mass expressions.’ In
Operators in Semantics and Typed Logics; Plurality; Gabbay D & Guenthner F (eds.) Handbook of phi-
Polarity Items; Quantifiers: Semantics. losophical logic, vol. IV. Dordrecht: D. Reidel. 327–407.
Schein B (1993). Plurals and events. Cambridge, MA: MIT
Press.
Szabolcsi A (ed.) (1997). Ways of scope taking. Dordrecht:
Bibliography
Kluwer.
Bell E (1937). Men of mathematics. New York, NY: Simon Szabolcsi A & Zwarts F (1993). ‘Weak islands and an
and Schuster. algebraic semantics for scope taking.’ Natural Language
Boole G (1854). The laws of thought. Reprinted (1952) as Semantics 1, 235–284.
vol. 2 in George Boole’s collected logical works. La Salle, Winter Y (2001). Flexibility principles in boolean seman-
IL: Open Court. tics. Cambridge, MA: MIT Press.

Boole, George (1815–1864)


E Shay, University of Colorado, Boulder, CO, USA but through local schools, tutoring, and self-study
! 2006 Elsevier Ltd. All rights reserved. he grew well versed in mathematics, languages, and
literature. In 1831 he began teaching school, opening
his own boarding school in 1835 while pursuing inde-
George Boole, a mathematician who might have been pendent study of applied mathematics. Four years
a shoemaker, was born in Lincoln, UK, on November later he published his first professional paper.
2, 1815, to a lady’s maid and a shoemaker who could Despite his non-standard education, Boole in 1849
have been a mathematician. The younger Boole, who received a professorship in mathematics at the new
acquired an early love of mathematics from his bril- Queen’s College, Cork, partly on the strength of tes-
liant father John, studied Latin with a tutor and by timonials from his hometown. In 1851 he was elected
his late teens had taught himself Greek, French, and Dean of Science, the position he held until his death.
German. Finances did not allow him an elite education, At Cork he published the works for which he is best
Boole, George (1815–1864) 95

terms are much less well understood than count terms Carlson G (1977). ‘A unified analysis of the English bare
(see Pelletier and Schubert, 1989; Link, 1998). plural.’ Linguistics and Philosophy 1, 413–456.
Last, observe that (6b) is ambiguous. It has a count Keenan E L (1983). ‘Facing the truth: some advantages
reading, on which there are 4000 ships each of which of direct interpretation.’ Linguistics and Philosophy 6,
335–371.
passed through the lock (at least once) last year. But it
Keenan E L & Faltz L M (1985). Boolean semantics for
also has an event reading, of interest here, on which it
natural language. Dordrecht: D. Reidel.
means that there were 4000 events of ships passing Koppelberg S (1989). Monk J D & Bonnet R (eds.) Hand-
through the lock. If, for example, each ship in our book of boolean algebras, vol. 1. North-Holland:
fleet of 2000 did so twice, then there were 4000 Amsterdam.
passings but only 2000 ships that passed. Krifka M (1991). ‘Four thousand ships passed through the
Now, the event in (6b) has the individual passing lock: object-induced measure functions on events.’ Lin-
events as parts, so such complex events exhibit some- guistics and Philosophy 13, 487–520.
thing of the ontological uniformity of mass terms. But Krifka M (1992). ‘Thematic relations as links between nom-
there are limits. The subevents of a single passing inal reference and temporal constitution.’ In Sag I A &
(throwing lines to the tugboats, etc.) are not them- Szabolcsi A (eds.) Lexical matters. Chicago: CSLI Publi-
cations, Chicago University Press. 29–53.
selves passings. So events present a part-of partial
Landman F (1991). Structures for semantics. Dordrecht:
order with limited uniformity, and at least some events Kluwer.
can be represented as the lubs of their parts. But in Landman F (2000). Events and plurality. Dordrecht: Kluwer.
distinction to pure mass terms, events are ontological- Link G (1983). ‘A logical analysis of plurals and mass
ly complex, requiring time and place coordinates, terms: a lattice-theoretic approach.’ In Bäuerle R et al.
Agent and Patient participants, etc., resulting in a (eds.) Meaning, use and interpretation in language.
considerable enrichment of our naı̈ve ontology (see Berlin: de Gruyter. 302–323.
Parsons, 1990; Schein, 1993; and Landman, 2000). Link G (1998). Algebraic semantics in language and phi-
losophy. Stanford: CSLI.
Parsons T (1990). Events in the semantics of English: a study
See also: Formal Semantics; Monotonicity and in subatomic semantics. Cambridge, MA: MIT Press.
Generalized Quantifiers; Negation: Semantic Aspects; Pelletier F J & Schubert L K (1989). ‘Mass expressions.’ In
Operators in Semantics and Typed Logics; Plurality; Gabbay D & Guenthner F (eds.) Handbook of phi-
Polarity Items; Quantifiers: Semantics. losophical logic, vol. IV. Dordrecht: D. Reidel. 327–407.
Schein B (1993). Plurals and events. Cambridge, MA: MIT
Press.
Szabolcsi A (ed.) (1997). Ways of scope taking. Dordrecht:
Bibliography
Kluwer.
Bell E (1937). Men of mathematics. New York, NY: Simon Szabolcsi A & Zwarts F (1993). ‘Weak islands and an
and Schuster. algebraic semantics for scope taking.’ Natural Language
Boole G (1854). The laws of thought. Reprinted (1952) as Semantics 1, 235–284.
vol. 2 in George Boole’s collected logical works. La Salle, Winter Y (2001). Flexibility principles in boolean seman-
IL: Open Court. tics. Cambridge, MA: MIT Press.

Boole, George (1815–1864)


E Shay, University of Colorado, Boulder, CO, USA but through local schools, tutoring, and self-study
! 2006 Elsevier Ltd. All rights reserved. he grew well versed in mathematics, languages, and
literature. In 1831 he began teaching school, opening
his own boarding school in 1835 while pursuing inde-
George Boole, a mathematician who might have been pendent study of applied mathematics. Four years
a shoemaker, was born in Lincoln, UK, on November later he published his first professional paper.
2, 1815, to a lady’s maid and a shoemaker who could Despite his non-standard education, Boole in 1849
have been a mathematician. The younger Boole, who received a professorship in mathematics at the new
acquired an early love of mathematics from his bril- Queen’s College, Cork, partly on the strength of tes-
liant father John, studied Latin with a tutor and by timonials from his hometown. In 1851 he was elected
his late teens had taught himself Greek, French, and Dean of Science, the position he held until his death.
German. Finances did not allow him an elite education, At Cork he published the works for which he is best
96 Boole, George (1815–1864)

known, including An investigation into the laws of ware design, and most notably to all digital and
thought (1854). The fundamental assumption of this electronic devices that rely on binary switching
work is that human language and reasoning can be circuits.
expressed in algebraic terms and that the truth of a In addition to his seminal work on logic, Boole
proposition can be examined without reference to the published roughly 50 papers on mathematics. He
meaning of its components. Boolean logic is based on earned the Medal of the Royal Society in 1844
Boolean algebra, which is founded on the notions of and was named a Fellow of the Society in 1857. In
sets, variables, and operators. If variables in an equa- 1855 he married Mary Everest, niece of the famous
tion are replaced by propositions, and if operators explorer. He died of pneumonia on December 18,
are replaced by connectives such as ‘and,’ ‘or,’ ‘not,’ 1864.
or ‘if . . . then,’ the truth of a proposition may be
evaluated in the same way as the truth of an algebraic See also: Chomsky, Noam (b. 1928); Formal Semantics;
statement. The results of such an evaluation are Frege, Gottlob (1848–1925).
binary: a proposition is held to be either true or not
true.
Boolean logic emerges in several subdisciplines Bibliography
of linguistics. The notion that the truth of a proposi- Boole G (1854). An investigation into the laws of thought.
tion may be understood without reference to its London: Walton and Maberley (reprinted 1973, New
meaning is crucial to formal semantics, to the ‘pre- York: Dover).
dicate calculus’ of Frege and others, and to Choms- Keenan E L & Faltz L M (1985). Boolean semantics for
ky’s attempts to analyze grammar in mathematical natural language. Dordrecht: Kluwer.
terms. The binary nature of Boolean logic is funda- MacHale D (1985). George Boole, his life and work.
mental to neuroscience, artificial intelligence, soft- Dublin: Boole Press.

Bopp, Franz (1791–1867)


E F K Koerner, Zentrum für Allgemeine distinguished scholars in the field, Henry Thomas
Sprachwissenschaft, Berlin, Germany Colebrooke and especially Charles Wilkins, both
! 2006 Elsevier Ltd. All rights reserved. of whom had published grammars of the language.
During his stay in Britain, Bopp produced a revised
English version of the linguistic portion of his Con-
Bopp (Figure 1) was born on September 14, 1791 jugationssystem (1820) (the remainder was devoted
in Mainz, and died on October 23, 1867 in Berlin. to translations from Sanskrit literature). While in
After one year studying classical as well as mod- Paris, Bopp had introduced Friedrich Schlegel’s elder
ern languages at the newly created University of brother, August Wilhelm (see Schlegel, August Wil-
Aschaffenburg, he went to Paris, inspired by Friedrich helm von (1767–1845)) to the study of the classical
Schlegel’s (see Schlegel, Friedrich von (1772–1829)) Indic language and literature; in London, he tutored
Ueber die Sprache und Weisheit der Indier (1808), Wilhelm von Humboldt (see Humboldt, Wilhelm von
with the encouragement of his mentor Karl Joseph (1767–1835)), who at the time was Prussian ambas-
Windischmann, and through contacts established sador. In order to round off his studies to prepare
with the Orientalist Antoine Léonard de Chézy. himself for an academic career, Bopp asked the
There he studied Sanskrit (largely on his own), Bavarian Academy for permission to enroll at the
Arabic, and Persian with Antoine Isaac Silvestre de University of Göttingen. Instead, the authorities
Sacy (see Silvestre de Sacy, Baron Antoine-Isaac there granted him a doctorate honoris causa in recog-
(1758–1838)). In 1814, he received a grant from nition for work already done. Soon afterwards, in the
the King of Bavaria that allowed him to continue his summer of 1821, he arrived in Berlin and (through
research. This culminated in the book whose publica- the intervention of Wilhelm von Humboldt and his
tion date – 1816 – is generally regarded as marking brother Alexander) was appointed extraordinary pro-
the beginning of comparative Indo–European fessor of Oriental languages and general linguistics.
linguistics. Bopp spent two more years in Paris until In 1825 he was made a full professor and a member of
a grant from the Munich Academy of Sciences the Prussian Academy, in whose Proceedings he pub-
allowed him to move to London to add to his knowl- lished a large number of his comparative linguistic
edge of Sanskrit through contacts with the most works. From 1824 onward he published his own
96 Boole, George (1815–1864)

known, including An investigation into the laws of ware design, and most notably to all digital and
thought (1854). The fundamental assumption of this electronic devices that rely on binary switching
work is that human language and reasoning can be circuits.
expressed in algebraic terms and that the truth of a In addition to his seminal work on logic, Boole
proposition can be examined without reference to the published roughly 50 papers on mathematics. He
meaning of its components. Boolean logic is based on earned the Medal of the Royal Society in 1844
Boolean algebra, which is founded on the notions of and was named a Fellow of the Society in 1857. In
sets, variables, and operators. If variables in an equa- 1855 he married Mary Everest, niece of the famous
tion are replaced by propositions, and if operators explorer. He died of pneumonia on December 18,
are replaced by connectives such as ‘and,’ ‘or,’ ‘not,’ 1864.
or ‘if . . . then,’ the truth of a proposition may be
evaluated in the same way as the truth of an algebraic See also: Chomsky, Noam (b. 1928); Formal Semantics;
statement. The results of such an evaluation are Frege, Gottlob (1848–1925).
binary: a proposition is held to be either true or not
true.
Boolean logic emerges in several subdisciplines Bibliography
of linguistics. The notion that the truth of a proposi- Boole G (1854). An investigation into the laws of thought.
tion may be understood without reference to its London: Walton and Maberley (reprinted 1973, New
meaning is crucial to formal semantics, to the ‘pre- York: Dover).
dicate calculus’ of Frege and others, and to Choms- Keenan E L & Faltz L M (1985). Boolean semantics for
ky’s attempts to analyze grammar in mathematical natural language. Dordrecht: Kluwer.
terms. The binary nature of Boolean logic is funda- MacHale D (1985). George Boole, his life and work.
mental to neuroscience, artificial intelligence, soft- Dublin: Boole Press.

Bopp, Franz (1791–1867)


E F K Koerner, Zentrum für Allgemeine distinguished scholars in the field, Henry Thomas
Sprachwissenschaft, Berlin, Germany Colebrooke and especially Charles Wilkins, both
! 2006 Elsevier Ltd. All rights reserved. of whom had published grammars of the language.
During his stay in Britain, Bopp produced a revised
English version of the linguistic portion of his Con-
Bopp (Figure 1) was born on September 14, 1791 jugationssystem (1820) (the remainder was devoted
in Mainz, and died on October 23, 1867 in Berlin. to translations from Sanskrit literature). While in
After one year studying classical as well as mod- Paris, Bopp had introduced Friedrich Schlegel’s elder
ern languages at the newly created University of brother, August Wilhelm (see Schlegel, August Wil-
Aschaffenburg, he went to Paris, inspired by Friedrich helm von (1767–1845)) to the study of the classical
Schlegel’s (see Schlegel, Friedrich von (1772–1829)) Indic language and literature; in London, he tutored
Ueber die Sprache und Weisheit der Indier (1808), Wilhelm von Humboldt (see Humboldt, Wilhelm von
with the encouragement of his mentor Karl Joseph (1767–1835)), who at the time was Prussian ambas-
Windischmann, and through contacts established sador. In order to round off his studies to prepare
with the Orientalist Antoine Léonard de Chézy. himself for an academic career, Bopp asked the
There he studied Sanskrit (largely on his own), Bavarian Academy for permission to enroll at the
Arabic, and Persian with Antoine Isaac Silvestre de University of Göttingen. Instead, the authorities
Sacy (see Silvestre de Sacy, Baron Antoine-Isaac there granted him a doctorate honoris causa in recog-
(1758–1838)). In 1814, he received a grant from nition for work already done. Soon afterwards, in the
the King of Bavaria that allowed him to continue his summer of 1821, he arrived in Berlin and (through
research. This culminated in the book whose publica- the intervention of Wilhelm von Humboldt and his
tion date – 1816 – is generally regarded as marking brother Alexander) was appointed extraordinary pro-
the beginning of comparative Indo–European fessor of Oriental languages and general linguistics.
linguistics. Bopp spent two more years in Paris until In 1825 he was made a full professor and a member of
a grant from the Munich Academy of Sciences the Prussian Academy, in whose Proceedings he pub-
allowed him to move to London to add to his knowl- lished a large number of his comparative linguistic
edge of Sanskrit through contacts with the most works. From 1824 onward he published his own
Bopp, Franz (1791–1867) 97

Akademie der Wissenschaften zu Berlin; Philos.-historische


Klasse 1825: 117–148. Repr. in Bopp 1972.
Bopp F (1827). Ausführliches Lehrgebäude der Sanskrita-
Sprache (2nd edn.). Berlin: F. Dümmler.
Bopp F (1833–1852). Vergleichende Grammatik des
Sanskrit, Send [Armenischen]. Griechischen, Latei-
nischen. Litthauischen, [Altslawischen], Gothischen
und Deutschen. 6 Abtheilungen. F. Dümmler, Berlin.
2nd edn. 1857–1861, 3 vols, repr. 1971, F. Dümmler,
Bonn.
Bopp F (1972). Kleine Schriften zur vergleichenden Sprach-
wissenschaft: Gesammelte Berliner Abhandlungen 1824–
54. Leipzig: Zentralantiquariat der DDR.
Figure 1 Franz Bopp. Bopp F & Windischmann K J (eds.) (1816). Über das
Conjugationssystem der Sanskritsprache in Vergleichung
mit jenem der griechischen, lateinischen, persischen und
grammars of Sanskrit, and his comparative grammar germanischen Sprache. Frankfurt: Andreäische
of the major Indo-European languages appeared be- Buchhandlung. Repr. 1975, Georg Olms, Hildesheim.
tween 1833 and 1852. Although he had a number of Bopp F & Koerner E F K (eds.) (1820). ‘Analytical
distinguished students, including August Friedrich comparison of the Sanskrit, Greek, Latin, and Teu-
Pott (see Pott, August Friedrich (1802–1887)), Adal- tonic languages, showing the original identity of their
bert Kuhn, William Dwight Whitney (see Whitney, grammatrical structure.’ Annals of Oriental Literature
William Dwight (1827–1894)), and Michel Bréal (see 1, 1–64. 1974 Benjamins, Amsterdam; 2nd edn. 1989
with detailed biography of Bopp.
Bréal, Michel Jules Alfred (1832–1915)), Bopp’s
Bréal M (1991). ‘Introduction to the French translation
enormous impact on Sanskrit studies and on the of Bopp’s Comparative Grammar.’ In Wolf G (ed.)
field of comparative philology was largely produced The beginnings of semantics. Stanford, CA: Stanford
– apart from his voluminous comparative grammar – University Press.
by the vast number of his empirical studies of individ- Koerner K (1989). ‘Franz Bopp.’ In Practicing linguistic
ual branches of the Indo-European language family. historiography; Selected essays by K. Koerner.
However, as Bréal (1991) pointed out, another reason Amsterdam: Benjamins.
for his success was that he did not slavishly follow the Lefmann S (1891–1895). Franz Bopp, sein Leben und seine
Indic grammatical tradition in his treatment of San- Wissenschaft. Mit dem Bildnis Franz Bopps und einem
skrit but introduced his own perspective to the analy- Anhang: Aus Briefen und anderen Schriften (Parts I–II).
sis of this language in conjunction with Greek, Latin, Berlin: Georg Reimer.
Lefmann S (1897). ‘Franz Bopp.’ Nachtrag. Mit einer Ein-
Persian, and other Indo-European languages. Thus he
leitung und einem vollständigen Register. Berlin: Georg
developed a method of showing their basic structural Reimer.
identity, which provided the framework for several Lehmann W P (1991). ‘Franz Bopp’s use of typology.’
generations of comparative-historical linguists. Z Phon 44(3), 275–284.
Morpurgo Davies A (1987). ‘‘‘Organic’’ and ‘‘Organism’’ in
‘‘Franz Bopp.’’’ In Hoenigswald H M & Wiener L F (eds.)
See also: Arabic; Bréal, Michel Jules Alfred (1832–1915);
Biological metaphor and cladistic classification: An inter-
Humboldt, Wilhelm von (1767–1835); Persian, Old; Pott, disciplinary perspective. Philadelphia, PA: University of
August Friedrich (1802–1887); Sanskrit; Schlegel, August Pennsylvania Press.
Wilhelm von (1767–1845); Schlegel, Friedrich von (1772– Paustian P R (1978). ‘Bopp and the nineteenth-century
1829); Silvestre de Sacy, Baron Antoine-Isaac (1758– distrust of the Indian grammatical tradition.’ Indogerma-
1838); Whitney, William Dwight (1827–1894). nische Forschungen 82, 39–49.
Timpanaro S (1973). ‘Il contrasto tra i fratelli Schlegel
e Franz Bopp sulla struitura e la genesi delle lingue
Bibliography
indoeuropee.’ Critica Storica 10, 1–38.
Bopp F (1825). Vergleichende Zergliederung der Sanskrita- Verburg P A (1950). ‘The background to the linguistic
Sprache und der mit ihm verwandten Sprachen. Erste conceptions of Bopp.’ Lingua 2, 438–468. Repr. in
Abhandlung: Von den Wurzeln und Pronomen erster Sebeok T A (ed.) 1966 Portraits of Linguists, vol. I.
und zweiter Person. Abhandlungen der Königlichen Bloomington, IN: Indiana University Press.
98 Borgstrøm, Carl Hjalmar (1909–1986)

Borgstrøm, Carl Hjalmar (1909–1986)


E Hovdhaugen, University of Oslo, Oslo, Norway with Borgstrom’s own ideas on language analysis.
! 2006 Elsevier Ltd. All rights reserved. For almost two decades it was the basic textbook in
linguistics in Norway and also to some extent in
the other Nordic countries. Borgstrom thus had an
Borgstrøm was born in Kristiania (Oslo), Norway. important influence on the emergence of structural
When he began his studies of Celtic languages, his linguistics in the Nordic countries.
teacher, professor Carl Marstrander, encouraged him Borgstrøm was a shy and formal person, but as a
to choose Scottish Gaelic dialects as his speciality. teacher and supervisor he was unique. He stimu-
Borgstrøm’s later studies of dialects on the Hebrides lated, encouraged, and supported his students in a
(Borgstrøm, 1940, 1941) were pioneer works and laid challenging way. A whole generation of Norwegian
the foundation of subsequent investigations of Gaelic linguists was influenced by his broad theoretical ori-
dialects. entation, his penetrating and constructive way of
Borgstrøm also studied comparative Indo-European analyzing linguistic data, and his scholarly and
philology and from 1932 to 1935 was Lecturer in human generosity.
Comparative Philology at Trinity College in Dublin.
In 1936–1937 he was Visiting Professor of Sanskrit in See also: Marstrander, Carl J. S. (1883–1965).
Ankara. During his stay in Turkey he learned Turkish
and consequently offered courses in Turkish at the
University of Oslo. During the war Borgstrøm went Bibliography
to Sweden and in 1945 he was a lecturer of linguistics
in Lund. Borgstrøm C Hj (1938). ‘Zur Phonologie der norwegischen
In 1947 he was appointed Professor of Compara- Schriftsprache (nach der ostnorwegischen Aussprache).’
NTS 9, 250–273.
tive Indo-European Philology at the University of
Borgstrøm C Hj (1940). The dialects of the Outer Hebrides.
Oslo. However, during his entire career he published
A Linguistic Survey of the Gaelic Dialects of Scotland,
only a few articles in this field that were mainly over- vol. 1. NTS Suppl. bind 1. Oslo: Aschehoug.
looked or negatively received. His main interest Borgstrøm C Hj (1941). The dialects of Skye and Ross-
(besides Celtic studies) was general linguistics, and shire. A Linguistic Survey of the Gaelic Dialects of Scot-
he produced some discerning structural studies on land, vol. 2. NTS Suppl. bind 2. Oslo: Aschehoug.
Norwegian phonology (e.g., Borgstrøm, 1938). Borgstrøm C Hj (1958). Innføring i sprogvidenskap. Oslo:
However, his most important publication was his Universitetsforlaget.
introductory textbook on general linguistics, first Simonsen H G (1999). ‘Carl Hjalmar Borgstrøm.’ In
published in 1958. It was a successful symbiosis of Arntzen J G (ed.) Norsk biografisk leksikon 1. Oslo:
American and European structuralism interspersed Kunnskapsforlaget. 421–422.

