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History of the Language Sciences

Geschichte der Sprachwissenschaften


Histoire des sciences du langage

HSK 18.1


Handbücher zur
Sprach- und Kommunikations-
wissenschaft
Handbooks of Linguistics
and Communication Science

Manuels de linguistique et
des sciences de communication

Mitbegründet von
Gerold Ungeheuer

Herausgegeben von / Edited by / Edités par


Armin Burkhardt
Hugo Steger
Herbert Ernst Wiegand

Band 18.1

Walter de Gruyter · Berlin · New York


2000
History of the
Language Sciences
Geschichte der
Sprachwissenschaften
Histoire des sciences du
langage
An International Handbook on the Evolution of the
Study of Language from the Beginnings to the Present
Ein internationales Handbuch zur Entwicklung der
Sprachforschung von den Anfängen bis zur Gegenwart
Manuel international sur l’évolution de l’étude
du langage des origines à nos jours

Edited by / Herausgegeben von / Edité par


Sylvain Auroux · E. F. K. Koerner
Hans-Josef Niederehe · Kees Versteegh

Volume 1 / 1. Teilband / Tome 1

Walter de Gruyter · Berlin · New York


2000

앝 Printed on acid-free paper which falls within the guidelines
of the ANSI to ensure permanence and durability.

Die Deutsche Bibliothek ⫺ CIP-Einheitsaufnahme

History of the language sciences : an international handbook on the


evolution of the study of language from the beginnings to the present
⫽ Geschichte der Sprachwissenschaft / ed. by Sylvain Auroux …. ⫺
Berlin ; New York : de Gruyter
(Handbücher zur Sprach- und Kommunikationswissenschaft ; Bd. 18)
Vol. 1 . ⫺ (2000)
ISBN 3-11-011103-9

쑔 Copyright 2000 by Walter de Gruyter GmbH & Co. KG, D-10785 Berlin
All rights reserved, including those of translation into foreign languages. No part of this book may be
reproduced in any form or by any means, electronic or mechanical, including photocopy, recording, or any
information storage and retrieval system, without permission in writing from the publisher.
Cover design: Rudolf Hübler
Typesetting: Arthur Collignon GmbH, Berlin
Printing: Oskar Zach GmbH & Co. KG, Berlin
Binding: Lüderitz & Bauer-GmbH, Berlin
Printed in Germany
Contents / Inhalt / Table des matières

Volume 1 / 1. Teilband / Tome 1


Editors’ Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . XXV
Vorwort der Herausgeber . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . XXXVII
Préface des éditeurs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . XLIX

I. The Establishment of Linguistic Traditions in the


Near East
Die Anfänge sprachwissenschaftlicher Traditionen im
Nahen Osten
La constitution des traditions linguistiques au Proche
Orient
1. Erica Reiner, The Sumerian and Akkadian linguistic tradition . . 1
2. Joris F. Borghouts, Indigenous Egyptian grammar . . . . . . . . . . 5
3. Manfred Dietrich, Die Sprachforschung in Ugarit . . . . . . . . . . 14

II. The Establishment of the Chinese Linguistic Tradition


Die Anfänge der Sprachwissenschaft in China
La constitution de la tradition linguistique chinoise
4. Chung-ying Cheng, Classical Chinese philosophies of language:
Logic and ontology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
5. David Branner, The Suı́-Táng tradition of Fǎnqiè phonology . . . 36
6. David Branner, The rime-table system of formal Chinese
phonology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
7. Alain Peyraube, Le rôle du savoir linguistique dans l’éducation
et la société chinoise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
8. Nonna V. Stankevič, La tradition linguistique vietnamienne et
ses contacts avec la tradition chinoise . . . . . . . . . . . . . . . . . . 58

III. The Establishment of the Korean Linguistic Tradition


Die Anfänge der koreanischen Sprachforschung
La constitution de la tradition linguistique coréenne
9. Werner Sasse, Die traditionelle Sprachforschung in Korea . . . . . 63
VI Contents / Inhalt / Table des matières

IV. The Establishment of the Japanese Linguistic


Tradition
Die Anfänge der Sprachforschung in Japan
La constitution de la tradition linguistique japonaise
10. Roy Andrew Miller, The Japanese linguistic tradition and the
Chinese heritage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
11. Stefan Kaiser, The first Japanese attempts at describing Chinese
and Korean bilingualism . . . . . . . . . . . . . . . . . . . . . . . . . . 77
12. Viktoria Eschbach-Szabó, Sprache und Denken in der
japanischen Sprachforschung während der Kokugaku . . . . . . . . 85
13. Viktoria Eschbach-Szabó, Die Frühzeit der neueren japanischen
Sprachforschung: Vom Kokugaku zum Kokugogaku . . . . . . . . . 93
14. Frits Vos †, The influence of Dutch grammar on Japanese
language research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
15. Roy Andrew Miller, The role of linguistics in Japanese society
and education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
16. Roy Andrew Miller, Traditional linguistics and Western
linguistics in Japan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108

V. The Establishment of Sanskrit Linguistics


Die Anfänge der Sanskritforschung
La constitution de l’étude du sanskrit
17. George Cardona, Pānø ini . . . . . . . . . . . . . . . . . . . . . . . . . . 113
18. Hartmut Scharfe, Die Entwicklung der Sprachwissenschaft in
Indien nach Pānø ini . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
19. Madhav Deshpande, Indian theories on phonetics . . . . . . . . . . 137
20. Jan Houben, Language and thought in the Sanskrit tradition . . . 146
21. George Cardona, The organization of grammar in Sanskrit
linguistics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157
22. Johannes Bronkhorst, The relationship between linguistics and
other sciences in India . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166
23. Madhav Deshpande, The role of linguistics in Indian society and
education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173
24. Michael C. Shapiro, The Hindi grammatical tradition . . . . . . . 178
25. Vadim B. Kasevic, Indian influence on the linguistic tradition of
Burma . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182
26. Bernard Arps, Indian influence on the Old Javanese linguistic
tradition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186

VI. The Establishment of Dravidian Linguistics


Die Anfänge der dravidischen Sprachforschung
La constitution de la lingistique dravidienne
27. Jean-Luc Chevillard, Les débuts de la tradition linguistique
tamoule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191
Contents / Inhalt / Table des matières VII

28. Jean-Luc Chevillard, Le Tolkāppiyam et le développement de la


tradition linguistique tamoule . . . . . . . . . . . . . . . . . . . . . . . 194
29. Jean-Luc Chevillard, Les successeurs du Tolkāppiyam: le Nanß nß ūl,
le Vı̄racōlßiyam et les autres écoles . . . . . . . . . . . . . . . . . . . . 200

VII. The Establishment of Tibetan Linguistics


Die Anfänge der Sprachforschung in Tibet
La constitution de la linguistique tibétaine
30. Roy Andrew Miller, The early Tibetan grammatical treatises and
Thon-mi Sambhotøa . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203
31. Pieter C. Verhagen, The classical Tibetan grammarians . . . . . . . 207
32. Pieter C. Verhagen, The influence of the Sanskrit tradition on
Tibetan indigenous grammar . . . . . . . . . . . . . . . . . . . . . . . 210

VIII. The Establishment of Hebrew Linguistics


Die Anfänge der hebräischen Sprachforschung
La constitution de la linguistique de l’hébreu
33. Aaron Dotan, The origins of Hebrew linguistics and the exegetic
tradition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
34. Irene Zwiep, Die Entwicklung der hebräischen Sprachwissenschaft
während des Mittelalters . . . . . . . . . . . . . . . . . . . . . . . . . . 228
35. Carlos del Valle, Hebrew linguistics in Arabic . . . . . . . . . . . . . 234
36. Wout Jac. van Bekkum, Hebrew linguistics and comparative
Semitic grammar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240

IX. The Establishment of Arabic Linguistics


Die Anfänge der arabischen Sprachforschung
La constitution de la linguistique arabe
37. Rafael Talmon, The first beginnings of Arabic linguistics: The
era of the Old Iraqi School . . . . . . . . . . . . . . . . . . . . . . . . 245
38. Aryeh Levin, Sı̄bawayhi . . . . . . . . . . . . . . . . . . . . . . . . . . 252
39. Michael G. Carter, The development of Arabic linguistics after
Sı̄bawayhi: Basøra, Kūfa and Baghdad . . . . . . . . . . . . . . . . . . 263
40. Jean-Patrick Guillaume, La nouvelle approche de la grammaire
au IVe / Xe siècle: Ibn Ǧinnı̄ (320/932⫺392/1002) . . . . . . . . . . . 273
41. Gérard Troupeau, La période post-classique de la linguistique
arabe: d’Ibn Ǧinnı̄ à al-ÅAstarābādß ı̄ . . . . . . . . . . . . . . . . . . . 280
42. Jonathan Owens, The structure of Arabic grammatical theory . . 286
43. Kees Versteegh, Grammar and logic in the Arabic grammatical
tradition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300
44. Jan Peters, Language and revelation in Islamic society . . . . . . . 307
45. Pierre Larcher, Les relations entre la linguistique et les autres
sciences dans la société arabo-islamique . . . . . . . . . . . . . . . . 312
46. Mohammed Sawaie, Traditional linguistics and Western
linguistics in the Arab world . . . . . . . . . . . . . . . . . . . . . . . . 318
VIII Contents / Inhalt / Table des matières

47. Adel Sidarus, L’influence arabe sur la linguistique copte . ..... 321
48. Robert Ermers, The description of Turkic with the Arabic
linguistic model . . . . . . . . . . . . . . . . . . . . . . . . . . . ..... 325
49. Éva M. Jeremiás, Arabic influence on Persian linguistics . ..... 329
50. Nico Kaptein, Arabic influence on Malay linguistics . . . . ..... 333

X. The Establishment of Syriac Linguistics


Die Anfänge der syrischen Sprachforschung
La constitution de la linguistique syriaque
51. Rafael Talmon, Foreign influence in the Syriac grammatical
tradition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337
52. Riccardo Contini, The role of linguistics in Syrian society . . . . . 341

XI. The Establishment of Linguistics in Greece


Die Anfänge der griechischen Sprachforschung
La constitution de la linguistique en Grèce
53. Peter Schmitter, Sprachbezogene Reflexionen im frühen
Griechenland . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345
54. Hans Arens, Sprache und Denken bei Aristoteles . . . . . . . . . . 367
55. Ineke Sluiter, Language and thought in Stoic philosophy . . . . . 375
56. Frédéric Lambert, La linguistique grecque chez les alexandrins:
Aristophane de Byzance et Aristarque . . . . . . . . . . . . . . . . . . 385
57. Vincenzo di Benedetto, Dionysius Thrax and the Tékhnē . . . . . . 394
58. David L. Blank, The organization of grammar in ancient Greece 400
59. R. H. Robins †, Greek linguistics in the Byzantine period . . . . . 417
60. Elmar Siebenhorn, Die Beziehungen der griechischen
Sprachforschung zu anderen Disziplinen . . . . . . . . . . . . . . . . 424
61. Dirk M. Schenkeveld, The impact of language studies on Greek
society and education . . . . . . . . . . . . . . . . . . . . . . . . . . . . 430
62. Vı́t Bubenı́k, Variety of speech in Greek linguistics: The dialects
and the koinè . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 439
63. Mzekala Shanidze, Greek influence in Georgian linguistics . . . . 444
64. Jos Weitenberg, Greek influence in Armenian linguistics . . . . . . 447
65. Yannis Kakridis, Greek influence in the grammatical theory of
Church Slavonic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 450

XII. The Establishment of Linguistics in Rome


Die Anfänge der Sprachforschung in Rom
La constitution de la linguistique à Rome
66. Daniel J. Taylor, Varro and the origin of Roman linguistic
theory and practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 455
67. Marc Baratin, À l’origine de la tradition artigraphique latine,
entre mythe et réalité . . . . . . . . . . . . . . . . . . . . . . . . . . . . 459
68. Françoise Desbordes †, L’ars grammatica dans la période post-
classique: le Corpus grammaticorum latinorum . . . . . . . . . . . . . 466
Contents / Inhalt / Table des matières IX

69. Carmen Codoñer, L’organisation de la grammaire dans la


tradition latine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 474
70. James J. Murphy, Grammar and rhetoric in Roman schools . . . 484
71. Arpád Orbán, Augustin und die Sprache . . . . . . . . . . . . . . . . 492

XIII. The Cultivation of Latin Grammar in the Early


Middle Ages
Die Pflege der lateinischen Grammatik im frühen
Mittelalter
La culture de la grammaire latine dans le Haut
Moyen-Age
72. Roger Wright, The study of Latin as a foreign language in the
Early Middle Ages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 501
73. Anneli Luhtala, Linguistics and theology in the Early Medieval
West . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 510
74. Louis Holtz, Alcuin et la redécouverte de Priscien à l’époque
carolingienne . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 525
75. Mark Amsler, The role of linguistics in early medieval education 532

XIV. Linguistic Theory in the Late Middle Ages


Sprachtheorien des späten Mittelalters
La théorie linguistique au Bas Moyen-Age
76. Irène Rosier-Catach, La grammaire spéculative du Bas Moyen-
Age . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 541
77. Corneille H. Kneepkens, Linguistic description and analysis in
the Late Middle Ages . . . . . . . . . . . . . . . . . . . . . . . . . . . . 551
78. Joel Biard, Linguistique et logique durant le Bas Moyen-Age . . . 560
79. Louis Kelly, Language study and theology in the Late Middle
Ages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 572
80. Ludger Kaczmarek, Die Beziehungen der spätmittelalterlichen
Sprachforschung zu anderen Gebieten . . . . . . . . . . . . . . . . . 584

XV. The Cultivation of Latin Grammar in the Late Middle


Ages
Die Pflege der lateinischen Grammatik im
Spätmittelalter
La culture de la grammaire latine dans le Bas Moyen-
Age
81. Anne Grondeux, La Grammatica positiva dans le Bas Moyen-
Age . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 598
82. Anders Ahlqvist, The Latin tradition and the Irish language . . . 610
83. Ann T. E. Matonis, The Latin tradition and Welsh . . . . . . . . . 614
84. Valeria Micillo, The Latin tradition and Icelandic . . . . . . . . . . 617
X Contents / Inhalt / Table des matières

85. Kees Dekkers, Ælfric and his relation to the Latin tradition . . . 625
86. Sylvie Archaimbault, La tradition latine et les langues slaves
dans le Bas Moyen-Age . . . . . . . . . . . . . . . . . . . . . . . . . . . 634
87. Hans-J. Niederehe, Sprachstudium und literarische Traditionen:
Das Okzitanisch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 638

XVI. The Classical Languages in the Age of Humanism


Die klassischen Sprachen im Zeitalter des
Humanismus
Les langues classiques à l’époque de l’humanisme
88. Mirko Tavoni, The traditional study of Latin at the university in
the age of Humanism . . . . . . . . . . . . . . . . . . . . . . . . . . .. 650
89. Mirko Tavoni, The rediscovery of the classics in the age of
Humanism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 657
90. Bernard Colombat, La réforme du latin à l’époque de
l’humanisme . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 661
91. Christian Förstel, L’étude du grec à l’époque de l’humanisme . .. 666
92. Sophie Kessler-Mesguich, L’étude de l’hébreu et des autres
langues orientales à l’époque de l’humanisme . . . . . . . . . . . .. 673

XVII. The Teaching of Languages in the 15th Through the


18th Centuries in Europe
Der Fremdsprachenunterricht in Europa
(15.⫺16. Jahrhundert)
L’enseignement des langues du XVe au XVIIIe siècle
en Europe
93. Konrad Schröder, Kommerzielle und kulturelle Interessen am
Unterricht der Volkssprachen im 15. und 16. Jahrhundert . . . . . 681
94. Alda Rossebastiano, La tradition des manuels polyglottes dans
l’enseignement des langues . . . . . . . . . . . . . . . . . . . . . . . . . 688
95. Claudio Marazzini, The teaching of Italian in 15th- and
16th-century Europe . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 699
96. Otto Ludwig / Claus Ahlzweig, Der Unterricht des Deutschen im
15. und 16. Jahrhundert . . . . . . . . . . . . . . . . . . . . . . . . . . 705
97. Barbara Kaltz, Der Unterricht des Französischen im
16. Jahrhundert . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 711
98. Manuel Breva-Claramonte, The teaching of Spanish in
16th-century Europe . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 717
99. Konrad Schröder, Der Unterricht des Englischen im
16. Jahrhundert . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 723
100. Hartmut Bobzin, Der Unterricht des Hebräischen, Arabischen
und anderer semitischer Sprachen sowie des Persischen und
Türkischen in Europa (bis zum Ende des 18. Jahrhunderts) . . . . 728
101. Konrad Schröder, Die Traditionen des Sprachunterrichts im
Europa des 17. und 18. Jahrhunderts . . . . . . . . . . . . . . . . . . 734
Contents / Inhalt / Table des matières XI

XVIII. The Development of Grammatical Traditions for the


Literary Vernaculars in Europe
Die neuen Literatursprachen und die Herausbildung
ihrer grammatischen Tradition
Le développement des traditions grammaticales
concernant les vernaculaires écrits de l’Europe
102. Claudio Marazzini, Early grammatical descriptions of Italian . . . 742
103. Miguel Angel Esparza Torres, Frühe grammatische
Beschreibungen des Spanischen . . . . . . . . . . . . . . . . . . . . . . 749
104. Maria Leonor Carvalhão Buescu †, Les premières descriptions
grammaticales du portugais . . . . . . . . . . . . . . . . . . . . . . . . 756
105. Andres Max Kristol, Les premières descriptions grammaticales
du français . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 764
106. Monique Verrac, Les premières descriptions grammaticales de
l’anglais . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 771
107. Monika Rössig-Hager, Frühe grammatische Beschreibungen des
Deutschen . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 777
108. Geert Dibbets, Frühe grammatische Beschreibungen des
Niederländischen (ca. 1550⫺ca. 1650) . . . . . . . . . . . . . . . . . . 784
109. Helmut Schaller, Frühe grammatische Beschreibungen slawischer
Sprachen . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 792
110. Erich Poppe, Early grammatical descriptions of the Celtic
languages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 800
111. Kaisa Häkkinen, Early grammatical descriptions of Finno-Ugric 806

XIX. The Normative Study of the National Languages


from the 17th Century Onwards
Das normative Studium der Nationalsprachen ab dem
17. Jahrhundert
L’étude normative des langues nationales à partir du
fin du XVIe siècle
112. Rudolf Engler, Die Accademia della Crusca und die
Standardisierung des Italienischen . . . . . . . . . . . . . . . . . . . . 815
113. Peter von Polenz, Die Sprachgesellschaften und die Entstehung
eines literarischen Standards in Deutschland . . . . . . . . . . . . . 827
114. Jörg Kilian, Entwicklungen in Deutschland im 17. und
18. Jahrhundert außerhalb der Sprachgesellschaften . . . . . . . . . 841
115. Francine Mazière, La langue et l’État: l’Académie française . . . . 852
116. Ramon Sarmiento, Die Königliche Spanische Akademie und die
Pflege der Nationalsprache . . . . . . . . . . . . . . . . . . . . . . . . . 863
117. Maria Leonor Carvalhão Buescu †, L’Académie des Sciences de
Lisbonne . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 870
118. Ingrid Tieken-Boon van Ostade, Normative studies in England 876
119. Even Hovdhaugen, Normative studies in the Scandinavian
countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 888
XII Contents / Inhalt / Table des matières

120. Jan Noordegraaf, Normative studies in the Low Countries .... 893
121. Sylvie Archaimbault, Les approches normatives en Russie
(XVIIIe siècle) . . . . . . . . . . . . . . . . . . . . . . . . . . . . .... 901
122. Jiřı́ Kraus, Normativ orientierte Sprachforschung zum
Tschechischen . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .... 907
123. Jadwiga Puzynina, Normative studies in Poland . . . . . . . .... 912
124. Tiborc Fazekas, Normativ orientierte Sprachforschung in
Ungarn . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .... 916
125. Arnold Cassola, Normative studies in Malta . . . . . . . . . .... 919

XX. The Study of ‘Exotic’ Languages by Europeans


Die Europäer und die ‘exotischen’ Sprachen
La connaissance des langues ‘exotiques’
126. Even Hovdhaugen, The Great Travelers and the studies of
‘exotic languages’ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 925
127. Edward G. Gray, Missionary linguistics and the description of
‘exotic’ languages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 929
128. Leonardo Manrique, Das Studium der autochtonen Sprachen
Zentralamerikas: Nahuatl . . . . . . . . . . . . . . . . . . . . . . . . . 937
129. Wolfgang Wölck / Utta von Gleich, Das Studium der
Eingeborenensprachen Südamerikas: Ketschua . . . . . . . . . . . . 950
130. Wolf Dietrich, Das Studium der Eingeborenensprachen
Südamerikas: Guaranı́ . . . . . . . . . . . . . . . . . . . . . . . . . . . 960
131. John Hewson, The study of the native languages of North
America: The French tradition . . . . . . . . . . . . . . . . . . . . . . 966
132. Elke Nowak, First descriptive approaches to indigenous
languages of British North America . . . . . . . . . . . . . . . . . . . 973
133. Wilhelm J. G. Möhlig, Das Studium der schwarzafrikanischen
Sprachen . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 980
134. Jean-Luc Chevillard, Das Studium der Eingeborensprachen des
indischen Ozeans: Frühe Kontakte mit dem Sanskrit und den
dravidischen Sprachen (entfallen)
135. Wei Chiao / Magnus Kriegeskorte, Das Studium der Sprachen
des Fernen Ostens: Chinesisch . . . . . . . . . . . . . . . . . . . . . . 991
136. Jean-Claude Rivière, La connaissance du malais et des langues
de l’Océanie . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 998

XXI. Theories of Grammar and Language Philosophy


in the 17th and 18th Centuries
Grammatiktheorien und Sprachphilosophie im
17. und 18. Jahrhundert
Théories grammaticales et philosophie de langage
aux XVIIe et XVIIIe siècles
137. Claire Lecointre, Les transformations de l’héritage médiéval
dans l’Europe du XVIIe siècle . . . . . . . . . . . . . . . . . . . . . . . 1002
Contents / Inhalt / Table des matières XIII

138. Jean Caravolas, Les origines de la didactique des langues en tant


que discipline autonome . . . . . . . . . . . . . . . . . . . . . . . . . . 1009
139. Sylvain Aroux, Port-Royal et la tradition française de la
grammaire générale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1022
140. David F. Cram / Jaap Maat, Universal language schemes in the
17th century . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1030
141. Bernd Naumann, Die ‘Allgemeine Sprachwissenschaft’ um die
Wende zum 19. Jahrhundert . . . . . . . . . . . . . . . . . . . . . . . . 1044

XXII. Ideas on the Origin of Language and Languages from


the 16th to the 19th Centuries
Vorstellungen vom Sprachursprung und vom
Ursprung der Sprachen (16.⫺18. Jahrhundert)
Conceptions de l’origine des langues et du langage
du XVIe au XVIIIe siècle
142. Daniel Droixhe, Les conceptions du changement et de la parenté
des langues européennes aux XVIIe et XVIIIe siècles . . . . . . . . 1057
143. Klaus D. Dutz / Ludger Kaczmarek, Vorstellungen über den
Ursprung von Sprachen im 16. und 17. Jahrhundert . . . . . . . . 1071
144. Harald Haarmann, Die großen Sprachensammlungen vom
frühen 18. bis frühen 19. Jahrhundert. . . . . . . . . . . . . . . . . . 1081

Volume 2 / 2. Teilband / Tome 2

XXIII. Studies of the Antecedents to and Connections


between National Languages
Vorstellungen von der Entstehung der
Nationalsprachen und ihren Beziehungen zueinander
Études des origines et des rapports des langues
nationales
145. Werner Bahner, Frühe dialektologische, etymologische und
sprachgeschichtliche Forschungen in Spanien
146. William Jervis Jones, Early dialectology, etymology and
language history in German speaking countries
147. Jan Noordegraaf, Historical linguistics in the Low Countries:
Lambert ten Kate
148. Even Hovdhaugen, The study of early Germanic languages in
Scandinavia: Ihre, Stiernhielm
149. Robin Smith, Investigating older Germanic languages in
England
150. Roger Comtet, L’étude des langues slaves en Russie: M. L.
Lomonosov
XIV Contents / Inhalt / Table des matières

151. Tiborc Fazekas, Die Entdeckung der Verwandtschaft der finno-


ugrischen Sprachen
152. Rosane Rocher, The knowledge of Sanskrit in Europe until 1800

XXIV. Historical and Comparative Linguistics of the Early


19th Century
Die historische und vergleichende Sprachwissenschaft
zu Beginn des 19. Jahrhunderts
La linguistique historique et comparative au début du
XIXe siècle
153. Kurt R. Jankowsky, The renewal of the study of the classical
languages within the university system, notably in Germany
154. Kurt R. Jankowsky, The establishment of oriental language
studies in France, Britain, and Germany
155. Jean Rousseau, La genèse de la grammaire comparée au début
du XIXe siècle
156. N. E. Collinge, The introduction of the historical principle into
the study of languages
157. Theodora Bynon, The synthesis of comparative and historical
Indo-European studies: August Schleicher

XXV. The Establishment of New Philologies in the


19th Century
Die Herausbildung neuer Philologien im
19. Jahrhundert
Le développement des nouvelles philologies au
XIXe siècle
158. Jürgen Storost, Die ‘neuen Philologien’, ihre Institutionen und
Periodica: Eine Übersicht
159. Pierre Swiggers, L’origine et le développement de la philologie
romane
160. Uwe Meves, Die Entstehung und frühe Entwicklung der
Germanischen Philologie
161. Karl Gutschmidt, Die Entstehung und frühe Entwicklung der
Slavischen Philologie
162. Tiborc Fazekas, Finno-ugrische Philologie und vergleichende
Grammatik
163. Rainer Voigt, Semitische Philologie und vergleichende
Grammatik
Contents / Inhalt / Table des matières XV

XXVI. Indo-European Philology and Historical Linguistics


and their Legacy
Indo-europäische Philologie, Historische
Sprachwissenschaft und ihr Erbe
La philologie indo-européenne et la linguistique
historique et leurs legs
164. Kurt R. Jankowsky, The crisis of historical-comparative
linguistics in the 1860s
165. Eveline Einhauser, Die Entstehung und frühe Entwicklung des
junggrammatischen Forschungsprogramms
166. Kurt R. Jankowsky, Consolidation of the neogrammarian
framework
167. Wilhelm J. G. Möhlig, Die Anwendung der ‘vergleichenden
Methode’ auf afrikanische Sprachen
168. Robert A. Blust, The ‘comparative method’ applied to
Austronesian languages
169. John Hewson, The ‘comparative method’ applied to Amerindian:
The reconstruction of Proto-Algonkian
170. Catherine Bereznak/Lyle Campbell, The ‘comparative method’ as
applied to other non-Indo-European languages

XXVII. Language Typology, Language Classification, and the


Search for Universals
Sprachtypologie, die Klassifizierung der Sprachen und
die Suche nach sprachlichen Universalien
La typologie linguistique, la classification des langues
et la recherche des universaux
171. Frans Plank, Language typology by the end of the 18th century
172. Jean Rousseau, La classification des langues au début du XIXe
siècle
173. Manfred Ringmacher, Die Klassifizierung der Sprachen in der
Mitte des 19. Jahrhunderts
174. Manfred Ringmacher, Sprachtypologie und Ethnologie in
Europa am Ende des 19. Jahrhunderts
175. Regna Darnell, Language typology and ethnology in
19th-century North America: Gallatin, Brinton, Powell
176. George Yonek/Lyle Campbell, Language typology in the 20th
century: From Sapir to late 20th century approaches
177. Bernard Comrie, Theories of universal grammar in the late 20th
century
XVI Contents / Inhalt / Table des matières

XXVIII. The Analysis of Speech and Unwritten Languages


in the 19th Century and its Continuation in the
20th Century
Die Erforschung der lautlichen Äußerung und nicht
verschrifteter Sprachen im 19. und die Fortsetzung im
20. Jahrhundert
L’étude de la parole et des langues non-écrites
pendant le XIXe siècle et sa continuation au
XXe siècle
178. J. Alan Kemp, The development of phonetics from the late 18th
to the late 19th century
179. Even Hovdhaugen, Field work and data-elicitation of unwritten
languages for descriptive and comparative purposes:
Strahlenberg, Sjögren, Castrén, Böthlingk
180. Enrica Galazzi, Physiologie de la parole et phonétique appliquée
au XIXe et au début du XXe siècle
181. Wolfgang Putschke, Die Dialektologie, ihr Beitrag zur
historischen Sprachwissenschaft im 19. Jahrhundert und Kritik
am junggrammatischen Programm
182. Joachim Herrgen, Die Dialektologie des Deutschen
183. Marinel Gerritsen, The dialectology of Dutch
184. Graham Shorrocks, The dialectology of English in the British
Isles
185. Tom M. S. Priestly, Dialectology in the Slavic countries: An
overview from its beginnings to the early 20th century
186. J. Alan Kemp, The history and development of a universal
phonetic alphabet in the 19th century: From the beginnings to
the establishment of the IPA
187. Michael K. C. MacMahon, Modern language instruction and
phonetics in the late 19th century

XXIX. Approaches to Semantics in 19th and the First Third


of the 20th Century
Ansätze zur Semantik im 19. und im ersten Drittel des
20. Jahrhunderts
Les approches à la sémantique au XIXe et au premier
tiers du XXe siècle
188. Brigitte Nerlich, The renewal of semantic questions in the 19th
century: The work of Karl Christian Reisig and his successors
189. Brigitte Nerlich, The development of semasiology in Europe:
A survey from the second half of the 19th to the first third of the
20th century
190. Johannes Kramer, Die frühe Entwicklung des onomasiologischen
Ansatzes in der Sprachwissenschaft und Lexikographie des
19. Jahrhunderts
Contents / Inhalt / Table des matières XVII

191. Brigitte Nerlich, The study of meaning change from Reisig to Bréal
192. Wolfgang Settekorn, Die Forschungsrichtung ‘Wörter und
Sachen’
193. W. Terrence Gordon, The origin and development of the theory
of the ‘semantic field’

XXX. Psychology and Physiology in 19th-Century


Linguistics
Psychologische und physiologische Ansätze in der
Sprachwissenschaft des 19. Jahrhunderts
La psychologie et la physiologie dans la linguistique
du XIXe siècle
194. Clemens Knobloch, Die Beziehungen zwischen Sprache und
Denken: Die Ideen Wilhelm von Humboldts und die Anfänge
der sprachpsychologischen Forschung
195. David J. Murray, Language and psychology: 19th-century
developments outside Germany: A survey
196. Gabriel Bergounioux, Le langage et le cerveau: la localisation de
la faculté du langage et l’étude des aphasies
197. Clemens Knobloch, Psychologische Ansätze bei der Erforschung
des frühkindlichen Spracherwerbs

XXXI. Structural Linguistics in the 20th Century


Der europäische Strukturalismus im 20. Jahrhundert
Le structuralisme européen au XXe siècle
198. Manfred Kohrt/Kerstin Kuchaczik, Die Wurzeln des
Strukturalismus in der Sprachwissenschaft des 19. Jahrhunderts
199. René Amacker, La dimension synchronique dans la théorie
linguistique de Saussure
200. René Amacker, Le développement des idées saussuriennes par
l’école de Genève: Bally, Sechehaye
201. Tsutomu Akamatsu, The development of functionalism from the
Prague School to the present
202. Jørgen Rischl, The Cercle linguistique de Copenhague and
glossematics
203. David G. Butt, Firth, Halliday, and the development of
systemic-functional theories
204. Giorgio Graffi, The emphasis on syntax in the early phase of
European structuralism: Ries, Jespersen, Mathesius, Guillaume,
Tesnière
205. Heinz J. Weber, Die Entwicklung der Dependenzgrammatik und
verwandter Theorien in der 2. Hälfte des 20. Jahrhunderts
206. Ulrich Püschel, Linguistische Ansätze in der Stilistik des
20. Jahrhunderts
207. John E. Joseph, The exportation of structuralist ideas from
linguistics to other fields: An overview
XVIII Contents / Inhalt / Table des matières

XXXII. Traditions of Descriptive Linguistics in America


Der amerikanische Deskriptivismus
La linguistique descriptive aux États-Unis
208. Stephen O. Murray, The ethnolinguistic tradition in 19th-century
America: From the earliest beginnings to Boas
209. Stephen G. Alter, The linguistic legacy of William Dwight
Whitney
210. Stephen O. Murray, Attempts at professionalization of American
linguistics in the 20th century, and the role of the Linguistic
Society of America
211. Victor Golla, The Sapirian approach to language
212. John G. Fought, The Bloomfield school and descriptive
linguistics
213. John R. Costello, Tagmemics and the analysis of non-verbal
behavior: Pike and his school
214. John Fought, Distributionalism and immediate constituent
analysis in American linguistics
215. Sheila Embleton, Quantitative methods and lexicostatistics in the
20th century

Volume 3 / 3. Teilband / Tome 3


(Preview of Contents / Vorgesehener Inhalt / Table des matières prévus)

XXXIII. Formalization Tendencies and Mathematization in


20th-Century Linguistics, Generative Grammar, and
Alternative Approaches
Formalisierungstendenzen und Mathematisierung in
der Sprachwissenschaft des 20. Jahrhunderts,
die Generative Grammatik und ihre Alternativen
Les tendances vers la formalisation et la
mathématisation des théories linguistiques au XXe
siècle, la grammaire générative et ses alternatives
The axiomatic method in 20th-century European linguistics
Early tendencies of formalization in 20th-century American
linguistics (e. g., Harris, Hockett)
Origin and development of the Chomskyan program: Generative
linguistics to 1965
Le développement des grammaires catégorielles et applicatives:
Bar-Hillel, Shaumyan
The development of stratificational grammar
The evolution of generative linguistics, 1965⫺1978
Contents / Inhalt / Table des matières XIX

The development of Montague-Grammar


The development of case grammars in the 20th century
(Fillmore, Simmons, Grimes, Shank)
Gouvernement et liage; principes et paramètres: la linguistique
générative depuis 1978
The development of alternative approaches to generative
linguistics: An overview (relational grammar, generalized phrase
structure grammar, etc.)
Le développement des grammaires à orientation lexicale

XXXIV. The development of Theories of Semantics, of the


Lexicon, and Semantic-Based Theories in the 20th
Century
Die Entwicklung von Theorien zur Semantik, zum
Lexikon und von semantisch orientierten
Grammatiken
Le développement des théorie de la sémantique,
du lexique et des grammaires sémantiques
Die Zeichentheorie F. de Saussures und die Semantik im
20. Jahrhundert: Ein Überblick
Die Wortfeldtheorie unter dem Einfluß des Strukturalismus
Die Entwicklung der inhaltbezogenen Grammatik in
Deutschland: Leo Weisgeber und seine Schule
Die europäische Onomasiologie in der zweiten Hälfte des
20. Jahrhunderts und ihr Verhältnis zur Semasiologie
Die sinnrelationale Semantik als Alternative zur
Merkmalsemantik
Research on semantic change after Hermann Paul
The development of sentence-oriented semantic approaches
within the generative framework
Semantic theories in 20th-century America: An overview of the
different approaches outside of generative grammar: Nida,
Goodenough, Lounsbury, Weinreich et al.
Semantic considerations in recent onomastic research: A survey
Semantik und Lexikographie im 20. Jahrhundert
Lexikologie als Theorie des Lexikons einer Grammatik: Eine
Übersicht über neuere Entwicklungen
XX Contents / Inhalt / Table des matières

XXXV. Phonology and Morphology in the Later 20th


Century
Jüngere Forschungen zur Phonologie und
Morphologie
La phonologie et la morphologie au XXe siècle tardif
La phonologie générative jusqu’en 1975
La phonologie générative naturelle et la phonologie naturelle
Autosegmental phonology and underspecification theory
The development of lexical phonology
Le développement de la phonologie prosodique et de la
phonologie métrique
Les théories morphologiques dans la linguistique de la fin
XXe siècle
Morphologie comme formation des mots au XXe siècle: un
survol
Jüngere Entwicklungen in der natürlichen Morphologie

XXXVI. The Study of Language Differenciation in the 20th


Century
Die Erforschung der sprachlichen Variation im
20. Jahrhundert
L’étude de la différentiation linguistique au XXe siècle
Homogenität und Heterogenität der Sprache: Die Entwicklung
der Diskussion im 20. Jahrhundert
Neuere Entwicklungen in der europäischen Dialektologie
Recent developments in North American dialectology
Die Erforschung der sozialen Variation von Sprachen: Ein
Überblick zur Entwicklung in Europa
The analysis of social differenciation of languages: An overview
of the development in North America
The development of creolistics and the study of pidgins
Kontaktlinguistik, Sprachkonfliktforschung und Sprachplanung:
Überblick über die Tendenzen im 20. Jahrhundert
Contents / Inhalt / Table des matières XXI

XXXVII. Historical Linguistics in the Second Half of the 20th


Century
Die historische Sprachwissenschaft in der zweiten
Hälfte des 20. Jahrhunderts
La linguistique historique dans la deuxième moitié
du XXe siècle
. The place of historical linguistics in the age of structuralism
Konzepte von der Historizität von Sprachen und von
Sprachgeschichte
The investigation of diachronic variety in languages: Traditions
and recent developments
Les tendances et les traditions de la lexicographie de la seconde
moitié du XXe siècle
The laryngeal and the glottalic theories
Modern theories of linguistic change: An overview

XXXVIII. Critique of Traditional Linguistics and the


Development of New Approaches to Language
Analysis
Kritik an der traditionellen Sprachwissenschaft und
Neuansätze in der Sprachforschung
Critiques et dépassement de la linguistique
traditionelle et le développement d’approches neuves
au langage
Die Sprachphilosophie Wittgensteins und die Sprachwisssenschaft
in der zweiten Hälfte des 20. Jahrhunderts
The interface of linguistics and pragmatics: Its development
during the second half of the 20th century
Die Rezeption und Weiterentwicklung der angelsächsischen
Sprechakttheorie in der Sprachwissenschaft
Ursprung und Entwicklung der Textlinguistik
Die Rezeption der soziologischen Konversationsanalyse und
Ansätze zu einer linguistischen Gesprächsforschung
Le développement des théories énonciatives: Antoine Culioli et
son école
XXII Contents / Inhalt / Table des matières

XXXIX. 20th-Century Linguistics and Adjacent Fields of


Study: Perspectives and Developments
Die Sprachwissenschaft und ihre
Nachbarwissenschaften: Ausschnitte aus der
Entwicklung ihrer Beziehungen im 20. Jahrhundert
La linguistique et les disciplines voisines au XXe
siècle: Perspectives et développements
The ontology and epistemology of linguistics
Linguistics and semiotics I: The impact of Ogden & Richards’
Meaning of Meaning
Linguistics and semiotics II: C. S. Peirce’s influence on 20th-
century linguistics
Linguistics and logic I: The influence of Frege and Russell on
semantic theory
Sprachwissenschaft und Logik II: Der Einfluß der
Quantorenlogik und ihrer Semantik auf die
sprachwissenschaftliche Theoriebildung
Sprachwissenschaft und Philosophie I: Der Einfluß der
Stereotypentheorie von Hilary Putnam und ihre Rezeption und
Weiterentwicklung in der Semantik
Sprachwissenschaft und Philosophie II: Der Einfluß von H. P.
Grice auf die Theoriebildung zur sprachlichen Kommunikation
La linguistique et la rhétorique: Un aperçu historique de leurs
rapports reciproques au XXe siècle
Sprachwissenschaft und Psychologie I: Ein historischer
Überblick über das Verhältnis von Sprache und Denken im
20. Jahrhundert
Linguistique et psychologie II: La théorie des prototypes
d’Eleonore Rosch, sa réception critique à l’inténeur de la
psychologie et sa réception dans la semantique linguistique
Le langage et les processus cérébraux I: La neurolinguistique du
XXe siècle, de l’aphasiologie localiste aux sciences cognitives
Le langage et les processus cérébraux II: Un aperçu du
développement de la pathologie du langage au XXe siècle
L’acquisition du langage I: Un aperçu du développement des
conceptions de l’apprentissage d’une langue mère au XXe siècle
Language acquisition II: Second language acquisition research in
the 20th century
La phonétique au XXe siècle: Un aperçu historique des tendances
majeures de son développement
Sprache und Technologie: Die Entstehung neuer Anwendungsfelder
sprachwissenschaftlicher Forschung im 20. Jahrhundert
Contents / Inhalt / Table des matières XXIII

La recherche concernant les langues spéciales et scientifiques: Un


aperçu de son développement au XXe siècle
La traduction automatique I: Les premières tentatives jusqu’au
rapport ALPAC
La traduction automatique II: Développements récents
Linguistics and artificial intelligence
Language and biology: A survey of problems and principles of
biolinguistics
Integrational tendencies in linguistic theory

XL. History of Linguistics ⫺ The Field


Die Geschichte der Sprachwissenschaften: Umrisse
der Disziplin
Le domaine de l’histoire de la linguistique
Hans-Josef Niederehe, Die Entwicklung der Geschichte der
Sprachwissenschaft als Forschungsobjekt
Kees Versteegh, The study of non-Western traditions and its
relationship to mainstream linguistic historiography
Sylvain Auroux, Théorie et méthodologie de l’histoire de la
linguistique
E. F. K. Koerner, The history of linguistics, its
professionalization, and its place within linguistics

XLI. Indexes / Register / Indexes


Index of names / Namenregister / Index des noms
Index of subjects / Sachregister / Index des matières
Index of languages / Sprachenregister / Index des langues
I. The Establishment of Linguistic Traditions
in the Near East
Die Anfänge sprachwissenschaftlicher Traditionen
im Nahen Osten
La constitution des traditions linguistiques
au Proche-Orient

1. The Sumerian and Akkadian linguistic tradition

1. Writing and languages inflectional morphemes were not always writ-


2. Scribal training ten. A pictogram, which eventually evolved
3. Akkadian lists into a cuneiform sign, could stand not only
4. Linguistic consciousness for the name of the object it depicted but also
5. Bibliography
for a homophonous word, e. g., the sign for
arrow, Sumerian ti, for the word “life”, Sum-
1. Writing and languages erian ti(l) and the sign for reed, Sumerian gi,
for the homophonous verb “to return”. On
Around 3000 BC in Mesopotamia ⫺ today’s these and a few other examples is based the
Iraq ⫺ the first writing system was invented. theory that the writing reflects the Sumerian
The first use of writing was for bookkeeping language and not another, and that the first
purposes (Nissen, Damerow & Englund written texts were Sumerian.
1993). The identity of the language first com- With this application of the rebus prin-
mitted to writing ⫺ Sumerian or some sub- ciple, the step toward using signs to write
strate language that left few traces in the ‘empty words,’ that do not represent a con-
Sumerian vocabulary ⫺ cannot be estab- crete object, was taken. As Sumerian words
lished, since the first signs were pictograms are preponderantly monosyllabic, the con-
that identified objects without being lan- cept that a sign represents a syllable could
guage specific. As a pictogram became sim- evolve. In this sense, the invention of writing
plified and stylized so that it lost its pictorial itself may well be considered testimony of lin-
character, it became a symbol. Such a symbol guistic analysis of the spoken language. ⫺
is called an ideogram. An ideogram does not Sumerian being an agglutinating language,
denote a word but a concept and can repre- inflectional morphemes appended to a root
sent any word associated with that concept. morpheme came to be represented in the
Only when a particular word becomes per- writing by a sign symbolizing a homonym;
manently attached to the sign, does the sign e. g., the morpheme {a} by the sign represent-
become a logogram. A logogram corre- ing a “water”. Still, writing is not purely mor-
sponds not only to a particular word, but to phemic; a sequence of morphemes can be
a set which represents all forms of a word, written on a lower level as a sequence of syl-
the choice among which is context sensitive. lables, e. g. lugal⫹ak⫹a(k) written as lugal-
Only when the choice is indicated by another la-ka, while others may be written indepen-
sign that serves as phonetic indicator is the dently, as the ergative morpheme {e} when
writing disambiguated and does the writing appended to the word lugal “king” written
become language specific. In the earliest writ- lugal.e but when appended to the (divine)
ten records the order of the signs was not name En.lı́l written En.lı́l.le. The reasons for
fixed; thus the writing did not reflect a partic- such distinctions may be phonological, but
ular language with a fixed word order, but normally cannot be ascertained. Words con-
only expressed the idea ⫺ it was ideographic; sisting of both root and inflectional mor-
2 I. The Establishment of Linguistic Traditions in the Near East

phemes were regarded as units; that the no- These Sumerian unilingual lists were
tion of ‘word’ existed can be shown by the eventually provided with an additional col-
fact that words are not divided between two umn of Akkadian translations, but their se-
lines on the tablet, and the end of the line quence still displayed the ‘acrographic’ prin-
coincides with the word boundary. ciple of the Sumerian. Other bilingual lists
Cuneiform writing was adapted to Akkad- are arranged according to (a) sign forms, (b)
ian, a Semitic language with inner inflection, semantic groups, or (c) phonetic similarity
but never achieved a perfect fit. For example, (with or without etymological connection) of
there never developed a one-to-one corre- the Akkadian entries. As in all of Babylonian
spondence between the number of CV signs scientific literature which knows only two
beginning with a stop or sibilant (either forms: the list and step-by-step directives, the
voiced or voiceless), e. g., da and ta, and the oral instruction that must have accompanied
number of Akkadian stops and sibilants these ‘lessons’ cannot be recaptured, even
(either voiced, voiceless, or ‘emphatic’); e. g., though we possess a humorous literary text
the syllable tøa, with ‘emphatic’ ⫺ probably in the form of an examination of a student
glottalized ⫺ dental stop, has no separate by a scribe (Sjöberg 1974).
sign but is written with either da or ta. The Most striking are the so-called Grammati-
solutions for writing the third member of cal Texts (henceforth GT; Landsberger, Hal-
such sets were not uniform. lock & Jacobsen: 1956, 46⫺202), the earliest
of which date to the OB period, the OBGT.
They are the first example of contrastive lin-
2. Scribal training guistics, as they compare and contrast para-
digms. Akkadian verbs, like those of other
The early preoccupation of Mesopotamian
Semitic languages, express such categories as
scholars with linguistic matters stems no
causative, passive, reflexive, etc., through
doubt from being faced with a bilingual situ-
stem modifications by means of infixes, con-
ation, probably more prominent in the writ-
sonant reduplications, and the like, and per-
ten medium, since in the Old Babylonian
son, mood, and a direct or indirect verb ob-
(OB) period (1894⫺1595 BC) already Sumer-
ject by means of prefixes and/or suffixes; by
ian was no longer a spoken language though
contrast, the Sumerian verb stem is invariable
it remained written as a literary language
and the meanings corresponding to the Ak-
used in administrative, technical, and reli-
kadian inflected form are expressed by affix-
gious texts up to the first century AD. The
es. The GT present in parallel columns the
word for “tongue, language”, eme (Akk. lišā-
Akkadian inflected form and the Sumerian
nu) is applied also to dialects or trade lan-
agglutinated form. Each category is given in
guages; the women’s dialect is called eme.sal
the full paradigm according to person, tense,
“fine tongue”; others are eme.galam “high
mood, etc., often resulting in compilations of
tongue”, eme.si.sá “straight tongue”, eme.-
several hundred lines.
te.ná “oblique[?] tongue”, etc.
The necessity of training scribes gave to OBGT III
rise to various lists, the most basic of which 84 dı́m-ma-ab ⫽ e-pu-uš /epuš/ “make!”
is the list of signs, with glosses indicating the 85 ga-ab-dı́m ⫽ lu-pu-uš /lūpuš/ “let me make”
sign’s possible pronunciations (‘readings’). 86 ab-dı́m-me-en ⫽ e-pe-eš /eppeš/ “I shall make”
87 nu-ub-dı́m-me-en ⫽ ú-la e-pe-eš /ula eppeš/ “I
The earliest lists written in cuneiform, as ear-
shall not make”
ly as the third millennium, simply catalogue 88 hé-ib-dı́m-me ⫽ li-pu-uš /lı̄puš/ “let him make”
objects or living beings; members belonging 89 na-ab-dı́m-me ⫽ la i-pe-eš /la ippeš/ “he shall
to a class are preceded (rarely followed) by a not make”
class mark, called ‘determinative’; e. g. names
of professions are preceded by the word for Such paradigms with imperative, cohortative,
“man”, lú; objects made of wood, stone, clay, and optative forms, in this sequence, suggest
reed, etc., by the word for “wood”, “stone”, that they were devised for writing letters or
“clay”, “reed”, etc. This classification while administrative orders.
obviously semantic is also acrographic, a Indicative forms follow the sequence 3rd,
principle useful for mnemotechnical and di- 1st, and 2nd persons, e. g.
dactic purposes and at the same time display- OBGT VII
ing Mesopotamian man’s preoccupation with 126 al-su8-bi-eš ⫽ i-il-la-ku “they go”
the classification of the world around him. 127 al-su8-bi-en-dè-en ⫽ ni-il-lak “we go”
1. The Sumerian and Akkadian linguistic tradition 3