Bosnia and Herzegovina: Language Situation


Editorial Team The term ‘Bosnian’ refers to the languages spoken
! 2006 Elsevier Ltd. All rights reserved. by Bosnian Serbs, Bosnian Croats, and Bosnian
Bosniacs (formerly referred to as Bosnian Muslims),
although the Croats and the Serbs in Bosnia and
After the break-up of the Republic of Yugoslavia, Herzegovina call their language Croatian and
and the following war in 1992–1995, Bosnia and Serbian, respectively. Bosnian is used to refer to the
Herzegovina was administratively divided into two language of the Bosniac group. All three languages –
entities: the Federation of Bosnia and Herzegovina Bosnian, Serbian, and Croatian – are dialects of the
and the Republika Srpska. The population of Bosnia standard version of Central-South Slavic, formerly
and Herzegovina is about 4 007 608 (estimated, and still frequently called Serbo-Croatian. Bosnian
July 2004). There are three official languages: and Croatian use a Latin alphabet. Serbian uses
Bosnian, spoken by 48% of the population (2000 both Latin and Cyrillic alphabets.
census), Serbian (37.1%), and Croatian (14.3%).
Other languages spoken are German, Italian,
Macedo-Romanian, Vlax Romani, Turkish, and
Albanian. See also: Serbian–Croatian–Bosnian Linguistic Complex.
98 Borgstrøm, Carl Hjalmar (1909–1986)

Borgstrøm, Carl Hjalmar (1909–1986)


E Hovdhaugen, University of Oslo, Oslo, Norway with Borgstrom’s own ideas on language analysis.
! 2006 Elsevier Ltd. All rights reserved. For almost two decades it was the basic textbook in
linguistics in Norway and also to some extent in
the other Nordic countries. Borgstrom thus had an
Borgstrøm was born in Kristiania (Oslo), Norway. important influence on the emergence of structural
When he began his studies of Celtic languages, his linguistics in the Nordic countries.
teacher, professor Carl Marstrander, encouraged him Borgstrøm was a shy and formal person, but as a
to choose Scottish Gaelic dialects as his speciality. teacher and supervisor he was unique. He stimu-
Borgstrøm’s later studies of dialects on the Hebrides lated, encouraged, and supported his students in a
(Borgstrøm, 1940, 1941) were pioneer works and laid challenging way. A whole generation of Norwegian
the foundation of subsequent investigations of Gaelic linguists was influenced by his broad theoretical ori-
dialects. entation, his penetrating and constructive way of
Borgstrøm also studied comparative Indo-European analyzing linguistic data, and his scholarly and
philology and from 1932 to 1935 was Lecturer in human generosity.
Comparative Philology at Trinity College in Dublin.
In 1936–1937 he was Visiting Professor of Sanskrit in See also: Marstrander, Carl J. S. (1883–1965).
Ankara. During his stay in Turkey he learned Turkish
and consequently offered courses in Turkish at the
University of Oslo. During the war Borgstrøm went Bibliography
to Sweden and in 1945 he was a lecturer of linguistics
in Lund. Borgstrøm C Hj (1938). ‘Zur Phonologie der norwegischen
In 1947 he was appointed Professor of Compara- Schriftsprache (nach der ostnorwegischen Aussprache).’
NTS 9, 250–273.
tive Indo-European Philology at the University of
Borgstrøm C Hj (1940). The dialects of the Outer Hebrides.
Oslo. However, during his entire career he published
A Linguistic Survey of the Gaelic Dialects of Scotland,
only a few articles in this field that were mainly over- vol. 1. NTS Suppl. bind 1. Oslo: Aschehoug.
looked or negatively received. His main interest Borgstrøm C Hj (1941). The dialects of Skye and Ross-
(besides Celtic studies) was general linguistics, and shire. A Linguistic Survey of the Gaelic Dialects of Scot-
he produced some discerning structural studies on land, vol. 2. NTS Suppl. bind 2. Oslo: Aschehoug.
Norwegian phonology (e.g., Borgstrøm, 1938). Borgstrøm C Hj (1958). Innføring i sprogvidenskap. Oslo:
However, his most important publication was his Universitetsforlaget.
introductory textbook on general linguistics, first Simonsen H G (1999). ‘Carl Hjalmar Borgstrøm.’ In
published in 1958. It was a successful symbiosis of Arntzen J G (ed.) Norsk biografisk leksikon 1. Oslo:
American and European structuralism interspersed Kunnskapsforlaget. 421–422.

Bosnia and Herzegovina: Language Situation


Editorial Team The term ‘Bosnian’ refers to the languages spoken
! 2006 Elsevier Ltd. All rights reserved. by Bosnian Serbs, Bosnian Croats, and Bosnian
Bosniacs (formerly referred to as Bosnian Muslims),
although the Croats and the Serbs in Bosnia and
After the break-up of the Republic of Yugoslavia, Herzegovina call their language Croatian and
and the following war in 1992–1995, Bosnia and Serbian, respectively. Bosnian is used to refer to the
Herzegovina was administratively divided into two language of the Bosniac group. All three languages –
entities: the Federation of Bosnia and Herzegovina Bosnian, Serbian, and Croatian – are dialects of the
and the Republika Srpska. The population of Bosnia standard version of Central-South Slavic, formerly
and Herzegovina is about 4 007 608 (estimated, and still frequently called Serbo-Croatian. Bosnian
July 2004). There are three official languages: and Croatian use a Latin alphabet. Serbian uses
Bosnian, spoken by 48% of the population (2000 both Latin and Cyrillic alphabets.
census), Serbian (37.1%), and Croatian (14.3%).
Other languages spoken are German, Italian,
Macedo-Romanian, Vlax Romani, Turkish, and
Albanian. See also: Serbian–Croatian–Bosnian Linguistic Complex.
Botswana: Language Situation 99

Bosnian See: Serbian–Croatian–Bosnian Linguistic Complex.

Botswana: Language Situation


H M Batibo, University of Botswana, Gaborone, The country has a population of over 1.7 million
Botswana people (according to the 2001 census report), giving
! 2006 Elsevier Ltd. All rights reserved. a density of about 3 people per square kilometer.
However, the population is concentrated on the east-
ern and northern fringes of the country where the
Botswana is a medium-sized country located in south- land is more fertile. On the other hand, the Kalahari
ern Africa. It is completely landlocked, surrounded desert of the central, west, and southwest area of the
by South Africa to its south, Zimbabwe to its east, country is home to numerous groups of San and Khoe
Namibia to its west, and Zambia and Namibia to its people, commonly known as Khoesan or Bushman,
north. It is largely composed of the Kalahari Basin of who traditionally live in scattered bands of no more
the southern Africa Plateau. Apart from the Limpopo than 30 people each. In fact, the San were the first
and Chobe rivers, drainage is internal, and largely inhabitants of the area, having lived there for at least
to the Okavango Swamp in the northwest. The 20 000 years as hunters and foragers. The Khoe
Okavango Delta, which has resulted from this inland arrived in the area about 4000 years ago, followed
drainage, as well as the surrounding area as far east as by the Bantu groups more than 2000 years later.
the Chobe Basin, is a rich habitat of both fauna and The territory, often attributed to Khoesan in
flora and has attracted many different communities, language maps such as Greenberg’s (see Greenberg,
who live in the areas as farmers, fishermen, herders, 1963), is misleadingly extensive, as settled areas are
or hunters.

Figure 1 The distribution of the 28 Botswana languages (after Batibo et al., 2003).
100 Botswana: Language Situation

better considered to be Bantu, who constitute more Table 1 The estimated number of speakers of the Botswana
than 96% of the Botswana population. In fact the languages
Khoesan groups, whose population is about 39 000 Language Estimated number Percentage of
in Botswana, are fast vanishing due to integration into of speakers speakers
the more dominant and socioeconomically prestigious
1. Setswana 1 335 000 78.6%
Bantu communities. 2. Ikalanga 150 000 8.83%
3. Shekgalagari 48 000 2.82%
(including
Linguistic Relationships Shengologa)
The country has 28 languages (see Figure 1), belong- 4. Thimbukushu 30 000 1.76%
5. Shiyeyi 18 000 1.06%
ing to three main language families: Bantu (a sub-
6. Nambya (Najwa) 15 000 0.88%
branch of Niger–Congo), Khoesan (Khoisan), and 7. Sebirwa 12 500 0.73%
Germanic (a subbranch of Indo-European). There 8. Zezuru (Shona) 12 000 0.70%
are 14 Bantu languages, of which five belong to the 9. Otjiherero 11 500 0.67%
Sotho branch of Southern Bantu: Setswana (Tswana), 10. Naro 10 000 0.59%
11. Sindebele 9000 0.53%
Shekgalagari, Sebirwa, Setswapong (Tswapong), and
12. Afrikaans 7500 0.44%
Silozi (Lozi). Three languages belong to the Sala– 13. Chikuhane (Sesubiya) 7000 0.41%
Shona branch of Southeastern Bantu: Ikalanga, 14. Setswapong 6000 0.35%
Zezuru, and Nambya (Najwa). The southern branch 15. Shua 6000 0.035%
of Central Bantu includes Chikuhane (Sesubiya), 16. !Xóõ 5000 0.29%
17. Tshwa 5000 0.29%
Shiyeyi (Yeyi) (erroneously classified by Guthrie
18. Khwedam 4500 0.27%
[1948] in Zone R), Thimbukushu (Mbukushu), and 19. Ju|’hoan 4500 0.27%
Rugciriku (Rumanyo) [Diriku]. The only language 20. Silozi (Serotsi) 3000 0.02%
that belongs to Western Bantu is Otjiherero (Herero) 21. Sekgoa (English) 3000 0.002%
(classified by Guthrie in Zone R). Lastly, Sindebele 22. Kua 2500 0.015%
23. Kx’au||’ein 2500 0.015%
(Ndebele), which is extensively spoken along the east-
24. Rugciriku (Rumanyo) 2300 0.14%
ern borders of the country, belongs to the Nguni group 25. ||Gana 1300 0.008%
of languages, together with IsiZulu (Zulu) and IsiX- 26. Nama 1000 0.006%
hosa (Xhosa) in South Africa. (Khoekhoegowab)
There are 12 Khoesan languages which belong 27. |Gwi 1000 0.006%
28. Hua 200 0.001%
to three distinct groups: Northern Khoesan, with
Total 1 703 300 99.53%
three languages: Ju|’hoan, Kx’au||’ein, and Hua
(formerly thought to belong to Southern Khoesan); (After Batibo et al., 2003).
Central Khoesan, with eight languages: Nama, Naro,
|Gwi, ||Gana, Kua (Hietshware), Shua, Tshwa, and
Khwedam (the last comprising Bugakhwe, ||Anikhwe, Ngwato, Tawana, and part of the Kwena groups; the
|Anda, and various Kxoe dialects). The last group, southern dialect, spoken in southern areas by the
known as Southern Khoesan, has only one member Ngwaketse, Rolong, Tlhaping, Tlharo and part of
in Botswana, !Xóõ. The other members of Southern the Kwena groups; and the eastern dialect, spoken
Khoesan, formerly spoken mainly in what is now in the eastern areas by the Kgatla, Tlokwa and Lete
South Africa, have largely become extinct. groups. Setswana is the most dominant language both
There are two Germanic languages: Afrikaans, demographically and in terms of status and prestige.
spoken by about 7500 people, mainly Afrikaner set- It is spoken by 78.6 percent of the population as first
tlers in farms and ranches in the Ghanzi and language, and is understood and used by over 90
Kgalagadi districts (Grimes, 2000), and English, percent of the population. It is the national language
which is mainly spoken as a second language. and the main lingua franca of the country. The only
The figures presented in Table 1 are mere estimates, other widely used language is Ikalanga (Kalanga),
as no census involving language or ethnicity has taken which is spoken by over 150 000 people.
place in Botswana since independence in 1966. It is Leaving aside the very early literacy traditions of
difficult to come up with accurate figures regarding the Coptic, Nubian, Ethiopic, Vai, and Arab-speaking
the speakers of the various languages, as many people communities, the Setlhaping variety of Setswana in
tend to equate language with ethnicity or may want to Botswana has the distinction of being the first African
identify themselves with the majority languages. language known to develop an orthography and a
Setswana is found in three main dialects: the literature, with the publication by Robert Moffat of
northern dialect, spoken in the northern areas by the the Christian New Testament in 1839.
Bouvet Island: Language Situation 101

Language Policy, Use, and Literacy Bibliography


English is the official language of Botswana, while Anderson G & Janson T (1997). The languages of
Setswana is the national language. Both are used in Botswana. Gaborone: Longman Botswana.
the administration and mass media. English is used Batibo H M (1997). ‘The fate of the minority languages of
in the formal business of government, while Setswana Botswana.’ In Smieja B & Tasch M (eds.) Human contact
is generally used in semiofficial interactions, particu- through language and linguistics. Frankfurt: Peter Lang.
243–252.
larly in the oral mode. Setswana is used in lower
Batibo H M (1998). ‘The fate of the Khoesan languages of
primary education and English in upper primary
Botswana.’ In Brenzinger M (ed.) Endangered languages
and all the subsequent levels of education. in Africa. Koeln: Ruediger Koeppe. 267–284.
The official literacy rate is estimated at about 60 Batibo H M & Smieja B (eds.) (2000). Botswana: the future
percent, although independent estimates of literacy in of the minority languages. Frankfurt: Peter Lang.
Setswana are lower. The enrollment for secondary Batibo H M & Tsonope J (eds.) (2000). The state of
level schooling is reported to be 21 percent. On the Khoesan languages in Botswana. Gaborone: Tasalls.
other hand, over 2000 students per year enroll in Batibo H M, Mathangwane J T & Tsonope J (2003).
the University, giving Botswana the highest rate of A study of the third language teaching in Botswana
university admission, proportionate to its population, (preliminary report). Gaborone: Associated Printers.
in Africa. Europa Publications (1991). Africa south of the Sahara
(20th edn.). London: Europa Publications.
Botswana is one of the countries in Africa where
Government of Botswana (1994). Revised national policy on
the smaller languages have very few speakers. Most
education (white paper). Gaborone: Government Printers.
of the small Botswana languages, especially those of Greenberg J H (1963). The languages of Africa. Blooming-
Khoesan origin, are spoken by fewer than 10 000 ton: Indiana University Press.
people, most of whom are bilingual in the major Grimes B (2000). Ethnologue (14th edn.). Dallas:
languages, particularly Setswana. Hence, the process S K Publications.
of language shift and death are a great concern to Guthrie M (1948). The classification of the Bantu
both linguists and the general public. languages. London: International African Institute.
Janson T & Tsonope J (1991). Birth of a national language:
the history of Setswana. Gaborone: Heinemann Botswana.
Mazonde I N (ed.) (2002). Minorities in the millennium:
See also: Bilingualism and Second Language Learning; perspectives from Botswana. Gaborone: Light Books
Indo–European Languages; Khoesaan Languages; Lan- Publishers for the University of Botswana.
guage Maintenance and Shift; Language Policy in Multi- Nyati-Ramahobo L (1999). The national language: a
lingual Educational Contexts; Languages of Wider resource or a problem? Gaborone: Pula Press.
Communication; Lingua Francas as Second Languages; Smieja B (2003). Language pluralism in Botswana: hope or
Minorities and Language; Multiculturalism and Lan- hurdle? Frankfurt: Peter Lang.
guage; Namibia: Language Situation; Proto-Bantu; South Vosssen R (1988). Bayreuth African studies 13: patterns of
Africa: Language Situation; Xhosa; Zambia: Language language knowledge and use in Ngamiland in Botswana.
Situation; Zimbabwe: Language Situation; Zulu. Bayreuth: Bayreuth University.

Bouvet Island: Language Situation


Editorial Team the British in 1825, but in 1928 the claim was waived
! 2006 Elsevier Ltd. All rights reserved. in favor of the Norwegian Crown. Bouvet Island was
declared a natural reserve in 1971 and, since 1977,
Norway has run an automated meteorological station
Bouvet Island, so named after the French naval officer on the island. With no native population, the island is
who discovered it in 1739, is a volcanic island considered a territory of Norway and is administered
situated in the southern section of the Atlantic by the Polar Department of the Ministry of Justice
Ocean, southwest of South Africa’s Cape of Good and Police in Oslo. The official language is Norwe-
Hope. It is the most isolated island on Earth – the gian and the few researchers who on occasion are
nearest land, the Antarctic Continent, is more than present on Bouvet Island are subject to Norwegian
1600 km away. The first territorial claim came from law.
Bouvet Island: Language Situation 101

Language Policy, Use, and Literacy Bibliography


English is the official language of Botswana, while Anderson G & Janson T (1997). The languages of
Setswana is the national language. Both are used in Botswana. Gaborone: Longman Botswana.
the administration and mass media. English is used Batibo H M (1997). ‘The fate of the minority languages of
in the formal business of government, while Setswana Botswana.’ In Smieja B & Tasch M (eds.) Human contact
is generally used in semiofficial interactions, particu- through language and linguistics. Frankfurt: Peter Lang.
243–252.
larly in the oral mode. Setswana is used in lower
Batibo H M (1998). ‘The fate of the Khoesan languages of
primary education and English in upper primary
Botswana.’ In Brenzinger M (ed.) Endangered languages
and all the subsequent levels of education. in Africa. Koeln: Ruediger Koeppe. 267–284.
The official literacy rate is estimated at about 60 Batibo H M & Smieja B (eds.) (2000). Botswana: the future
percent, although independent estimates of literacy in of the minority languages. Frankfurt: Peter Lang.
Setswana are lower. The enrollment for secondary Batibo H M & Tsonope J (eds.) (2000). The state of
level schooling is reported to be 21 percent. On the Khoesan languages in Botswana. Gaborone: Tasalls.
other hand, over 2000 students per year enroll in Batibo H M, Mathangwane J T & Tsonope J (2003).
the University, giving Botswana the highest rate of A study of the third language teaching in Botswana
university admission, proportionate to its population, (preliminary report). Gaborone: Associated Printers.
in Africa. Europa Publications (1991). Africa south of the Sahara
(20th edn.). London: Europa Publications.
Botswana is one of the countries in Africa where
Government of Botswana (1994). Revised national policy on
the smaller languages have very few speakers. Most
education (white paper). Gaborone: Government Printers.
of the small Botswana languages, especially those of Greenberg J H (1963). The languages of Africa. Blooming-
Khoesan origin, are spoken by fewer than 10 000 ton: Indiana University Press.
people, most of whom are bilingual in the major Grimes B (2000). Ethnologue (14th edn.). Dallas:
languages, particularly Setswana. Hence, the process S K Publications.
of language shift and death are a great concern to Guthrie M (1948). The classification of the Bantu
both linguists and the general public. languages. London: International African Institute.
Janson T & Tsonope J (1991). Birth of a national language:
the history of Setswana. Gaborone: Heinemann Botswana.
Mazonde I N (ed.) (2002). Minorities in the millennium:
See also: Bilingualism and Second Language Learning; perspectives from Botswana. Gaborone: Light Books
Indo–European Languages; Khoesaan Languages; Lan- Publishers for the University of Botswana.
guage Maintenance and Shift; Language Policy in Multi- Nyati-Ramahobo L (1999). The national language: a
lingual Educational Contexts; Languages of Wider resource or a problem? Gaborone: Pula Press.
Communication; Lingua Francas as Second Languages; Smieja B (2003). Language pluralism in Botswana: hope or
Minorities and Language; Multiculturalism and Lan- hurdle? Frankfurt: Peter Lang.
guage; Namibia: Language Situation; Proto-Bantu; South Vosssen R (1988). Bayreuth African studies 13: patterns of
Africa: Language Situation; Xhosa; Zambia: Language language knowledge and use in Ngamiland in Botswana.
Situation; Zimbabwe: Language Situation; Zulu. Bayreuth: Bayreuth University.