128 al-su8-bi-en-zé-en ⫽ ta-al-la-ka “you [pl.] go” and in.ga and the infix -na- that turn the pro-
129 ı̀-su8-bi-eš ⫽ i-il-la-ku “they go” noun into a nominal clause.
130 ı̀-su8-bi-en-dè-en ⫽ ni-il-lak “we go” The OBGT list entire forms only, while the
131 ı̀-su8-bi-en-zé-en ⫽ ta-al-la-ka “you [pl.] go” Neo-Babylonian Grammatical Texts (NBGT)
Obviously, to the same Akkadian inflected also isolate morphemes. Due to the nature of
form different Sumerian forms may corre- the writing which can express syllables only, a
spond, and vice versa; what this says about consonant morpheme appears in four forms,
the aim of the grammatical texts, whether to according to all four vowels with which it
provide the proper Sumerian equivalent to a combines ⫺ depending on the final vowel of
text composed in Akkadian or to demon- the head word ⫺ in the sequence u-a-i-e, the
strate underlying principles of word-forma- same sequence which occurs in the sign lists.
tion, is a still debated question. ⫺ Most com- For example,
pletely preserved ⫺ and comprising 227 lines NBGT II 46⫺52:
⫺ are the paradigms of the verb gar ⫽ šakā- uš ⫽ a-na i-na KI.TA “to, in, suffix”
nu “to place” (OBGT VI, 227 lines) and gin aš
⫽ alāku “to go” (OBGT VII, 318 lines); other iš
tablets list more than one verb, e. g., OBGT eš
úr
IX, after dealing with the compound verb sá
ar
… dug4 ⫽ kašādu “to reach”, ends with 27 ir (there is no sign *er+ separate from *ir+); the /r/
lines listing the imperative, cohortative, and morpheme is listed in a Middle Babylonian (MB)
optative of each of nine common verbs, e. g., text (Civil, Gurney & Kennedy 1986: 78f., II, 35⫺
36, 39⫺40, 63⫺64, 65⫺66) in the arrangement ir
137 tuš.a ⫽ ši-ib “sit!”
⫽ i-na, ir ⫽ a-na, úr ⫽ i-na, úr ⫽ a-na, ar ⫽ i-na,
138 ga.tuš ⫽ [blank] ar ⫽ a-na, ur5 ⫽ i-na, ur5 ⫽ a-na.
139 hé.tuš ⫽ [blank]
In addition to the ‘translation’ of the mor-
The blanks indicate that the second and third pheme into its Akkadian counterpart, an ex-
entries have to be construed as usual in the planatory term is sometimes added. The
GT, namely as lūšib “I will sit” and lı̄šib “let meanings of some of the terms, e. g., AN.TA
him sit”; the Akkadian cohortative and opta- “prefix”, KI.TA “suffix”, MURUB4.TA “in-
tive are all replaced by blanks in the right- fix” and MES̄ “plural”, are clear, but even
hand column of this tablet. Shorter, and list- when the literal meaning of such others as
ing less common verbs, are OBGT VIII with “full” (malû) or “empty” (rı̄qu) is known,
65 lines with the verb kas4 ⫽ lasāmu “to run” their relationship to the referent may be ob-
and 26 lines with the verb kú ⫽ akālu “to scure. Other Akkadian terms with unclear
eat”. meaning also occur. The most frequent ⫺
Besides verb paradigms, the OBGT also and most debated ⫺ of these are hamtøu
compare and contrast pronouns, e. g., OBGT (Sumerian LAGAB “short”) and marû (Sum-
I 385⫺394 lists personal pronouns with the erian gı́d “long”), which characterize two
Akkadian emphatic ending -ma which has the suppletive verb stems in Sumerian (cf. Ci-
function of a copula corresponding to the vil, forthcoming). Several technical terms
Sumerian copulative ending /am/: (AN.TA, KI.TA, MURUB4, rı̄qu, riātu, ham-
OBGT I
tøu, marû) also appear in Sumerian-Akkadian
385 me.en.dè.àm ⫽ ni-i-nu-ma “it is we” vocabularies arranged according to the sign
386 me.en.da.nam ⫽ ni-i-nu-ma forms, and seven (uhhurtu, atartu, gamirtu,
387 me.dè.en.da.nam ⫽ ni-i-nu-ma šushurtu, qablı̄tu, marû, hamtøu) occur in the
388 me.en.za.nam ⫽ at-tu-nu-ma “it is you [pl.]” humorous examination (Sjöberg 1974).
389 za.e.me.en.za.nam ⫽ at-tu-nu-ma
390 e.ne.ne.àm ⫽ šu-nu-ma “it is they”
391 lú.ù.ne.àm ⫽ šu-nu-ma 3. Akkadian lists
392 lú.bi.ne.àm ⫽ šu-nu-ma
393 ur5.meš.àm ⫽ šu-nu-ma
Writing exercises: These acrographic lists of
394 ur5.bi.àm ⫽ šu-nu-ma mostly verb forms replace a CVC syllable
with CV-VC, e. g. it-ta-lak, it-ta-la-ak (Cavig-
The next three sections (395⫺400, 401⫺409, neaux 1981), or add an enclitic particle or
and 410⫺418) repeat the Akkadian pronouns pronominal suffix.
on the right-hand column but modify the Synonym lists: These cite in the left col-
Sumerian pronouns by adding the prefixes ı̀ umn a rare, obsolete, or foreign word and in
4 I. The Establishment of Linguistic Traditions in the Near East

the right column a more common word, e. g. surbanipal (Piepkorn 1933: 16). The sounds
in the list malku ⫽ šarru (Kilmer 1963: 427): of foreign languages were described as birds
175 abdu (West Semitic “slave”) ⫽ ardu “slave”
chirping or simply as “difficult to write”
176 rēšu (poetic word) ⫽ ditto (Thureau-Dangin 1912, line 364). In the se-
177 dušmû “houseborn slave” ⫽ ditto. cond half of the first millennium Aramaic re-
placed Akkadian as spoken and written lan-
Words of foreign ⫺ Elamite or Hurrian ⫺ guage; it was written in alphabetic script by
origin are marked in the right column as special scribes (sēpiru). A few school texts in-
NIM “(in) Elam(ite)” or SU.BIR4 “(in) Su- scribed on the obverse in cuneiform and on
bartu”, i. e., Hurrian. Similarly marked are the reverse in the Greek alphabet are the only
often foreign plant names in Akkadian plant evidence for teaching or learning Greek un-
lists. der the Seleucids (Maul 1991; Geller 1997).
Commentaries to scholarly texts (omina,
lexical texts) or learned poetry explain rare
words by synonyms, both in the two-column 5. Bibliography
format and in a continuous fashion. They are
Balkan, Kemal. 1954. Kassitenstudien. Vol. I. Die
often based on bilingual lexical texts but may Sprache der Kassiten. (⫽ American Oriental Series,
use the Sumerian entry as tertium compa- 37.) New Haven, CT: American Oriental Society.
rationis only. E. g., GI ša-la-mu GI la-pa-
Beaulieu, Paul-Alain. 1995. “An Excerpt from a
tum … ša-la-mu la-pa-tum ina lišāni qabi “GI Menology with Reverse Writing”. Acta Sumerologi-
[as Sumerogram] ⫽ to be safe, GI ⫽ to be ca (Japan) 17.1⫺14.
ill-portending, it is said in the synonym list
Black, Jeremy A. 1984. Sumerian Grammar in Bab-
[lit. “tongue”]: šalāmu ⫽ lapātu (Thureau- ylonian Theory. (⫽ Studia Pohl. Series Maior, 12.)
Dangin 1922: no. 5 rev. 39⫺41). Some give Rome: Pontifical Biblical Institute. (2nd. revised
phonetic variants, e. g., mi-hi-isø-tum : mi-hi- ed., 1991.)
il-tum “stroke” (Labat 1933: 124 rev. 10), or ⫺. 1989. “The Babylonian Grammatical Tradition:
etymologies, e. g., ri-pi-it-tum : ana ra-pa-du The first grammars of Sumerian”. Transactions of
“ripittu [is relevant] to [the verb] rapādu” the Philological Society 87: 1.75⫺99.
(ibid. 12). Cavigneaux, Antoine. 1981. Textes scolaires du
A few vocabularies translate foreign lan- Temple de Nabû ša harê. Baghdad: State Organiza-
guage terms (Kassite, see Balkan 1954; also tion of Antiquities and Heritage.
Hittite) into Akkadian. Outside Mesopota- ⫺. 1983. “Lexikalische Listen”. Reallexikon der As-
mia syllabaries and vocabularies were some- syriologie VI, 609⫺641. Berlin: de Gruyter. [In
times augmented by a column in the local French.]
language (Ugaritic, Hurrian). Civil, Miguel. Forthcoming. “The Forerunners of
Literary texts often appear in bilingual marû and hamtøu in Old Babylonian”.
form, with usually the Sumerian being the
⫺, O. R. Gurney & D. A. Kennedy. 1986. Middle
source language, as is also indicated by the Babylonian Grammatical Texts. (⫽ Materials for
layout, with the translation normally under the Sumerian Lexicon, Supplementary Series, 1.,
the Sumerian and indented; that late texts Rome: Pontifical Biblical Institute.
were also composed in Akkadian which was Edzard, Dietz. O. 1971. “Grammatik”. Reallexikon
then provided with a Sumerian version, is der Assyriologie. III, 610⫺616. Berlin: de Gruyter.
recognizable from word-for-word transposi-
Geller, Mark J. 1997. “The Last Wedge”. Zeit-
tions without regard for Sumerian syntax. schrift für Assyriologie 87. 43⫺95.
Jacobsen, Thorkild. 1974. “Very Ancient Linguis-
4. Linguistic consciousness tics: Babylonian grammatical texts”. Studies in the
History of Linguistics ed. by Dell Hymes, 41⫺62.
The variety of languages impressed and in- Bloomington & London: Indiana Univ. Press.
trigued the Mesopotamians; through their Labat, René. 1933. Commentaires Assyro-Babylo-
contacts to the east and west they had to use niens sur les Présages. Bordeaux: Imprimeries-
interpreters (Sumerian eme.bal “who changes Librairie de l’Université.
the languages” attested c. 2300 BC, Akkadi- Landsberger, Benno, Richard T. Hallock & Thor-
an targumannu, “dragoman”, 19th century kild Jacobsen. 1956. Materialien zum Sumerischen
BC); only for Lydian “among all languages Lexicon, vol. IV. Rome: Pontifical Biblical Insti-
from east to west that (my god) Assur had tute.
given into my hands” was no interpreter Maul, Stefan. 1991. “Neues zu den ‘Graeco-Baby-
found when Gyges sent a messenger to As- loniaca’”. Zeitschrift für Assyriologie 81.87⫺107.
2. Indigenous Egyptian grammar 5

Nissen, Hans J., Peter Damerow & Robert K. Eng- Schmandt-Besserat, Denise. 1992. Before Writing.
lund. 1993. Archaic Bookkeeping. Chicago & Lon- Vol. I: From Counting to Cuneiform. Austin: Univ.
don: The Univ. of Chicago Press. [Originally pub- of Texas Press.
lished as Frühe Schrift und Techniken der Wirt-
schaftsverwaltung im alten Vorderen Orient: Infor- Sjöberg, Åke W. 1974. “Der Examenstext A”. Zeit-
mationsspeicherung und -verarbeitung vor 5000 Jah- schrift für Assyriologie 64.137⫺176.
ren. Berlin: Becker, 1990.] Thureau-Dangin, François. 1912. Une relation de la
Piepkorn, Arthur C. 1933. Historical Prism Inscrip- huitième campagne de Sargon. (⫽ Musée du Louvre,
tions of Ashurbanipal. Vol. I. (⫽ Assyriological Textes cunéiformes, 3.) Paris: Geuthner.
Studies, 5.) Chicago: The Univ. of Chicago Press.
⫺. 1922. Tablettes d’Uruk. (⫽ Musée du Louvre,
Reiner, Erica, Janet H. Johnson & Miguel Civil. Textes cunéiformes, 6.) Paris: Geuthner.
1994. “Linguistics in the Ancient Near East”. His-
tory of Linguistics ed. by Giulio Lepschy, vol. I,
61⫺96. London & New York: Longman. Erica Reiner, Chicago (USA)

2. Indigenous Egyptian grammar

1. Introductory remarks no consistent indigenous linguistic discipline


2. Natural semantics: Paronomasia existed, a presentation of the facts by necessi-
3. Language teaching: Schooling ty follows the outline of a modern overview,
4. Grammatical theory but it should do justice to the interest in cer-
5. Indigenous linguistic terminology
6. Practical philology, diglossia
tain fields displayed by the Egyptian them-
7. Lexical work selves.
8. Foreign languages The indigenous writing (hieroglyphic and
9. The concept of language two cursive variants, hieratic and Demotic) is
10. Bibliography pictorial, but uses both logograms and pho-
nograms. No vowels are written, which is a
serious hampering to phonological recon-
1. Introductory remarks struction. Yet it is obvious that much practi-
Interest on the part of the ancient Egyptians cal knowledge of phonology is inherent to
in matters of language hardly went beyond the system, and that on the graphic level pho-
the practical level and rarely became theoreti- nemes are distinguished from morphemes, al-
cal. In this respect their attitude was no dif- though nowhere any theoretical statement is
ferent from that toward other branches of made on this. In course of time, several
knowledge; its orientation was eminently em- attempts were made to adapt the writing sys-
pirical. Handbooks in the fields of mathe- tem to the particular needs of rendering the
matics, astronomy and astrology, medicine, exact phonetic constituency of a word, in-
calender-lore, dream-explanation, onomas- cluding its vowels: early in the Pharaonic
tics and sacred geography had no theoretical period the so-called syllabic orthography
basis either, but were a systematic elabora- (Schenkel 1986) was customarily employed to
tion of practical observations and of religious render foreign names, and in the Ptolemaic
speculation, the two regularly being joined as period occasionally Egyptian words were
complementary. Indigenous linguistics was written with Greek letters. In due time this
no different. For instance, no systematic indig- would lead to the replacement of the various
enous grammatical descriptions are known indigenous writing systems by westernizing
from the whole Pharaonic period, nor are the script: a phonetically more adequate
they likely to turn up. slightly adapted Greek system of letters, the
However, the Egyptian interest in lan- Coptic writing system.
guage gains perspective when a number of In a similar way as the script reveals ele-
details are taken into account relating to mentary consciousness of phonetics and pho-
their preoccupation with their own script and nology on a non-theoretical level, so does
language and those they came into contact some natural syntax emerge, from carefully
with, and put on a gradient running from the composed literary (including historical and
empirical to the more theoretical level. Since religious) texts. The single line served as the
6 I. The Establishment of Linguistic Traditions in the Near East

basic unit, usually combined with a following (Pyrt. 539.b, 582.b, 672.a⫺c, 1405.b). In
one into a couplet; triplets are also known most cases correspondences turn out to be
(Burkhard 1996). The binding force between unlikely, as in the following example of theol-
the components in such metrical arrange- ogizing etymology, serving as an explanation
ments is unity of thought, but its basis is nat- of a particular form of the sun god: ıœn mıœ.w
ural syntax (cf. Schenkel 1972). An example sw m nn ıœrr.w⫽f h̊pr rn⫽f pw n(y) mıœw “In
is the following quotation from a Middle fact, is he like (miu) himself in what he does?
Kingdom story which contains two coordi- ⫺ It is the way his name ‘Tomcat’ (miu) came
nated sentences: my⫽sn p.t my⫽sn ty 웕 mky into being” (Coffin Texts IV, 288⫺289.a⫺b,
ıœb⫽sn r my(ıœ).w “Whether they saw the heav- version T1Cb). However false, such parono-
ens, whether they saw the earth 웕 their heart mastic elaborations, apart from having a
was steadier than (that of) lions” (Sh.S. 28⫺ theological value of their own, are a sure sign
30), where the first and last words are even in that on the prosodic level (for the script, cf.
alliteration, thus supporting the grammatical above, 1.) attention was given to phonemes.
cohesion. In the New Kingdom such units
were graphically distinguished by supralinear
red dots (‘verse-points’). 3. Systematic formation: Schooling
In one of the current systems of metrical
Formation in schools is at the center of sever-
analysis, of Gerhard Fecht, an even greater
al forms grammatical interest could take in
analytical depth is assumed, taking as the
Ancient Egypt. Scribal training appears to
smallest basic unit the bearer of an accent (a
have been a major component in the school
word or phrase), and giving it the status of a
curriculum (Janssen & Janssen 1990: 76⫺80).
‘colon’, two the three accented units or cola
Although school instruction is mentioned a
forming a verse line. Should this be verifiable,
number of times in pre-Ramesside sources
there would be a system of prosodic segmen-
(i. e., before 1300 BCE), direct evidence is ex-
tation as a further testimony to a tradition of
tremely scarce and consists of mere glimpses
implicit linguistic analysis.
of school life. The actual products of the dis-
ciples, surviving as exercises, are best known
2. Natural semantics: Paronomasia from the New Kingdom and later. Here our
main source is the village of Deir el-Medı̂na,
Paronomasia occurs in countless passages a small community of workmen and their
(mostly religious and literary) in texts of all families who as decorators and sculptors
periods. It served different purposes: stylistic worked on the tombs of royal persons and
and theological. well-to-do private people in the mountains
In literature it might be helpful as an or- bordering the West bank of Thebes (ca.
dering means, the occasional alliteration sup- 1500⫺1100 BCE). The professional activities
porting cohesion between verse lines (cf. of the workmen included continuously trans-
above, 1). Or it might call up allusions, some- mitting religious texts onto the walls of
times in an ironical sense (true word play; tombs, and most of it was in Classical Egyp-
Guglielmi 1984). Most widespread is the cus- tian. Hence, their métier and the administra-
tom of making phonemic similarity the pos- tion of the workforce itself required experi-
tulate of a historical or ritual relationship be- ence in or at least an acquaintance with writ-
tween words on theological grounds (sacral ing, and the degree of literacy in this village
etymology). Alliteration shows that phonetic was higher here than elsewhere (Janssen
oppositions were noted, as in the following 1992).
passage from the Pyramid texts: m n⫽k ıœr.t A great number of writing exercises sur-
Hø r dyp(⫽ ıœ) tßw ıœm “Take for yourself the Eye vive. Combining this material with the sparse
of Horus, with which I donate you” (Pyrt. evidence of earlier periods and other centres,
110), a statement which accompanies the rit- it seems likely that the young apprentices
ual act of giving of dyb 2 “two figs”; the op- were put to copying texts right away in the
position p:b has been exploited. Only a mi- cursive script (hieratic). Training meant cop-
nority of the results of this never ending ying entire words in the hieratic script, much
Egyptian search for meaning through etymo- of which were classical texts, in an idiom that
logical relationship is tenable by modern was no longer current (Middle Egyptian).
standards, e. g. when in an old text the verb This evident interest in and respect for the
ndß r(ıœ) “to seize” alliterates with dr.t “hand” cultural inheritance embodied in particular
2. Indigenous Egyptian grammar 7

literature brought people, who otherwise tices copied classical Greek texts as did Egyp-
spoke and wrote in the vernacular of the day, tian young scribes centuries before, those be-
into contact with literary compositions which ing schooled in Demotic had no such an-
were several hundreds of years older. At a cestral literary texts on their program (Tas-
certain moment this became problematic: the sier 1992: 313⫺314). The older texts they did
gap between spoken and written language be- learn to read and copy in a school in Karnak
came unbridgeable. For coping with this lin- of Ptolemaic date, somewhere in the centre
guistic problem, see below, 6. of the temple, were of a religious nature (De-
vauchelle 1984: 56⫺57). Grammatical exer-
cises only turn up again in the abundant mass
4. Grammatical theory of documents written in the Demotic script
(Kaplony-Heckel 1974; also, Devauchelle
While copying texts (classical and contempo-
1984; Tassier 1992), in the Ptolemaic period
rary) was the chief part of the apprentice
(from ca. 330 BCE on); at present a good 15
scribe’s homework, testimony to more theo-
are known. They deal with the systematic in-
retical reflection consists of a few brief gram-
flection of verb forms (chiefly auxiliaries) and
matical exercises, which contain the germs
a few with that of nouns, including numerals.
of theory. These and lexical work (Johnson
These texts, all of them fragmentary, are
1994) stand central in our knowledge about
nonetheless sufficient in number to reveal a
the linguistic interest of the ancient Egyp-
fixed order in which pronouns appear,
tians. The earliest grammatical exercises date
whether after verbal elements or preposi-
to the Ramesside period (roughly, 1200 BCE)
tions. Singular inflection comes first: “I”,
and are all in the vernacular, Late Egyptian;
“you [masc.]”, “he”, “she”, “you [fem.]”,
for, apart from the archaic literary compo-
then the plural, where the order is different:
nent, texts in the contemporary idiom with
“they”, “we”, “you”. The Ramesside forerun-
an administrative touch were also copied; the
ners seem to separate at least singular from
young men were not trained as theorists or
plural inflection, but are not informative
literates, but for a professional career in the
enough to allow further comparison with the
administration. The grammatical notes are
later grammatical tradition. There was stan-
written in the margin of everyday notes on
dardization in other respects as well, in the
potsherds, the traditional writing material for
ordering of the alphabet (see below, 7.).
all sorts of jottings. Ostracon Petrie 28, from
Between the Ramesside and Ptolemaic
Deir el-Medı̂na, contains the inflection of the
eras, many official texts are couched in Neo-
particle ıœw, and ostracon Cairo CG 25227,
Middle Egyptian, with varying quality (Jan-
from Abydos, that of the conjunctive prefix
sen-Winkeln 1996; Der Manuelian 1994:
mtw, both carrying suffix pronouns. To form
103⫺294). The gap in grammatical exercise
a true paradigm, the conjugation basis should
copies mentioned already leaves one to guess
be followed by a form of a lexical verb (e. g.,
as to how the scribes kept up their grammati-
mtw⫽f sdß m “and then he hears”), but absence
cal knowledge of Classical Egyptian. Possibly
of the latter in the exercises testifies to the
this happened in the way of practical philolo-
awareness of an abstract paradigm by itself.
gy, by copying older texts, probably through
Another such text, also from Deir el-Medı̂na
the use of pattern books of phraseology
(ostracon Turin 57118), is a fragmentary list
available in temple libraries, rather than by
of written out ordinal numbers.
directly taking a text from an original
There is a gap in our knowledge about the
(Schenkel 1977: 436).
indigenous study of grammar for the period
between the Ramesside era and the Ptolemaic
period, due to the lack of well-excavated set- 5. Indigenous linguistic terminology
tlements where such schooling activities
might have taken place. Apparently classical No general equivalent of ‘language’ is avail-
literary texts were being kept on the school able; rather, the terms refer to ‘speech’ (i. e.,
program, as is proven by copies of the pre- ‘parole’), not to a system (‘language’). The
Ptolemaic period (Posener 1966). Meanwhile, word r, lit. “mouth”, by extension “spell”,
the Greek language was gradually finding en- “text unit”, also denotes “speech”, e. g. “You
try into daily life and in the longer run shall hear the language (lit. speech) of Egypt”
formed a threat to the knowledge of indige- (r n(y) Km.t), a promise made ca. 1950 BCE
nous writing systems. While Greek appren- (Middle Kingdom period) at a Syrian court
8 I. The Establishment of Linguistic Traditions in the Near East

to the Egyptian refugee Sinuhe, referring to is disapproved of, being below the norm of
his compatriots in residence there (Sinuhe/B. good speech according to this particular
31⫺32). That it denotes “speech’, not lan- source, the important thing is that it is recog-
guage as a system, appears from the fact that nized as a morpheme.
it can be “hampered” (swh̊y), i. e., by stam- To pursue the above search for terms with
mering or stuttering (Coffin Texts V, 322.h). a grammatical touch, mdw.t “word”, in a
A New Kingdom equivalent is mdw(.t) comparable way can also be the contents of a
“word”, “speech”, even “recitation”. h̊n “enunciation”, which may comprise more
An early New Kingdom term is ns than one sentence: a h̊n n(y) mdw.t is a “max-
“tongue”, covering the notion of ‘language’ im” (Eloquent Peasant B.1, 50 [⫽ old, 19],
(more like ‘langue’). According to a sun- Middle Kingdom), but a h̊n can have some
hymn from Amarna (early New Kingdom), length as well (perhaps in another context a
speaking about foreign languages, the sun distich) and amount to a “song”.
god has caused that “the tongues (ns) are dis- Reference to lexemes is made with the
tinguished (wp(ıœ)) by words (mdw.t)” (Texts word rn “name, denomination”; the technical
from the Time of Akhenaten 95.1), a concept term for “translate, explain” is the verb whø ¤,
to be dealt with later (see below, 9.). The em- lit. “unwrap, unfurl” as in “he who translates
phasis on the phatic aspect suggests that one (whø ¤) the word(s) (mdw) of all foreign coun-
was well aware of differences between lan- tries” (stela Cairo CG 20765, a.3, Middle
guages, but that they were thought to consist Kingdom).
of the words, not properly in the system of a
language. This may be another aspect of the
theoretical Egyptian view on language (for 6. Practical philology, diglossia
this, see below, 9.). Finally, a third term is
simply dß d “saying”, referring to words in a A number of examples are known of epi-
foreign language, e. g., “a conjuration […] in graphic texts having been checked by Egyp-
the speech (dß d) of Keftiu [Crete]” (pap. Lon- tian experts for mistakes and these subse-
don/British Museum 10059, 11.4, New King- quently corrected. The majority of such mod-
dom). ifications are graphic: signs wrongly copied
In grammar again the basic unit is mdw.t from a mother text are recut in the correct
“word”, which, however, also means “matter, manner. In general, such changes are illustra-
affair”. A higher grammatical unit is tßs, lit. tive of textual history and of philological in-
“knot”, corresponding to “utterance”, “state- sight. However, a minor part are grammati-
ment”. It comprises mdw.t “words”, as in “ut- cal changes and are therefore relevant to be
terances of well-spoken words” (tßs.w n(y.w) discussed in this frame. Thus, in the Old
mdw.t nfr.t, Instruction of Ptahhotep 42). Here Kingdom experts carefully went through the
the term tßs serves as a basic unit of an argu- many columns of religious texts inside the
mentative text. Teachings are, as are many Pyramid of king Unas (ca. 2340 BCE) and
literary texts, composed of the above men- took care, among other things, of correcting
tioned thought couplets, which have a syn- grammatical mistakes. Thus a prospective
tactic basis (see above, 1.). Thus tßs has also a verb form (h̊nıœ.w⫽f ) was replaced by an im-
syntactic meaning: it can mean a “sentence” perfective verb form (h̊nn⫽f, Matthieu 1996:
(and in another context a “verse line” or a 296 ⫽ Pyrt. 366.a), a prepositional phrase
“couplet”). Strictly morphological terms like (m⫽s) acquired its correct pronominal form
‘noun’ or ‘verb’ are unknown; it comes as a (ıœm⫽s, Matthieu 1996: 296 ⫽ Pyrt. 139.c), an
surprise that, following one particular pro- agentive particle (ıœn “by”) was inserted which
posal (Fecht 1960: 205, n. 580), the definite had been forgotten (Matthieu 1996: 300 ⫽
article seems to be referred to in one source Pyrt. 264.c), an incorrect suffix pronoun
⫺ not by an abstract categorical term, but form (tß “you”) was replaced by the enclitic
denominatively. One of the Middle Egyptian pronoun (tßm, Matthieu 1996: 304 ⫽ Pyrt.
forms for the nascent definite article “the” is 195.c), a compound negation (n ıœs) was re-
py (properly “this”) and the reference in the moved before a particle (ıœw) with which it is
source is to pyw.t, which may be rendered as grammatically incompatible (Pyrt. 392.d, dif-
“using the demonstrative pronoun/article”, ferring from Matthieu 1996: 306⫺307), and
lit. “this-ing” or “the-ing” (stela Metropoli- so on. Much fewer corrections occur in the
tan Museum 12.184, 13). Although in this sequel to this genre, the texts on private cof-
case the use of the article, a colloquial affair, fins of the Middle Kingdom. Here, for in-
2. Indigenous Egyptian grammar 9

stance, an emphatic particle ıœn was deleted Morenz 1994). In their turn, texts in Middle
from a particular focussing construction Egyptian might be slightly adapted, to fit the
where it does not belong (Coffin Texts II, grammar of the Late Egyptian of the day, as
334.b, version B2P). After this period the in the case of, for instance dıœdıœ⫽f sw m dyıœ.w
care for philological and grammatical detail n(y) s.t “He girds himself with a woman’s
of ancient texts virtually comes to a stop, the loincloth” (Satire of the Trades xix.f) which
reason being given in the following. was modernized in one version into ıœ.dıœdıœ⫽f
During the early New Kingdom (18th Dy- sw, etc. The form ıœ.dıœdıœ⫽f is a hybrid, but
nasty, ca. 1550⫺1300 BCE) Middle Egyptian close enouth to its correct equivalent in Late
was still the standard language of inscriptions Egyptian (ıœ.dıœ⫽f ).
of all genres, and command of grammar and In cases of wide divergence, for which the
orthography were still at a high level. How- term ‘diglossia’ has been used (Jansen-Win-
ever, the gap between the spoken language keln 1995; Vernus 1996), the most thorough
and language in official records had been form became retranslation. A few ‘bilingual’
widening and the general opinion is that texts are known from the early post-Rames-
knowledge of Middle Egyptian grammar was side period, where an older version is pro-
soon deteriorating in the subsequent Rames- vided with a sublinear rendering in the cur-
side period, although this is also the period rent language; in some cases the result was a
when canonical literary texts still belonged to reinterpretation rather than a grammatical
the school program (see above, 3.). However, and lexical rewriting, as in the case of mr(ıœ)
the text copies are the least trustworthy, and bıœk hø ¤¤.wy n(y) tßy⫽f “The falcon loves the joy
other school manuscripts of the New King- of its fledgeling” (old version), which became
dom, partly composed in Middle Egyptian mr(ıœ) Pr-¤y py ršwy *n(y)+ nyy⫽f hß rd.w
but with a number of Late Egyptian influenc- “Pharaoh loves the delight of his children”
es and written by advanced students, bristle (papyrus British Museum 10298, 2.9⫺10),
with orthographical mistakes (Erman 1925: apart from lexical substitution adding defi-
486). There is also considerable difference in nite articles (py and nyy⫽f ). More examples
trustworthiness between manuscript copies of of ritual and astronomical treatises, written
the Book of the Dead of the 18th and the in classical Egyptian and provided with a tar-
subsequent dynasties. In contrast, texts in un- gum in the later idiom, are known from the
mistakable Late Egyptian, with due allow- Ptolemaic period (listed in Vernus 1996: 564).
ance for its more loose orthographical cus-
toms, effortlessly follow the prevailing rules
of grammar. On the other hand, copying and 7. Lexical work
adapting classical texts in the Saite period of
cultural revival often went astray of the strict Lexicography in a broad sense and in an
rules of orthography and morphology of the Egyptian context comprises several things.
Classical idiom in details, but otherwise, Two kinds of topic-organized reference book
independent compositions in Neo-Middle existed: the encyclopedia (called ‘onomas-
Egyptian testify to a good understanding of ticon’ in the Egyptological jargon), and the
the rules of classical grammar (Der Manueli- dictionary, chronologically appearing in that
an 1994: 391⫺402, and, for an earlier period, order. Encyclopedias could be organized
Jansen-Winkeln 1996: 489⫺493, for compar- following two principles. The one was graph-
ative surveys). ical, where a certain logogram (a determi-
To solve the problem of understanding the native) served as guiding principle to put
grammar and vocabulary of older texts, these cognate words together, while the other sys-
were often rephrased in or even translated tem followed a lexical/semantic arrangement.
into the vernacular. The lightest form of this Dictionaries were set up according to the
procedure is what might be called moderniza- acrophonic principle. While an onomasticon
tion: an older form is replaced by its nearest is already known from the Middle Kingdom,
equivalent in the subsequent language stage. alphabetical dictionaries seem to be a pro-
Already in the Middle Kingdom spells of the duct of the Ptolemaic period.
corpus of the Pyramid Texts, in Old Egyp- The principle of the onomasticon is listing
tian, utterances were grammatically and lexi- by topic, a genre which doubt grew out of
cally modified so as to fit into the corpus of listing as an administrative habit. Through all
the so-called Coffin Texts, the successor to times lists are known with a practical purpose
the former genre (for a recent example, see for a particular occasion, inventorizing fu-
10 I. The Establishment of Linguistic Traditions in the Near East

nerary offerings, linen, ointment, ritual tem- the New Kingdom. A few lists of Semitic
ple property, extensive lists of royal names names are known and in recording these
(Redford 1986). Equally, lists were kept up of names the scribes seem to have grouped some
foreign rulers and their topography for ritual of them with the same initial consonant to-
(magical) purposes as well as for recording gether (Posener 1937: 196), and such a spo-
conquered territory and the tribute it had to radic application is also found with Egyptian
deliver. For religious purposes the body names (ostracon Turin 57382). In a similar
members were catalogued (Massart 1959) as way, compound names are analyzed as core
well as parts of ships and of the fishing net and varying satellite (ostracon Turin 57473
(Coffin Texts spells 389, respectively 473⫺ recto). However, true word lists organized al-
481), all tabulated with the divinities respon- phabetically and dictionaries are only known
sible for their mythological aspects; divinities from the Ptolemaic period. Thus, the sole ex-
themselves were listed (e. g., Faulkner 1958). tant full page of an alphabetic dictionary in
For some of these the rules of ordering were hieratic of the 1st century CE contains words
obvious: listing parts of the body went from beginning with /h/ (Iversen 1958). Here con-
top to toe, toponymical lists have a geo- temporary phonology has got the better of
graphical orientation (from south to north), historical phonetics, for words beginning
king lists follow a chronological order. with h and hø are put together indiscriminate-
After the Old Kingdom also lists of a more ly. Interestingly, to judge from a sign list
abstract character appear, organizing subject- which had a separate entry for monoconso-
matter of great variety, truly serving as a nantal signs, a fixed alphabetical order had
handbook: the summit of decontextualiza- been established by this time (Kahl 1991), the
tion. The ‘onomastic’ tradition (Gardiner letters being referred to by bird-names, as ap-
1947) begins with the Middle Kingdom, when pears from a papyrus from Saqqara, another
a single papyrus from the Ramesseum in Demotic word list of the 4th century BCE
Thebes (ca. 1700 BCE) lists all sorts of items, (Smith & Tait 1983: 198⫺213, no. 27), e. g.,
each time separating the lexical body of the “the ibis (hb) was on the ebony-tree (hbyn)”.
word from the determinatives, which were set It also appears that in those days the Egyp-
apart. This early handbook lists plants, li- tian order of the alphabet did not follow the
quids, birds, fishes, some quadrupeds, for- north-Semitic abecedary, but that of the
tresses in Nubia, towns in Egypt, confection- South Arabian alphabet (Quack 1993).
ary and so on. No explanations are offered;
only at the end there is a row of abbreviated
writings of bull types accompanied by brief 8. Foreign languages
comments. The best known and most exten-
sive encyclopedic text is of the Ramesside Cultural contact with other languages can
age, recorded by several mss., and known as stir interest in linguistics in general (for what-
the Onomasticon of Amenemope. Its govern- ever purposes, practical or theoretical), and
ing principle is not graphic, but hierarchical: may ultimately promote reflection and thus
it enumerates, but again does not not ex- analysis of the national language. Before con-
plain, cosmic and geographical notions, the tacts with the western world of the Greeks
hierarchy of gods and human ranks/occupa- became politically important, no such cultur-
tions, anthropological notions, towns, build- al relationship existed between the Egyptians
ings and land, and so on. This top-down list and any of their direct neighbors. Three im-
text is called a ‘teaching’, and perhaps it was portant areas with native language(s) sur-
connected with the school trade (see above, rounded Egypt: Nubia in the south, Libya in
3.). More varied onomastica appear in the the west and Syro-Palestine in the north-east;
early Roman period, some with explanations. and at times different peoples appeared on
They do not always exactly fit the bipartition the horizon with still other languages, as in
of above; one of them is a mixture of a dictio- the great surge of the Sea Peoples (around
nary and a manual of sacred entities (Ray 1200 BCE). In Egypt, peoples speaking for-
1976; Osing 1989). The dictionary section eign languages were indicated by the term
contains verbs, neatly separated from sub- ıœ ¤yw/y¤¤ (Bell 1977), an unusual combination
stantives, both arranged into sections of se- of uvulars and pharyngeals whose meaning
mantic cognates (Osing 1992: 42). comes close to the Greek verb barbarı́zein;
The first traces of the custom of arranging the term y¤¤ “babbler” is chiefly used to refer
words by sound correspondence are found in to a dragoman. The word also served to indi-
2. Indigenous Egyptian grammar 11

cate Egyptians who were able to speak or city-states became protectorates of Pharaoh,
translate from a foreign language. the international language was not Egyptian,
In the course of time the greater part of but a particular brand of Akkadian. It was
Nubia was colonized and contacts with the used in the correspondence preserved in an
indigenous cultures always had imperialist archive at El-Amarna (Moran 1992: xviii⫺
overtones; at all times interest in the native xxii), a newly founded city which served as
culture, including the language(s), was practi- capital during the reign of King Amenophis
cally nil. Throughout the Pharaonic period, IV or Akhenaten (ca. 1350⫺1310 BCE). The
if the Nubian population expressed itself in Akkadian used by the clerks who worked as
writing, it was in Egyptian (cf. Zyhlarz 1961). translators of the Amarna correspondence
Contacts with tribes living on the Libyan shows the influence of Egyptian (Cochavi-
territory were of the same kind, except that Rainey 1990). Hence close contact must have
this region was never colonized but regarded existed between native speakers of Egyptian
as an area where raids and outposts were the and Semitic (Artzi 1990: 140), to which also
best means to guarantee peace on the border. scholarly texts in Akkadian bear testimony,
Only the late New Kingdom saw these coun- which even used the Egyptian system of
tries exercise influence themselves on Egyp- punctuation by means of red dots (see above,
tian territory, first Libya (ca. 940⫺710 BDE) 1.). It also included a much discussed bilin-
and then Nubia for a brief spell (ca. 710⫺665 gual vocabulary (IzreÅel 1997: 77⫺81) which
BCE), including temporary occupation of the raises the question of the native language of
throne for a certain period (22nd Libyan Dy- the scribe (Meltzer 1988): Egyptian or Se-
nasty, 25th Nubian Dynasty). A few words of mitic?
these languages are recorded in Egyptian Language policy with regard to foreign
texts (chiefly proper and ethnic names and a speakers comes to the surface several times.
few titles), but there is no evidence of linguis- The official Egyptian attitude toward speak-
tic contact or interest to any depth. On the ers of a foreign language was disdain. Firstly,
other hand, personal and topographical the status of foreign names is revealing. Al-
names were at all times carefully noted: they though a gerat number of Semitic names are
were the basic information for the purpose of known from documents in Egypt, already in
execrative ritual and for recording conquered the Middle Kingdom children of immigrants
territories. Nubian names were already noted (mostly slaves) were given Egyptian names
in the Old Kingdom (ca. 2500 BCE) and give (Hayes 1955: 93⫺94), and when in the New
an inkling as to how the Egyptians rendered Kingdom courtiers of Semitic provenance
Nubian phonology (Osing 1976). wished to get ahead, they adopted an Egyp-
The situation was different in regard to tian name, with the name of the ruling mon-
Syro-Palestine, which consisted politically of arch conspicuously incorporated in it (Helck
a number of city-states with a certain autono- 1971: 368). In contrast, in much later times
my; this area was a constant battle ground of and under different socio-historical condi-
the great powers of the 2nd and 1st millennia tions, the Jewish community at Elephantine
BCE, including Egypt. In pre-New Kingdom (5th and 4th centuries BCE) strictly kept to
contacts with Syro-Palestine the idea seems its own language. Secondly, in a few stray re-
to have been that Egyptian was being spoken marks the status of foreign languages is at
at high levels in society (as stated in the story issue. In the Wisdom of Ani, datable to the
of the fugitive Sinuhe ⫺ see above, 5.). On 18th Dynasty (around 1400 BCE), it is said
the other hand, names of West-Asiatic rulers (Ani 23.5⫺6): “One teaches Nubians (nhø sy)
and geographical names were well known the speech of the Egyptian people (md.t rmtß
and recorded in special phonetic notation n(y) Km.t); the Syrians and any foreign
(the syllabic script, see above, 1.). Semitic- country likewise”. Equally, some centuries
speaking captives were settled in Egypt, and later, it was said of King Ramesses III (ca.
although leaving few traces as a language 1180 BCE) about the Libyans and the Mesh-
community, probably contributed to the wesh, who belonged to the invading Sea Peo-
growing number of Semitic loan-words im- ples, and who were among the warrior tribes
ported into Egypt from the early New King- pressed into Egyptian service, that “They
dom (Hoch 1994); a great number of Semitic heard the speech (mdw.t) of men (rmtß) while
names are known (Schneider 1992). When accompanying the king; he let their speech
the Egyptian interests established a firm foot- (mdw.t) be dropped; he changed (pn¤) their
ing in Western Asia and a number of local tongues (ns)” (Ramesside Inscriptions III,
12 I. The Establishment of Linguistic Traditions in the Near East

91.6). It should be noted that the term “men” society, both divine and royal. The invention
(rmtß) is used for “Egyptians”; what the pas- of the Egyptian script was attributed to
sage implies is that the only truly human lan- Thoth, the ibis- or baboon-headed intellectu-
guage is Egyptian. A young scribe whose re- al among the gods, and the sun god’s own
sults were insufficient was scolded as “a gib- vizier in the heavenly hierarchy. Thoth, and
bering Nubian (nhø sy y¤¤) who has been a famous royal scribe of times immemorial,
brought with the tribute” (papyrus Sallier I, Imhotep, were the patrons of the scribe. As
8.1), containing the very word that was also with writing, so with language: in the New
used for dragomans (see above, 8.). However, Kingdom (cf. above, 5.) and later (Sauneron
all this changed much later, when Egypt al- 1960), several gods might be credited with the
lowed Greek-speaking immigrants to settle in differentiation of human languages, but,
its territory; King Psamtik I (ca. 665⫺610 again, it was especially Thoth who was held
BCE) even trusted some Egyptian children to responsible for their variety, according to a
the Ionians and Carians, mercenary tribes hymn in the New Kingdom: “Hail to you,
which had settled in Egypt, in order to be Moon-Thoth, who differentiated the tongues
taught the Greek language (Herodotus, Hist. (ns) from country to country” (Černý 1948).
II, 154). However, the linguistic interaction There is a socio-cultural perspective to this:
between Egyptians and speakers of Greek such ideas are met in the early New King-
and other languages, like Carian (Kammer- dom, when the Egyptians had for the first
zell 1993) is a different topic. time to deal with foreign peoples they were
ready to regard as equals, even conceding
their deceased a place in the Netherworld (cf.
9. The concept of language Hornung 1989: 176; 1980: 134⫺137).
No comprehensive Egyptian theory is known
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interpretation’ ed. by R[obert] J. Demarée & A. que (Aménémopé et Hardjédef)”. Revue d’Egypto-
Egberts, 81⫺94. Leiden: Centre of Non-Western logie 18.45⫺65.
Studies.
Quack, Joachim Friedrich. 1993. “Ägyptisches und
Janssen, Jozef. 1958. “Über Hundenamen im pha- Südarabisches Alphabet”. Revue d’Egyptologie
raonischen Ägypten”. Mitteilungen des deutschen 44.141⫺151.
archäologischen Instituts, Abteilung Kairo 16.176⫺
Ray, John. 1976. “The Mountain of Lapis-lazuli”.
182.
Göttinger Miszellen 20.49⫺54.
Janssen, Rosalind M. & Jac[obus] J. Janssen. 1990. Redford, Donald. 1986. Pharaonic King-lists, An-
Growing up in Ancient Egypt. London: Rubicon nals and Day-books: A contribution to the study of
Press. the Egyptian sense of history. Missisauga: Benben
Johnson, Janet H. 1994. “Ancient Egyptian linguis- Publications.
tics”. History of Linguistics, vol. I: The Eastern Salmon, A. 1956. “L’expérience de Psammétique
Traditions of Linguistics ed. by Giulio Lepschy, (Hérodote II, 11)”. Les Etudes Classiques 24.321⫺
63⫺76. London & New York: Longman. 329.
Junge, Friedrich. 1984. “Zur ‘Sprachwissenschaft’ Sauneron, Serge. 1960. “La différentiation des lan-
der Ägypter”. Studien zu Sprache und Religion gages d’après la tradition égyptienne”. Bulletin de
Ägyptens zu Ehren von Wolfhart Westendorf, I, l’Institut Français d’Archéologie Orientale 60.31⫺
257⫺272. Göttingen. 41.
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Schenkel, Wolfgang. 1972. “Zur Relevanz der Tassier, Emmanuel. 1992. “Greek and Demotic
ägyptischen Metrik”. Mitteilungen des deutschen school-exercises”. Life in a Multi-cultural Society:
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‘Kopien’”. Fragen an die altägyptische Literatur.
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⫺. 1986. “Syllabische Schreibung”. Lexikon der Zandee, Jan. 1964. “Das Schöpferwort im alten
Ägyptologie, VI, 114⫺122. Wiesbaden: Harrasso- Ägypten”. Verbum. Essays on some aspects of the
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namen in ägyptischen Quellen des Neuen Reiches. Zyhlarz, Ernst. 1961. “Sudan-Ägyptisch im Anti-
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lish Sociological Bulletin 1, 4.33⫺43. Leiden (The Netherlands)

3. Die Sprachforschung in Ugarit

1. Einleitung te zum Opfer fielen (Lehmann 1970, 1985).


2. Einheimische Schriftdenkmäler im Rahmen Bis zu seiner Zerstörung stellte die Hafen-
der syllabischen Keilschrift stadt den Endpunkt der transkontinentalen
3. Einheimische Schriftdenkmäler im Rahmen
Handelsstraßen aus Kleinasien, Mesopota-
der Keilschriftalphabete
4. Bibliographie mien, Arabien und Syrien-Palästina und den
Anfangspunkt der überseeischen Handels-
routen nach Ägypten, nach Zypern, zu den
1. Einleitung Zentren an der Südwestküste Kleinasiens,
nach Kreta und in die Ägäis dar; hier wurden
Die seit 1929 auf dem Ruinenhügel Ras
die Güter durch ugaritische und überseeische
Schamra (“Fenchel-Hügel”) ca. 11 km nord-
Händler umgesetzt. Also war die Bevölke-
westlich der modernen syrischen Hafenstadt
rung Ugarits während seiner Blütezeit nicht
Latakya am Mittelmeer stattfindenden fran-
nur gesellschaftlich vielschichtig, sondern
ko-syrischen Ausgrabungen haben die antike
auch ethnisch vielgesichtig. Beredte Zeugen
Stadt Ugarit ans Tageslicht gefördert, die be-
dessen sind die bei den Ausgrabungen freige-
reits im 7. Jahrtausend v. Chr. existierte, ihre
legte Architektur und die dabei geborgenen
Blütezeit als Handelsmetropole und Gelehr-
tenzentrum aber erst im 14. und 13. Jh. Kleinfunde und schriftlichen Dokumente
v. Chr. erlebte (Yon 1997). Den Aufstieg zu (umfassende Darstellungen: Kinet 1981; von
einem der bedeutendsten Kulturzentren an Reden 1992).
den östlichen Gestaden des Mittelmeers ver- Aus der Zeit der ugaritischen Herrscher
dankte Ugarit einem Herrscherhaus, das ge- Ammistamru I., Niqmaddu II. Arhß alba, Niq-
gen Mitte des 2. Jahrtausends aus dem Süd- mepa, Ammistamru II., Ibirānu, Niqmad-
osten, möglicherweise aus der nördlichen Re- du III. und H ß ammurapi, die das Geschehen
gion des heutigen Jordanien, dorthin kam der Stadt und deren Dependance Ras Ibn
und seine neue Heimat Ende des 14. Jh. im Hani im 14. und 13. Jh. bestimmten, haben
hethitischen Großreich verankerte (Dietrich & sich in teilweise umfangreichen Archiven
Loretz 1988: 309⫺311; Dietrich 1997a: 81⫺ zahlreiche Staats- und Privatverträge, Briefe
85). Der Untergang der Stadt geschah An- privater und offizieller Natur, Wirtschaftstex-
fang des 12. Jh. und wird gemeinhin mit dem te für die Belieferung von Palast und Tempel
‘Seevölker’-Sturm in Verbindung gebracht, sowie Zensuslisten unterschiedlicher Katego-
dem damals die Kulturzentren an der Levan- rien gefunden, die uns einen mitunter deutli-
3. Die Sprachforschung in Ugarit 15

chen Einblick in das offizielle, halboffizielle damals üblichen Verständigungsmittels der