Bouvet Island: Language Situation


Editorial Team the British in 1825, but in 1928 the claim was waived
! 2006 Elsevier Ltd. All rights reserved. in favor of the Norwegian Crown. Bouvet Island was
declared a natural reserve in 1971 and, since 1977,
Norway has run an automated meteorological station
Bouvet Island, so named after the French naval officer on the island. With no native population, the island is
who discovered it in 1739, is a volcanic island considered a territory of Norway and is administered
situated in the southern section of the Atlantic by the Polar Department of the Ministry of Justice
Ocean, southwest of South Africa’s Cape of Good and Police in Oslo. The official language is Norwe-
Hope. It is the most isolated island on Earth – the gian and the few researchers who on occasion are
nearest land, the Antarctic Continent, is more than present on Bouvet Island are subject to Norwegian
1600 km away. The first territorial claim came from law.
102 Bovelles, Charles de (1479–1567)

Bovelles, Charles de (1479–1567)


N Lioce, IVO Sint-Andries, Belgium characterized by irregularity and incapable of being
P Swiggers, Katholieke Universiteit Leuven, Leuven, laid down into rules (he denied the possibility of
Belgium writing a grammar of French). He explains language
! 2006 Elsevier Ltd. All rights reserved. evolution as due to astral determinism and human
intervention (arbitrium hominum). In his analysis of
dialect differences he shows himself as a keen observ-
Born in Saint-Quentin in Picardy (before March 28, er of lexical and phonetic data; his work constitutes
1479; according to some sources in 1475), Charles an important source for French diachronic lexi-
de Bovelles (Bouvelles/Bouelles; Latinized: Bovillus) cology. In his explanation of the diversification of
studied in Paris (1495–1503) with J. Lefèvre d’Étaples Latin, Bovelles gave much weight to substratal and
and started writing his first philosophical works there. superstratal influences.
He then traveled through Switzerland, Germany, the
Low Countries, and Spain. He received instruction
in astronomy while in Rome in 1507. Upon his return See also: Renaissance Linguistics: French Tradition.
to Picardy in 1508, he devoted himself to his ecclesi-
astic functions as a canon in Saint-Quentin and a
priest in Noyon, combining these with a scholarly Bibliography
career. He died in Ham (Vermandois) on February
Bovelles C de (1533). Liber de differentia vulgarium
24, 1567 (some sources give 1553 or 1556 as date
linguarum, & Gallici sermonis varietate. Quae voces
of his death).
apud Gallos sint factitiae & arbitrariae vel barbarae:
His writings (and extensive scholarly correspon- quae item ab origine Latina manarint. De hallucinatione
dence) cover various domains such as theology, Gallicanorum nominum. Paris: R. Estienne. [Reedition,
metaphysics, arithmetic, and geometry, but they pri- with French translation and notes, by C Dumont-
marily involved biblical studies, theology, ethics, and Demaizière: Sur les langues vulgaires et la variété de la
metaphysics. His philosophical work was inspired langue française. Paris: Klincksieck, 1973.]
by Ramon Llull, Nicolas of Cusa, Marsilio Ficino, Charles de Bovelles en son cinquième centenaire 1479–
Giovanni Pico della Mirandola, and neo-Platonism 1979 (1982). Actes du colloque international tenu à
in general, which was highly popular in 16th century Noyon. Paris: Trédaniel.
humanist circles. In his classification of the sciences Demaizière C (1983). La grammaire française au XVIe
siècle. Les grammairiens picards. Lille: Atelier national
(in his Metaphysicum introductorium, 1503–1504),
de reproduction des thèses.
the liberal arts (grammar, dialectic, and rhetoric) are
Magnard P (1997). ‘Bovelles (Charles de) (1475–1556).’
classified on the lower level; Bovelles, however, took a In Centuriae Latinae. ed. by Colette Nativel. Geneva:
keen interest in language matters. As a typical Renais- Droz. 169–174.
sance scholar he wrote almost all his works in Latin, Margolin J-C (1985). ‘Science et nationalisme linguistique
except his poetry (published in 1529) and a manual of ou la bataille pour l’étymologie au XVIe siècle. Bovelles et
geometry (1511, the first geometry handbook in sa postérité critique.’ In The fairest flower. The emer-
French). He also showed interest in popular sayings gence of linguistic national consciousness in Renaissance
and proverbs; his collection of Latin sentences was Europe. Firenze: Accademia della Crusca. 139–165.
translated into French in 1557 (Proverbes et dicts Margolin J-C (ed.) (2002). Lettres et poèmes de Charles de
sententieux avec l’interpretation d’iceux). Bovelles. Paris: Champion.
Schmitt C (1976). ‘Charles de Bovelles. Sur les langues
Bovelles’s main linguistic work is his study of dia-
vulgaires (. . .). Une source importante pour l’histoire
lect differences in northern France (1533), which also
du vocabulaire français.’ Travaux de Linguistique et de
includes a valuable etymological dictionary (in Littérature 14(1), 129–156.
which Bovelles also used Late Latin sources), and a Schmitt C (1977). ‘La grammaire française des XVIe
less useful onomasticon. Like many humanists, he et XVIIe siècles et les langues régionales.’ Travaux de
saw the relationship between Latin and the Romance Linguistique et de Littérature 15(1), 215–225.
languages as that between a regularized, fixed lan- Victor J M (1978). Charles de Bovelles, 1479–1553.
guage and various vernacular offshoots, the latter An intellectual biography. Geneva: Droz.
Boxhorn, Marcus Zuerius (1602/12–1653) 103

Boxhorn, Marcus Zuerius (1602/12–1653)


D Droixhe liber (1654) thrashed John Davies (1632) for having
! 2006 Elsevier Ltd. All rights reserved. linked Welsh with Hebrew. He was also said to have
‘‘planted the seed of Celtic philology in the fertile soil
This article is reproduced from the previous edition, volume 1, of the mind of Leibniz’’ (see Leibniz, Gottfried Wil-
p. 395, ! 1994, Elsevier Ltd. helm (1646–1716)).
Boxhorn, remarkably, extended the comparison
With C. Saumaise’s De hellenistica (1643) and G. K. into morphology: declension of Latin unus and
Kirchmayer ’s school in Wittenberg (see Metcalf, German ein; likeness of the infinitive endings in
1974), Boxhorn’s work represents one of the most Greek and Dutch; similitudes with Latin in the for-
accomplished efforts in pre-comparativism, in its mation of present participles, comparatives, or dimi-
search for a European prototype called ‘Scythian.’ nutives. ‘‘It is obvious that those nations have learned
Born in Bergen op Zoom (Netherlands) in 1602 or their tongue from one mother, as can be seen from
1612, Marcus Boxhorn studied at Leiden, where he their ordinary manner of varying words and names,
became professor of rhetoric and history, until his un- in the declensions, the conjugations, etc.; and even in
timely death in 1653. As a young teacher, he submitted the anomalies.’’
to his famous colleague Claude Saumaise linguistic By laying the stress on his native language, some-
comparisons, for example, between Greek hudor times awkwardly assimilated to ‘Scythian’ in declam-
‘sweat’, Latin sudor, and ‘Celtic’ sud. A strong Flemish atory statements, he already betrayed his own quest
tradition pushed him to look for the key of such a for a real prototype, and his Originum gallicarum
‘harmony’ in his national language. The latter had liber finally fostered the Celtic fever. Despised by
been set among the oldest mother-tongues, on the Saumaise – who arrived at the same historical con-
basis of a relation between the Cimmerians of the clusions (!) – Boxhorn was considered a monomaniac.
Black Sea and the Dutch-Cimbrians (see Swiggers, One year before he died, he wrote to Huygens
1984). Correspondences joining Persian and the Ger- that he nevertheless maintained his ideas with
manic languages had also been recently popularized by ‘pride’ and ‘joy,’ being confident that he had
Justus Lipsius. ‘‘understood something true and important.’’
Boxhorn undertook a systematic exploration of the
analogies that united the European languages, includ- See also: Leibniz, Gottfried Wilhelm (1646–1716); Scaliger,
ing the Celtic and Slavic ones. He drew profit from the Joseph Justus (1540–1609).
discovery of Anglo-Saxon, but died before Franciscus
Junius’s edition of the Gospels in Anglo-Saxon and
Gothic (1664–1665). His ideas were expounded in a
Dutch Antwoord of 1647, concerning the sensational Bibliography
discovery of stone images of the goddess Nehalennia, Bonfante G (1953/54). ‘Ideas on the kinship of the Euro-
whose name he interpreted as a ‘Scythian root.’ That pean languages from 1200 to 1800.’ Cahiers d’histoire
100-page essay was led to demonstrate the common mondiale 1, 679–699.
origin of Greek, Latin, and Dutch. Droixhe D (1989). ‘Boxhorn’s bad reputation. A chapter
In a rather traditional way he puts forward vari- in academic linguistics.’ In Dutz K D (ed.) Speculum histor-
ous lexical analogies, focusing on the ‘basic vocab- iographiae linguisticae. Münster: Nodus Publikationen.
ulary’ (esp. names for body parts). His rudimentary Metcalf G J (1974). ‘The Indo–European hypothesis in
the sixteenth and seventeenth centuries.’ In Hymes D
search for phonetic rules must be compared to
(ed.) Studies in the history of linguistics. Traditions and
the universal equivalences previously established by
paradigms. Bloomington, IN: Indiana University Press.
Cruciger, Besold, Nirmutanus, Hayne, and others. Muller J C (1986). ‘Early stages of language comparison
But, contrary to most of these authors, he vigorously from Sassetti to Sir William Jones (1786).’ Kratylos 31,
broke with the theory of Hebrew mother tongue, 1–31.
according to the secularization propagated in Leiden Swiggers P (1984). ‘Adrianus Schrieckius: de la langue des
by Joseph Juste Scaliger (see Scaliger, Joseph Justus Scythes à l’Europe linguistique.’ Histoire, Épistémologie,
(1540–1609)) or Grotius. So, his Originum gallicarum Langage 6, 17–35.
104 Brahui

Brahui
P S Subrahmanyam, Annamalai University, comes from two sources, PDr (alveolar) *l and (retro-
Bangalore, India flex) *l. ; both of these also show the reflex l in some
! 2006 Elsevier Ltd. All rights reserved. words, the conditioning being unclear because of
the paucity of the data (pāL ‘milk’ < PDr *pāl, tēL
‘scorpion’ < PDr *tēl. ). The contrast between L and l
The word ‘Brahui’ designates both a language and is illustrated in pāL ‘milk’ and pāl ‘omen.’
its speakers. Brahui is the conventional spelling for One major dialectal division in Brahui involves the
the phonetically more correct Brāhōı̄/Brāhūı̄. The lan- voiceless glottal fricative h; it appears in all positions
guage is a member of the Dravidian family; more in the northern dialects but is replaced in the south by
specifically, it belongs to the North Dravidian sub- the glottal stop in initial and intervocalic positions,
group, of which the other two members are Kur. ux and is lost before a consonant or in final position;
and Malto. The Brahuis live mainly in the Baluchistan the following examples illustrate the variation in the
and Sind provinces of Pakistan, but some are found northern and southern dialects, respectively: hust,
also in Afghanistan (Šōrāwāk desert) and Iran (Sistan ust ‘heart’; sahi affat. , sa ı̄ affat. ‘I don’t know’;
area). It is estimated that there are about 700 000 šahd, šad ‘honey’; and pōh, pō ‘intelligence.’
Brahui tribesmen, of whom only about 300 000
speak the language. Even those who speak Brahui
Syntax
are bilinguals in either Balochi or Siraki. There are
two views current among the scholars to explain the Word Classes
location of Brahui, which is far away from the main
The following word classes may be recognized for
Dravidian area. Whereas one view maintains that the
Brahui: nouns (including pronouns and numerals),
Brahuis lived where they are now located from
verbs, adjectives, adverbs (including expressives),
the earliest times, the other holds that they migrated
particles, and interjections. An adjective normally
to the current locations from that part of the main
occurs before the noun it qualifies but may be shifted
area that is occupied by the speakers of Kur. ux and
to the postnominal position for the sake of emphasis:
Malto.
jwān-ō hullı̄-as
good-INDEF horse-INDEF
Phonology ‘good horse’
The Brahui phonological system contains eight hullı̄-as jwān-ō
vowels and 28 consonants (see Tables 1 and 2). horse-INDEF good-INDEF
Proto-Dravidian short *e and short *o have been ‘good horse’
removed from the Brahui vowel system under the
influence of Balochi; *e developed into i/a and *o Nouns and adjectives characteristically distinguish
developed into u/a/ō (the exact conditionings are not between definite and indefinite forms. The basic
known). The ē and ō have shorter (and somewhat forms are definite and the corresponding indefinite
lower) allophones before a consonant cluster. ones are derived by adding -ō to the adjective base
The voiceless stops p, t, and k may optionally be and -as to the nominal base, as illustrated in the pre-
accompanied by aspiration in all positions (pōk/ ceding examples. A definite adjective that is monosyl-
phōk/phōkh ‘wasted’); however, aspirated stops in labic is often strengthened by the addition of -ā/-angā:
Indo-Aryan loans sometimes lose their aspiration in sun-angā šahr
the south (dhōbı̄/dōbı̄ ‘washerman’). The voiceless deserted village
lateral L is the most characteristic sound of Brahui ‘deserted village’
since it does not occur either in Proto-Dravidian
(PDr) or in the neighboring languages of Brahui. It An indefinite adjective can function also as a noun:
ball-ō
Table 1 Vowels of Brahui big-INDEF
‘big (one)’
Front Central Back

Short Long Short Long Short Long


An adverb occurs before the verb. Adverbs may be
divided into those of (1) time (e.g., dāsā ‘now,’ darō
High i ı̄ u ū ‘yesterday’, aynō ‘today’, pagga ‘tomorrow’), (2)
Mid ē ōō place (e.g., monat. ı̄ ‘forward’), and (3) manner (e.g.,
Low a ā
dawn ‘thus’). For particles, the enclitic pronouns
Brahui 105

Table 2 Consonants of Brahuia

Labial Dental Alveolar Retroflex Palatal Velar Glottal (VL)

VL VD VL VD VL VD VL VD VL VD VL VD

Stop p b t d t. d. c j k g
Nasal m n n.
Fricative f x G h
Sibilant s z š ž
Lateral L l
Trill r
Flap r.
Semivowel w y
a
Abbreviations: VD, voiced; VL, voiceless.

are very commonly used in Brahui. Whereas those for person are retained to refer to all categories: ō(d) ‘he/
the third person are used in dialects throughout the she/it’ (cf. Ta(mil). atu ‘it’, Te(legu). adi ‘she, it’) and
Brahui area, those for the first and the second persons ōfk ‘they’ (cf. Ta. av(ay), Te. avi ‘they (NEUT)’).
are more common in the Jahlawān dialect. They are
Agreement
suffixed to nouns or verbs. When added to a noun,
they carry the sense of a pronoun in the genitive case; A finite verb shows agreement with the subject
when added to a verb, they signal the direct or indi- pronoun for person and number (see Table 3).
rect object. The forms are: 1SG þ ka ‘my’, 2SG þ nē
‘your,’ 3SG þ ta ‘his/her/its’, 3PL þ tā ‘their’ (there are Noun Morphology
no plurals in the first and second persons):
A nominal base is followed by the plural suffix when
maL-ē þ ka plurality has to be expressed and then by a case suffix;
son-ACC/DAT þ 1ENCL a postposition is normally attached to the genitive
‘my son (accus.)/to my son’ form of a noun.
xalkus þ ka. Plural Suffix
strike-PAST-2SG þ 1ENCL
‘You struck me.’ The plural suffix is -k (variant -āk) in the nomina-
tive but -tē- before a nonnominative case suffix (see
Word Order Table 4); as in the South Dravidian languages, use of
the plural suffix is optional when plurality is
The favored word order in Brahui is subject-object-
understood from the context:
verb:
irā mār/mā-k (<*mār-k)
ı̄ dā kārēmē kar-ōı̄ ut. two son/son-PL
I this work do-NOM be.1SG ‘two sons’
‘I must do this work.’
Case Suffixes and Postpositions
Sentences Without the Copular Verb
The nominative is unmarked; locative I means ‘in’
Like most of the other Dravidian languages (espe- and locative II means ‘on, by’ (Table 4 shows all of
cially the southern ones), Brahui contains sentences the case forms of xal ‘stone’). The following example
without the copula in certain contexts: shows postpositions:
numā šahr-at. ı̄ at. urā/ō ka-nā nēmaGāı̄
your village-LOC how many house my towards
‘How many houses are there in your ‘towards me’
village?’
There are also a few prepositions, such as bē(d) ‘with-
out,’ of Perso-Arabic origin that have entered Brahui
Gender and Number
through Balochi.
Brahui, like Toda of South Dravidian, has no gender
Pronouns
distinction, but number (singular versus plural) is
distinguished (see later, Plural Suffixes). The original All of the pronouns are of Dravidian origin; however,
neuter forms (both singular and plural) of the third Brahui developed postclitic forms of personal
106 Brahui

Table 3 Finite tenses of tix- ‘to put’ Table 4 Case forms of xal ‘stone’