und häufig auch private Leben eines Herr- internationalen Diplomatie und Wirtschaft.
schers, eines seiner Familienangehörigen oder Das bedingte, daß hier das Babylonische in
Untertanen ermöglichen. Hieraus wird klar, seiner westlich-syrischen Ausprägung und
daß Ugarit kurz vor seinem Untergang eine das mit diesem verbundene Sumerische hei-
von allen Seiten besuchte und umworbene misch wurden (van Soldt 1995). Da, wie van
Handelsmetropole war: Die Namen und Ta- Soldt (1995) ausführt, die Keilschrift unter
ten vieler Ugariter und Nichtugariter, Gäste Zuhilfenahme literarischer ⫺ hierzu gehören
aus aller Herren Länder, sind für uns einseh- auch Omensammlungen ⫺ und lexikalischer
bar ⫺ Leute des palästinischen Ortes Ašdod, Texte der mesopotamischen Tradition in ba-
der Länder Amurru, Kanaan, Ägypten und bylonischer und sumerischer Sprache, bei Be-
Nubien stammen aus dem Süden, die aus darf um eine hurritische und ugaritische Ru-
Assur und Subartu aus dem Osten, die aus brik erweitert, erlernt wurde, finden sich in
Mukiš mit dem Zentrum Alalahß , H ß atti und den Palast-, Privat- und Tempelarchiven auch
Mitanni aus dem Norden und Nordosten so- zahlreiche Dokumente dieser Genres. Also
wie die von den Inseln Zypern, Kreta und haben wir es bei den sumero-babylonischen
Sardinien aus dem Westen, also von Über- Texten mit zwei Kategorien zu tun: Eine um-
see. Die multi-ethnische und multi-kulturelle faßt Schultexte, die zur Ausbildung der
Zusammensetzung der Einwohner Ugarits Schreiber nach Ugarit importiert wurden ⫺
brachte es mit sich, daß die Schriftdenkmäler nach J. Huehnergard (1989: 9), canonical
alle zu jener Zeit gängigen Schriften und ver- texts ⫺, und eine andere jene Texte, die in
schriftlichten Sprachen widerspiegeln. Ugarit verfaßt worden sind ⫺ nach J. Hueh-
Das geistig-religiöse Leben der gemischten nergard (1989: 9) non-canonical texts ⫺ und
Bevölkerung von Ugarit kommt in den Tex- eindeutige Indizien für eine Mischsprache
ten der Tempel-, Priester- und Gelehrten- aufweisen.
bibliotheken, die neben den Texten des täg- Die Schultexte literarischen und lexikali-
lichen Lebens (Briefe, Wirtschafts- und schen Inhalts spiegeln in Grammatik, Lexi-
Rechtsurkunden) gefunden worden sind, zum kon und Syllabar weitgehend zuverlässig ihre
Ausdruck ⫺ die Palastarchive spielen hier Vorlagen ⫺ ob sie nun aus Babylonien, Assy-
rien, Hß attuša oder dem benachbarten Emar
eine weniger wichtige Rolle. In den Tempel-
stammen ⫺ wider und lassen nur vereinzelt
und Priesterbibliotheken fanden sich Mythen
spezifisch ugaritische Züge erkennen (Hueh-
und Epen, Beschwörungen, mantische Texte,
nergard 1989: 12⫺14; van Soldt 1991, bes.
Omensammlungen und Rituale, in den Ge- 519⫺523; Kämmerer, 1998).
lehrtenbibliotheken Schultexte aller Art (Göt- Dann, wenn diese ursprünglich ortsfrem-
terlisten, Wortlisten, Wörterbücher, Weisheits- den Texte eine längere Tradition in Ugarit
texte), human- und veterinärmedizinische selber oder in einem syrischen Nachbarort
Traktate, Beschwörungen, Wahrsage- und durchlaufen haben, ist es mitunter zu sach-
Ritualtexte. In den Sprachen des Koine- lichen Veränderungen etwa in Lexikon und
Babylonischen und Ugaritischen ist das Gros Pantheon gekommen. Solche Veränderungen
dieser Texte verfaßt, das Hurritische, eine der fallen nicht direkt ins Auge, müssen also mit
traditionellen Kultsprachen in Ugarit, begeg- Hilfe der makro-syntaktischen Forschungs-
net in den vielen Opferlisten und Ritualtex- methode erfaßt werden (Kämmerer 1998).
ten. Eine Besonderheit stellt das in den Schulen
Für den Sprachforscher, der sich mit den Ugarits und anderer syrischer Zentren über-
Schriftdenkmälern Ugarits beschäftigt, be- lieferte Sumerisch dar. Während die lexikali-
deutet dies, daß er sich einer Vielzahl heute schen Listen die sumerische Normalorthogra-
toter Sprachen aus mindestens drei stark dif- phie ihrer östlichen Vorlage weitgehend bei-
ferierenden Sprachfamilien gegenübergestellt behalten haben, bieten die zusammenhängen-
sieht. den Texte (Sprüche, Beschwörungen, ein lite-
rarischer Brief) die im Westen beliebte un-
orthographische, ‘syllabische’ Schreibweise,
2. Einheimische Schriftdenkmäler im die eine vielfach nicht mehr ⫺ oder noch
Rahmen der syllabischen Keilschrift nicht ⫺ sicher erklärbare Aussprache des
dort überlieferten Sumerisch aufzeigen (Kre-
Die politische Einbindung in das hethitische cher 1969: 142⫺143).
Reich öffnete für Ugarit den Weg in die Welt Die Non-canonical (Huehnergard 1989: 9)
der Keilschrift des Koine-Babylonischen, des Schriftstücke wie Wirtschafttexte, Rechtsur-
16 I. The Establishment of Linguistic Traditions in the Near East

kunden und Briefe unterliegen den philologi- mateten Hurriter von unschätzbar hohem
schen Gegebenheiten des damals in Syrien Wert, auch wenn sie eher in die Semantik ein-
verbreiteten Koine-Babylonischen, das bis gebundene Wortübertragungen als Überset-
Mitte des 13. Jh. in allerlei Details einen hur- zungen in unserem Sinn bieten.
ro-mitannischen, danach einen assyrischen
Einschlag hatte (van Soldt 1991: 521⫺522).
Die beiden umfangreichen neueren Studien 3. Einheimische Schriftdenkmäler im
zu diesem substratbehafteten Mittelbabyloni- Rahmen der Keilschriftalphabete
schen stammen von J. Huehnergard (1989)
und W. H. van Soldt (1991); sie bieten eine Für die Sprachforschung ist Ugarit wegen
umfassende Erörterung philologischer Frage- der Entwicklung einer genuinen Alphabet-
stellungen und haben damit das Tor zur Ein- schrift besonders aufschlußreich: Es kamen
ordnung des in Ugarit beheimateten Koine- hier Tontafeln an den Tag, die nicht mit der
Babylonischen in die weite Gruppe der Koine- aus Mesopotamien importierten syllabischen
Sprachen Syrien-Palästinas und Kleinasiens und ideographischen Keilschrift beschriftet
der Mitte des 2. Jahrtausends v. Chr. weit ge- sind, sondern mit einer in Keilen ausgeführ-
öffnet. ten, mit der jüngeren altphönikischen ver-
Texte wie die Marduk-Beschwörung (RS wandten, Alphabetschrift. Da die Sprache,
25.460: Dietrich 1994: 134⫺137, mit weiter- die dieser Schrift zugrundeliegt, kanaanäisch-
führender Literatur) oder das Gebet für den südwestsemitisch-altarabische Züge aufweist,
König (RS 79.025: Dietrich 1996: 43⫺45, dürfte sie speziell für das in Ugarit gespro-
1998: 156⫺171) gehören zwar zur Gruppe chene Idiom eingeführt worden sein, das wir
der literarischen Texte, stellen jedoch Dich- vereinfachend ‘Ugaritisch’ nennen.
tungen dar, die in Ugarit (und Emar) ihre uns In diesem Zusammenhang ist hervorzuhe-
überlieferte Gestalt angenommen haben: Sie ben, daß auch Tontafeln gefunden wurden,
entfalten zwar östliche Themen, tun dies aber die lediglich das Alphabet bieten: Also liegen
in Wortwahl und Gottesverständnis mit einer uns hier die ältesten Zeugen für das Genre
deutlich syrischen Einstellung. Alphabet vor.
Ugaritische Wörter und Wortformen be- Das Studium der keilschriftalphabetischen
gegnen innerhalb der non-canonical-Texte Schrift von Ugarit hat in den letzten Jahren
wiederholt in koine-babylonischem Kontext ergeben, daß wir uns dort, wo wir meinen
oder stellen beim viersprachigen Vokabular konnten, am Anfang der Alphabetgeschichte
in der rechten, d. h. letzten Rubrik die Über- zu stehen, wiederum bereits an einem End-
setzung eines zuvor sumerisch, akkadisch punkt derselben befinden (Dietrich 1997b):
und hurritisch erfaßten Wortes dar. Die Das ugaritische Standardalphabet umfaßt 30
Überlieferung ugaritischer Wörter in syllabi- rechtsläufig geschriebene Buchstaben (‘Lang-
scher Keilschrift ist für die Philologie von alphabet’) und ist das Produkt der Erweite-
größter Wichtigkeit, weil sie die Wortformen rung eines levantinischen, ebenfalls in Ugarit
besser zum Ausdruck bringt als die sonst für gebrauchten Alphabets mit 22 linksläufig ge-
diese Wörter gebrauchte Alphabetschrift schriebenen Buchstaben (‘Kurzalphabet’) in
(Huenergard 1987; van Soldt 1991, 1995: der a-b-g-Abfolge (‘phönikisch-kanaanisches
172⫺176). Alphabet’) um 8 Buchstaben (Dietrich &
Für die Erschließung der Aussprache von Loretz 1988, bes. 124⫺143, 1989: 110⫺112).
Vokalen und Konsonanten sowie für die lexi- Diese Erweiterung wurde infolge der Zuwan-
kalische Erfassung von Namenselementen, derung des Herrscherhauses aus dem Süd-
die normalerweise in Alphabetschrift vorlie- osten etwa Mitte des 2. Jahrtausends v. Chr.
gen, ist deren syllabische Überlieferung von nötig (siehe oben 1.), das in der neuen Hei-
größter Bedeutung. Dies gilt in gleicher Weise mat seine Sprache einführte, deren Lautstand
für Orts- (van Soldt 1996, 1998) wie für Per- stärker differenziert war. Daraus folgt, daß
sonennamen (Gröndahl 1967; del Olmo das ugaritsche ‘Langalphabet’ das Produkt
Lete & Sanmartı́n 1996, sub voces). aus der Addition von einem nordwest- und
Die drei- und viersprachigen lexikalischen einem südwestsemitischen Idiom war.
Listen stellen sumero-babylonischen Wörtern Die Annahme, daß das in Ugarit einge-
in einer gesonderten Rubrik mitunter hurriti- wanderte Herrscherhaus in seiner ursprüng-
sche in syllabischer Schreibweise gegenüber. lichen Heimat eine eigene, für seine Sprache
Diese Listen sind für die Erforschung des mit einem differenzierteren Lautstand besser
Wortschatzes der in Nordwestsyrien behei- geeignete Alphabettradition hatte, bestätigte
3. Die Sprachforschung in Ugarit 17

sich jüngst: Bei den Ausgrabungen in Ugarit 204) ist, wie J. Tropper (1998) feststellt, näch-
wurde 1988 in einem Händlerarchiv eine stens mit dem späteren Phönikischen ver-
Tontafel entdeckt, die das südwestsemitische, wandt.
‘altarabische Alphabet’ mit 27 Konsonanten Eine umfangreiche Gruppe von Tafeln aus
in der h-l-hø -m-Abfolge bietet (Bordreuil & Priesterbibliotheken, deren etwas grobe
Pardee 1995; Dietrich 1997b: 80⫺81). Schrift der ‘Langalphabet’-Tradition zuge-
Mithin haben wir es in Ugarit mit der hört, bietet kultisch-religiöse Texte (Opfer-
Überlieferung von drei verschiedenen Alpha- listen, Beschwörungen, Rituale) in hurriti-
beten zu tun: dem ‘Kurzalphabet’ mit 22 scher Sprache. Sie weist darauf hin, daß die
linksläufig geschriebenen, dem ‘Langalpha- Hurriter eine lange Geschichte in Ugarit hat-
bet’ mit 30 rechtsläufig geschriebenen und ten und den offiziellen Kult nachhaltig mit
dem ‘altarabischen Alphabet’ mit 27 ebenfalls ihrer Sprache und ihrem Pantheon geprägt
rechtsläufig geschriebenen Buchstaben. haben (Dietrich & Mayer 1995, 1998).
Der Begriff ‘Ugaritisch’ für die Sprache Abgesehen davon, daß die Erfassung des
der zahlreichen keilschriftalphabetischen Tex- Lexikons und der Grammatik des Hurriti-
te aus Tempel-, Palast- und Privatarchiven, schen an sich noch problematisch ist, legen
deren Zahl mit jeder Ausgrabungskampagne die hurritischen Texte in ugaritischer Alpha-
wächst, ist ein Notbehelf: Er soll alle jene betschrift zusätzliche Hindernisse für ein Ver-
Schriftdokumente umfassen, die während des ständnis in den Weg: Die von ihnen ange-
14. und 13. Jh. in Ugarit mit den Zeichen des wandte Alphabetschrift verzichtet fast gänz-
‘Langalphabets’ geschrieben worden sind und lich auf die Darstellung von Vokalen, so daß
die für Ugarit im 2. Jahrtausend v. Chr. typi- jeder Hinweis auf Qualität oder Quantität
sche nordwestsemitische Mischsprache (Gor- einer Silbe fehlt, und das von ihr angewandte
don 1965; Segert 1984; Sivan 1997; Tropper phonetische System wirft beim Versuch, es an
1997, 2000) aufweisen. In Lexikon und das geläufige der syllabischen Keilschrift an-
Grammatik überwiegen zwar die kanaanäi- zuschließen, viele Probleme auf (Dietrich &
schen Elemente, die phönikischen, aramäi- Mayer 1995: 32⫺34).
schen und arabischen können aber nicht Babylonische Beschwörungen wurden, wie
außer Betracht bleiben. Das Lexikon wird der Fund von vier Tafeln in einer Priester-
zudem von vielen Lehn- und Fremdwörtern bibliothek zeigt, auch ohne Übersetzung in
aus kontemporären Sprachen wie dem Sume- Alphabetschrift überliefert: Der Text wurde,
ro-Babylonischen, Hurritischen ⫺ diese bei- auf sein Konsonantengerippe reduziert,
den Sprachen haben verschiedentlich auch durch Buchstaben des Langalphabets wieder-
die Grammatik des Ugaritischen beein- gegeben. Somit haben wir es hier mit dem
flußt ⫺, Hethitischen und Ägyptischen berei- philologisch höchst aufschlußreichen Phäno-
chert (vgl. Watson 1995, 1996, 1998). men einer phonetischen Gleichsetzung von
Aus dem Blickpunkt der Inhalte haben wir Konsonanten der syllabischen und der lang-
es bei den ugaritischen Texten sowohl mit re- alphabetischen Traditionen zu tun (Segert
ligiösen Texten (Mythen, Epen, Ritualen, Be- 1988).
schwörungen, Omensammlungen) aus Tem-
pel- und Privatbibliotheken, als auch mit
Schultexten (Alphabeten, Schreibübungen) 4. Bibliographie
und administrativen Texten (Briefen, Rechts-, Bordreuil, Pierre & Dennis Pardee. 1989. La trou-
Wirtschaftsurkunden) aus Palast-, Tempel- vaille épigraphique de l’Ougarit, Bd. 1: Concordan-
und Privatarchiven zu tun (Kondordanz: ce. Paris.
Bordreuil 1989; Textedition: Dietrich, Lo- ⫺. 1995. “Un abécédaire du type sud-sémitique dé-
retz & Sanmartı́n 1995); wie Vertragstexte couvert en 1988 dans les fouilles archéologiques
zeigen, diente das Ugaritische in begrenztem françaises de Ras Shamra-Ougarit”. Académie des
Rahmen auch internationalen Aufgaben. Inscriptions & Belles-Lettres (Paris), 855⫺860.
Die führende Rolle der babylonischen Del Olmo Lete, Gregorio & Joaquı́n Sanmartı́n.
Mantik und Beschwörungskunst hat zu einer 1996. Diccionario de la lengua ugarı́tica. Bd. I. Bar-
Übersetzungsliteratur ins Ugaritische (Astro- celona.
logie-, Geburts-Omina, Beschwörungen) ge- Dietrich, Manfried. 1994. “Persönliches Unheil als
führt (Dietrich & Loretz 1990, 2000). Zeichen der Gottesferne: Das Verhältnis zwischen
Die Sprache der Texte im ‘Kurzalphabet’ Schöpfer und Geschöpf nach babylonischem Ver-
mit 22 linksläufig geschriebenen Buchstaben ständnis”. Mitteilungen für Anthropologie und Reli-
(siehe oben 2.; Dietrich & Loretz 1988: 145⫺ gionsgeschichte 8.115⫺141.
18 I. The Establishment of Linguistic Traditions in the Near East

⫺. 1996. “Aspects of the Babylonian Impact on Kinet, Dirk. 1981. Ugarit: Geschichte und Kultur
Ugaritic Literature and Religion”. Ugarit, Religion einer Stadt in der Umwelt des Alten Testaments.
and Culture. Proceedings of the International Collo- Stuttgart.
quium on Ugarit, Religion and Culture Edinburgh, Krecher, Joachim. 1969. “Schreibschulung in Uga-
July 1994. Essays presented in Honour of Professor rit: Die Tradition von Listen und sumerischen Tex-
John C. L. Gibson hg. von N. Wyatt et al., 33⫺47. ten”. Ugarit-Forschungen 1.131⫺158.
Münster: Ugarit-Verlag.
Lehmann, G. A. 1970. “Der Untergang des hethiti-
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in den Kulturen des Antiken Vorderen Orients hg.
der östliche Mittelmeerraum in der Zeit der “Seevöl-
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Segert, Stanislav. 1984. A Basic Grammar of the
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Inthronisationsliedern”. Ugarit-Forschungen 30. ⫺. 1988. “Die Orthographie der alphabetischen
155⫺200. Keilschrifttafeln in akkadischer Sprache aus Uga-
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Texte der Opferschau ⫺ Omensammlungen ⫺ Ne-
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rit-Verlag. Münster (Deutschland)
II. The Establishment of the Chinese Linguistic Tradition
Die Anfänge der Sprachwissenschaft in China
La constitution de la tradition linguistique chinoise

4. Classical Chinese philosophies of language: Logic and ontology

1. Two aspects of language in early Chinese not questioned until the rise of the Daoists in
philosophy the 5th century BC. The Chinese term ming
2. Nature and function of non-substantive as a verb exists logically prior to its being as
words in the Chinese language a norm. For until the naming of things takes
3. Five positions (theories) of names and
sayings in Classical Chinese philosophy
place, there are no names in the world. To
4. The Cunfucian doctrine of zheng-ming name is to identify and to distinguish indivi-
“rectifying names” dual things, relations, or types of individual
5. The Daoist doctrine of wu-ming “no names” things or relations and states of affairs. Thus
6. Nominalistic tendencies in Yinwenzi ming is primarily explained as “naming one-
7. Platonistic tendencies in Gongsun Long self” (zi ming ye) in Xu Shen’s Shuo-wen
8. Empirical (scientific) realism of names and “Discourse upon language”, and as the “pro-
language in the Neo-Moist Canons (Jing/ cess of illuminating” in Liu Xi’s Shi-ming
Shuo) “Interpretation of names” in order to distin-
9. Concluding remarks
10. Bibliography
guish between names and actuality. But when
it is found or discovered that the genuine ulti-
mate reality need not be nameable or actually
1. Two aspects of language in early be named, and that not all names need corre-
Chinese philosophy spond to reality and capture or represent ac-
tuality in certain aspects, various theories of
Classical Chinese philosophers of the period the relation between names and actuality
from the 6th century BC to the 3rd century (shi) are proposed and various explanations
BC were as a rule concerned with the prob- of names and name-orientated language and
lems of names (ming). To them names are not their limited usefulness or possible mislead-
simple units of language but were the repre- ing nature are offered, even though there are
sentations of substantive things and objects. theories which propose to defend the validity
It was not until Xunzi (ca. 300⫺230 BC) that of names. It might even be suggested that
names were classified into a hierarchy of various ontological and logical theories in
categories or types and that a theory of origin classical Chinese philosophy are responses to
and nature of names was offered. Names in the nature and validity of naming and the na-
general were considered identification labels mability of reality.
which were intended to apply to and corre- Although ming as a verb and a noun occu-
spond with reality (shi). This correspondence pies a crucial position in philosophical issues,
between names and reality was conceived to the classical notion of ming however does not
be of such a nature that things in nature lead to a definition of language in terms of
could be given names and the names had to ming. On the contrary, language is defined in-
identify or distinguish reality. For it was con- stead in terms of “speech” or “saying” (yan).
ceived that names were the products of nam- Saying is considered the natural unit of ex-
ing (ming) and naming was intended to give pression of meaning in language unified with
a label to a thing, a relation, or a state of the intent of a speaker. In saying, naming,
affairs, in nature, society, or in a system of names, or expressions of names occur, but
values. This general assumption that all there would be no real need for introducing
things can be named perhaps was the earliest names if there is no need for saying, even
belief held by Chinese philosophers and was though names could serve some useful pur-
20 II. The Establishment of the Chinese Linguistic Tradition

pose. In this sense saying seems to be more The last point about yan is very important,
basic to language than names, even though for as we shall see, in Chinese philosophy, it
naming and names were the sources of philo- is generally held that unless names are speci-
sophical issues and disputes in classical Chi- fically used to refer to things or objects, one
nese philosophy, whereas sayings or state- cannot depend on yan for making a specific
ments (the results of saying) were not gen- nameable reference. Often it is suggested that
erally a genuine philosophical issue. The one can intend something without even using
reason for this is not difficult to explain. yan, not to say, using ming. In the context of
Naming and names relate to and contrast yan a reference need not be mentioned by
with the actuality of which naming and name at all. This is due to the existence of
names are made, but sayings, on the other the ontological consideration of a deep struc-
hand, relate to a speaker and his intent. In ture, as well as the existence of the consider-
order to make a statement, one needs to in- ation concerning the complexity and sophis-
troduce names referring to characterizing the tication of intent and purport of yan and its
things and affairs of the world. Thus, rigor- use.
ously speaking, naming and names depend In going through the basic classical writ-
on the context of saying for their introduc- ings of various schools, it is clear that yan is
tion, whereas saying depends on our actual most frequently judged on the basis of con-
and possible ability to name (to identify or to duct (xing). This is particularly true of the
characterize by using labels) for the purpose Confucian school of philosophy. The reason
of explaining or intent or meaning. Early for this, of course, is that since yan embodies
Chinese philosophers in general always rec- the intent and purport of a person, yan is to
ognized this context principle of saying and be borne out therefore by conduct which car-
never felt seriously interested in an atomistic ries out the intent and purport of the person.
analysis of language in terms of names as This exhibits a pragmatic dimension of yan.
such. Thus it is said in the Rites of great Dai: Thus Confucius (Analects 13-3) says: “In say-
“To express one’s intent (zhi) leads to saying, ing something, what one says must be true to
to speak language [i. e., to make statements] one’s conduct”. He also says (Analects 4-22):
leads to names”. The Song Neo-Confucianist “In ancient time, people did not say some-
Shao Yong in his Huangji jingshi, guanwu nei- thing for having misgivings about not being
wai pian, says: “For the ancient people names able to practice it in person” and (Analects 4-
arise from speech” (fayan wei ming). 24) “The superior man wants to be slow in
To summarize, the difference between saying and quick in action”.
ming and yan is as follows: Confucius does not neglect to indicate the
(1) Ming must be true to reality and there- presence of some link between yan and ming.
fore possess an ontological significance, In his doctrine of “rectifying names” (zheng-
whereas yan must be true to the intent of the ming), Confucius suggests that in order for
speaker and therefore possess an intentional sayings (language use) to be fit (shun), names
significance; must be rectified (zheng). Without elaborat-
(2) Ming must be established on the basis of ing at this moment on what Confucius in-
human knowledge or understanding of per- tends by rectification of names, Confucius
ception, whereas yan must serve some practi- has made clear this: Correct names must be
cal purpose of life and action, for its truth assumed for fit speech, where ‘fit speech’
need not always be a matter of correspon- means clarity and pertinence to a situation
dence-verification: it is also often conceived and being true to one’s intent. He says (Ana-
as a matter of practical or pragmatical fulfill- lects 13-3) that “names must be sayable, and
ment of expectation; sayings must be practicable”. This no doubt
(3) The institution of ming and even the pos- indicates that no name can be said to be recti-
sibility of the institution of ming requires fied if it cannot be used in saying. Insofar as
some presuppositions regarding what there language remains a practicable human activi-
is, whereas the occurrence of yan does not ty, names must also be created to serve hu-
require that in its application of ming, ming man and practical purposes.
has a distinctive referent. What yan is about In Mencius, yan is also conceived as being
need not be some distinctive object or state of a directive toward fulfillment in conduct. But
affairs, but could be some implicitly intended Mencius makes it more clear than Confucius
object or state of affairs which may not have that yan is closely related to mind ⫺ the basis
a name. of one’s intent and intentionality. He criti-
4. Classical Chinese philosophies of language: Logic and ontology 21

cizes Gaozi for holding the view that if one where the latter can be conveniently iden-
is not satisfied with yan, one should not seek tified with the performative or illocutionary
reasons in one’s mind (xin); if one is not satis- forces of speech acts. This may sound Austin-
fied with mind, one should not seek reasons ian, but the important point here is that for
in vital feelings (qi). He says (Mencius 2a-2): Chinese philosophy early language (which lit-
If one is not satisfied with mind, one should not erally may be called “name-speech” or ming-
seek reason in vital feelings. This is permissible [to yan) is always a unity involving an objective
say]; but if one is not satisfied with yan, one side and a subjective side ⫺ a unity of nam-
shouldn’t seek reason in mind. This is not permissi- ing reality and expressing intent. It may be
ble [to say]. suggested that the ideal form of language
What Mencius means by this is that one must consists in expressing intent by means of
find the source of the merit or demerit of yan using correct names or using names correctly.
in mind, for it is mind which gives meaning This means that using names is an integral
to yan through its intent and purposefulness. part of intent expressing but not vice versa.
In this sense Mencius asserts that he “knows The focus is obviously on language as a com-
yan” (zhi-yan) because he knows the practical municative medium developed for the pur-
consequence and theoretical limit of yan in pose of consolidating a community or pre-
relation to the community good and politi- serving its ordering. Naming is necessary and
cal goals. meaningful in regard to such communicative
Our purpose in making the distinction be- contexts. Although this may be the primary
tween ming and yan in the conception of lan- notion of language in early Chinese philoso-
guage of Chinese philosophers is to show phy, the genuine distinction between ming
that in a way Chinese philosophers recognize and yan is a significant one and leads to a
two aspects or dimensions of language ⫺ the differentiation between modes of language
referential-characterizing aspect or dimen- use and underlies (explains) later Chinese
sion and the intentional-practical aspect or philosophical disputes.
dimension. The former can be conveniently To sum up, we may suggest that Classical
identified with the informational content of Chinese philosophy may be understood in re-
reference and predication in a proposition, gard to various possible theories regarding

(1) Confucius/Mencius ming I yan I ideal practical purpose or intent



shi
(2) Xunzi shi J ming J yan I practical goal
(3) Laozi ontological understanding of dao (negation of shi)
L negation of ming
L negation of yan
 
(4) Zhuangzi negation of shi J negation of ming ming
Chan Buddhists negation of yan J yan
(5) Gongsun Long ming J shi
J 
yan
(6) Yinwenzi ming L shi (limited to shapes)
J 
yan
(7) Neo-Mohists ming I shi (unlimited to shapes)
L
yan
[Here “J” “I” and “↔” means “determine” in the direction of the arrow]

Tab. 4.1: Possible theories regarding naming and saying


22 II. The Establishment of the Chinese Linguistic Tradition

the nature of naming, the nature of saying, the speaker and the speech which may affect
and their relation to ontological understand- the existential relation between the intended
ing. listener and the speech. It may be said that
void words of the later type are words stand-
ing for the existential illocutionary forces.
2. Nature and function of non- But unlike the stressed or unstressed, they are
substantive words in the Chinese codified and incorporated in the total writ-
language ten symbolism.
As void words do not say anything about
Names (ming) and words (zi) in Chinese are the reality of the world and the reality of the
often classified according to the categories speaker, but rather show or show forth the
suggested by ontological thoughts and expe- illocutionary force of some existential rela-
riences. Three pairs of polarities of ontolo- tion between the speaker and the speech, they
gical import are specifically recognized. (1) can also be called words of showing, and for
Void or nonsubstantiveness (xu) versus sub- that matter, demonstratives are also words of
stantiveness (shi); (2) Motion (dong) versus showing, in distinction from words of saying
rest (jing); (3) Death (si) versus life (sheng). or naming.
Anyone who is familiar with Chinese philoso- The substantive words (shizi) on the other
phy will recognize these three polarities as hand refer to (or name) substantive things.
basic ontological ultimates in Confucian, They are words for material objects, persons,
Neo-Confucian, and Daoist literature. These and other substantive entities or particulars,
categories are applied to classify words in such as processes and activities. They are also
language so that three pairs of words (ming) words for qualities and attributes. Thus sub-
are generated therefrom: (1) void words stantive words, basically speaking, include
(xuci) vs. substantive words (shici); (2) mo- nouns, adjectives, and verbs. They form a
tion words (dongzi) vs. rest words (jingzi); (3) major portion of the vocabulary of our lan-
dead words (sici) vs. live words (huoci). I guage and carry the ontological burden of
shall briefly discuss these distinctive classifi- the language. They stand for objects of which
cations in order to explore their ontological names are names. Therefore they form ele-
implications. ments for the propositional-assertive use of
language.
(1) Void words vs. substantive words: Void The contrast between void words and sub-
words or terms are words or terms which do stantive words is that, whereas substantive
not refer to any substantive object. But to say words generally represent and correspond to
this is to say that void words either refer to the concrete or perceivable side of reality,
nonsubstantive things or they do not refer to void words represent and correspond to the
anything at all. This implies that the scope of imperceivable hidden yet concrete side of re-
void words could be highly comprehensive: it ality. A whole sentence of course is a totality
includes all syntactically or semantically sig- of two sides. It has a manifest side borne out
nificant words, such as relations of space and by the substantive words and a hidden side
time, propositions, logical operators, quanti- borne out by the void words. The meaning of
fiers, kinds of adverbs, modal words or a sentence is a unity of the two sides and in-
words of modality and other syncategore- volves both the objective reference and the
matic words. It also includes words used to subjective intent. The ontological model in
indicate or express emotive moods in which Chinese philosophy has clearly effected an
a sentence is introduced, ended, or related to understanding or at least a predisposition to-
other sentences relative to the speaker’s in- ward understanding what a whole sentence is
tent. This dimension of the speech act is to and in what the whole meaning of a sen-
suggest the mood of the speaker and his eval- tence consists.
uation of the meaning of the sentence in use. On the basis of the distinction between
Nobody can deny that this dimension of void words and substantive words, it has also
speech constitutes an important but hidden been suggested that there could be half-void
side of the significance of discourse. It is pri- words (banxuzi) and half-empty substantive
marily sentence or discourse-orientated, and words (banshizi). The intuitive grounds for
it can be referred to as the existential illocuti- such suggestion, of course, are the ontologi-
onary forces of speech in use. They explain cal consideration or observation of the exis-
or show a certain existential relation between tence of the half-void states of things, as well
4. Classical Chinese philosophies of language: Logic and ontology 23

as the possibility of a creative context for re- The basic rationale for the distinction is that
garding things as half-void and half-substan- motion words indicate motion or activity and
tive. In the latter case the basis for the sug- show some effort or purpose, whereas rest
gestion is, of course, the uses to which void words indicate a natural state of being devoid
words and substantive words are put. The of such an effort or purpose. This distinction
following definitions are suggested by Yuan apparently is more functional than the dis-
Renlin in his Xuci Shuo (Dui Lei): tinction between void words and substantive
words, for it depends on the context of yan
Words that refer to things having forms and bodies
are substantive. Words that refer to things having “speech” for identifying the motion or rest of
no forms and no bodies are void. Words that refer a state of affairs. Yuan illustrates the distinc-
to things that appear to have forms and bodies, tion with sentences such as:
but in reality do not have them are half-void. “Respect the respectable” (zun-zun)
Words which refer to things which appear to have “Love [your] parents” (qin-qin)
no form and body but in reality have them are
half-substantive. By identifying the first word in the combina-
tion as a motion word and the second word
In general, one can see that nouns that are
as a rest word the distinction is established.
used as verbs are half-void words e. g., the
But in such combinations as (cf. Analects
Chinese word for “eye”, mu, as used in er er
12-11):
mu zhi “use ears to see” is a half-void words.
For in such use, “eye” is used in the sense of “The ruler should be ruler-like” (jun-jun)
seeing with the ears, which appears to have a “The father should be father-like” (fu-fu)
form and in fact does not have one. Similarly, We identifies the first word as a rest word
words which originally are void may be used and the second word as a motion word. This
in such a way as if some substantive object makes it clear that rest words and motion
or state is referred to, then such a word words are relative to each other and are mu-
would be a half-substantive word; e. g. the tually determined in a context of yan.
word jin “now” is a temporal adverb, but it (3) Live Words vs Dead words: This distinc-
can be used as if it is a noun referring to a tion is made in the Ming text Dui Lei in the
state of actuality, such as jinyu “the present following way:
being” or jinye “the present moment”.
To say that a word is dead is to say that it refers
The point here is that, in principle, void
to a state which is such and such by nature, such
words can be used as if they are substantive as the words high and low, big and small, and the
words or used substantively and that, in prin- like. To say that a word is live is to say that the
ciple, substantive words can be used nonsub- object of its reference is made so and so, such as
stantively. Thus through the practical use of flying, diving, changing, and transforming and
the words in sentences and speech the onto- the like.
logical nature of a name could be trans-
The basis for such a distinction is the pres-
formed into another. This of course il- ence or absence of effort and purpose in the
lustrates the principle of the mutual trans- named objects or objective state of reality.
formation of yin and yang in the Great Ulti- From the above it is clear that the distinc-
mate (daiji) in Chinese philosophy. This also tion between void words and substantive
bears out the fact that ming receives a deter- words is the basic and primary distinction. It
minate ontological status only in the context has both a syntactic and ontological basis.
of yan; yan being the use (yong) of ming. The distinctions between motion words and
Many celebrated Chinese poems thrive on the rest words and that between live words and
use of substantive words in a non-substantive dead words, on the other hand, are derived
and, grammatically speaking, adverbial and from the use of void words and substantive
modal way. words in the context of yan, and thus they
(2) Motion Words vs Rest Words: The dis- reflect the various uses of the void and sub-
tinction between motion words and rest stantive words. The very way in which these
words is made clear by Yuan Renlin of the distinctions are made suggest how the onto-
Ching Period in his Xuci Shuo “Treatise on logical understanding of reality in terms of
void words”: substance (di) and function (yong) illuminate
The same word, if used to show activity through the functioning of language, and how the on-
effort, is a motion word; if used to retain its natural tological and semantic meanings of sentences
spontaneity, it is a rest word. or words are mutually dependent and mutu-
24 II. The Establishment of the Chinese Linguistic Tradition

ally transformable. That language can repre- ciety and government therefore provides the
sent or show an ontology becomes quite ob- ultimate context, basis, and rationale for the
vious. Yuan Renlin says in his Xuci Shuo: rectification of names and language. Insofar
To use words nonsubstantively or lively is not
as social-political considerations as well as
something which the rhetoricians invent and im- the practical significance of yan and ming
pose, it is a fact that in heaven and earth the void have become the constant concerns of the
and the being are always mutually dependent, and Chinese mind from the very ancient past, one
that substance and function are never separate might treat the Confucian doctrine as being
form each other, that amidst the principle of ut- historically prior to any other theory.
most tranquility there is the principle of utmost As to the Daoist doctrine of wu ming and
motion. All things are like this. [The deadness and wang yan, it is apparent that the Daoists fo-
the substantiveness of a word are to do with the
object of its referent.] Thus the principle [of mutual
cus their attention on the nature of reality
transformation by using it in a non-substantive or more than on human affairs. But then, this
lively way] will also naturally apply to it. As to its entire concern about ontology may merely be
original meaning, it exists between its being used apparent, for they can also be said to search
and its being not used. for a rule for solving the problems of social
and political order and stability. Their solu-
This passage explicitly focuses on the embod-
tion led to their ontological insight, which
iment of the ontology of yin and yang in daiji
they thought would lead to the solution in
in the formation of language and determina-
question. What they held is that only when
tion of reference words in language. On the
basis of this we might even say that the ontol- we dissolve names, not rectify them, then so-
ogy in Chinese philosophy is the ontology of cial and political order can be restored or
the language in Chinese philosophy. permanently secured. Of course, it might be
the case that they first found their lan-
guageless ontology of the dao and then tried
3. Five positions (theories) of words to apply it to life and society. It may also be
and sayings in Classical Chinese true that they noticed the disruptive and de-
structive nature of names and consequently
philosophy constructed their ontological theory. A plau-
With the concept of language as sayings and sible suggestion is that they wished to solve
names as a background, Chinese philo- the problem of social order and political sta-
sophers in the Classical Period developed ba- bility and they found it when they came to
sically five positions. These five positions see the true nature of the dao. In this perspec-
were: (1) The doctrine of no names no say- tive, the Daoists are equally practical-minded
ings; (2) The doctrine of the rectifying of as the Confucianists. They pay equal atten-
names; (3) The doctrine of nominalism; (4) tion to yan and ming, where Zhuangzi’s
The doctrine of Platonism; (5) The doctrine doctrine of wang yan as well as Confucius’
of empirical realism (scientific realism). The doctrine of wu yan are mutually dependent.
first doctrine was developed and maintained Both the doctrine of nominalism and the
by the Daoists. The second doctrine was doctrine of Platonism may appear to be far
developed and maintained by the Confucia- removed from practical considerations. The
nists. These two doctrines were initiated his- proponent of the former is Yinwenzi, the pro-
torically prior to the other doctrines. But ponent of the latter is Gongsun Long. Both
between the Daoists and Confucianists, it is are remembered in Chinese philosophy as lo-
difficult to say which should be placed earlier gicians from the School of Names. Though
in their development. Apparently, both their doctrines appear to concentrate on the
doctrines presuppose the existence of names logical analysis of the origins of nature and
and can be correctly said to be developed in references of ming, there is evidence that they
response to the unsatisfactory uses and are nevertheless concerned with practical
abuses of names at the time of their develop- problems, such as the rectification of names.
ment. For the Confucianists, the primary Thus, their doctrines may be motivated by
function of names was to serve the purpose practical considerations, like the Confucia-
of well regulated yan, which was taken to nists, but once formulated, become more a
form the basis for institutionalized social or- matter of logical and ontological theory.
der and political stability. As yan was con- What we wish to point out is simply that
ceived to be goal-orientated, the end of so- their doctrines of ming could be first intended
4. Classical Chinese philosophies of language: Logic and ontology 25

ro relate to a doctrine of yan which is practi- correctly instituted and used for this purpose.
cal orientated. Confucius says (Analects 20-3): “If a person
The only doctrine of ming and yan which does not know language, he will not know
is devoid of overt practical considerations is people”.
that of empirical realism, as advanced by the (2) Names are for sayings and sayings are to
Neo-Moists. Though the Neo-Moists are dis- ultimately serve the purpose of social order-
ciples and members of the practical-minded ing. Thus names must be correctly regulated
Schools of Moism founded by Mozi, their and understood and not be abused lest disor-
concentrated researches on language, logic, der and confusion will result.
and science clearly provided self-sufficient (3) All things are nameable. To name a thing
and self-contained results comparable to the is to identify it by its true characteristics.
products of Aristotle. Their writings known Thus names serve to provide us with knowl-
as Jing “Canons” and Jing Shuo “Discourse edge of things in the world. This is the case
on canons” and the Da Ju “The greater tak- with the names of birds, beasts, grass, and
ing” and the Xiao Ju “The smaller taking” woods. Thus in speaking of the merits from
are brilliant works of their rigorous and or- learning poetry, Confucius mentions (Ana-
ganized research. Recent discussions of them lects 17-9): “[One should] know the names of
by Needham (1954), A. C. Graham (1955, grass, wood, birds and beasts”.
1959, 1978, 1986), Chmielewski (1962⫺1966), (4) Human relations, as well as human goals
Chung-ying Cheng (1971, 1973a, b, 1975, and values can also be names. As names of
1983, 1987) and Chad Hansen (1983, 1985, such, they must correspond correctly to the
1992) have made amply clear that rather than reality of such.
choosing to be guided by some fixed prior (5) To use names correctly is to rectify
preoccupation or vagueness of practical val- names. But a primary pre-condition is to
ues and goals the Neo-Moists are logically have a correct understanding of reality. Since
and scientifically disciplined thinkers who in- the reality of human relations, goals, and val-
tend to establish a logical and scientific phi- ues is to be understood in terms of our expe-
losophy and methodology so that questions
riences and visions of human nature and its
of value and norm can be adequately settled
relation to heaven, names resulting from such
in light of them (cf. Cheng 1971). It is in this
an understanding involve a correct recogni-
view that one can regard their work as re-
flecting the scientific, methodological spirit. tion of such a reality. To correctly name is
They have developed both a logical theory of to correctly see and correctly understand the
names and a logical theory of speech (yan). standard norm and goal of human behavior
and their relation to society and government,
as well as the relation of the latter to the for-
4. The Confucian doctrine mer.
of zheng-ming “rectifying names” (6) Once the names of things and values are
established, they should be correctly used to
As we have noted, the Confucianists regard refer to the things which they are intended to
language as a matter of sayings instituted for represent, so that a blockage of social com-
serving the practical purpose of stabilizing munication and social control will not take
society and ordering government. Language
place, and confusion as to what is referred to
being social in origin and used for social sta-
will be avoided. Blockage of social communi-
bility, those in a position to ensure conformi-
cation and social control, and confusion of
ty of usage and correspondence between
names and what are named for the purpose preference will lead to a breakdown of social
of social communication and social control norms, and value standards, which will in
must see that this will happen. Names specifi- turn lead to confusion of thought and rea-
cally must be incorporated in language (say- soning and will inevitably give rise to chaos
ings) so that they will identify and character- and political instability. Therefore, in order
ize things correctly. This is the general basis to rectify names, one should insure not only
for the Confucian doctrine of the rectifying that names correspond correctly to reality,
of names. but that in our use of sayings or languages,
The basic principles of this doctrine are precaution should be taken to prevent confu-
as follows: sion and the abuse of names.
(1) Language is for social communication The practical goal of rectifying names and
and social control, so that language must be the main tasks of rectification are suggested
26 II. The Establishment of the Chinese Linguistic Tradition

in Confucius’ own statements (Analects 13- cance. He further points out that a ruler, in
13): being responsible for social ordering, must
regulate language as a means of social order-
If names are not rectified, sayings will not serve
their purpose. If sayings do not serve their purpose, ing, which will contribute to the peace and
then rites and music (social mores) will not flour- well being of people, and eliminate confusion
ish. If rites and music do not flourish, then codes and disorder. But more than Confucius, he
of punishment (laws) will not function right. If recognizes two more important aspects of
codes of punishment do not function right, then language beside the practical-social aspect of
people will not know how to behave. Thus being a language: Namely, language is empirically
superior man, a ruler must make sure that names based and language is conventional. He is,
must be sayable and sayings must be practical. A furthermore, committed to demonstrating all
superior man must be very serious and cautious
three aspects of language by inquiring into:
with regard to his sayings.
(1) How names are introduced (suo-wei-you-
Although Confucius does not make explicit ming); (2) How the similarity and difference
the distinction between facts and values, it of names originate (suo-yuan-yi-dong-yi); and
seems clear that for him there are two kinds (3) How names are instituted or formulated
of names: the first kind of names are natural as they are used (zhi-ming-zhi-shu-yao). Let
names governed by fact and things; the se- us briefly describe Xunzi’s theses as responses
cond kind of names are value or norm names to these three questions.
which govern human behavior. It might be
suggested that in the realm of natural objects, (1) Xunzi points out that if there are no fixed
names must correspond to reality, but in the names, our ideas of things cannot be clearly
realm of human values, reality must corre- expressed and we are too confused about
spond to names, for it is up to man to make what objects we want to refer to. Conse-
his reality, as a man conforms to a social quently, the noble and the lowly cannot be
standard of value so that he can be a socially distinguished, and the difference and the
cultivated entity and the larger goal of society identity cannot be separated. Communica-
be fulfilled. With this in view, Confucius sug- tion will be difficult and social action will be
gests (Analects 12-11): “The ruler should be impossible. Thus the sage decides to institute
ruler-like, the minister minister-like; the fa- names to refer to different things so that the
ther should be father-like; the son should be noble and the lowly can be distinguished, and
son-like”. The rule of rectifying therefore is the difference and the identity can be separat-
twofold: names must conform to natural ob- ed. This means that one can distinguish be-
jects, value names must make human persons tween the different values which we attach to
conform to them. It is clear that Confucius’ things and that we can classify and record
doctrine of rectifying names is developed things according to their identities and differ-
around the latter principle. It is no wonder ences. Social communication and social ac-
that he comes to formulate his well-known tion will result from these.
doctrine as answers to questions on how to (2) The basis for instituting names of the dif-
conduct government. Again, although Con- ference and similarity of things, according to
fucius does not explicitly suggest how one Xunzi, is our natural sense. He trusts that
may avoid confusion in the use of names our natural senses share common impres-
once names are made to represent correct re- sions of things. Consequently, we can adopt
ality, yet from his various discourses we the same names to refer to the same things
could see that he has come to adopt two ba- and different names to refer to different
sic rules of the application of names: (1) One things. His approach to what names stand
name should apply to one type of thing; (2) for, therefore, is realistic yet empirical. He
A thing or a person may have many names, recognizes the different qualities of sight,
depending in its or his relation to other sound, taste, smell, touching and feelings (de-
things or other persons. sires and emotions). He recognizes that the
In Xunzi, the basic principles of Con- human mind has organizing power and the
fucius’ doctrine of the rectifying of names power for inference. Thus he concludes that
are well elaborated and further developed. our names correspond to things in the world
Xunzi’s essay on zhengming “rectifying through our ability to know things in terms
names” makes it clear that language is a of the senses and mind. In this regard, one
social and human institution and therefore may say that for Xunzi, names in language
always possesses social and human signifi- are conceived to represent the objects of the
4. Classical Chinese philosophies of language: Logic and ontology 27

empirical worlds: language therefore has em- sayings based on using names to confuse with
pirical origins and an empirical reference. other names, without regard to their intended
(3) Different things must have different meaning and purpose; fallacies of sayings
names and same things must have the same based on using objects (shi) to confuse with
name. This is the principle of correspon- names, without regard to origins of names in
dence. This correspondence in terms of differ- difference and identity of perception; fallacies
ence and identity seems to imply that things of sayings based on using names to confuse
can be recognized in terms of a hierarchy of with reality without regard to goals by which
classes. Things are the same because they be- institution of names or specifically class
long to the same classes, and are different be- names is intended.
cause they belong to different classes. The im- Two or more observations can be made
plicit criterion of identity and difference is about Xunzi’s theory of the rectifying of
class identity and difference. By recognizing names:
the names of various sizes of classes or gener-
(1) Xunzi clearly recognizes that names are
ality, Xunzi, together with the Neo-Mohists,
necessary for social and human life. He rec-
has introduced the notion of class (lei) into
ognizes this on the basis of the recognition
the Chinese logical vocabulary. The purpose
that human communication and society are
of naming is to identify the identical in re-
based on the existence of human desires, and
gard to the same class (attribute) and to dis-
human desires are not eliminable. Thus lan-
tinguish the different in regard to different
guage can be introduced to satisfy human
classes (attributes). A proper name will thus
needs. To avoid confusion in and by lan-
distinguish one thing from all other things. A
guage one needs to know the truth with one’s
universal name (da-gong-ming) will identify
reason or with one’s mind, but needs to be
all things in the same class. Although Xunzi
rid of desires and the implicit consequent the-
is basically realistic with regard to the institu-
sis of no names and no language.
tion of class names, he introduces the prin-
(2) In the beginning of his essay on rectifying
ciple of convention by saying (Zhengming
names, Xunzi mentions common values, such
chapter) that,
as life (sheng), nature (xing), feeling (qing),
Names have no intrinsic quality which necessitates deliberating (lei), human doing (wei), busi-
its corresponding to a particular object. We stipu- ness (shi), virtuous deeds (xing), cognitive
late the correspondence between one name and one power (zhi), knowledge (zhi), natural capaci-
object by convention (command). Once the con-
ty (neng), developed talent (neng), illness
vention is agreed upon and usage established, we
will say that the name is proper. If a name is intro- (ping), and accident (ming). If these names
duced (used) in disagreement with out convention, are considered (mentioned) as examples of
we will say this is improper. names which should conform to the three
conditions of names of the above, it is clear
The conventionality of names, of course, is that Xunzi would recognize that the reality
the conventionality of the initial choice of to which names correspond must be open to
names for a certain purpose. It does not alter rational understanding by the mind, but is
the nature of correspondence or the nature of not just confined to our perceptual experi-
what the names correspond to. Thus Xunzi’s ence. Thus correct naming implies correct un-
theory does not allow us to infer that we can derstanding of the world by the mind. In an
legislate reality to the world through the con- implicit way, what an ontology is will deter-
vention of names. His view of language is ba- mine what names will be introduced, just as
sically realistic and empirical. In fact, he even what names are to be introduced will reflect
points out the following principle of the indi- what ontology will have to be presupposed.
viduation of things: Things are to be individ-
uated by their location and forms. When one
thing changes form but does not change its 5. The Daoist doctrine of wu-ming
nature and location, it is still to be regarded “no names”
as one thing. But if two things occupy two
different locations, even if they have the same We have discussed the doctrine of no names
form, they are to be regarded as two things. in Laozi and forgetting language in Zhuang-
On the basis of the above theses concern- zi. The obvious reason and argument for the
ing origin, purpose, and the nature of lan- namelessness of the dao in Laozi is that the
guage, Xunzi is able to reject the fallacies of dao as the ultimate reality is whole and in-
sayings of the following kinds: fallacies of determinate and cannot be characterized in
28 II. The Establishment of the Chinese Linguistic Tradition

determinations without losing sight of its to- to do specifically something (you-wei). It is