Tense Singular Plural Case Singular Plural

Past Nominative xal xal-k


1. tix-ā þ .t ‘I put’ tix-ā þ n Accusative-dative xal-ē xal-tē
2. tix-ā þ s tix-ā þ re Instrumental xal-at. xal-t-at.
3. tix-ā tix-ā þ r Comitative xal-tō xal-tē-tō
Imperfect Ablative xal-ān xal-tē-ān
1. tix-ā þ .t -a ‘I was putting’ tix-ā þ n-a Genitive xal-nā xal-tā
2. tix-ā þ s-a tix-ā þ re Locative I xal-(a).t ı̄ xal-tē-.t ı̄
3. tix-āk-a tix-ā þ r-a Locative II xal-ā(ı̄ ) xal-tē-ā(ı̄ )
Pluperfect
1. tix-ā þ sut ‘I had put’ tix-ā þ sun.
2. tix-ā þ sus tix-ā þ sure
3. tix-ā þ sas tix-ā þ sur by the addition of the transitive-causative suffix
Perfect -if (conditioned variant: -f ). This suffix converts
1. tix-ā-n þ ut. ‘I have put’ tix-ā-n þ un an intransitive into a transitive and an underived tran-
2. tix-ā-n þ us tix-ā-n þ ure sitive into the corresponding causative; it is, therefore,
3. tix-ā-n þ e tix-ā-n þ a
possible to use the suffix twice in a sequence, e.g., bin-
Present indefinite
1. tix-i-v ‘I may put’ tix-i-n ‘to hear,’ bin-if- ‘to cause to hear,’ ka - ‘to die,’ kas-f-
2. tix-i-s tix-i-re ‘to kill,’ and kas-f-if- ‘to cause (someone) to kill.’
3. tix-e tix-i-r
Future Finite Verbs
1. tix-o-.t ‘I will put’ tix-o-n
2. tix-o-s tix-o-re There are four kinds of past tense (past, imperfect,
3. tix-o-e tix-o-r pluperfect, and perfect), each with different shades of
Nonpast negative meaning, and all of them are periphrastic construc-
1. tix-pa-r ‘I will not put’ tix-pa-n tions involving the ‘be’ verb. The past stem, which
2. tix-p-ēs tix-p-ēre
is the basis for all of these, is formed by adding to
3. tix-p tix-pa-s
the base -b- (conditioned variants: -ē-, -k-, -g-, -is-, -s-,
-ss-). The following formulas give the structures of
these tenses:
and demonstrative pronouns under the influence of
Balochi (see preceding discussion, Word Classes). 1. Past: past stem þ present of ann- ‘to be.’
The first-person personal pronouns are ı̄ ‘I’ and nan 2. Imperfect: past þ a.
‘we’; the second-person personal pronouns are nı̄ 3. Pluperfect: past stem þ past of ann- ‘to be.’
‘you(singular)’ and num ‘you (plural).’ There is only 4. Perfect: past stem þ (u)n þ present of ann- ‘to be.’
the singular reflexive pronoun, tēn ‘self’. The interrog- The present indefinite, the future, and the nonpast
ative pronouns are dēr ‘who?’ and ant ‘what?’. The negative are morphological constructions with the
third-person forms show a threefold deictic distinc- following structures (these and the previously men-
tion: proximal dā(d) ‘(one) who is here’ (plural dāfk), tioned tenses are illustrated in Table 3 with the verb
medial ē(d) ‘(one) who is at some distance’ (plural ēfk), base tix- ‘to put’):
and distal ō(d) ‘(one) who is far off’ (plural ōfk).
1. Present indefinite: verb base þ i þ personal suffix.
2. Future: verb base þ o þ personal suffix.
Numerals
3. Nonpast negative: verb base þ pa þ personal
Only the cardinal numbers for one, two, and three are suffix.
of Dravidian origin (the forms without the final .t of
these function as adjectives); all others are borrowed There are some other syntactic constructions
from Balochi. The number ‘1’ is asi(t. ), ‘2’ is ira(t. ), and involving ann- ‘to be’ that need not be mentioned
‘3’ is musi(t. ). here. One noteworthy feature of Brahui is the
strategy of suffixing -a to form one type of finite
verb from another. The imperfect present-future and
Verb Morphology the negative present-future are thus formed from the
past present-indefinite and the nonpast negative,
Verb Bases
respectively.
A verb base in Brahui may be simple or complex. The imperative suffixes are 2SG -ø, 2PL -bo
The complex base is formed from the simple one (conditioned variant: -ibo):
Brahui 107

tix Brahui A R (1983). ‘History, background, objectives and


put-2SG achievements of the Brahui Academy, Quetta, Pakistan.’
‘Put!’ In Rossi A & Tosi M (eds.) Newsletter of Baluchistan
studies I. Naples.
tix-bo
Bray D (1909). The Brahui language I. Calcutta [Reprinted
put-2PL
in 1972 in Quetta].
‘Put (plural)!’
Bray D (1913). Life-history of a Brahui. London.
The corresponding negative imperative has the nega- Bray D (1934). The Brahui language II: The Brahui
tive suffix -pa- (conditioned variant: -fa-) between the problem. Delhi [Reprinted in 1978 in Quetta].
base and the imperative suffix: Bray D (1939). ‘Brahui tales.’ Acta Orientalia 17, 65–98.
DeArmond R (1975). ‘Some rules of Brahui conjugation.’ In
tix-pa Schiffman H & Eastman C (eds.) Dravidian phonological
put-NEG-2SG systems. Seattle: University of Washington. 242–298.
‘Don’t put (singular)!’ Elfenbein J (1982). ‘Notes on the Balochi-Brahui commens-
ality.’ Transactions of the Philological Society. 77–98.
tix-pa-bo.
Elfenbein J (1983). ‘The Brahui problem again.’ Indo-Iranian
put-NEG-2PL
Journal 25, 103–132, 191–209.
‘Don’t put (plural)!’
Elfenbein J (1987). ‘A periplus of the Brahui problem.’
Studia Iranica 16, 215–233.
Nonfinite Verbs Elfenbein J (1997). ‘Brahui phonology.’ In Kaye A (ed.)
Phonologies of Asia and Africa. Winona Lake, IN:
The present adverb has the suffix -isa: Eisenbrauns. 797–811.
bis-isa Elfenbein J (1998). ‘Brahui.’ In Steever S B (ed.) The
bake-PRES ADV Dravidian languages. London and New York: Routledge.
‘baking’ 388–414.
Emeneau M B (1937). ‘Phonetic observations on the Brahui
The present adjective has the suffix -ok: language.’ Bulletin of the School of Oriental and African
Studies 8(4), 981–983.
bin-ok
Emeneau M B (1962a). Brahui and Dravidian comparative
hear-PRES ADJ
grammar. Berkeley: University of California Publications
‘that hear(s)’
in Linguistics.
The infinitive-cum-action noun is formed by adding Emeneau M B (1962b). ‘Bilingualism and structural bor-
-ing (conditioned variant: -ēng) to the verb base: rowing.’ Proceedings of the American Philosophical
Society 106, 430–442.
bin-ing Emeneau M B (1991). ‘Brahui personal pronouns, first
hear-INF/VN singular and reflexive.’ In Bai B L & Reddy B R (eds.)
‘to hear, hearing’ Studies in Dravidian and general linguistics (a Festschrift
for Bh. Krishnamurti). Hyderabad: Osmania University.
1–12.
See also: Afghanistan: Language Situation; Dravidian Grierson G (1906). Linguistic survey of India, vol. 4: the
Languages; Iran: Language Situation; Pakistan: Lan- Munda and Dravidian languages. Calcutta.
guage Situation. Grierson G (1921). Linguistic survey of India, vol. 10:
Eranian family. Calcutta.
Mayer T J L (1906–1907). A Brahui reading book (vols.
Bibliography
I–III). Ludhiana [Reprinted in one volume in 1983 by the
Bausani A (1969). ‘La letteratura Brahui.’ In Botto O (ed.) Brahui Academy, Quetta.].
Storia delle letterature d’Oriente II. Rome. 649–657. Tate G P (1909). The frontiers of Baluchistan. London.
108 Braille, Louis (1809–1852)

Braille, Louis (1809–1852)


A Bowers Louis Braille was born in 1809 at Coupvray (Seine-
! 2006 Elsevier Ltd. All rights reserved. et-Marne), the son of a saddler. At age 3, playing in
his father’s workshop, he injured one eye with a sharp
This article is reproduced from the previous edition, volume 1, instrument; complications resulted that led to total
pp. 396–397, ! 1994, Elsevier Ltd. blindness. In time his father attempted to teach him to
read the Roman letter shapes from wooden blocks
Louis Braille’s system is used worldwide to enable the studded with nails, but this could only serve as a
blind to read and write by means of raised dots that are beginning. At 10, in 1819, Braille was sent to an
impressed from the reverse side of a page and read with institution for blind children, in Paris (the Institution
the fingertips. The original system has been adapted des Jeunes Aveugles), which had been founded five
to facilitate the notation of many other written forms, years earlier by Professor Valentin Haüy. Here,
including non-European languages, shorthand, math- the teaching of reading seems to have been only
ematical and scientific characters, and music. slightly more advanced than that which the boy had

Figure 1 Standard English Braille. (Reproduced by kind permission of the Royal National Institute for the Blind, London, UK.)
Brands and Logos 109

experienced at home: again it relied on raised Roman The Braille system revolutionized the speed of stu-
letter shapes, though Professor Haüy is credited with dents’ reading, and would have opened the way to
embossing them on paper for his students. large-scale embossed printing of books if the support
At this time a former military officer, Charles Barbier, of the authorities and funding had been available. In
had researched a method for night-communication in fact throughout his life Braille faced stubborn resis-
battle by a code of dots embossed on cardboard, tance from sighted teachers who insisted that the
which he maintained would also benefit blind Roman letter shapes must be used, and several dec-
students. In 1824, however, at the age of 15, Braille ades passed before his system was adopted widely in
adapted the existing ideas into a system whereby as Europe. Its simplicity, compactness, and the speed
many as 63 letters, abbreviations, and numbers could with which it could be used would finally ensure its
be embossed, requiring only a 6-dot code. adoption. Braille died at 43, however, from tubercu-
The code for each symbol or word was embossed losis, before his system was in common use even in his
from the back of the page using an awl and a native France.
perforated ruler, and arranged in a ‘cell’ or domino The only viable alternative that does not use
formation offering six possible dots, with extra guide encoded print is Moon Type, which was perfected in
symbols to multiply their possibilities. The columns 1845 by William Moon, a printer from Brighton, UK.
were set about 3 mm apart, slightly more widely Moon Type uses Roman capital letters, and is valuable
spaced than in present-day Braille. The inventor for users who have lost their sight late in life.
published this revolutionary system in 1829, by
which time he was a teacher at the Institution. An
accomplished musician, he also adapted his system to Bibliography
enable musical notation to be embossed. Braille, Primer (rev. edn.). Peterborough: Royal National
Figure 1 is an example of the Standard English Institute for the Blind.
Braille dots representing letters and letter groups, Henri P (1987). (transl.) The life and work of Louis Braille
together with some of the wide range of contractions, 1809–1852: inventor of the alphabet for the blind. Pre-
punctuation, and mathematical signs. toria: South African National Council for the Blind.

Brands and Logos


M Danesi, University of Toronto, Toronto, Canada 1980) in 1957. It now constitutes a branch of semiot-
! 2006 Elsevier Ltd. All rights reserved. ics, generally called marketing semiotics (e.g., Wolfe,
1989; Umiker-Sebeok, 1987; Berger, 2000; Beasley
and Danesi, 2002; Danesi, 2002).
Introduction
The technique of promoting products by identifying
Brands and Advertising
them with the name of the manufacturer or with some
invented name, known as the brand name, has be- The modern history of brands and ‘persuasion’ adver-
come a primary marketing strategy since the turn of tising overlap considerably (see Marketing and Semi-
the 20th century. It was (and continues to be) based otics: From Transaction to Relation). It is impossible
on the premise that the appeal of a product, called the to advertise ‘nameless’ products with any degree of
‘brand,’ increases if it can be linked to socially sig- persuasion. Brand names imbue products with iden-
nificant trends and values that the name evokes sub- tities in the same way that names given to human
consciously. Turning a product into a brand thus beings give them a distinct identity. It was in the
transforms it into a sign – something that stands for 20th century that advertising evolved into a science
something other than itself – that taps into social of persuasion intended to influence people to perceive
meaning systems that govern lifestyle, values, beliefs, objects of consumption as ‘necessary’ accouterments
and the like. For this reason, the semiotic study of of life, leading to a widespread, insatiable appetite for
brand creation as a central strategy of consumerist new objects of consumption in general ‘groupthink.’
cultures has become widespread. Its origin can be Roland Barthes (1957) coined the term ‘neomania’ to
traced to the general study of popular culture as a characterize this type of groupthink (see Mythologies
‘mythological sign system’ by Roland Barthes (1915– in Pop Culture).
Brands and Logos 109

experienced at home: again it relied on raised Roman The Braille system revolutionized the speed of stu-
letter shapes, though Professor Haüy is credited with dents’ reading, and would have opened the way to
embossing them on paper for his students. large-scale embossed printing of books if the support
At this time a former military officer, Charles Barbier, of the authorities and funding had been available. In
had researched a method for night-communication in fact throughout his life Braille faced stubborn resis-
battle by a code of dots embossed on cardboard, tance from sighted teachers who insisted that the
which he maintained would also benefit blind Roman letter shapes must be used, and several dec-
students. In 1824, however, at the age of 15, Braille ades passed before his system was adopted widely in
adapted the existing ideas into a system whereby as Europe. Its simplicity, compactness, and the speed
many as 63 letters, abbreviations, and numbers could with which it could be used would finally ensure its
be embossed, requiring only a 6-dot code. adoption. Braille died at 43, however, from tubercu-
The code for each symbol or word was embossed losis, before his system was in common use even in his
from the back of the page using an awl and a native France.
perforated ruler, and arranged in a ‘cell’ or domino The only viable alternative that does not use
formation offering six possible dots, with extra guide encoded print is Moon Type, which was perfected in
symbols to multiply their possibilities. The columns 1845 by William Moon, a printer from Brighton, UK.
were set about 3 mm apart, slightly more widely Moon Type uses Roman capital letters, and is valuable
spaced than in present-day Braille. The inventor for users who have lost their sight late in life.
published this revolutionary system in 1829, by
which time he was a teacher at the Institution. An
accomplished musician, he also adapted his system to Bibliography
enable musical notation to be embossed. Braille, Primer (rev. edn.). Peterborough: Royal National
Figure 1 is an example of the Standard English Institute for the Blind.
Braille dots representing letters and letter groups, Henri P (1987). (transl.) The life and work of Louis Braille
together with some of the wide range of contractions, 1809–1852: inventor of the alphabet for the blind. Pre-
punctuation, and mathematical signs. toria: South African National Council for the Blind.

Brands and Logos


M Danesi, University of Toronto, Toronto, Canada 1980) in 1957. It now constitutes a branch of semiot-
! 2006 Elsevier Ltd. All rights reserved. ics, generally called marketing semiotics (e.g., Wolfe,
1989; Umiker-Sebeok, 1987; Berger, 2000; Beasley
and Danesi, 2002; Danesi, 2002).
Introduction
The technique of promoting products by identifying
Brands and Advertising
them with the name of the manufacturer or with some
invented name, known as the brand name, has be- The modern history of brands and ‘persuasion’ adver-
come a primary marketing strategy since the turn of tising overlap considerably (see Marketing and Semi-
the 20th century. It was (and continues to be) based otics: From Transaction to Relation). It is impossible
on the premise that the appeal of a product, called the to advertise ‘nameless’ products with any degree of
‘brand,’ increases if it can be linked to socially sig- persuasion. Brand names imbue products with iden-
nificant trends and values that the name evokes sub- tities in the same way that names given to human
consciously. Turning a product into a brand thus beings give them a distinct identity. It was in the
transforms it into a sign – something that stands for 20th century that advertising evolved into a science
something other than itself – that taps into social of persuasion intended to influence people to perceive
meaning systems that govern lifestyle, values, beliefs, objects of consumption as ‘necessary’ accouterments
and the like. For this reason, the semiotic study of of life, leading to a widespread, insatiable appetite for
brand creation as a central strategy of consumerist new objects of consumption in general ‘groupthink.’
cultures has become widespread. Its origin can be Roland Barthes (1957) coined the term ‘neomania’ to
traced to the general study of popular culture as a characterize this type of groupthink (see Mythologies
‘mythological sign system’ by Roland Barthes (1915– in Pop Culture).
110 Brands and Logos

The dawn of advertising as a science of persuasion it, and so on are tailored to reflect class and appurte-
was signaled by the establishment and rapid growth nant lifestyle distinctions. The register of the language
of ‘advertising agencies’ at the end of the 19th centu- used by the characters in Mercedes Benz ads, for
ry. These started composing newspaper ads, posters, instance, is sociolinguistically higher than that used
and billboards for clients that related the qualities of a by characters in Dodge van ads.
product not in themselves, but in relation to specific Creating an ‘image’ for a brand inheres in fash-
social and lifestyle trends. By the 1920s, such agencies ioning a recognizable ‘personality’ for it so that it
had become themselves large business enterprises, can be positioned for specific market populations.
continuously turning to psychologists to help them Personality in this case refers to the traits and quali-
develop techniques and methods designed to influ- ties that a potential consumer of the brand uncon-
ence the ‘typical consumer’ of the product. Business sciously possesses or aspires to have. The image is a
and psychology had clearly joined forces, broadening sign constructed with an amalgam of signifiers (actual
the attempts of their predecessors to build an uncon- forms) – the brand name, design, logo, price, and
scious bridge between a product and the consumer by overall presentation of the product. This amalgam
playing on his or her emotional needs, fears, and creates is fashioned to appeal to specific consumer
expectations. With the entrenchment of electronic types – hence the term personality (as mentioned).
media (radio and television) in the 1940s and 1950s Take alcohol brands as an example. What kinds of
as mass communication outlets, advertising became people drink beer? And what kinds drink aperitifs? In
itself a mass communication strategy, imprinting in current American culture, answers to these questions
groupthink the perception that objects of consump- would typically include remarks about the education-
tion were necessarily intertwined with the style and al level, class, social attitudes, etc., of the consumer.
content of everyday life – a perception reinforced The one who drinks beer is portrayed in ads as a
today through Internet advertising. down-to-earth character who simply wants to ‘hang
The influence of brand advertising on society is out’ with friends; the one who drinks an aperitif is
unmistakable. Its language has become the language portrayed instead as a smooth, sophisticated type. The
of virtually everyone – even of those who are critical idea behind creating an image for the brand is, clearly,
of it. This is because of its omnipresence in the social to speak directly to particular types of individuals,
landscape. As Twitchell (2000: 1) aptly puts it, ‘‘Lan- not to everyone, so that these individuals can see their
guage about products and services has pretty much own personalities mirrored in the lifestyle images
replaced language about all other subjects.’’ The ob- created by the appurtenant advertising.
jective of brand advertising is, in fact, to get people to Brand identity is often also created by the tech-
assimilate and react to advertising discourse unwit- nique of mythologization. This is the strategy of im-
tingly and in ways that parallel how individuals and buing a brand with some mythic meaning, such as the
groups have responded in the past to other kinds of quest for eternal beauty, the conquest of death, and so
‘authoritative’ social discourse (such as religious dis- on. This is an especially widespread in the case of
course). Advertising language has become one of cosmetic and beauty products. The eternal beauty
the most ubiquitous and persuasive forms of social myth can be seen in the images that advertisers create
discourse of the modern era. There are now even for such products. The characters in the relevant ads
websites, such as AdCritic.com, that feature ads for are, typically, attractive people with a deified, mythic
their own sake, so that audiences can view them for quality about them. They are not unlike the statues
their rhetorical and aesthetically pleasing qualities of ancient Greek gods like Apollo and Aphrodite.
alone. In effect, through positioning, image-creation, and
mythologization, the modern advertiser stresses not
the brand’s qualities as a product or service, but
Creating Brand Identity
rather the personality image that can be associated
The main techniques that go into the creation of with it.
brand identity are called ‘positioning,’ ‘image-
creation,’ and ‘mythologization.’ Positioning is the
Brand Names
placing or targeting of a brand for the right market
segment. For example, ads for the Mercedes Benz Creating an identity for a product is tantamount to
automobile are aimed typically at socially upscale creating a ‘signification system’ for it – a system of
car buyers, whereas ads for Dodge vans are designed meanings that are relevant to specific kinds of indi-
to appeal (make sense) to middle-class individuals. viduals. This is achieved, first and foremost, by giving
The language of the ad, the lifestyle characteristics it a ‘brand name.’ The product, like a person, can
displayed in it, the overall ‘look’ of the personages in then be easily differentiated from other products.
Brands and Logos 111