tality, unlimitedness, and its source nature. to possess things, control things, and divide
Names are names of being (you). Dao is not things. To have no desires, on the contrary,
exactly being in the ordinary sense and there- is to let things happen spontaneously and to
fore essentially cannot have a name to identi- let one’s creativity develop in harmony with
fy or characterize it. That is why it is called reality without forcing or imposing. It is to
void (wu) by Laozi. In fact, insofar as every- create without possessiveness, to do things
thing has a hidden side, the side of yin or wu, without arrogance, and to lead without do-
everything cannot be exactly identified and mination.
characterized by a name, for everything can- Laozi points out that it is when the dao
not be conceived as completely determinate. does not do anything specific that everything
This is the true nature of things which Laozi’s is done. This means that the cosmos, with its
theory of reality envisions. In this regard, variety of life forms, involves spontaneity
Laozi holds that basically language is super- precisely because there is no convention nor
fluous and dispensable. Although it may help goal for the dao. In this sense the dao can be
us to identify and characterize things in such said to have no desires and to make no effort
a way that the identification and character- toward a predesignated goal. Man should be
ization may prove to be practically useful, guided by the image of the dao. In order to
language could be misleading and illusion- achieve creativity, man should remain desire-
generating simply because it could prevent us less and effortless in the sense Laozi uses
from seeing the true nature of things and the these terms.
totality of reality. This means that man should retain or cul-
There is an implicit theory and argument tivate a spontaneous life and a selfless atti-
in Laozi to the effect that things and the dao tude. To do nothing and to have no desires
could remain nameless if we diminish or elim- are therefore to have no desires and to do
inate our need for naming them. In other nothing from the point of view of oneself. It
words, Laozi’s doctrine of the nameless of the is to abandon the self (wu-wo), but not to
dao goes hand in hand with his doctrine of abandon life or creativity. In this sense man
desirelessness or no desires (wu-yu) and his will not only come to perceive or understand
doctrine of effortlessness or no action (wu- the dao, but he will be like the dao. In this
wei). Laozi holds that if we are devoid of de- sense language also becomes superfluous and
sires (yu), we are able to see the true nature dispensable, because as a vehicle for express-
of the dao, whereas once possessed of desires ing desires, knowledge and guiding actions,
we shall see the beginnings of things. Thus language loses its ground of existence once
the true nature of reality is related to percep- desires, knowledge, and guiding actions are
tion in the state of no desires, whereas the not needed and unnecessary. Of course, this
reality of differentiated things is related to does not mean that man will not act or know
perception in the state of having desires. and have no life. It means that when man
What are desires? Although Laozi does not comes to live in harmony with other men and
discuss this question in detail, his discourse nature, language like weapons will not per-
provides the following indications about form any useful function. Its use will not cre-
what desires are. ate difficulty and commotion like the uses of
Desires are the ego-centric and selfish weapons and the use of the boat.
claims to possession and thus products of the Laozi’s vision is that in the spontaneous
self in opposition to the world. They are state of nature, living people need to have lit-
therefore exclusive of the points of view of tle commerce with one another, people will
other things. They give rise to so called not war with one another and thus there is
knowledge which will serve private interests. no need to use means of transportation and
They lead to actions which blind us to the means of war ⫺ the weapons (Daodejing 80).
true nature of things. Laozi is not opposed Similarly, when no need for communication
to natural desires, or desires which occur by language is necessary, language should be
spontaneously, as he sees in the images of laid to rest and names need not be used. The
water and the uncarved block. Desires which true nature of things will be shown in their
are cultivated by cunning and promoted by own light precisely because of their nameless-
intelligence are unnatural. They distort the ness. We shall see the true nature of things
nature of man and will not show the true na- and the totality of dao precisely because of
ture of the dao. Thus having desires is to wish their namelessness. This is the second reason
4. Classical Chinese philosophies of language: Logic and ontology 29

why Laozi rejects names and language. He zi can be regarded as a typical example of the
says (Daodejing 37): “The primal simplicity nominalistic theory or doctrine of names and
(the uncarved block) which is nameless (wu- language in ancient Chinese philosophy. In
ming) will alone do away with desires (wu- the remaining essays attributed to Yinwenzi,
yu)”. we find the following important assertions
We may note that the Daoist doctrine of (Yinwenzi 1):
no names is the antipode to the Confucian The great dao has no forms, but to refer to concrete
doctrine of the rectification of names. Where- things (qi) we need names. Names are what cor-
as the Confucians wish to develop language rectly represent (zheng) shapes (or forms). Since
as a human institution and regulate it in serve shapes (forms) are to correctly represented by
to human goals, the Daoists wish to abolish names, names must not be inaccurate.
language simply because it is a human inven- The great dao cannot be named. All shapes on the
tion and social institution on the ground of other hand must have names. It is because of its
its ontological partiality and ill effects. unameability, there is the dao. Because of the
nameless dao, thus all shapes have their peculiari-
Whereas Laozi sees desirelessness as a reason ties (squareness, roundness). As names are born
for namelessness, Xunzi responds by showing out of the peculiarities (squareness and roundness)
how desires cannot be dispensed with, and of shapes, all names have their respective referents
precisely because of this, names and language (Yinwenzi 2).
as founded on experience and reason would
From these two passages it can be seen that
be preserved for guiding and yet satisfying
Yinwenzi affirms the Daoist premise that the
desires.
great dao has no names. But he would not
draw the Daoist conclusion that we should
6. Nominalistic tendencies in Yinwenzi abolish names and forget language. On the
contrary he holds that names serve an impor-
Chinese thinking is conducted in a frame- tant purpose. They represent reality as it is
work of naturalistic concepts of concrete diversified into things. Since the diversifica-
terms. But as we have argued elsewhere (cf. tion of reality into things is by way of the
Cheng 1973), this does not mean that the differentiation of shapes, names must be
Chinese language or Chinese philosophy faithful to these shapes, in order that things
does not permit or does not involve abstract can be identified or characterized.
theoretical thinking. What is characteristic of The following two passages (Yinwenzi 8, 5)
Chinese thinking in general, of course, is that formulate the nominalistic requirement for
the abstract and the theoretical are not sepa- the institution of names or language use by
rable from the concrete and the particular. Yinwenzi.
The relation between the two is one of illumi- Names are to name shapes. Shapes are in answer
nation, illustration, and symbolic embodi- to names. If shapes are not to give rise to correct
ment, as well as ontological constitution. It names, nor to identify correct shapes, then shapes
would therefore be more surprising to come and names would remain irrelevant to each other.
across Platonic views of ontology than to Though names should not be confused with
come across nominalistic views of ontology shapes, they are not independent of each other
either. In having no names, the great dao cannot
in Chinese philosophy.
be said. Having names, we use names to correctly
The ontological pull toward concrete par- represent shapes. Now ten thousand things exist at
ticulars is stronger than that toward an on- the same time, if we do not apply names to repre-
tology of abstract universals. Even in the sent them [identify them], we will have confusion
Neo-Confucianist philosophy of principles of knowledge. Ten thousand names exist at the
(li) advanced by Chu Xi, principles cannot be same time, if we do not resort to shapes to answer
really ontologically prior to the process and them, we will have difficulties of thought. There-
power of material generation (qi), nor are fore, shapes and names cannot but be made to cor-
they transcendently separable from qi. rectly represent each other.
On problems concerning the ontological The nominalistic principle for Yinwenzi in
dimensions of name, it is therefore not sur- the above is that names must answer to
prising that there are philosophers and logi- shapes, just as shapes must answer to names.
cians like Yinwenzi (350⫺270 BC) who argue If shapes are concrete criteria for the exis-
that names are essentially intended for repre- tence of things, then names are ontologically
senting things on the basis of their material meaningful if and only if they correspond to
and observable forms (xing). In fact, Yinwen- some concrete features of things, such as
30 II. The Establishment of the Chinese Linguistic Tradition

shapes. If names do not name shapes or of the Platonistic ontology in Gongsun Long
things with shapes (concrete particulars), demonstrates that ordinary language or natu-
names must be in error or they must have ral language does not determine the ontologi-
other justifications for their existence. Yin- cal picture of the world one may hold. In fact
wenzi seems to favor the requirement that Gongsun Long’s philosophy shows language
names would not be ontologically significant is capable of receiving different local and on-
if there were no concrete objects correspond- tological interpretations and there is no ne-
ing to them. Yet he also allows that names cessity for following one interpretation rather
without reference to shapes could be useful than another. The ultimate goal of Gongsun
for human purposes and therefore are justifi- Long may still be the clarification of the rela-
able on pragmatic grounds. He says (Yinwen- tion of names to realities for social and politi-
zi 8, 5): cal purposes. But his discourse and basic the-
All things which have shapes must have names. But sis leave no doubt that language is name-
we could have names which need not have shapes. oriented and should possess ontological sig-
Shapes that are not names do not necessarily lose nificance independently of and prior to its
the reality of their being square, round, white and
black. In the case of names which do not have application to social and political affairs (cf.
shapes referred to them, we must identify these Cheng 1983).
names and investigate why they are different. Thus Gongsun Long holds the celebrated thesis
then we could use names to find out of which that “white horse is not horse” (bei-ma-fei-
shapes they are true. Shapes determine names. ma). It is in arguing for this thesis that he
Names determine certain states of affairs (shi). develops the Platonic theory of what reality
States of affairs will control names. When we in-
vestigate why certain names refer to shapes and is. Gongsun Long works out two main argu-
certain other names to not, then we shall see that ments for his thesis. First, he argues that,
no reason is hidden from us in regard to the rela- since the term ‘horse’ is a name for shape,
tion between shapes and names on the one hand and the term ‘white’ is a name for color, and
between states of affairs and things on the other. the name for color is not the name for shape,
Though Yinwenzi does not specify how we therefore ‘white horse’ is not ‘horse’. The pe-
justify and construe names without repre- culiarity of this argument is that the premises
senting shapes, he lets it be understood that of the argument do not immediately warrant
some reason must be found other than the the conclusion. Apparently one could only
existence of things which have no shapes. His draw the conclusion that what the name
whole essay, which is reconstructed by schol- ‘white’ stands for is not what the name
ars such as Sun Yirang, indicates very clearly ‘horse’ stands for. But this is what is precisely
that he quickly moves to a doctrine of rectify- presupposed in the premises. In order to
ing names of the Confucian persuasion, by reach the conclusion that ‘white horse’ is not
suggesting the introduction of names as the ‘horse’, one has to inquire into what name
basis of the distinction of values and in terms ‘white’ and what name ‘horse’ stand for. Ap-
of the contexts of fulfillment of practical parently for Gongsun Long ‘white’ desig-
goals of society and government. This may
nates white color and ‘horse’ designates
remotely suggest the possibility of construing
non-shape names in the context of practical horse-shape form. Insofar as white color and
language and thus confining ontology to horse shape are not particulars, they can be
names which correctly represent the shapes alternatively construed as universals, attri-
of things. It is noted of course that the so- butes, classes, or concepts.
called shapes (xing) could be interpreted to Actually, these different construals should
mean not just literally shapes such as square- not make a real difference to Gongsun
ness and roundness, but any quality of things Long’s argument. Assume that ‘white’ and
which is open to sensory perception. Thus ‘horse’ are universals. Then to say that
qualities such as white and black and the like ‘white’ is not ‘horse’ is to say (x) (x is white
could be the basis for the names of things (cf. ⬅ x is horse). Since (x is horse ⬅ x is horse),
Wang Dianji 1961: 70⫺97). it follows that (x) (x is white. x is horse ⬅ x
is horse. x is horse). Therefore: (x) (x is white
7. Platonistic tendencies in Gongsun horse ⬅ x is horse). This conclusion, saying
that anything is a white horse, is not equiva-
Long
lent to saying that anything is a horse on the
Although the Chinese language may appear grounds of the difference of truth conditions
to prohibit Platonistic thinking, the existence of the two sayings, which can be used to con-
4. Classical Chinese philosophies of language: Logic and ontology 31

strue Gongsun Long’s thesis that white horse asks for white horse, only a white horse
is not horse. meets this request. This may appear to be an
Alternatively one may interpret ‘white’ obvious pragmatic argument. But what
and ‘horse’ as classes, namely, a class of white makes this argument pragmatically valid ac-
things [called w] and a class of horse-form cording to Gongsun Long is some ontologi-
things [called h]. Then the premise of the ar- cal fact about the qualities of white horse and
gument says: horse. For Gongsun Long we would refer to
horse as such as a single quality which may
w⫽h combine with other qualities to produce
But h ⫽ h white horse, yellow horse, black horse. Thus
Therefore w . h ⫽ h . h to ask for horse is to ask for a thing identifi-
and w . h ⫽ h able by a single quality and to ask for white
This of course says that the class of things horse is to ask for a thing identifiable by the
which are white and horse is not the same as conjunction of two qualities. Since the identi-
the class of horse things. Thus under exten- fication conditions for the two requested ob-
sional interpretation of ‘white’ and ‘horse’ jects are different, these two requested objects
again the conclusion of Gongsun Long’s ar- are two different objects.
gument can be derived. The independence of different qualities,
What is essential for proving the validity which is assumed in Gongsun Long’s second
of Gongsun Long’s argument under both in- argument, implies the separability of these
terpretations is to recognize Gongsun Long’s qualities. For Gongsun Long all names are
affirmation of nonequivalence of proposi- names for independent qualities. In fact,
tions or nonidentity of two classes. The para- there are two kinds of names: the single
dox of this recognition is that normally one names for single simple qualities, such as
expects that white horse is horse because the white, the compound names for compounds
class of white horse is a subclass of the horse, or conjunctions of single simple qualities,
or alternatively because saying that anything such as white horse. Gongsun Long’s logic of
is white horse implies that anything is horse. inference is one of identity, according to
What Gongsun Long denies in his thesis may which no simple name is equal to a com-
appear to be just the relation of class-inclu- pound name, or what a single name stands
sion and sentential implication. But in fact for is not identical with what a compound
what he actually denies is the equivalence name stands for and vice versa. Gongsun
and class identity. The question is whether he Long (Beima chapter) says:
is right to make such a denial. The answer is The ‘horse’ which does not fix a color is different
that from the use of the Chinese negation from the ‘white horse’ which does fix a color.
word fei “is not” in “white horse fei horse”, Therefore white horse is not a horse.
Gongsun Long is justified in asserting identi- From the above it is clear that Gongsun
ty as being denied or equivalence as being ne- Long’s theory that ‘white horse is not horse’
gated. In fact, Gongsun Long argues merely leads to or presupposes the abstract ontology
for the admissibility (ke-yi) of such an inter- of qualities or universals. Once their abstract
pretation, not the necessity of such an inter- ontology is accepted, there is the question as
pretation as he makes clear in the beginning to how we understand concrete things. Are
of his essay: concrete things of a different order of exis-
Q.: To say that white horse is horse, is it admissi- tence than abstract qualities? Or are they an-
ble? A.: Yes, it is admissible. alysable into or reducible to abstract quali-
ties? Or are they analysable into or reducible
Thus we make clear that the first argument of to abstract qualities? There seems to be a ten-
Gongsun Long does not rule out his possible dency in Gongsun Long to develop the ontol-
commitment to a concrete ontology. He mer- ogy suggested in his Bei ma lun into a full
ely indicates in his argument the possibility theory which recognizes no concrete things in
and acceptability of an abstract ontology be- the world. This is seen in his work Zhi wu lun.
cause our language is capable of being con- Before we discuss the complete theory and
strued in terms of an abstract ontology of the reduction theory of Gongsun Long, we
universals or classes. shall see another argument for the separabili-
The second major argument for his thesis ty and independence of individual qualities in
is that if one asks for horse, a horse of dif- Gongsun Long’s essay on hardness and
ferent colors will meet this request. But if one whiteness, Jien bei lun.
32 II. The Establishment of the Chinese Linguistic Tradition

In Jien bei lun, Gongsun Long offers a new possesses by itself the quality which makes itself
argument for the thesis that qualities are sep- white then it can remain white even not making
arate and independent. His argument consists things white. By the same token yellow and black
in pointing out that our different sense or- are the same.
gans independently identify respective quali- To generalize, Gongsun Long draws the Pla-
ties which are different. Thus we identify the tonic conclusion:
hardness of a stone by touch and identify the
All things (qualities) have independent and sepa-
whiteness of a stone by sight. If we observe rate existence. Things (qualities) of independent
sight, we don’t get hardness, and thus relative and separate existence are normal states of being
to sight there is no hardness. If we observe in the world.
touch, we do not get whiteness, and thus rela-
tive to touch there is no whiteness. On this To complete his abstract ontology, Gongsun
ground Gongsun Long concludes that white- Long finally comes to hold the Platonic re-
ness and hardness are external to each other duction thesis that all things in the world are
and are independent qualities. In making this conjunctions of qualities and thus that there
argument Gongsun Long denies the rele- are no concrete things per se. What concrete
vance of our concept of a stone which pos- things there are, are qualities manifested
sesses the qualities of white and hardness in (wei) in space and time. When qualities are
itself. Since what we see and what we touch not manifested in space and time, they are
are not stone, Gongsun Long tends to rule hidden from us and are not identifiable by
out the actual existence of stone. Therefore our senses. But this of course does not mean
he denies that there are three things ⫺ stone, that they do not exist or subsist. Like Platon-
white, and hardness ⫺ which cannot exist in ic forms, these qualities are not only separate
some one thing of which there seems to be from each other, they are absent from the
evidence. His argument therefore is used to world if they do not make themselves avail-
establish both the separability of independent able to characterize things in the world.
qualities and the nonexistence of things such When qualities are identified by names in
as stone. the world, they are called zhi “objects of ref-
That qualities such as white and hard are erence”. In Zhi wu lun, Gongsun Long holds
separable and independent is also based on that nothing in the world is not zhi and zhi
the fact that in verifying the existence of is not zhi. Again there exists many possible
whiteness by sight, hardness is hidden, and in interpretations of this paradoxical statement
verifying the existence of hardness by touch, of Gongsun Long. But in light of Gongsun
whiteness is hidden, so we may as well say Long’s Platonistic tendencies, we may pin-
that it does not exist in the same sense in point the following two interpretations:
which hardness and whiteness can be said to (1) Since all things in the world (space and
exist. time) are identifiable in terms of qualities,
That Gongsun Long clearly believes that they are therefore compounds or conjunc-
whiteness and hardness are separate univer- tions of identifiable qualities. But identifiable
sal qualities in a Platonic sense is indicated qualities need not themselves be identifiable
by the following statement (Jianbei chapter): in the things of the world, for they themselves
Things have white color, but white is not fixed and may not exist in the world. Thus they are not
confined (ding) to a specific white thing. Things identifiable qualities (apart from things). This
have hardness but hardness is not fixed and con- interpretation makes it clear that qualities
fined to a specific hard thing. What is not fixed can be hidden and can be manifested and
and confined to a specific thing can characterize all that things are manifested qualities which
things. Then how can we say that hardness and form objects of the reference of names,
whiteness belong to a stone? whereas qualities per se are not manifested
He further says: (hidden) and thus do not form objects of ref-
erence. The abstract ontology of qualities is
Hardness, even not yet conjoined with stone, is not only abstract but transcendent.
hard. It is hard even not conjoined with other
(2) All things are describable in terms of
things. Hardness itself possesses the quality to
make nonhard things hard. Thus it is hard in stone their qualities and there is nothing else in
and in other things. If we find no independent things aside from their qualities. But qualities
hardness in the world, it is because it is hidden. If per se are not further to be described or char-
whiteness cannot make itself white, how could it acterized by qualities, at least not by qualities
make a stone and other things white? If whiteness of the same order. Since qualities are essen-
4. Classical Chinese philosophies of language: Logic and ontology 33

tially simple and separate (independent), they volve three important aspects: It involves
are not to be described by second order qual- names, propositions, and inferences. These
ities either, for there would not be second or- three aspects of language have their indivi-
der qualities. Therefore it is misleading and dual objectives. Thus the Neo-Moists say in
wrong to say that qualities or identifiable zhi the Xiao Ju:
are things identifiable by qualities. This is a We use names to mention realities (things in reali-
logical interpretation of the nature of quali- ty) (yin-ming ju-shi). We use propositions (judg-
ties. The outcome of this interpretation is ments) to express intention and meanings (yi-ci
that not only the abstract ontology of quali- shu-yi). We use discourse or inference (agreement)
ties is abstract but it cannot be describable or to reach reasons (explanations) of things (yi-shuo-
characterizable at all. We only come to know chu-gu).
qualities through our names applicable to In this manner, the Neo-Moists have paid
things for identification in the world. Thus equal attention to ming and yan in language
one may infer that language (names) pro- and have linked both to the context of infer-
vides a means for knowing the abstract ontol- ence and reasoning in which their roles can
ogy of qualities. be understood and their contributions recog-
To conclude, the moral which we can draw nized. Ming and yan are equally needed for
from Gongsun Long’s Platonism is that, giv- reasoning, for reaching truth about the
en a certain logic, a language can generate world, for settling doubt, and even for pro-
an ontology which differs from the normally ducing reason for our actions. The Neo-Mo-
presupposed or assumed ontology of the lan- ists also explicitly recognize the notion of
guage. This means that ontology is a product class as a basis of inference. It is said in the
of language under a certain interpretation or Xiaoqu:
construal satisfying certain arguments in in- We should illustrate our knowledge from taking
ference. examples from the same class of things; we should
infer to unknown things by examining examples
from the same class of things (yi-lei-ju, yi-lei-yu).
8. The empirical (scientific) realism
of names and language in the The notion of class plays an important role
Neo-Moist Canons (Jing/Shuo) in the Neo-Moist logic although we do not
have space here to elaborate upon this. It suf-
We come to the last doctrine of names in fices to say that the Neo-Moists have devel-
Classical Chinese Philosophy. This doctrine oped a extentional logic in opposition to the
of names is above all, developed by logical- intentional logic of abstract qualities of
minded and scientific-minded followers of Gongsun Long. It is on the basis of this ex-
the Moist School. They are therefore referred tentional logic founded on concrete things
to as Neo-Moists. The Neo-Moists may be that the Neo-Moists advance their scientific,
motivated to develop their views of logic and realistic understanding of the world. To say
language by their wish to prove the truth of that the Neo-Moists view of ontology and
their social, ethical and religious beliefs and language is realistic is to say that they are not
to disprove those of their rivals. But in their nominalistic like Yinwenzi, nor Platonistic
rigorous collective works on logic and empir- like Gongsun Long. To say that their views
ical science, such as optics and mechanics, are empirical or scientific is to say that their
they have achieved an objectivity of method- views are not practicality-dominated like the
ology and a neutrality in their investigative Confucianists nor a priori-determined by a
attitude which one does not find in other totalistic approach like the Daoists. The Neo-
schools. Thus it is not an exaggeration to say Moists understand language as somehow ca-
that it is in Neo-Moist works that an objec- pable of presenting the true nature of the
tive and scientific language is developed and world. But this true nature of the world is
that the conception of language as a means subject to empirical investigations and logical
to express scientific and logical truth is estab- clarification. Thus language can be used to
lished. Language is not used for persuasion define and describe reality through a process
nor for social control. It is to indicate and of logical analysis and clarification of the lan-
formulate of reality as discovered by obser- guage. Reality on the other hand can be used
vation and clear thinking. to refine and reform language through a pro-
Given this conception of language, lan- cedure of scientific observation and experi-
guage is then seen by the Neo-Moists to in- mentation on reality. This mutual inter-
34 II. The Establishment of the Chinese Linguistic Tradition

change and interaction between language and purposes. These definitions also function as a
reality enables the Neo-Moists to produce an basis of reasoning and scientific investiga-
image of the world and language not far tion. They are therefore terms which refer to
from what scientific philosophers or logical fundamental natures of things in a logical
philosophers have strived to achieve in mod- and scientific language. For example, they
ern days. What the Neo-Moists strive to es- have defined metalanguage terms referring to
tablish is the objectivity of truth which is kinds of names and sayings, methodological
their criterion for ontological understanding. terms of identity and difference which are
They believe that language can be used to es- distinguished by them. they even define life,
tablish objective truth and they way to do time, space and important ethical terms.
this is to obey logic and argument according (2) The Neo-Moists have engaged in empiri-
to logical principles. The Neo-Moists (Mojing cal experimentation on optical and mechani-
Canon I-32) say: cal phenomena in order to describe them and
explain them correctly. In Canon II we find
Language is to make representation of reality pos- highly interesting experiments made on the re-
sible […] Since names are used to represent reality,
yan is to use names to represent things for achiev-
fraction and reflection of light. This means
ing objective truth by saying something about that the Neo-Moists permit construction of
things named. Thus yan is to say something about knowledge on the basis of empirical observa-
names. tion and scientific hypotheses. It is in this sense
that they permit our understanding of the
The importance of reasoning and argument world and our formulation of our understand-
consists in their need for establishing objec- ing in language to be guided by objective in-
tive truth. The Neo-Moists believe that in ar- quiry and an objective conceptional of reality.
gument the goal for either side of the argu- Therefore they do not favor a nominalistic ap-
ment is objective truth and that only the side proach to the description of reality.
which reaches objective truth can be said to (3) The Neo-Moists strongly reject the Plato-
win. nistic theses of Gongsun Long. Their rejec-
Argument: the purpose of it is to compete for the tion of Gongsun Long’s theses amounts to
truth (bi) When argument is won, it is because it pointing out that Gongsun Long does not
reaches truth (Mojing canon I-74). have an explicit notion of class and does not
know how to classify things and therefore
Of course it is possible that both sides of an does not know the similarity and difference
argument can be wrong. But it is not possible of things. For example, cow, horse, and
that both sides of an argument are right. The sheep, belong to the same class (genus); they
Neo-Moists are strongly opposed to the should not be treated as thoroughly different
sceptical position that rejects all statements things as Gongsun Long tends to do (Mojing
or sayings about reality as false. Such a posi- canon II-65). Without a correct notion of
tion is held or believed to be held by Daoists. class one will have a false representation of
The Neo-Moists reject this position by point- things (kuang-ju).
ing out its logical absurdity. Regarding Gongsun Long’s thesis, ‘white
horse is not a horse’, the Neo-Moists have
To regard all sayings (yan) as all false (self-contra-
this to say. First, one should distinguish the
dictory) is self-contradictory. The explanation con-
sists in the nature of the saying formulating this case of a disjunction (union) of two things
position (Mojing canon II-5). (or qualities) from the case of a Cartesian
product or conjunction of two things (or
The Neo-Moists have advanced many theses qualities). Two things A and B are disjunc-
and views regarding many subjects bearing tively A or B, but conjunctively are neither A
on problems of language and ontology. To nor B. On the basis of this distinction and
discuss all of these or to give details on any the two associated principles of inference,
of these will require a separate treatise. For one can thus infer that:
our purpose we shall briefly mention the Cow and horse disjunctively are cow and horse.
following highlights in addition to what we Cow and horse conjunctively are neither cow nor
have said in the above about their general po- horse (Mojing canon Ii-66).
sition of empirical realism.
By the same token one can say:
(1) The Neo-Moists have engaged in con- White and horse disjunctively is white or horse.
structing definitions of basic terms of things White and horse conjunctively are neither white or
(or categories and concepts) for classifying horse (Mojing canon II-13).
4. Classical Chinese philosophies of language: Logic and ontology 35