The legal term for brand name is ‘trademark.’ It is observes, the market was starting to be flooded by
little wonder that trademarks are so fiercely protected uniform mass-produced and, thus, indistinguishable
by corporations and manufacturers. So powerful are products: ‘‘Competitive branding became a necessity
they as identifiers that some have gained widespread of the machine age.’’ By the early 1950s, it became
currency, becoming general terms for the product obvious that branding was not just a simple strategy
type in common discourse. Examples include ‘aspi- for product differentiation but the very semiotic fuel
rin,’ ‘scotch tape,’ ‘cellophane,’ and ‘escalator.’ Most that propelled corporate identity and product recog-
brand names appear on the product, on its container, nizability. Even the advent of no-name products,
and in advertisements for the product. These provide, designed to cut down the cost of purchase, have
in effect, an easy way to determine who makes a had little counter-effects on the power that branding
certain product, helping consumers easily identify has had on the consciousness of people. Names such
what they like about it so that they can purchase it as Nike, Apple, Body Shop, Calvin Klein, Levi’s,
again. A brand represents not only a certain social Coke, Pepsi, among many others, have become
meaning, but also the manufacturer’s reputation and ‘culture-wide signs’ recognized by virtually anyone
good will. living in a modern consumerist society. As Klein
A so-called ‘strong brand’ is a product name that (2000: 16) goes on to remark, for such brands, the
has no recognizable meaning, such as Kodak. Strong name constitutes ‘‘the very fabric of their companies.’’
brands receive broad protection from being used by To continue to be effective, however, brands must
other companies who might play on the name in keep in step with the times. In early 2000, some car-
order to cause confusion among consumers. ‘Weak makers, for instance, started looking at naming
brands,’ on the other hand, are product names creat- trends that were designed to appeal to a new genera-
ed with common words, such as Premier, some of tion of customers accustomed to an Internet style of
which refer to a characteristic of the product (e.g., communication and representation. Cadillac, for in-
Wet ‘n Wash). These receive less protection, unless the stance, announced a new model with the monogram
public identifies them with a certain manufacturer as name CTS in 2001 and STS in 2005. Acura also
a result of extensive advertising and long, continuous transformed its line of models with names such as
use. TL, RL, MDX, RSX. Such ‘alphabetic names’ evoke
A brand was, originally, a recognizable mark made images of accuracy, technology, and sleekness in an
on the flesh of animals with a hot iron so as to identify analogy with similar abbreviating tendencies in sci-
ownership and qualities of the animals. The ancient ence at large – e.g., ‘laser’ for ‘l(ight) a(mplification)
Egyptians branded livestock as early as 2000 B.C.E. In by s(timulated) e(mission of) r(adiation).’ They are
the late medieval period, tradespeople and guild also consistent with ‘Internet style,’ a telegraphic
members posted characteristic visual ‘marks’ outside form of language that spawns monogrammatic and
their shops for the same basic reasons – to identify the alphanumeric signifiers on a daily basis. Hyundai’s
owner and quality of the product or service. Visual XG300 model, for instance, sounds perfect for Inter-
signs were used because most people were not literate net times. On the other side of the naming equation,
at the time. Such signs became, a little later, the such abbreviations are hard to remember, especially
‘marks of the trade’ or ‘trademarks.’ Shops selling for older customers who have not yet tapped into
medieval swords and ancient Chinese pottery, for Internetese.
instance, bore visual signs that buyers could identify As the above examples show, brand names are
and use, when put on the products themselves, to devised intentionally to create a signification system
ascertain their origin and determine their quality. for products. At a practical informational level, nam-
Among the best-known trademarks surviving from ing a product has, of course, a denotative function;
that era are the striped pole of the barbershop and that is, it allows consumers to identify what product
the three-ball sign of the pawnbroker shop. they desire to purchase (or not). But at a connotative
Names for common products, such as household level, the product’s name generates images that go
ones, were first used towards the end of the 19th well beyond this simple identifier function (see Deno-
century. Previously, everyday household products tation versus Connotation). In the world of fashion,
were sold in neighborhood stores from large bulk for instance, designer names such as Gucci, Armani,
containers. Around 1880, soap manufacturers started and Calvin Klein evoke connotations of the clothes as
naming their products so that they could be identified objets d’art rather than images of mere clothing items,
and differentiated for their qualities. The first of these shoes, or jewelry; so too do names such as Ferrari,
were Ivory, Pears’, Sapolio, and Colgate. The concept Lamborghini, and Maserati in the domain of auto-
of the brand name thus came into being, spreading mobiles. The manufacturer’s name, in such cases,
rapidly because, as Naomi Klein (2000: 6) aptly extends the meaning of the product considerably.
112 Brands and Logos

When people buy an Armani or a Gucci product, they Maxima


feel that they are buying a work of art to be displayed Precidia
on the body; when they buy Poison, by Christian Dior, Samara
they sense instead that they are buying a dangerous, Sentra
but alluring, love potion; when they buy Moondrops, Serenia
Natural Wonder, Rainflower, Sunsilk, or Skin Dew Sonata
cosmetics they feel that they are acquiring some of
Brand names are clearly powerful signs, because
nature’s beauty resources; when they buy Eterna 27,
they are suggestive of various qualities or attributes,
Clinique, Endocil, or Equalia beauty products they
either explicitly or implicitly. Here are examples of
sense that they are getting products made with scien-
some of the strategies that are used to bring about
tific precision; and so on.
overt or implicit suggestion.
Another common brand naming strategy involves
iconicity – the strategy of creating names that resem- 1. Brand names that are the names of the actual
ble or assign some sensory property or social meaning manufacturers imply ‘tradition,’ ‘reliability,’ and,
to a product (see Iconicity: Theory). Iconicity is an in the case of lifestyle products such as clothes,
effective strategy, because it renders the products ‘artistry,’ ‘sophistication,’ and ‘beauty’:
highly memorable. A name such as Ritz Crackers, Armani
for example, assigns sonority to the product that is Bell
simulative of sounds that crackers make as they are Benetton
being eaten. Another example of an iconic brand Calvin Klein
name is Drakkar Noir, chosen by Guy Laroche for a Folger’s
cologne product. Together with the dark bottle, the Gillette
name conveys images of ‘fear,’ the ‘forbidden,’ and Gucci
the ‘unknown.’ Forbidden things take place under the Kraft
cloak of the night; hence the name noir (French etc.
for ‘black’). The sepulchral name Drakkar Noir is 2. Brand names referring to real or fictitious people
clearly iconic with the bottle’s design at a connotative elicit images built culturally into the bearers of the
level, reinforcing the idea that something desirous actual name (e.g., Wendy’s evokes the image a
in the ‘dark’ will happen by splashing on the co- friendly young girl), or else suggest qualities that
logne. The word Drakkar is obviously suggestive of the name itself is designed to emphasize (e.g., Mr.
Dracula, the deadly vampire who came out at night Clean):
to mesmerize his sexual prey with a mere glance. Aunt Jemima
The name of the Acura automobile, to give another Barbie (the doll)
example of the use of iconicity, was likely designed Ken (the doll)
to be imitative of both Italian and Japanese words. McDonald’s
Italian feminine nouns end in -a and certain Japanese Mr. Clean
words end in the suffix -ura (e.g., tempura). The Wendy’s
brand name is thus linked iconically to Italian and etc.
Japanese words and, by extension, the perceived qua- 3. Names identifying the geographical location of a
lities of the respective cultures at once. Carmakers product or of a company suggest stability and
have used the same strategy of creating car names tradition:
ending in the vowel -a which, given the inbuilt melo- American Bell
dious quality of such a word, makes it not only easier Southern Bell
to remember but also suggestive of specific qualities. Western Union
Here are a few examples: etc.
4. Names designed to refer to some aspect of nature
Achieva
bestow upon the product the meanings that the
Altima
particular aspect evokes:
Asuna
Aqua Velva
Aurora
Cascade
Corsica
Mountain Dew
Elantra
Surf
Festiva
Tide
Integra
etc.
Lumina
Brands and Logos 113

5. Names indicating the kinds of things that can be Table 1 Brand names and the signification systems they evoke
done with the product, such as a vehicle, or the Brand names Signification systems
kinds of places that can be visited with it, evoke
connotations of lifestyle such as ‘country living,’ Superpower, Multicorp, Future ‘big picture,’ ‘forward-looking,’
‘back-to-nature living,’ ‘wild-west lifestyle,’ ‘city Now, Quantum Health ‘strong,’ ‘powerful,’ etc.
Resources, PowerAde, etc.
life,’ and so on: People’s Choice, Advantage ‘free-spirited,’
Dodge Durango Plus, Light N’ Easy, Viewer’s ‘advantageous,’
Ford Escape Choice, etc. egalitarian,’ ‘common,’
Ford Expedition ‘friendly,’ etc.
Ford Explorer Biogenical, Technics, ‘scientific,’ ‘methodical,’
Panasonic, Vagisil, Anusol, ‘fool-proof,’ ‘accurate,’
Hyundai Santa Fe Proof Positive, Timex, etc. ‘reliable,’ etc.
Jeep Grand Cherokee Coronation, Morning Glory, ‘conquering,’ ‘regal,’
Jeep Renegade Burger King, Monarch’s ‘majesty,’ ‘nobility,’
Jeep Wrangler Flour, etc. ‘blue-blooded,’ etc.
Mercury Mountaineer Wash ‘N Wear, Drip-Dry, Easy ‘user-friendly,’ ‘simple,’
Clean, Okay Plus, etc. ‘uncomplicated,’ ‘basic,’ etc.
etc. General Electric, General ‘all-encompassing’
6. Names constructed as hyperboles emphasize prod- Mills, General Dynamics, ‘widespread,’ ‘popular,’ etc.
uct ‘superiority’ and ‘excellence’: General Foods, etc.
MaxiLight Cheer, Joy, etc. ‘happy,’ ‘bright,’ ‘friendly,’
SuperFresh ‘smiling,’ etc.
Pledge, Promise, etc. ‘trustworthy,’ ‘reliant,’
UltraLite ‘secure,’ etc.
etc.
7. Names created as combinations of words describe
a product in a ‘poetic’ way:
Frogurt (¼ Frozen þ Yogurt) entails an unconscious signification system – a set of
Fruitopia (¼ Fruit þ Utopia) connotations – of one kind or other. It is this system
Yogourt (¼ Yogurt þ Gourmet) that is used and reused for various advertising
etc. purposes. Indeed, the more connotations a name
8. Names designed to indicate what the product can evokes, the more powerful it is and, as a consequence,
do set off images of ‘user-friendliness’: the more possibilities it offers to the advertiser for
Easy On creating truly effective ads and commercials. The
Easy Wipe higher the ‘connotative index’ of a signification sys-
Kleenex tem, as it has been called (Beasley and Danesi, 2002),
Lestoil the greater its market appeal.
One Wipe Table 1 shows just a few examples of how signifi-
Quick Flow cation systems are generated by brand names.
etc. Naming a product makes it possible to refer to it as
9. Brand names designed to indicate what can be if it had a distinctive character or quality – ‘I don’t
accomplished with the product are also suggestive trust Colgate products; they’re useless’; ‘I will only
of ‘user-friendliness’ and ‘goal-achievement’: buy Quaker Oats; it suits me perfectly’; etc. It is
Air Fresh meaningless to say something like ‘I don’t trust the
Bug Off toothpaste that has blue stripes in it’; or ‘I will buy
Close-Up Toothpaste only the cereal that has an oat-like taste to it.’ More-
No Sweat over, a product with a name has the capacity, by its
etc. very nature, to tap into the brain’s capacity to store
meaningful categories in the form of language. A word
Even in relaying straightforward information, such classifies something, keeps it distinct from other
as identifying the manufacturer (Bell, Kraft, etc.), things, and, above all else, allows it to have meaning
indicating the geographical location of the company over and above itself. The name Ivory, for example,
(Southern Bell, American Bell, etc.), describing what evokes an image of something ‘ultrawhite,’ Royal
the product can do (Easy On, Quick Flow, etc.), and Baking Powder of something ‘regal’ and ‘splendid,’
so on, brand names nevertheless create significa- Bon Ami of ‘a good friend,’ and so on. Such sugges-
tion systems. The name Bell, for instance, evokes tive images stick in the mind in the same way that the
meanings of ‘tradition’ and ‘reliance’ that familiarity meanings of words do. They become an unconscious
with the name kindles. In effect, every brand name part of our semantic memory system.
114 Brands and Logos

It is little wonder that the term ‘brand’ is no longer man named Rob Janoff of Regis McKenna Advertis-
used today just to refer just to a specific product line, ing, has consistently denied any intent to connect the
but also to the company that manufactures it, to the logo to the Genesis story, claiming instead that he put
image that the company wishes to impart of itself and the bite there in order to ensure that the figure not be
of its products, and to the ‘personality structure’ that confused with a tomato. Whatever the truth, the bite
is perceived in users of the product. Thus, the name in the logo evokes the Genesis story nonetheless.
Coca-Cola now refers not only to the actual soft As another example, consider the Playboy logo of a
drink, but also to the company itself, the social bunny wearing a bow tie. Its ambiguous design opens
meanings that drinking Coke entails, and so on and up at least two interpretive chains:
so forth. Coca-Cola went on sale as a headache
1. rabbit ¼ ‘female’ ¼ ‘highly fertile’ ¼ ‘sexually ac-
and hangover remedy on May 8, 1886 at Jacob’s
tive’ ¼ ‘promiscuous’ ¼ etc.
Pharmacy in Atlanta. It was created by local pharma-
2. bow tie ¼ ‘elegance’ ¼ ‘night club scene’ ¼ ‘finesse’
cist John S. Pemberton from South American cocoa
¼ etc.
shrub leaves, an extract of African kola nuts, and fruit
syrup. It was Pemberton’s bookkeeper who named The appeal and staying power of this logo is due,
the product ‘Coca-Cola’ and who suggested writing arguably, to this inbuilt dual signification system. By
its name with the familiar flowing script that virtually not being able to pin down what the actual meaning of
everyone recognizes. The drink was subsequently the logo is, we start experiencing the sign holistically
promoted with such slogans as ‘‘Wonderful nerve and, thus, as an artistic text or mysterious pictograph.
and brain tonic and remarkable therapeutic agent’’ Logos have now become part of a culture-wide
and ‘‘Its beneficial effects upon diseases of the vocal visual symbolism that interconnects products with
chords are wonderful.’’ In 1891, Atlanta pharmacist daily life. Until the 1970s, logos on clothes, for in-
Asa G. Candler acquired ownership of Coca-Cola, stance, were concealed discretely inside a collar or on
changing its image from a ‘tonic’ to that of a popular a pocket. Today, they can be seen conspicuously on all
5¢ soft drink that could be drunk together with fami- kinds of products, indicating that society has become
ly and friends – an image that has persisted to this day ‘logo conscious.’ Ralph Lauren’s polo horseman,
and is the basis of Coca-Cola’s continued commercial Lacoste’s alligator, and Nike’s ‘swoosh’ symbol, to
success. mention but three, are now shown prominently on
That image was created at first by imprinting the clothing items, evoking images of heraldry and, thus,
Coca-Cola name on drinking glasses, providing them nobility. They constitute symbols of ‘cool’ (Klein,
to diners and other eateries that featured ‘pop’ and 2000: 69) that legions of people are seemingly eager
foods meant to be eaten quickly and cheaply. From to put on view in order to convey an aura of high class
then, Coca-Cola has coopted socially significant ‘blue-blooded’ fashionableness.
themes, from the brotherly love and peace espoused To see why logos are so powerful psychologically,
during the counterculture era of the late 1960s and consider briefly the Nike symbol, which is found on
early 1970s with its ‘‘I’d like to teach the world to sing the shoe brand. As a visual sign suggesting speed, it
in perfect harmony’’ campaign, to the ‘‘Coke is the works on several levels, from the iconic to the mythi-
real thing’’ campaign shortly thereafter, to 2000’s cal. At the iconic level, it implies the activity of run-
campaigns showing Coke as the drink of Olympic ning at top speed with the Nike shoe; at the mythic
athletes. level, it taps into the idea of speed as symbolic of
power and conquest (such as in the Olympic races).
The combination of these two signifying levels creates
Logos
a perception of the logo, and thus the product, as
Logos (an abbreviation of ‘logogriphs’) are the picto- having a connection to both reality and narrative
rial counterparts of brand names. They are designed history. Nike was the goddess of victory in Greek
to reinforce the signification system for a product mythology. An ancient statue of Nike shows a winged
through the visual channel. Consider the apple logo female figure alighting on the prow of a ship, presum-
adopted by the Apple Computer Company. As a visu- ably to crown the ship’s commander. Her garments,
al iconic sign suffused with latent religious symbol- wet with spray and blown by her flight, whip about
ism, it strongly suggests the story of Adam and Eve in her body.
the Western Bible, which revolves around the eating Given their psychological power, it is little wonder
of forbidden fruit (probably the apple) that contained that logos are used as well by noncommercial enter-
forbidden knowledge. The logo reinforces this sym- prises and organizations. One of the most widely
bolic association because it shows an apple that has known ones is the peace sign, often worn on chains
had a bite taken from it. The creator of the logo, a and necklaces. Derived from an ancient runic symbol
Brands and Logos 115

of despair and grief, it became the logo for philoso- Mouse to be reproduced on school slates, effectively
pher Bertrand Russell’s (1872–1970) ‘Campaign for transforming the character into a logo. A year later
Nuclear Disarmament’ in the 1950s. The logo’s first Mickey Mouse dolls went into production and
widespread exposure came when it surfaced in the throughout the 1930s the Mickey Mouse brand
1962 sci-fi film The Day the Earth Caught Fire, lead- name and image were licensed with huge success. In
ing to its adoption by the counterculture youth of 1955, The Mickey Mouse Club premiered on US
the era. network television, further entrenching the brand
In a fundamental sense, a logo is a pictograph – a and image – and by association all Disney products
picture used to express ideas. The inbuilt emotional – into the cultural mainstream.
appeal of pictography is likely the reason why the Analogous ‘branding events’ have repeated them-
alphabet character X has become a kind of ersatz selves throughout modern society. The idea is to get
logo for everything from movies to sports names: the brand to become intertwined with cultural spec-
e.g., Nissan’s X-Terra model, X-treme sports, the tacles (movies, TV programs, etc.) and thus indistin-
movie action hero ‘Triple X,’ XXX movies, and so guishable as a sign from other culturally meaningful
on. The letter X has become a kind of ‘macrologo’ signs and sign systems. Because of the Disney Corpo-
that is synonymous with youth, danger, and excite- ration, toys, children’s TV programming, childhood
ment, even though it has been around for centuries as films, videos, DVDs, theme parks, and the like have
the mathematical variable par excellence, as a signa- become part of the modern perception of childhood
ture used by those who cannot write, as a blasphe- as a Fantasyland world. This is why children now
mous letter assigned to cartoon bottles of alcohol and experience their childhood through such products.
boxes of dynamite, and as a symbol marking a secret
treasure on a pirate’s map. ‘X’ has always constituted See also: Barthes, Roland: Theory of the Sign; Denotation
a pictography of various meanings that predate versus Connotation; Iconicity: Theory; Marketing and Se-
miotics: From Transaction to Relation; Media: Semiotics;
X-treme sports and X-File TV programs.
Mythologies in Pop Culture.
X is powerful because it conjures up images of
things that are just beyond the realm of information,
or beyond decency and righteousness. In today’s sex- Bibliography
ually charged culture, ‘X’ on a product means ‘Buy Barthes R (1957). Mythologies. Paris: Seuil.
me, I’m X-rated and X-citing.’ ‘X’ is, in a phrase, Beasley R & Danesi M (2002). Persuasive signs: the semi-
one of the most provocative symbols of contempo- otics of advertising. Berlin: Mouton de Gruyter.
rary logo culture, characterizing it in a compact Berger A A (2000). Ads, fads, and consumer culture:
yet accurate way. And the reason is, ultimately, be- advertising’s impact on American character and society.
cause it reverberates with mythical symbolism that Lanham: Rowman & Littlefield.
reaches back to the origin of pictography as a craft Danesi M (2002). Understanding media semiotics. London:
controlled by those in power. It is a modern-day Arnold.
hieroglyph. Danna S R (1992). Advertising and popular culture: studies
The only way to explain why we extract so much in variety and versatility. Bowling Green, OH: Bowling
Green State University Popular Press.
meaning from a simple letter is, in fact, to see it as a
Dyer G (1982). Advertising as communication. London:
product of an unconscious pattern of pictorial sym- Routledge.
bolism that continues to have emotional hold on the Forceville C (1996). Pictorial metaphor in advertising.
modern mind. Its particular design – a cross symbol London: Routledge.
that has been rotated 45 degrees – reverberates with Goffman E (1979). Gender advertisements. New York:
contradiction and opposition. No wonder that adver- Harper and Row.
tisers, manufacturers, Hollywood moguls, and all the Goldman R & Papson R (1996). Sign wars: the cluttered
other image-makers of contemporary pop culture landscape of advertising. New York: Guilford.
have adopted it as a symbol of ‘cool.’ Jhally S (1987). The codes of advertising. New York:
St Martin’s Press.
Jones J P (ed.) (1999). How to use advertising to build
Conclusion strong brands. London: Sage.
Key W B (1972). Subliminal seduction. New York: Signet.
As mentioned, brands and logos are now created
Key W B (1976). Media sexploitation. New York: Signet.
to name not just products, but entire corporations Key W B (1980). The clam-plate orgy. New York: Signet.
(IBM, Ford, etc.) and even specific characters that Key W B (1989). The age of manipulation. New York:
represent, in some way, a corporation. Take, for ex- Henry Holt.
ample, the Disney Corporation cartoon character Klein N (2000). No logo: taking aim at the brand bullies.
Mickey Mouse. In 1929, Disney allowed Mickey Toronto: Alfred A. Knopf.
116 Brands and Logos

Leymore V (1975). Hidden myth: structure and symbolism Umiker-Sebeok J (ed.) (1987). Marketing signs: new
in advertising. London: Heinemann. directions in the study of signs for sale. Berlin: Mouton.
Packard V (1957). The hidden persuaders. New York: Wolfe O (1989). ‘Sociosemiology and cross-cultural
McKay. branding strategies.’ Marketing Signs 3, 3–10.
Twitchell J B (2000). Twenty ads that shook the world.
New York: Crown.

Braune, Wilhelm (1850–1926)


E Einhauser, University of Cologne, Cologne, in his later years can be seen in his essay Althoch-
Germany deutsch und Angelsächsisch (1918), in which he took
! 2006 Elsevier Ltd. All rights reserved. into account geographical and cultural aspects.
Braune’s university career was quite unspectacular,
fitting for his role as a decent worker. He studied
Wilhelm Braune belonged to the so-called ‘Neogram- in Leipzig, where he was mostly influenced by his
marians,’ a group of linguists with quite a strong teachers August Leskien, Friedrich Zarncke, and
influence on linguistic research in the last third of Rudolf Hildebrandt. In Leipzig he also met Hermann
the 19th century and at the beginning of the 20th Paul, Eduard Sievers, Hermann Osthoff, and Karl
century. But whereas other Neogrammarians such as Brugmann and hence became part of the new devel-
Hermann Paul and Karl Brugmann became rather opment in linguistics, which quite soon was named
famous, Wilhelm Braune more or less took on the Neogrammarian. After his graduation Braune first
role of the decent working linguist in the background. worked as an assistant at the library at the University
The obituaries of his friend Eduard Sievers (1927) of Leipzig, then he gave lectures, and finally he was
and of his successor Friedrich Panzer (1927) give offered a chair at Gießen in 1880. Mainly due to
evidence of his calm and peaceable character and of the influence of Hermann Osthoff, who already
his conscientious working attitude. taught there, he was offered a chair at the University
As the most famous results of his diligence, of Heidelberg in 1888, where he lived until he died
Braune’s Gotische and his Althochdeutsche Gramma- in 1926.
tik should be mentioned. The newest (20th) edition of
the Gotische Grammatik only recently has been re- See also: Brugmann, Karl (1849–1919); English, Old English;
vised by Frank Heidermanns and so today is still of German; Gothic; Leskien, August (1840–1916); Osthoff,
value as a reliable working tool. The Althochdeutsche Hermann (1847–1909); Paul, Hermann (1846–1921); Sievers,
Grammatik, too, has seen many editions, and even Eduard (1850–1932); Zarncke, Friedrich (1825–1891).
the Althochdeutsche Lesebuch is still in print.
Furthermore, a great part of Braune’s working en-
ergy was absorbed by the Beiträge zur Geschichte der Bibliography
deutschen Sprache und Literatur, a journal he Braune W (1918). ‘Althochdeutsch und Angelsächsisch.’
founded together with Hermann Paul in 1874 and Beiträge zur Geschichte der deutschen Sprache und
which quickly became one of the central periodicals Literatur 43, 361– 445.
of the Neogrammarians (the common abbreviation Braune W (1994). Althochdeutsches Lesebuch (17th edn.).
PBB refers to the initials of the co-founders: Paul Bearbeitet von Ernst A. Ebbinghaus. Beitrag von Karl
and Braune’s Beiträge). A great deal of Braune’s Helm. Tübingen: Niemeyer.
works were published here, among others an impor- Braune W (2004). Gotische Grammatik. Mit Lesestücken
tant essay on the history of the German language und Wörterverzeichnis (20th edn.). Bearbeitet von Frank
titled Zur Kenntnis des Fränkischen und zur hoch- Heidermanns. Tübingen: Niemeyer. (1st edn., 1880.)
Einhauser E (1989). Die Junggrammatiker. Ein Problem
deutschen Lautverschiebung (1874) and a volumi-
für die Sprachwissenschaftsgeschichtsschreibung. Trier:
nous analysis of the Handschriftenverhältnisse des
Wissenschaftlicher Verlag Trier.
Nibelungenliedes (1900). These two titles, as well as Panzer F (1927). ‘Wilhelm Braune [Nachruf].’ Zeitschrift
the Beiträge, are representative of Braune’s scientific für deutsche Philologie 52, 158–164.
position: he saw himself not only as a linguist but also Sievers E (1927). ‘Wilhelm Braune [Nachruf].’ Beiträge zur
as a Germanist, a philologist who is not interested in Geschichte der deutschen Sprache und Literatur 5, I–VI.
linguistic questions alone (see also Panzer, 1927: Wunderlich H (1910). ‘Wilhelm Braune.’ Germanisch-
159). That he was still open to new scientific trends Romanische Monatshefte 2, 81–91.
116 Brands and Logos

Leymore V (1975). Hidden myth: structure and symbolism Umiker-Sebeok J (ed.) (1987). Marketing signs: new
in advertising. London: Heinemann. directions in the study of signs for sale. Berlin: Mouton.
Packard V (1957). The hidden persuaders. New York: Wolfe O (1989). ‘Sociosemiology and cross-cultural
McKay. branding strategies.’ Marketing Signs 3, 3–10.
Twitchell J B (2000). Twenty ads that shook the world.
New York: Crown.

Braune, Wilhelm (1850–1926)


E Einhauser, University of Cologne, Cologne, in his later years can be seen in his essay Althoch-
Germany deutsch und Angelsächsisch (1918), in which he took
! 2006 Elsevier Ltd. All rights reserved. into account geographical and cultural aspects.
Braune’s university career was quite unspectacular,
fitting for his role as a decent worker. He studied
Wilhelm Braune belonged to the so-called ‘Neogram- in Leipzig, where he was mostly influenced by his
marians,’ a group of linguists with quite a strong teachers August Leskien, Friedrich Zarncke, and
influence on linguistic research in the last third of Rudolf Hildebrandt. In Leipzig he also met Hermann
the 19th century and at the beginning of the 20th Paul, Eduard Sievers, Hermann Osthoff, and Karl
century. But whereas other Neogrammarians such as Brugmann and hence became part of the new devel-
Hermann Paul and Karl Brugmann became rather opment in linguistics, which quite soon was named
famous, Wilhelm Braune more or less took on the Neogrammarian. After his graduation Braune first
role of the decent working linguist in the background. worked as an assistant at the library at the University
The obituaries of his friend Eduard Sievers (1927) of Leipzig, then he gave lectures, and finally he was
and of his successor Friedrich Panzer (1927) give offered a chair at Gießen in 1880. Mainly due to
evidence of his calm and peaceable character and of the influence of Hermann Osthoff, who already
his conscientious working attitude. taught there, he was offered a chair at the University
As the most famous results of his diligence, of Heidelberg in 1888, where he lived until he died
Braune’s Gotische and his Althochdeutsche Gramma- in 1926.
tik should be mentioned. The newest (20th) edition of
the Gotische Grammatik only recently has been re- See also: Brugmann, Karl (1849–1919); English, Old English;
vised by Frank Heidermanns and so today is still of German; Gothic; Leskien, August (1840–1916); Osthoff,
value as a reliable working tool. The Althochdeutsche Hermann (1847–1909); Paul, Hermann (1846–1921); Sievers,
Grammatik, too, has seen many editions, and even Eduard (1850–1932); Zarncke, Friedrich (1825–1891).
the Althochdeutsche Lesebuch is still in print.
Furthermore, a great part of Braune’s working en-
ergy was absorbed by the Beiträge zur Geschichte der Bibliography
deutschen Sprache und Literatur, a journal he Braune W (1918). ‘Althochdeutsch und Angelsächsisch.’
founded together with Hermann Paul in 1874 and Beiträge zur Geschichte der deutschen Sprache und
which quickly became one of the central periodicals Literatur 43, 361– 445.
of the Neogrammarians (the common abbreviation Braune W (1994). Althochdeutsches Lesebuch (17th edn.).
PBB refers to the initials of the co-founders: Paul Bearbeitet von Ernst A. Ebbinghaus. Beitrag von Karl
and Braune’s Beiträge). A great deal of Braune’s Helm. Tübingen: Niemeyer.
works were published here, among others an impor- Braune W (2004). Gotische Grammatik. Mit Lesestücken
tant essay on the history of the German language und Wörterverzeichnis (20th edn.). Bearbeitet von Frank
titled Zur Kenntnis des Fränkischen und zur hoch- Heidermanns. Tübingen: Niemeyer. (1st edn., 1880.)
Einhauser E (1989). Die Junggrammatiker. Ein Problem
deutschen Lautverschiebung (1874) and a volumi-
für die Sprachwissenschaftsgeschichtsschreibung. Trier:
nous analysis of the Handschriftenverhältnisse des
Wissenschaftlicher Verlag Trier.
Nibelungenliedes (1900). These two titles, as well as Panzer F (1927). ‘Wilhelm Braune [Nachruf].’ Zeitschrift
the Beiträge, are representative of Braune’s scientific für deutsche Philologie 52, 158–164.
position: he saw himself not only as a linguist but also Sievers E (1927). ‘Wilhelm Braune [Nachruf].’ Beiträge zur
as a Germanist, a philologist who is not interested in Geschichte der deutschen Sprache und Literatur 5, I–VI.
linguistic questions alone (see also Panzer, 1927: Wunderlich H (1910). ‘Wilhelm Braune.’ Germanisch-
159). That he was still open to new scientific trends Romanische Monatshefte 2, 81–91.
Brazil: Language Situation 117

Brazil: Language Situation


D Moore, Museu Goeldi, Belém, Brazil and are active in debating policy and defending
! 2006 Elsevier Ltd. All rights reserved. the interests of the communities that they repre-
sent. Indigenous affairs are under the control of the
National Indian Foundation (FUNAI), and all
Background researchers must obtain authorization from that gov-
The indigenous population in what is now Brazil was ernmental entity to enter indigenous areas, as well as
much higher in the past, with a multiplicity of societies approval from the National Council for Scientific and
and languages. According to Roosevelt (1994), the Technological Development (CNPq).
oldest pottery in the New World (6000–8000 years)
is found in Brazilian Amazonia, on whose flood plains The Study of Native Brazilian Languages
dense populations, divided into chiefdoms, lived at the
time of European contact. Other regions of Brazil, Some of the earliest descriptive studies of the native
such as the central highlands, the semi-arid northeast, languages of the New World were conducted by
and the more temperate southern region, were like- Jesuits in Brazil, for example, Anchieta (1595). This
wise home to sizeable indigenous populations, most of tradition did not take hold, however. In the 19th
which were destroyed or absorbed. Over 40% of the century and the first half of the 20th century, a num-
modern Brazilian gene pool is of indigenous origin. ber of nonspecialists, especially members of scientific
European contact began with the arrival of the ships expeditions, accomplished a certain amount of lin-
of the Portuguese explorer Pedro Álvares Cabral in guistic description. These include, notably, Karl von
1500. He encountered some Tupinambá on the eastern den Steinen, General Couto de Magalhães, Theodor
coast of Brazil. European immigration was relatively Koch-Grünberg, Curt Nimuendaú, Emilie Snethlage,
slight for the first two centuries. European men fre- and João Capistrano de Abreu. Modern scientific
quently took indigenous wives, and a class of mestizos studies of native Brazilian languages only began in
was produced, which was important in the colonizing the second half of the 20th century. Mattoso Câmara
process, during which large numbers of native people established the Setor de Lingüı́stica at the Museu
were relocated and obliged to learn the language of the Nacional in 1961 and also authored a book about
mestizo, Lı́ngua Geral, or Nheengatu (Nhengatu), a indigenous languages (1965), though he was not a
Tupı́-Guaranı́ language originally spoken on the coast fieldworker. During a number of years, Brazilian re-
that was modified by substratum effects and borrow- search on indigenous languages was mainly done at
ings from Portuguese. Several dialects of Nheengatu the Museu Nacional and at the State University of
still persist in Amazonia. With the expulsion of the Campinas (UNICAMP). However, in the second half
Jesuits in the mid-18th century, the state assumed con- of the 1980s the study of native languages spread to
trol over the communities of resettled native peoples other centers, especially the Federal Universities of
(reduções), where the population was already declining Brası́lia (UnB), Goiás (UFG), Pernambuco (UFPE),
from occidental disease. and Pará (UFPA), aside from the University of São
The regions of Brazil that have been occupied the Paulo (USP) and the Museu Goeldi, which is a federal
longest have the fewest indigenous societies and lan- research institute in Belém.
guages, especially eastern Brazil, where few indigenous The anthropologist Darcy Ribeiro established a
groups still speak their language. Rodrigues (1993) cooperation agreement between the Summer Institute
estimates that 75% of the indigenous languages of Linguistics (SIL) and the Museu Nacional in 1956.
became extinct. The surviving native groups are most- This agreement was terminated in 1981, and there are
ly in remote areas, especially in Amazonia, where now no formal ties between Brazilian academic cen-
contact with national society has been more recent ters and missionary organizations. Foreign mission-
and less intensive. There are still native groups living aries have become less influential in the study of
out of contact with the outside world. Newly con- indigenous languages as their place is being taken to
tacted groups still commonly lose two-thirds of their a certain extent by Brazilian missionaries and increas-
population to Western diseases – an unnecessary loss, ingly by professional and numerous Brazilian scien-
since the diseases responsible for this loss of life and tific linguists. A number of these latter have studied
language are preventable or treatable. A number of abroad in recent years, and upon the completion of
native political organizations exist in Brazil (for ex- their studies, they are strengthening the national ca-
ample, the Coordenação de Organizações Indı́genas pacity in scientific linguistics, especially in diachronic
da Amazônia Brasileira – COIAB, and the Federação linguistics (see, for example, Meira and Franchetto,
de Organizações Indı́genas do Rio Negro – FOIRN) forthcoming), in recent theory and methodology, and
118 Brazil: Language Situation

in overall descriptions of individual languages. The is a valuable source of information and also publica-
first complete grammar of a native language in dec- tions (including maps) that can be purchased via the
ades authored by a Brazilian linguist was the de- Internet. There is also a website and a listserv run
scription of Kamayurá by Seki (2000). More such by the Museu Antropológico, Universidade Federal
general descriptions have been undertaken by young de Goiás.
Brazilian linguists. There is, unfortunately, no nation-
al program for identifying and describing endangered The Situation of the Native Brazilian
languages in Brazil. However, a number of recent
Languages
modern documentation projects with international
funding have improved the level of documentation Of course, Portuguese is the official language of
efforts. These are very popular with native groups. Brazil. Impressionistically, Brazilian Portuguese is
The small number of foreign nonmissionary lin- about as different from the Portuguese dialects in
guists studying Brazilian indigenous languages has Portugal as American English is from the English
increased considerably in recent years. dialects in Great Britain. There are many other lan-
Some modern information about Brazilian na- guages spoken by immigrant communities in Brazil,
tive languages appeared in a general work on South especially German, Italian, and Japanese. We will
American languages edited by Klein and Stark (1985). focus attention here on the situation of the native
Amazonia became identified as a distinct research languages. It must be emphasized that the informa-
area in linguistics with the publication of the Hand- tion presented below is approximate, due to the lack
book of Amazonian languages series, edited by of systematic data gathering about the situation of the
Derbyshire and Pullum (1986–1998) and the com- native languages of Brazil. Even when population
pendium edited by Payne (1990). Later useful general size is known, the number of effective speakers and
works with the same regional focus are those edited the degree of transmission is often not known with
by Queixalós and Renault-Lescure (2000) and by certainty. What are considered to be different lan-
Dixon and Aikhenvald (1999). These typically in- guages sometimes turn out to be dialects of the same
clude languages outside of what is, strictly speaking, language, often reflecting ethnic or political divisions.
Amazonia, for example, the languages of the central Much of the information is a revised version of infor-
highlands of Brazil. In recent years, volumes of the mation presented in an overview article about
ILLA series have included many Brazilian languages, endangered languages in lowland South America by
for example, the volumes edited by van der Voort and Moore (forthcoming), which is based on a number of
van de Kerke (2000) and by Crevels, van de Kerke, sources, including Queixalós and Renault-Lescure
Meira, and van der Voort (2002). (2000), Rodrigues (1993), Dixon and Aikhenvald
In Portuguese, a general treatment of Brazilian lan- (1999), the map of the Centro de Documentação
guages is that by Rodrigues (1986). Rodrigues (1993) Indı́gena (1987), the website of the Instituto Sócio
presents information on the situation of Brazilian Ambiental, the author’s own knowledge of several
native languages, but suffers from confusion between regions, and personal communications from many
the number of speakers and the population size, linguists actively studying indigenous languages in
which results in underestimating the degree of endan- various geographical areas.
germent. Seki (1999) and Franchetto (2000) describe Language names and the genetic classification are
the study of indigenous languages in Brazil. Wetzels adapted from those of the Instituto Sócio Ambiental
(1995) presents a collection of phonological studies. website, which are a 1997 adaptation of information
A recent collection of articles is that by Cabral and from Rodrigues (1986). Names used by Ethnologue,
Rodrigues (2002). One Brazilian periodical dedicated if different, appear in parentheses after (note that
exclusively to indigenous languages is Lı́nguas Indı́- Ethnologue’s family names and categorization some-
genas Americanas (LIAMES), of UNICAMP. The times differ from the one used here). Population fig-
Boletim do Museu Paraense Emı́lio Goeldi contains ures are normally from this same website; numbers
linguistics articles in its Anthropology issues. Articles from other sources are put in brackets. Speaker esti-
likewise appear in the journals Revista de Documen- mates are from various sources; when more than one
tação de Estudos em Lingüı́stica Teórica e Aplicada source is used, the second is separated by placing it in
(D.E.L.T.A.) of the Pontı́fica Universidade Católica brackets. Where no real information is available, the
de São Paulo, the Boletim da ABRALIN, and the space is left blank. Since many tribal groups span
Cadernos de Estudos Lingüı́sticos of UNICAMP. Of national boundaries, it is important to note that all
the many NGOs working with indigenous groups, the estimates are specific to Brazil and excluding speakers
largest and most concerned with documentation is of those groups living in, say, Colombia or Venezuela.
the Instituto Sócio Ambiental (ISA), whose website Likewise, the estimate of the amount of study refers to
Brazil: Language Situation 119

studies carried out among speakers in Brazil, not in Major Language Families
other countries. These estimates are very rough and
Arawak The languages of the Arawak family, in its
can change quickly with the publication of new work.
restricted sense, also designated Maipurean, have
Languages with little or no significant scientific
long been recognized as related, though proposed
description are rated 0; those with an M.A. thesis or
genetic links to other linguistic groups are more
several articles are rated 1, those with a good overall
doubtful. The supposed link with the Arawá lan-
sketch or doctoral thesis on some aspects of the lan-
guages, for example, has no linguistic basis. The
guage are rated 2; and those with reasonably com-
work of Noble (1965) influenced archeology, but is
plete descriptions are rated 3. In the terminology used dubious in its conclusions. The Arawak languages are
here for genetic groupings, ‘family’ means a group of
amazingly widespread, from the Caribbean to Boli-
related but different languages whose genetic relation
via. In Brazil, they occur in northern Pará state, on the
is reasonably obvious, and ‘stock’ refers to a group of
tributaries of the Rio Negro in the northwest, along
families whose relation is not so obvious. Because of
the Purus River in the west, on the tributaries of the
the small size of the surviving speech communities
Juruena River in Mato Grasso, and along the Upper
and the precarious conditions in which they live, all
Xingu River. The relatively numerous Terêna live in
might be considered to be in danger of extinction.
Mato Grosso do Sul. It is not certain whether or not
However, it is more useful to distinguish those that there are still speakers of Mandawáka (Mandahuaca)
are in serious, imminent danger of disappearing, ei-
in the region of the Upper Rio Negro. The Arawak
ther because of a low number of speakers, low trans-
languages are polysynthetic and often have gender
mission, or both factors. Some languages listed may
and nominal classification (Table 2).
already be extinct, but are listed anyway because a
careful search sometimes finds remaining speakers
Carib The Carib family is centered on northern South
somewhere, and that search may be abandoned if
America. The Carib languages of northern Brazil are
they are not listed. Languages are not considered
rather similar, though Waimiri-Atroari (Atruahı́) is
urgently endangered if there are a reasonable number
of speakers of at least one dialect or a reasonable more distant. The language called Galibi do Oiapoque
is intrusive from French Guiana, where it is called
number of speakers in another country. Larger group-
Kali’na (or Carib in Surinam and Guyana). The Carib
ings are considered first, following alphabetical order
languages on or near the Upper Xingu are quite differ-
within the grouping.
ent from the northern languages and also do not con-
stitute a single consistent subgroup (Table 3).
Hypothetical Linguistic Stock

Macro-Jê Various authors have, on one basis or Pano The Pano linguistic family is not highly differ-
another, proposed groupings of languages often con- entiated internally. It occurs in Peru, Bolivia, and Bra-
sidered today as Macro-Jê. It is important to confirm zil, and is usually considered to be related to the
or disconfirm each of the proposed genetic affilia- Tacana family of Bolivia. The Brazilian Pano lan-
tions, some of which are not obvious. The Jê family guages occur in the states of Acre and Amazonas,
of languages, the largest of the stock, is focused on the except for the Kaxararı́ in Randônia, and have received
savanna regions of Brazil from the southern parts relatively little study. Sources are contradictory as to
of the states of Pará and Maranhão south to Santa whether Amawáka is spoken in Brazil (Table 4).
Catarina e Rio Grande do Sul. The other families
of this hypothesized stock generally occur outside of Tucano Of the divisions of the Tucano family, West-
Amazonia, mainly in eastern and northeastern ern, Eastern, and (for some authors) Central, it is
Brazil, but with some in central Brazil and farther mainly the Eastern branch which occurs in Brazil,
west. Rikbaktsa has been held to be the exception, though Kubewa (Cubeo), of the putative Central
apparently living for a long time in an Amazonian branch, also occurs there. Except for Arapaso, each
environment in northern Mato Grosso. Recent re- of the Tucano languages of Brazil is also spoken in
search, however, indicates that the Jabutı́ languages Colombia, where they have generally received more
are probably Macro-Jê, as was speculated by some study. More recent sources doubt that Yuruti (Juriti)
authors, indicating a wider and older presence in is spoken in Brazil. These languages are noted for
Amazonia as well. Because of their early contact tone or pitch accent, morpheme-intrinsic nasality,
with Europeans, many of the Macro-Jê languages in and complex obligatory coding of evidentiality. The
the east and northeast of Brazil are extinct, with or languages are spoken in the region of the Vaupés,
without some documentation. The last speaker of Tiquié, and Papurı́ Rivers. The speakers of several of
Umotı́na died recently (Table 1). them refer to themselves as Yebá-masã (Yepá-masã).
120 Brazil: Language Situation

Table 1 Macro-Jê (Macro-Ge) stock

Linguistic unit Dialects, groups No. of Population Transmission Studies Endangered


speakers

Boróro Family
Boróro (Borôro) 1024 2
Guató Family
Guató 5 [40] 372 low 2 urgent
Jê Family
Akwén Xakriab́á 0? 6000 none urgent
Xavánte most 9602 high? 1
Xerénte all? 1814 1
Apinayé 1262 high? 2
Kaingáng Kaingáng do 25 000 2 total
Paraná total Kaingáng
Kaingáng
Kaingán Central
Kaingáng do
Sudoeste
Kaingáng do
Sudeste
Kayapó Gorotire 7096 total high 1 total
Kayapò Kayapó
Kararaô
Kokraimoro
Kubenkrankegn
Menkrangnoti
Mentuktı́re
(Txukahamãe)
Xikrin
Panará (Kreen-akore, all 202 high 2
Krenakarore)
Suyá Suyá all 334 high 1–2
Tapayúna (Beiço-de-Pau) 58
Timbı́ra Canela Apaniekra 458 high 2
Canela 1337 high
Ramkokamekra
Gavião do Pará (Parkateyé, 338 low 2
Gavião, Pará)
Gavião do 250
Maranhão
(Pukobiyé)
Krahô 1900 high 1
Krikatı́ (Krinkatı́, 620
Krikati-Timbira)
Xokléng (Xokleng) 757 low 1
Karajá Family
Karajá Javaé most 919 good 2
Karajá 1860 2500 high 1
Xambioá 10 185 none 0
Krenák Family
Krenák (Krenak) 10? 150 low 1 urgent
Maxakalı́ Family
Maxakalı́ most? 802 1
Ofayé Family
Ofayé (Opayé, 25 56 low 1 urgent
Ofayé-Xavante)
Rikbaktsá Family
Rikbaktsá (Erikpaksá, 909 med? 1
Rikbaktsa)
Yathé Family
Yathê, Fulniô, Carnijó) most? 2930 med? 1
Brazil: Language Situation 121

Table 2 Arawak (Aruák, Maipure) family

Linguistic unit Dialects, groups No. of speakers Population Transmission Studies Endangered

Apurinã (Ipurinã) 2779 med 2


Banı́wa do Içana 3189 high 3
(Kurripako, Kuripako, [5000]
Curripaco)
Baré 0? 2790 none 1
Kampa (Axı́ninka, 813 0
Ashéninca)
Mandawáka (Mawaca, Mandahuaca) ? [3?] urgent
[Mawayána] <10 <10 none? 0 urgent
Mehináku close to Waurá all 199 high 1
Palikúr 918 1
Paresı́ (Aritı́, Haliti, 1293 1
Pareás)
Pı́ro Manitenéri (Machinere) [530] 0
Maxinéri 459 [345] 0
(Machinere)
Salumã (Enawenê-Nawê) 320 high 1
Tariana (Tariano) Yurupari-Tapúya 100 1914 very 3 urgent
(Iyemi) low
Terena (Tereno, Terêna) 15795 1
Wapixána (Aruma) 6500 variable 1
Warekéna (Guarequena) 491 2
Waurá Close to all 321 high 1
Mehinaku
Yawalapitı́ 8 208 none 1 urgent

Many of these languages are quite robust, but have Medium-sized Language Families
received little study in Brazil (Table 5).
Arawá The Arawá languages are spoken in a rela-
tively circumscribed region centered on the upper and
Tupı́ The Tupı́ family consists of 10 branches, one
middle Purus and Juruá rivers. Their maintenance is
of which, Tupı́-Guaranı́, spreads over a vast area, with
generally good (Table 7).
extensions into Argentina, Paraguay, Bolivia, Peru,
and French Guiana. Languages of this branch have
been studied for centuries, but with more fascination Katukina The Katukina family of languages (not
for the Tupı́-Guaranı́ dialects on the coast studied by to be confused with Katukina do Acre, a Pano
the Jesuits, which contributed many loanwords to language) are spoken by groups on the Javaı́, Juruá,
Portuguese and which achieved an almost classical and Jutuı́ rivers in southern Amazonas. Recently,
status in Brazil, where the word ‘Tupı́’ is sometimes Adelaar (2000) presented evidence that the Peruvian
used to refer to these dialects. Though Tupı́-Guaranı́ family Harakmbut is genetically related to the
is often thought to be somehow more central in the Katukina family of languages. Their study is urgent
family, it is actually rather atypical. Awetı́ is appar- (Table 8).
ently the branch most closely related to Tupı́-Guara-
nı́, and these two together with Mawé form a Makú The Makú languages (not to be confused
subgroup within the family. The Ramarama and Pur- with the Máku language of Roraima) are spoken
uborá branches form a subgroup also; the other rela- by hunter-gatherer groups mainly in the region of
tions are not obvious and are still being worked out. the Vaupés, though the Nadëb live lower on the Rio
Research on the Tupi families in the western state Negro. The Bará (Kakua, Kakwa) language (not to
of Rondônia, often considered the original location be confused with the Bará (Barasana) language of
of the Tupi peoples, is rather recent. A number of the Tucano family) is spoken on the border with
languages important for comparative Tupi studies Colombia, and it is not clear how many live in Brazil
are urgently endangered (Table 6). (Table 9).
122 Brazil: Language Situation

Table 3 Carib (Karib) family

Linguistic unit Dialects, groups No. of Population Transmission Studies Endangered


speakers

Aparaı́ (Apalaı́) most 415 high 2


[150?]
Arara do Pará (Ukarãgmã, all? 195 high? 1
Arára, Pará)
Bakairı́ most 950 good 2
Galibı́ do Oiapoque (Kali’na, 28 low? 0
Carib)
Hixkaryána most? [550] high 3
Ingarikó (Kapóng, Akwaio, 675 good 1
Patamona)
Kalapálo (Kuikúro-kalapálo) Kalapálo, Kuikúru, Matipú, most 417 good 1
Nahukwá are dialects of one
language
Kaxuyána (Warikyána, Shikuyana is dialect most 69 [145] low 1
Kaxuiâna)
Kuikúru (Kuikúro-Kalapálo) most 450 [500] good 2
Makuxı́ (Macushi) most 16 500 high? 3
Matipú (Matipuhy) few 119 low 0
Mayongong (Makiritáre, most? 426 high? 0
Yekuána, Maquiritari)
Nahukwá (Matipuhy) most 105 good 1
Taulipáng (Pemóng, Pemon) most 532 high? 1
Tiriyó (Tirió, Trio, Trió) all 735 [900] high 3
Ikpeng (Txikão) all 310 high 2
Waimirı́ (Waimirı́-Atroarı́ all 931 high 2
Atruahı́)
Wai-Wai (Waiwai) all? 2020 high 2
Wayána (Wayana) most? 450 med? 1
[150?]

Table 4 Pano (Panoan) family

Linguistic unit Dialects, groups No. of Population Transmission Studies Endangered


speakers

Amawáka (Amahuaca) [220]? 0


Arara (Shawanauá, Arara, Shanenawá, Yamináwa, 9? 200 1
Sheuanahua) Yawanawá are perhaps dialects of
one language
Katukina do Acre 318 1
(Katukı́na Pano;
Katukı́na, Panoan)
Kaxararı́ 269 0
Kaxinawá (Hãtx Kuin, 3964 variable 2
Cashinahua)
Korúbo (Korubo) 250 0
Marúbo 1043 high 2?
Matis (Matı́s) all 239 high 2
Matsés (Mayoruna) 829 [250] high 2
Nukini (Nukuini) any? 458 none? 0 urgent
Poyanáwa 2 403 [180] none 1 urgent
Shanenawá (Xipináwa) 178 [160] 1
Yamináwa (Jaminawa, 618 0
Yaminahua)
Yawanáwa (Yawanowa) 450 [220] low
Brazil: Language Situation 123

Table 5 Tucano (Tucanoan) family

Linguistic unit Dialects, groups No. of speakers Population Transmission Studies Endangered

Arapaso 328 0
Bará (Waimajã) 39 0
Barasána, (Barasana) 61 0
Desána (Desano) close to Siriáno 1531 1
[Yuruti (Juritı́)] close to Tuyúka [50?]
Karapanã (Carapana) 42 0
Kubewa (Kubeo, Cubeo) 287 0
Makúna (Yebá-masã, 168 0
Macuna)
Pira-Tapuya (Waı́kana, close to Wanano 1004 0
Piratapuyo)
Siriáno (Siriano) 17 [10] 0
Tucano (Tukano) 4604 3
Tuyúka (Tuyuca) 593 0
Wanano (Guanano) 447 2

Nambikwara The Nambikwara languages occur Mura The language of the Mura and that of the
in western Mato Grosso and southeastern Rondônia, Pirahã appear to have been quite close; often they
in a region that includes both tropical forest and are grouped under one name (Múra-Pirahã). There
savanna, centered on tributaries of the Guaporé are occasional reports of elderly Mura speakers,
and the Juruena rivers (Table 10). though the Mura generally speak Portuguese or a
dialect of Nheengatu (Table 13).
Chapakura (Txapakúra) The extant Chapakura
languages are spoken in the state of Rondônia (and Isolated Languages
in Bolivia). Torá, in the state of Amazonas, is de- Seven languages are not known to be genetically affil-
scribed by recent visitors as already extinct for many iated with others. Of these, Aikanã (Tubarão), Kanoê
years. Recent ethnographers state that Urupá is ex- (Kanoé), and Kwazá are in the same region in south-
tinct also. The Moré live in Bolivia, though there may ern Rondônia. The language of the Iranxe (Irântxe)
be a few in Brazil (Table 11). and Mynky is spoken near the headwaters of the
Juruena River, in Mato Grosso. The Trumái are
Yanomami The languages of the Yanomami family thought to have been relative latecomers to the
are spoken in Brazil and in Venezuela, by rather un- Upper Xingu regional system. There is said to be
acculturated groups. In Brazil these languages occur only one Máku speaker, in the state of Roraima.
in the northern state of Roraima, near the Venezuelan The Tikuna (Ticuna) are numerous, living along the
border (Table 12). Solimões River, extending into Columbia and Peru. It
is a sign of progress that, of these isolated languages,
Smaller Language Families Kanoê, Kwazá, Mynky, Trumai, and Tikuna have
Bora Some speakers of the Miranha dialect of Bora received intensive modern study in recent years
reportedly live along the Solimões River in Brazil. (Table 14).

Guaikurú Kadiwéu, one of the Guaikurú languages


Creole Languages
(which tend to occur in the Chaco region of Paraguay
and Argentina) is spoken in Mato Grosso do Sul in There are two groups in the northern state of Amapá,
Brazil. the Galibi-Marworno (Carib) and the Karipuna do
Norte (Karipúna Creole French), both of whom lived
Jabutı́ The name of this family is a corruption of for some time in French Guiana and speak creoles
Djeoromitxi, one of its component languages. The heavily influenced by the French-based creole of that
languages are found in southern Rondônia. country (Table 15).
124 Brazil: Language Situation

Table 6 Tupı́ family

Linguistic unit Dialects, groups No. of Population Transmission Studies Endangered


speakers

Arikém Branch
Karitiána all 206 high 2
Awetı́ Branch
Awetı́ all 138 high 1
Juruna Branch
Juruna (Yuruna, Yudjá, all 278 high 2
Jurúna)
Xipaia (Shipaya, 2? 595? none 2 urgent
Kuruáya)
Mawé Branch
Mawé (Sateré-Mawé) most? 7134 good 2
Mondê Branch
Aruá 12? 58 low 0
Cinta-Larga Aruá, Cinta Larga, Zoró, and Gavião all 1300 high 1
(Cinta Larga) are dialects of one language
Gavião (Gavião do all 338 high 2
Jiparaná)
Salamãy (Mondé) 2 semi 10? none 0 urgent
Suruı́ (Paitér) all 920 high 1
Zoró all 414 high 0
Puruborá Branch
Puruborá 2 semi [50?] none 0 urgent
Mundurukú Branch
Kuruáya 3? 115 none? 0 urgent
Mundurukú most 7500 high 3
Ramarama Branch
Karo (Arara, Arára) most 184 good 2
Tuparı́ Branch
Ajuru (Wayoró) 8? 77 low 0 urgent
Makuráp 267 med? 2
Sakurabiat (Mekém 25 66 [70] low 2 urgent
Mekens)
Tuparı́ most? 338 med-low 1
Akuntsu 7 7 high 0 urgent
Tupı́-Guaranı́ Branch
Akwáwa Parakanã most 800 high? 0
Suruı́ do Tocantins (Suruı́ do Pará) most 185 high? 1
Asurini do Tocantins most 303 high? 2
(Asurinı́)
Amanayé any? 192 none? 0 urgent
Anambé 6 132 none? 1 urgent
Apiaká (Apiacá) 0? 192 ? 0 urgent
Araweté most 278 high 0
Asurinı́ do Xingu most 106 high? 1
(Asurinı́, Xingú)
Avá-Canoeiro most? 14 0 urgent
Guajá all 280 high 1
Guaranı́ Kaiowá (Kaiwá) 34 000 2 total
Mbyá (Guaranı́, total
Mbyá)
Nhandéva (Chiripá)
Kaapór (Urubu-Kaapór, most 800 high 2
Urubu-Kaapor)
Kamayurá most 355 high 3
Kayabı́ most? 1000 high? 1

Continued
Brazil: Language Situation 125

Table 6 Continued

Linguistic unit Dialects, groups No. of Population Transmission Studies Endangered


speakers

Kawahı́b Parintintin 156 2 total


Diahkói 30
Juma (Júma) 7
Karipúna 21
Tenharin 585 med
Uru-Eu-Wau-Wau all 87 high
(Uru-eu-uau-uau)
Kokáma Kokáma 5 622 low? 2 urgent
(Cocama-Cocamilla)
Omágua few? 156 [240] low? 0 urgent
(Kambeba, Omagua)
Lı́ngua Geral Amazônica ¼ coastal Tupi- >6000? med 1
(Nheengatu, Guarani altered by contact
Nhengatu)
Tapirapé 438 1
Tenetehára Guajajara 13100 2
Tembé 820 variable 2
Wayampı́ (Waiãpi; most? 525 high? 2
Oiampi; Wayampi,
Amapari)
Xetá 3 8 urgent
Zo’é (Puturú, Poturu) all 152 high 1

Table 7 Arawá (Anian) family

Linguistic unit Dialects, groups No. of speakers Population Transmission Studies Endangered

Banawá-Yafı́ (Banawá) 215 high 1


Deni (Denı́) 738 high 1
Jarawára (Jaruára) 160 high 3
Kulı́na (Culina) 2318 high 1
Paumarı́ 870 low 3
Jamamadı́ (Yamamadı́, Kanamantı́) 800 high 1
Suruahá (Zuruahá) 143 high 1

Table 8 Katukina (Katukinan) family

Linguistic unit Dialects, groups No. of speakers Population Transmission Studies Endangered

Kanamarı́ most? 1327 1


Katawixı́ 10? 250 0 urgent
Katukina do Rio Biá (Pedá Djapá, Katukı́na) few? 289 0 urgent
Txunhaã-Djapá (Tsohom-Djapá, Tshom- 30? 100 0 urgent
Djapa)

Table 9 Makú (Maku) family

Linguistic unit Dialects, groups No. of speakers Population Transmission Studies Endangered

Bará (Kakua, Cacua) [220] in Brazil ?


Dâw (Kamã) 83 2
Húpda (Hupdë) close to Yuhúp 1800 [1800] high 2
Nadëb (Guariba) 400 1
Yuhúp (Yuhup) 400 1
126 Brazil: Language Situation

Table 10 Nambikwára (Nambiquaran) family

Linguistic unit Dialects, No. of Population Transmission Studies Endangered


groups speakers

Nambikwára do Norte 323 [346] med 2


(Mamaindê; Latundê; Nagarotê; Nambiquára,
Northern)
Nambikwára do Sul (Nambikuára, Southern) all [721] good 2
Sabanê (Sabanês) 7 active [30] none 2 urgent

Table 11 Chapakura (Txapakúra, Chapacura-Wanham) family

Linguistic unit Dialects, groups No. of speakers Population Transmission Studies Endangered

Kujubim (Kuyubi) very close to Moré? 2? 27[50] none 0 urgent


Oro Win 5? 50 urgent
Torá 0? 51 [250] 0 urgent
Urupá ?0 [150] 0 urgent
any?
Warı́ (Pakaanova, Pakaásnovos) 1930 good 3

Table 12 Yanomami (Yanomam) family

Linguistic unit Dialects, groups No. of speakers Population Transmission Studies Endangered

Ninam (Yanam) 466 11 700 high 2


Sanumá 462 total high 2
Yanomám (Yanomae, Yanomam̈o) 4000 high 2
Yanomami (Yanomámi) 6000 high 3

Table 13 Small families

Linguistic unit Dialects, groups No. of speakers Population Transmission Studies Endangered

[Bora Family]
[Miranha] dialect of Bora few? 613 0
Guaikurú (Guaicuruan) Family
Kadiwéu most 1592 high 2
[900]
Jabutı́ Family
Djeoromitxı́ (Jabutı́) 30? 123 low 1 urgent
Arikapú 2 19 none 1 urgent
Mura Family
Mura (Múra-Pirahã) any ? 5540 none 0 urgent
Pirahã (Múra-Pirahã) all 360 high 3
Brazil: Language Situation 127

Table 14 Isolated languages

Linguistic unit Dialects, groups No. of speakers Population Transmission Studies Endangered

Aikaná (Masaká, Kasupá, Tubarão) 264 med? 2


Iránxe (Irântxe) Mynky (dialect) 326 2
Kanoê (Kanoé) 5 95 low 2 urgent
Kwazà (Koaiá) 25 25 [40] low 3 urgent
Máku 1 [1] none 1 urgent
Trumái (Trumaı́) 51 120 low 2 urgent
Tikúna (Ticuna) 32 613 3

Table 15 Creole languages

Linguistic unit Dialects, groups No. of speakers Population Transmission Studies Endangered

Galibi Marwono (Carib) 1764 0


[860]
Karipuna do Norte (Karipúna Creole French) 1708 1
[672]

See also: Arawak Languages; Benveniste, Emile (1902– Franchetto B (2000). ‘O conhecimento cientı́fico das lı́n-
1976); Cariban Languages; Endangered Languages; Evo- guas indı́genas da Amazônia no Brasil.’ In Queixalós F &
lution of Semantics; Guarani; Meaning: Pre-20th Cen- Renault-Lescure O (eds.). 165–182.
tury Theories; Polysemy and Homonymy; Tupian Klein H E & Stark L R (eds.) (1985). South American
Languages. Indian languages: retrospect and prospect. Austin:
University of Texas Press.
Mattoso Câmara J Jr (1965). Introdução às lı́nguas indı́-
Language Maps (Appendix 1): Map 51.
genas brasileiras. Rio de Janeiro: Livraria Acadêmica.
Meira S & Franchetto B (2005). ‘The Southern Cariban
languages and the Cariban family.’ International Journal
Bibliography of American Linguistics 71(2), 127–190.
Adelaar W (2000). ‘Propuesta de un nuevo vı́nculo genético Moore D (forthcoming). ‘Endangered languages of lowland
entre dos grupos lingüı́sticos indı́genas de la Amazonia tropical South America.’ In Brenzinger M (ed.) Language
occidental: harakmbut y katukina.’ In Miranda L (ed.) diversity endangered. Berlin: Mouton de Gruyter.
Actas I Congresso de lenguas indı́genas de Sudamérica II. Noble G K (1965). Proto-Arawakan and its descendents.
Peru: Lima. 219–236. Bloomington: Indiana University Research Center in
Anchieta J de (1595). Arte e grammatica da lingua mais Anthropology, Folklore, and Linguistics.
usada na costa do Brasil. Coimbra: Antônio Mariz. Payne D L (ed.) (1990). Amazonian linguistics: studies in
Cabral A S A C & Rodrigues A D (eds.) (2002). Lı́nguas lowland South American languages. Austin: University of
indı́genas brasileiras: fonologia, gramática e história; atas Texas Press.
do I Encontro Internacional do Grupo de Trabalho sobre Queixalós F & Renault-Lescure O (eds.) (2000). As
Lı́nguas Indı́genas da ANPOLL I and II. Belém: Editora lı́nguas Amazônicas hoje. São Paulo: Instituto Sócio
Universitária UFPA. Ambiental.
Centro de Documentação, Indı́gena. (1987). Povos indı́- Rodrigues A D (1986). Lı́nguas brasileiras: para o con-
genas do Brasil. (Map). São Paulo: CEDI. hecimento das lı́nguas indı́genas. São Paulo: Edições
Crevels M, van de Kerke S, Meira S & van der Voort H Loyola.
(eds.) (2002). Selected papers from the 50th International Rodrigues A D (1993). ‘Endangered languages in Brazil.’
Congress of Americanists in Warsaw and the Spinoza unpublished manuscript from the Symposium on
Workshop on Amerindian Languages in Leiden, 2000. endangered languages of South America. Leiden: Rijks
CNWS Publications, 114. Leiden: Research School of Universiteit.
Asian, African, and Amerindian Studies. Roosevelt A C (1994). ‘Amazonian anthropology:
Derbyshire C D & Pullum G K (eds.) (1986–1998). Hand- strategy for a new synthesis.’ In Amazonian Indians
book of Amazonian languages. 4 vols. Berlin: Mouton de from prehistory to the present. Tucson: The University
Gruyter. of Arizona Press. 1–29.
Dixon R M W & Aikhenvald A Y (eds.) (1999). The Ama- Seki L (1999). ‘A lingüı́stica indı́gena no Brasil.’ Revista
zonian languages. Cambridge: Cambridge University de Documentação de Estudos em Lingüı́stica Teórica
Press. e Aplicada 15, 257–290.
128 Brazil: Language Situation

Seki L (2000). Gramática do Kamaiurá. Campinas: Editora Relevant Websites


da UNICAMP.
van der Voort H & van de Kerke S (eds.) (2000). Indigenous http://www.socioambiental.org – Instituto Sócio Ambiental
languages of lowland South America. Indigenous lan- (ISA).
guages of Latin America, vol. 1, CNWS publications http://www.geocities.com/linguasindigenas/ – Listserv about
90. Leiden: Research School of Asian, African, and indigenous languages in Brazil.
Amerindian Studies.
Wetzels L (1995). Estudos fonológicos das lı́nguas indı́-
genas brasileiras. Rio de Janeiro: Editora UFRJ.

Bréal, Michel Jules Alfred (1832–1915)


E Guimarães, Institute of Language Studies–Unicamp, and this aspect can be found in the work that
São Paulo Campinas, Brazil synthesizes the principal points of his production
! 2006 Elsevier Ltd. All rights reserved. (1897). Willful action and intelligence change the
signification of a word that, not losing its previous
signification, takes on more than one meaning. Poly-
Bréal, French linguist and one of the founders of semy is the result of history and is one of the places
semantic linguistics, studied Sanskrit in Berlin with that represent the accumulation of the intellectual
Bopp and Albrecht Weber. He received his Ph.D. in work of the language.
1863, defending the thesis Hércules et Cacus. Étude Another important aspect, also present in the Éssai
de mithologie comparée and Des noms perses dans les de sémantique, is what he called the subjective ele-
ecrivains grecs. In 1864, he became a professor of ment. He who speaks is marked in what he spoke. In
compared grammar at the Collège de France. languages there are the forms that, when used, mark
In 1868, he joined the group that founded the École this presence. Personal pronouns are one of the exam-
des Hautes Études, where he became director and was, ples of these forms, which would later be crucial in
for a time, Ferdinand de Saussure’s professor. From the work of Émile Benveniste.
1879 to 1888, he was Inspector General of French
Public Instruction. His work was dedicated to three
domains: the study of ancient inscriptions and myths, See also: Bopp, Franz (1791–1867); Weber, Albrecht Frie-
the study of historical and compared linguistics, drich (1825–1901).
and reflection on questions related to teaching.
He himself named his work in linguistics semantics, Bibliography
having been the first to use this word in a linguistic
discipline (Bréal, 1883). In these studies, Bréal includ- Aarsleff H (1981). ‘Bréal, la Sémantique et Saussure.’ His-
toire, Epistémologie, Langage III 2, 115–134.
ed himself in the historical perspective of the 19th
Bréal M (1863). Hercule et Cacus, étude de mythologie
century and considered that semantics deals with
comparée. Paris: A. Durand.
the change of the signification of words (Delesalle, Bréal M (1866). ‘De la forme et de la fonction des mots.’
1988). He differed from the comparativists of his time Revue des cours littéraires de la France et de l’étranger,
(Aarsleff, 1981; Delesalle, 1980), as he considered fascicle dated December 29, 1866. In Desmet P &
that language does not reduce to forms and that its Swiggers P (eds.) (1995) De la grammaire comparée à la
study must necessarily include the meaning (Bréal, sémantique. Textes de Michel Bréal publiés entre 1864 et
1866). 1898. Paris: Peeters.
Changes in language are not natural, ruled by inevi- Bréal M (1883). ‘Les lois intellectuelles du langage. Frag-
table laws, but occur by man’s willful action and intel- ment de sémantique.’ Annuaire de l’Association pour
ligence. Willful action, which is not conscious, is l’Encouragement des Études Grecques em France, 17.
In Desmet P & Swiggers P (eds.) (1995) De la grammaire
constituted by the slow and groping agreement of the
comparée à la sémantique. Textes de Michel Bréal publiés
will of many, a collective will. Intelligence is a faculty
entre 1864 et 1898. Paris: Peeters.
of knowledge and has its origin in the functioning Bréal M (1897). Éssai de sémantique. Paris: Hachette.
of the sign. Language represents an accumulation of Delesalle S (1980). ‘L’analogie: d’un arbitraire à l’autre.’
intellectual work. Therefore, language is not a natural Langue Française 46, 90–108.
science; it is historical and cultural (Bréal, 1897). Delesalle S (1988). ‘L’Éssai de Sémantique de Bréal, du
In this domain, Bréal established a fundamental ‘transformisme,’ à la diachronie.’ In La Linguistique
concept in semantics studies – that of polysemy – génétique. Histoire et théories. Paris: PUF.
128 Brazil: Language Situation

Seki L (2000). Gramática do Kamaiurá. Campinas: Editora Relevant Websites


da UNICAMP.
van der Voort H & van de Kerke S (eds.) (2000). Indigenous http://www.socioambiental.org – Instituto Sócio Ambiental
languages of lowland South America. Indigenous lan- (ISA).
guages of Latin America, vol. 1, CNWS publications http://www.geocities.com/linguasindigenas/ – Listserv about
90. Leiden: Research School of Asian, African, and indigenous languages in Brazil.
Amerindian Studies.
Wetzels L (1995). Estudos fonológicos das lı́nguas indı́-
genas brasileiras. Rio de Janeiro: Editora UFRJ.

Bréal, Michel Jules Alfred (1832–1915)


E Guimarães, Institute of Language Studies–Unicamp, and this aspect can be found in the work that
São Paulo Campinas, Brazil synthesizes the principal points of his production
! 2006 Elsevier Ltd. All rights reserved. (1897). Willful action and intelligence change the
signification of a word that, not losing its previous
signification, takes on more than one meaning. Poly-
Bréal, French linguist and one of the founders of semy is the result of history and is one of the places
semantic linguistics, studied Sanskrit in Berlin with that represent the accumulation of the intellectual
Bopp and Albrecht Weber. He received his Ph.D. in work of the language.
1863, defending the thesis Hércules et Cacus. Étude Another important aspect, also present in the Éssai
de mithologie comparée and Des noms perses dans les de sémantique, is what he called the subjective ele-
ecrivains grecs. In 1864, he became a professor of ment. He who speaks is marked in what he spoke. In
compared grammar at the Collège de France. languages there are the forms that, when used, mark
In 1868, he joined the group that founded the École this presence. Personal pronouns are one of the exam-
des Hautes Études, where he became director and was, ples of these forms, which would later be crucial in
for a time, Ferdinand de Saussure’s professor. From the work of Émile Benveniste.
1879 to 1888, he was Inspector General of French
Public Instruction. His work was dedicated to three
domains: the study of ancient inscriptions and myths, See also: Bopp, Franz (1791–1867); Weber, Albrecht Frie-
the study of historical and compared linguistics, drich (1825–1901).
and reflection on questions related to teaching.
He himself named his work in linguistics semantics, Bibliography
having been the first to use this word in a linguistic
discipline (Bréal, 1883). In these studies, Bréal includ- Aarsleff H (1981). ‘Bréal, la Sémantique et Saussure.’ His-
toire, Epistémologie, Langage III 2, 115–134.
ed himself in the historical perspective of the 19th
Bréal M (1863). Hercule et Cacus, étude de mythologie
century and considered that semantics deals with
comparée. Paris: A. Durand.
the change of the signification of words (Delesalle, Bréal M (1866). ‘De la forme et de la fonction des mots.’
1988). He differed from the comparativists of his time Revue des cours littéraires de la France et de l’étranger,
(Aarsleff, 1981; Delesalle, 1980), as he considered fascicle dated December 29, 1866. In Desmet P &
that language does not reduce to forms and that its Swiggers P (eds.) (1995) De la grammaire comparée à la
study must necessarily include the meaning (Bréal, sémantique. Textes de Michel Bréal publiés entre 1864 et
1866). 1898. Paris: Peeters.
Changes in language are not natural, ruled by inevi- Bréal M (1883). ‘Les lois intellectuelles du langage. Frag-
table laws, but occur by man’s willful action and intel- ment de sémantique.’ Annuaire de l’Association pour
ligence. Willful action, which is not conscious, is l’Encouragement des Études Grecques em France, 17.
In Desmet P & Swiggers P (eds.) (1995) De la grammaire
constituted by the slow and groping agreement of the
comparée à la sémantique. Textes de Michel Bréal publiés
will of many, a collective will. Intelligence is a faculty
entre 1864 et 1898. Paris: Peeters.
of knowledge and has its origin in the functioning Bréal M (1897). Éssai de sémantique. Paris: Hachette.
of the sign. Language represents an accumulation of Delesalle S (1980). ‘L’analogie: d’un arbitraire à l’autre.’
intellectual work. Therefore, language is not a natural Langue Française 46, 90–108.
science; it is historical and cultural (Bréal, 1897). Delesalle S (1988). ‘L’Éssai de Sémantique de Bréal, du
In this domain, Bréal established a fundamental ‘transformisme,’ à la diachronie.’ In La Linguistique
concept in semantics studies – that of polysemy – génétique. Histoire et théories. Paris: PUF.
Breton 129

Bredsdorff, Jakob Hornemann (1790–1841)


J van Pottelberge, Ghent University, Ghent, Belgium ultimately led to today’s standard transliteration by
! 2006 Elsevier Ltd. All rights reserved. Ludvig Wimmer. He was also the first to realize that
the 24-character runic alphabet was older than the
more common 16-character alphabet, though he
Though trained as a natural scientist, Jakob Horne- derived both erroneously from Ulfilas Gothic
mann Bredsdorff is remembered most of all as one of alphabet. His data-oriented analysis of the relation-
the first scientific runologists and historical linguists. ships between the Germanic languages also fore-
He was born on April 3, 1790, in Vester Skerninge shadowed modern views, arguing that Gothic
(on the island of Fyn, Denmark) into a line of highly should be considered a separate branch of Germanic
educated Lutheran priests. After thorough prepara- and not the ancestor of High German or all Germanic
tion at home, Bredsdorff entered Nykøbing Cathedral languages together.
School in 1807. Here, his language teacher was Being well aware of the gap between the rough
S. N. J. Bloch, a renowned philologist and pedagogue classification of sounds in orthography and the more
who also taught Rasmus Rask. In 1809 Bredsdorff sophisticated differentiations in pronunciation,
enrolled at the University of Copenhagen, where he Bredsdorff tried to develop an alphabet to represent
received a first degree in Divinity in 1814 and a pronunciation more accurately, which he applied to
doctoral degree in natural sciences in 1817. Early on both standard and colloquial Danish in 1817.
in Copenhagen, if not before, Bredsdorff met Rask, The sources of Bredsdorff’s linguistic insights have
with whom he was friends until the latter’s death in not yet been investigated; preliminary information
1832. He spent most of his career as a reader in can be found in Andersen (1982).
geology and botany at the prestigious private school
Sorø Academy, where he died on June 16, 1841.
Bredsdorff left a small but remarkable body of See also: Gothic; Phonetic Transcription: History; Rask,
linguistic writings. He owes his special place in the Rasmus Kristian (1787–1832); Runes; Thomsen, Vilhelm
history of linguistics most of all to his highly original Ludvig Peter (1824–1927).
paper On the causes of linguistic change (published in
Danish in 1821), which provides a genuine theory of
language change, with the speaker as the central locus Bibliography
of change. It differs fundamentally from the ideas
Andersen H (1982). ‘On the causes of linguistic change
of Rask, who treated language history in terms of (1821) by Jakob Hornemann Bredsdorff. English transla-
natural history. Being at least 40 years ahead of its tion with commentary and an essay on J. H. Bredsdorff.’
time and published in an examination program of Historiographia Linguistica 9, 1–41.
Roskilde Cathedral School, the paper passed unno- Glahder J (ed.) (1933). J. H. Bredsdorffs udvalgte afhand-
ticed. It was rediscovered and republished by Vilhelm linger inden for sprogvidenskab og runologi. Copenha-
Thomsen in 1886. gen: Levin & Munksgaard.
In the long-standing Scandinavian tradition of Sandfeld K (1979). ‘Bredsdorff, Jakob Hornemann.’ In
runology, Bredsdorff gave the first more-or-less Cedergreen Bech S (ed.) Dansk biografisk leksikon (3rd
correct interpretation of the runic inscription on the edn.), vol. 2. Copenhagen: Gyldendal. 497–498.
famous Golden Horn of Gallehus (1839), which

Breton
J Le Dû, Université de Bretagne Occidentale, Breton has long been considered the continuation
Brest, France of Gaulish. Linguistic studies in the 19th century
! 2006 Elsevier Ltd. All rights reserved. smothered all purported genetic connection between
Breton and French and also any close relationship
to Gaulish. Some historians argued that Breton had
Breton (brezoneg, brezhoneg) belongs to the Brythonic been imported whole by immigrants from Britain into
branch of the Celtic languages. It is spoken in Lower a thoroughly romanized Armorica. Modern Celtic
Brittany, and its linguistic border is the western- studies confirmed the view that Breton was a late
most limit of the withdrawal of Celtic before Roman offshoot of British Celtic. We now know that emigra-
expansion. tion from Britain began before the Saxon invasions,
Breton 129

Bredsdorff, Jakob Hornemann (1790–1841)


J van Pottelberge, Ghent University, Ghent, Belgium ultimately led to today’s standard transliteration by
! 2006 Elsevier Ltd. All rights reserved. Ludvig Wimmer. He was also the first to realize that
the 24-character runic alphabet was older than the
more common 16-character alphabet, though he
Though trained as a natural scientist, Jakob Horne- derived both erroneously from Ulfilas Gothic
mann Bredsdorff is remembered most of all as one of alphabet. His data-oriented analysis of the relation-
the first scientific runologists and historical linguists. ships between the Germanic languages also fore-
He was born on April 3, 1790, in Vester Skerninge shadowed modern views, arguing that Gothic
(on the island of Fyn, Denmark) into a line of highly should be considered a separate branch of Germanic
educated Lutheran priests. After thorough prepara- and not the ancestor of High German or all Germanic
tion at home, Bredsdorff entered Nykøbing Cathedral languages together.
School in 1807. Here, his language teacher was Being well aware of the gap between the rough
S. N. J. Bloch, a renowned philologist and pedagogue classification of sounds in orthography and the more
who also taught Rasmus Rask. In 1809 Bredsdorff sophisticated differentiations in pronunciation,
enrolled at the University of Copenhagen, where he Bredsdorff tried to develop an alphabet to represent
received a first degree in Divinity in 1814 and a pronunciation more accurately, which he applied to
doctoral degree in natural sciences in 1817. Early on both standard and colloquial Danish in 1817.
in Copenhagen, if not before, Bredsdorff met Rask, The sources of Bredsdorff’s linguistic insights have
with whom he was friends until the latter’s death in not yet been investigated; preliminary information
1832. He spent most of his career as a reader in can be found in Andersen (1982).
geology and botany at the prestigious private school
Sorø Academy, where he died on June 16, 1841.
Bredsdorff left a small but remarkable body of See also: Gothic; Phonetic Transcription: History; Rask,
linguistic writings. He owes his special place in the Rasmus Kristian (1787–1832); Runes; Thomsen, Vilhelm
history of linguistics most of all to his highly original Ludvig Peter (1824–1927).
paper On the causes of linguistic change (published in
Danish in 1821), which provides a genuine theory of
language change, with the speaker as the central locus Bibliography
of change. It differs fundamentally from the ideas
Andersen H (1982). ‘On the causes of linguistic change
of Rask, who treated language history in terms of (1821) by Jakob Hornemann Bredsdorff. English transla-
natural history. Being at least 40 years ahead of its tion with commentary and an essay on J. H. Bredsdorff.’
time and published in an examination program of Historiographia Linguistica 9, 1–41.
Roskilde Cathedral School, the paper passed unno- Glahder J (ed.) (1933). J. H. Bredsdorffs udvalgte afhand-
ticed. It was rediscovered and republished by Vilhelm linger inden for sprogvidenskab og runologi. Copenha-
Thomsen in 1886. gen: Levin & Munksgaard.
In the long-standing Scandinavian tradition of Sandfeld K (1979). ‘Bredsdorff, Jakob Hornemann.’ In
runology, Bredsdorff gave the first more-or-less Cedergreen Bech S (ed.) Dansk biografisk leksikon (3rd
correct interpretation of the runic inscription on the edn.), vol. 2. Copenhagen: Gyldendal. 497–498.
famous Golden Horn of Gallehus (1839), which

Breton
J Le Dû, Université de Bretagne Occidentale, Breton has long been considered the continuation
Brest, France of Gaulish. Linguistic studies in the 19th century
! 2006 Elsevier Ltd. All rights reserved. smothered all purported genetic connection between
Breton and French and also any close relationship
to Gaulish. Some historians argued that Breton had
Breton (brezoneg, brezhoneg) belongs to the Brythonic been importe