In light of this clarification, Gongsun Long’s spectives developed in Classical Chinese Phi-
thesis can be said to be misleading and not losophy. I distinguished names (ming) from
totally right if not totally wrong. Our infer- sayings (yan) which are two basic aspects of
ence to what there is depends on a clear chinese language. I also distinguished be-
analysis of our concepts in our language. tween ontology in and of language and ontol-
Gongsun Long’s Platonism therefore can be ogy independent of or without language. I
regarded as resulting from a confusion of or have shown that for the Confucianists the
lack of reasoning. ontological considerations of names are sub-
(4) The Neo-Moists also repudiate Gongsun ject to practical, normative considerations of
Long’s thesis that hard and white are sepa- yan. For the Daoists, both names and sayings
rate, independent qualities. According to the are abolished for ontological and normative,
Neo-Moists, the error of Gongsun Long con- practical reasons, and an ontology without
sists in not understanding or not having a
language is tacitly suggested and presented.
proper conception of space and time as indi-
viduating principles for an individual things For Yinwenzi and Gongsun Long, the onto-
such as a stone. For although we could per- logical import of names dominates the practi-
ceive hard and white successively in time and cal, normative ends of yan. Finally, for the
through different sense organs, what we have Neo-Moists ontological considerations are to
perceived, however, resides in one location be regulated by logical and methodological
(space) and belongs to one interval (time). In- considerations, and language is to be devel-
sofar as location is one and time is one, the oped and refined by logic and scientific dis-
separate impressions of white and hard co- covery into a tool for expressing objective
here in one thing and therefore are not sepa- truth and objective knowledge.
rate from each other, but rather fill each oth-
er (xiang-yin) because they fill each other in
the same time and in the same space. It is 10. Bibliography
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(5) The Neo-Moists also discuss the notion of
Laozi, Daodejing. Transl. by D. C. Lau. Hong
zhi. They differ from Gongsun Long in that
Kong: Chinese Univ. Press, 1982.
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we can know that something exists without XVI. Oxford, 1899. Transl. into English by Cary E.
Baines, 1968. [From the German transl. by Richard
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Bloom, Alfred. 1981. The Linguistic Shaping of
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Bodde, Derk. 1939. “Chinese Categorial Thinking”.
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5. The Suı́-Táng tradition of Fǎnqiè phonology

1. Introduction Most Chinese written characters contain in-


2. The origins of Fǎnqiè formation about their pronunciation in the
3. Aesthetics of Fǎnqiè organization form of xiéshēng “sound-matching” pseudo-
4. The Qièyùn rime-book
5. The significance of the Qièyùn phonetic elements, but this information is
6. Prosody and other linguistic ideas haphazard and has certainly not represented
7. Bibliography any particular living form of Chinese in a sys-
tematic way since high antiquity (if even
then). By late antiquity (c. AD 100), the xié-
1. Introduction shēng elements were giving very misleading
The Chinese intellectual tradition has always ideas about pronunciation, and better means
been profoundly literary and graphic ⫺ real, of indicating pronunciation were needed. The
systematic phonology developed late, and sound of a character was often given by ref-
then only under heavy foreign influence. erence to a homophone or near-homophone:
5. The Suı́-Táng tradition of Fǎnqiè phonology 37

“character X sounds like character Y” ⫺ the had no such spelling system; fǎnqiè gives only
so-called dúruò method, but this too was only algebraic information about sound: This
a partial solution. character has the same initial sound as that
In the late 2nd century, however, Chinese character, which has the same initial sound
scholars developed a practical tool for de- as a third character, and a fourth character,
scribing the pronunciation of their written and so on. The same fǎnqiè gloss could be
characters, called fǎnqiè. Fǎnqiè was not an read aloud in many different varieties of Chi-
absolute alphabetic or syllabic spelling sys- nese, and though it might be found valid in
tem, but a way of analyzing the monosyllabic some or all of them, it might also be invalid
reading of any Chinese character into phono- in some of them. Fǎnqiè are, again, only a
logical elements that could be represented relative system of pronunciation. Written out
with other, common characters. It was a pur- as above in Roman letters, the system looks
ely relative means of indicating sound. By perhaps a little naı̈ve to us, but to the medi-
way of illustration, consider a story told by eval Chinese, who had no alphabet and knew
the 6th century scholar Chinese Yán Zhı̄tuı̄, no other way to describe sound other than
thinking of his days in Shǔ, in modern Sı̀chu- by reference to homophones, it was ex-
ān. He was sitting with friends as the sun tremely powerful. The beginning of fǎnqiè
came out after the rain, and they saw some- was the beginning of phonological awareness
thing small glistening on the ground. They in China, and they formed the basis of the
asked a boy-servant what it was, and he said, whole medieval tradition of phonology.
“It’s just a bean-pik.” This reply meant noth- Special terminology is associated with the
ing to them, so the boy fetched it and they fǎnqiè gloss, in both English and Chinese: the
saw that it was a little bean sprout. But the beginning of the glossed syllable is called its
word pik for something like this was still un- “initial” (shēng), and the end is called its final
familiar to them. Then Yán remembered hav- or “rime” (yùn); the first element of the fǎnqiè
ing seen an obscure character meaning ‘a lit- gloss, which glosses the initial, is called the
tle round thing’ in an old dictionary, and re- “upper” (fǎnqiè shàngzı̀), while the second el-
called that “its sound is given as pian plus ement, which glosses the final, is called the
lik.” He adds, “Everyone was pleased and “lower” (fǎnqiè xiàzı̀). Here are two more ex-
understood” (Chou Fa-kao 1960: “Miǎn- amples:
xué” 51a).
fǎnqiè glossed word ⫽ upper ⫹ lower
When Yán Zhı̄tuı̄ says that “its sound is
ma ⫽ mak ⫹ ¥a
given as pian plus lik” he is using a fǎnqiè
dem ⫽ do ⫹ kem
formula. In this case, he is describing the
sound of a character pronounced pik, and the As a general rule, we with our modern, re-
formula he cites defines it as the combination construction-aided understanding believe the
of the first part of pian plus the last part of fǎnqiè lower to have included all vocalic and
lik: tonal matter in the glossed syllable, though
the Chinese did not at that time have terms
pian ⬎ p- ⫹ -ian lik ⬎ l- ⫹ -ik
for such things as discrete vowels or other
p- ⫹ -ik ⫽ pik
sub-syllabic segmental elements. (J. R. Firth’s
It must be stressed that fǎnqiè is only a rela- conception of prosodic features is similar to
tive system for showing pronunciation: Every what was apparently the medieval Chinese
character glossed by a fǎnqiè has its sound treatment of the syllable.)
indicated not with any absolute or even con- Fǎnqiè were incorporated into various dic-
ventionally defined phonetic symbols, but by tionaries, the most important of which is the
reference to two other characters, the sounds Qièyùn, which will be discussed below. But
of which are presumably known to the read- we know of such large-scale compendia be-
er. Nowhere does the fǎnqiè tell us that pik ginning only from the middle of medieval
begins with a p- and ends with an -ik; it only period ⫺ from around the 6th century. At
tells us that pik begins with the same sound first, fǎnqiè seem to have been used most
as pian and ends with the same sound as lik. often in the annotation of classical texts.
In order to illustrate how fǎnqiè works, I These early materials are especially useful in
have turned to a simplified formal recon- trying to understand the principles of fǎnqiè
struction (designed after Martin 1953 and construction. One of the best extant sources
Stimson 1976) that is typologically close to for early exegetic fǎnqiè is a book called the
modern varieties of Chinese. But Yán Zhı̄tuı̄ Jı̄ngdiǎn shı̀wén, or “Exegeses on Classical
38 II. The Establishment of the Chinese Linguistic Tradition

Texts”, compiled by Lù Démı́ng (c. 550⫺ sensed Indic inspiration for it (see especially
630). The Shı̀wén is meant to be read along Chou Fa-kao 1964), no conclusive link has
with one of the standard editions of the ten ever been demonstrated, and indeed there are
classical books most revered in that day. It several reasons to think that it is an original
supplies glosses and readings for individual Chinese idea. One important argument, due
characters in order as they appear in the orig- to Zhèng Qiáo (1104⫺1160), is that classical
inal text. Lù Démı́ng gathered his material texts contain a number of examples of con-
from hundreds of different sources, most of tractions following fǎnqiè principles: two
which are otherwise unknown to us. Some- characters being run together into one sylla-
times enough fǎnqiè from an individual scho- ble and written as one new character. (For
liast appear in the Shı̀wén that we can get a more on Zhèng Qiáo, see Mair 1993.) Most
working idea of the outlines of a coherent often this kind of contraction appears with
phonological system from them, but most of function words. For example: the com-
the time we can recover no such context. pound njiu zı̌ “in this way” was often
written njı̌, which would be a perfect exam-
ple of the fǎnqiè running-together of njiu and
2. The origins of Fǎnqiè zı̌. The common combination tsi yu
“[third person pronoun as direct object] ⫹
The term fǎnqiè dates only from the Sòng dy- [interrogative sentence-suffix]” was written
nasty (960⫺1279), but it is a combination of tsiu; the combination nji ı̌ “and that is the
two older terms fǎn (also read fān and so end of it” was written njı̌; the combina-
written: ) “to turn back, overturn” and tion tsi ¥ı̌ “[third person pronoun as di-
qiè “to run together” (the reading qiē “to rect object] ⫹ [sentence-suffix indicating
cut” for this character, commonly seen in completion]” was written tsı̌, and so on. In
Western works, appears to be a purely mod- these examples, two syllables appear to be
ern interpretation). One or another of these collapsed into one syllable in the same way
of these syllables was always used as the last that the two elements of a fǎnqiè gloss are
part of the fǎnqiè formula, as you can see in run together to give the sound of a third
Yán Zhı̄tuı̄’s example above: What Yán actu- character.
ally says is that pik is read as “pian lik fǎn” The most important reason to doubt San-
⫺ pian and lik ‘turned back’, i. e., combined skrit influence is that fǎnqiè does not assign
in such a way as to attach the beginning of one symbol to one sound, as a syllabary- or
pian to the end of lik. Fǎn is the original term, alphabet-inspired system would ⫺ in this
but it also means “to rebel”, and after the case, one fǎnqiè upper to one initial conso-
shattering rebellions in the middle of the 8th nant. One initial, even in the same set of fǎn-
century, the word apparently became too qiè material, may be represented by several
sensitive to use and so qié was substituted. different uppers, or one upper may behave in
(This explanation is due to Gù Yánwǔ several different ways. Apparently the reason
1966[1667]b.) The words ǎn, fān, and qiè are for this is that the fǎnqiè principle was a prac-
simply markers that identify the preceding tical tool to show the sound of a given Chi-
two syllables as a fǎnqiè sound-gloss. It is not nese character and was rarely used to make
known how far back these terms go. Yán general phonological statements. In Tab. 5.1.
Zhı̄tuı̄ already refers to fǎnyǔ ⫺ “fǎn-expres- are some examples of many symbols repre-
sions”, and Liú Xié (c. 465⫺c. 532) uses fǎn senting one sound, all taken from a single re-
as a verb in the sense of “to indicate pronun- daction of the Qièyùn.
ciation by means of fǎnqiè”. And fǎn occurs
in the earliest attested fǎnqiè formulae. Yán Tab. 5.1.
Zhı̄tuı̄ and Lù Démı́ng themselves attributed fǎnqiè glossed word ⫽ upper ⫹ lower
the invention of fǎnqiè to one Sūn Yán, a 3rd lan ⫽ lǒ ⫹ tan
century follower of the eminent Confucian làn ⫽ lan ⫹ dàn
scholiast Zhèng Xuán (127⫺200), and there lěn ⫽ liek ⫹ těn
are a few surviving examples attributed in lek ⫽ liu ⫹ kek
later works to Fú Qián and Yı̄ng Shào, both lou ⫽ lak ⫹ ¥ou
of whom were active before AD 200. lak ⫽ liǔ ⫹ kak
The conceptual origins of the fǎnqiè sys-
tem are uncertain, but it appears to be native Here, a single initial that we recognize as l -is
to China. Although many scholars have represented by six different fǎnqiè uppers.
5. The Suı́-Táng tradition of Fǎnqiè phonology 39

This is by no means an extreme case; in the niuæt ⫽ niu ⫹ kiuæt


earliest complete extant version of the Qiè-
yùn, there are no fewer than 25 different fǎn- Agreement of medials ⫺ rather, what have
qiè uppers representing the one initial kh-. conventionally been reconstructed as medi-
For this reason, we cannot reliably read off als, for this question is by no means settled
fǎnqiè and interpret them at sight; we need a ⫺ is the general rule for fǎnqiè glosses, and
way to show which groups of uppers and must have been an important element of their
which groups of lowers constitute meaning- aesthetics. In particular, what is written as a
fully contrastive groups. Such a method, palatal medial -i- in the simplified system
called xı̀liánfǎ or “linking method” and based used here has an enormous effect on the con-
on algebraic principles, was eventually pio- struction of fǎnqiè. Fǎnqiè uppers as a group
neered by the Manchu-period geographer fall into two hazily distinct sets: for each rec-
Chén Lı̌ (1810⫺1882), but it by no means be- ognizable initial, there is usually one set that
longs to medieval phonology. And even with occurs with palatalized syllables and one that
this method the answers are not always clear; occurs with unpalatalized syllables. This dis-
in the 20th century there have been serious tinction is not rigid, as some have thought,
disagreements over how many initials are ac- but the tendency to make the distinction is
tually meant to be represented in the fǎnqiè. seen almost everywhere.
For if there is any one characteristic of fǎn-
qiè, it is that only loose distinctions are made.
3. Aesthetics of Fǎnqiè organization There are many places, even in fairly consis-
tent corpora of fǎnqiè, where the gloss and
Fǎnqiè seem to have been composed in a fair- the glossed syllable do not quite match. For
ly haphazard way, though from surviving col- example:
lections we can see certain patterns that must
reflect the linguistic values of the time. For juæk ⫽ juæn ⫹ tsiæk
instance, the uppers and lowers in the earliest If fǎnqiè operated as neatly as an alphabetic
fǎnqiè tended to be very common characters, system, the gloss would give a reading *jiæk,
and often characters of very few pen-strokes. instead of juæk. Another example:
Fǎnqiè uppers rarely end in -m or -p and most
often end in open syllables or in -n or -k ⫺ sræn ⫽ sriǔ ⫹ kiæn
this must have been a question of ease of pro- The expected form, based on the fǎnqiè,
nunciation. Fǎnqiè lowers are rarely aspirat- would be *sriæn. Another example:
ed. There tends to be loose agreement as to
what in modern Chinese are ‘medial’ vowels biùn ⫽ biun ⫹ kùn
⫺ the semi-vowels in the fǎnqiè lower and
The expected form would be *bùn. Another
following the initial of the fǎnqiè upper. For
example:
instance (again speaking in terms of our re-
construction), both upper and lower may kiæ̀n ⫽ kiu ⫹ mæ̀n
share a palatalized initial and a medial or
main vowel -i-, and the character being
glossed will also have an -i-: The expected form would be *kæ̀n. There are
even stranger cases:
djı̀n ⫽ djiek ⫹ njı̀n
kài ⫽ kǒ ⫹ mài
Or both upper and lower may have a medial
-u-, and the character being glossed will also kuài ⫽ kǒ ⫹ mài
have a medial -u-:
These two fǎnqiè, which appear in the same
huen ⫽ huǎ ⫹ ¥uen redaction of the Qièyùn, appeared in separate
places in the book and so must have been
Or neither upper nor lower has a medial vow-
considered distinct sounds, yet their fǎnqiè
el, and the character being glossed also has
glosses are identical. Here are two more such
no medial:
pairs from the same source:
lǎn ⫽ lo ⫹ tǎn
¥at ⫽ ¥o ⫹ pat
Or both upper and lower have a medial main ¥uat ⫽ ¥o ⫹ pat
vowel -iu (or -y), as does the syllable being ¥æ̀n ⫽ ¥o ⫹ mæ̀n
glossed: ¥uæ̀n ⫽ ¥o ⫹ mæ̀n
40 II. The Establishment of the Chinese Linguistic Tradition

In these cases it is likely that the vowel of the the four tones, for instance, are named as ex-
fǎnqiè upper, spelled -o here, was ambiguous emplary categories.) In Tab. 6.5.2 are shown
enough after a velar initial that when com- the first eleven rimes (out of some 60-odd) in
bined with a labial-initial fǎnqiè lower the all four tone categories, to which are append-
presence of medial -u- was also ambiguously ed simple reconstructed values.
felt.
Clearly, fǎnqiè were composed not with
rigorously distinct phonological categories in Tab. 5.2.: Tone category
mind, but by ear (see Chao 1941 and Lù pı́ng shǎng qù rù
Zhı̀wéi 1963). They appeared very widely in rime: tun tǔn sùn uk
medieval commentaries, and in some cases ton ——— sòn ok
they were used in the glosses of character dic- tsion tsiǒn yiòn tsiok
tionaries such as the early Yùpiān of Gù Yě- kan kǎn kàn kak
wáng (519⫺581). But as far as we know these tsi1 tsı̌1 tsı̀1 ———
sources never supplied a phonological frame- tsi2 tsı̌2 tsı̀2 ———
work within which to interpret them; people tsi3 tsı̌3 tsı̀3 ———
were evidently expected to read off fǎnqiè in miei miěi mièi ———
whatever literary accents they knew, and to niu niǔ niù ———
find the prescribed readings based on those nio niǒ niò ———
accents. mo mǒ mò ———
etc. …

4. The Qièyùn rime-book The order of the rimes within each tone is
clearly purposeful. We can see this in two fea-
The earliest surviving dictionary that does
tures: First, rimes are grouped together ac-
supply a kind of phonological framework for
cording to what the reconstruction shows to
its fǎnqiè glosses is the Qièyùn of Lù Fǎyán
have been similar phonetic structure: The
(fl. 581⫺601), which exists in a number of
first three rimes have an -n or -k ending and
redactions and has been far and away the
a -u or -o main vowel; the next rime has an
most influential single source in Chinese his-
-n or -k ending and an -a main vowel; the
torical phonology. The individual character-
next four rimes are open syllables with vari-
entries of the Qièyùn are arranged in a kind
eties of -i (distinguished formally here by nu-
of partial phonological order by rime, which merical subscript) as the main vowel; the next
gives rise to the name “rime-books” (Chinese three rimes are open syllables with varieties
yùnshū) for all works of this kind. The Qièyùn of -u or -o as the main vowel. Second, the
was probably not the first such book ⫺ its sequence of rimes is parallel in the four tone
preface names five earlier (4th?⫺6th century) categories. Third, the exemplary names of
rime-books that probably also used this for- each of the rimes tend to have the same initial
mat ⫺ but the Qièyùn is the earliest that has in all tones. With some exceptions, the rest of
come down to us, and it has certainly been the book is organized the same way.
more authoritative than any other rime- Each rime is subdivided into smaller units
book. called xiǎoyùn “small rimes”, which comprise
Rime-books of the Qièyùn type are divided anywhere from one to several dozens of char-
into juǎn “volumes” by tone category: the acters, to the first of which the fǎnqiè for the
pı́ng (“level”) category is represented by two whole group is apprended. All the characters
juǎn (because it comprises so many charac- in a given xiǎoyùn are homophonous, and we
ters), and the other tones (shǎng or shàng believe that xiǎoyùn within a single rime are
“rising”, qù “departing”, rù “entering”) by always meant to be contrastive, although
one juǎn each. All characters in a given juǎn there is still much argument about the basis
have a reading in the corresponding tone; if and nature of some of the distinctions. An
a character has readings in two tones, it oc- important point is that the arrangement of
curs in each of the two corresponding juǎn. xiǎoyùn within the rime seems to be generally
Each tone is subdivided into several dozen haphazard and does not show the conscious
rimes, each of which is named by the first order that the arrangement of rimes shows.
word comprised in it. (It is very common in Like fǎnqiè themselves, rime-books of the
Chinese linguistics for phonological cate- Qièyùn type embody a level of organization
gories and features to bear exemplary names; in which linguistic analysis is only partial.
5. The Suı́-Táng tradition of Fǎnqiè phonology 41

The full blooming of phonology in China is What kind of phonology does it embody, and
not found until the rime-table traditon. how was it meant to be used? These ques-
The currency of the original Qièyùn (which tions, which have by no means been resolved
means “closely distinguished rimes”) was fol- today, are among the most important in Chi-
lowed by the Tángyùn “Rimes of the Táng nese historical linguistics ⫺ the answers to
dynasty” dating from the first half of the 8th them determine, among other things, whether
century, the great Sòng dynasty Guǎngyùn reconstructions of Qièyùn phonology are
“Expanded Rimes” of 1008, and the Jı́yùn meaningful, and whether genetic inter-
“Collected Rimes” of 1039. The number of pretations of dialect affiliation can be related
entries increased from some 12,000 in the to known historical events and cultural rela-
original Qièyùn to 26,000 in the Guǎngyùn to tionships.
an unbelievable 53,000 in the Jı́yùn. Part of The primary source for studying these
the reason for the size of the Jı́yùn was not questions is the preface to the Qièyùn, of
more distinct characters, but great numbers which an early version survives. It is written
of alternate readings, including much of the in the elegant “parallel prose” (piántı̌wén, a
information in the Jı̄ngdiǎn shı̀wén and the highly stylized form of unrhymed prose com-
Shuǒwén jiězı̀ and countless lesser works. position in parallel couplets) of its day, and
Both the Guǎngyùn and Jı́yùn have much full- is full of polite literary expressions. In it, Lù
er glosses than the original Qièyùn did ⫺ the Fǎyán describes the origins of this book at a
Qièyùn was really just a guide to character party held at his father’s home in AD 581,
readings, while the later books attempted to the first year of the Suı́ dynasty. At this party,
give encyclopedic definitions and even cit- some of the learnèd literary men of his fa-
ations to classical texts. ther’s generation ⫺ including Yàn Zhı̄tuı̄ ⫺
Later ages produced rime-books based on held a discussion on the correct accent to be
different principles, such as the Zhōngyuàn used in reading. There are a few main points:
yı̄nyùn, which gave Northern Chinese charac- They agree that the accents used in different
ter readings for use in colloquial drama dur- time periods and different places are inconsis-
ing Mongol rule (1206⫺1368), and the tent, and complain that many people fail to
Hóngwǔ zhèngyùn, which was the official make important phonological distinctions.
rime-book of the Mı́ng dynasty (1368⫺1644). They agree that a good literary accent is im-
The 17th and 18th centuries saw the begin- portant for a learned person or if one wishes
ning of a tradition of rime-books describing to experience the intimacy that comes from
regional varieties of Southern Chinese, such shared appreciation of poetry. They name
as the Qı̄-Lı́n bāyı̄n of Foochow, dated 1747 five older rime-books, all of which are said
but combining two earlier dictionaries. The to contradict each other and have errors.
importance of these books, particularly the Rhyming practice itself is inconsistent in dif-
Zhōngyuán yı̄nyùn, to modern linguistic re- ferent parts of the country. They discuss the
search is considerable, but in their time they various features of different kinds of pronun-
did not represent a radically new linguistic ciation, and finally appoint themselves the ar-
viewpoint. Generally speaking, these books biters of correct pronunciation, concluding,
manifest two minor innovations: they de- “if we settle it, then settled it is.” Lù Fǎyán
scribe some form of uncanonical and often says that he himself, only a young man at the
regional phonology, and make heavier use of time, took notes on this discussion. Twenty
rime-table analysis than books in the Qièyùn years later, in the relative isolation of retire-
family. The Qièyùn tradition has remained ment and having now become a tutor, he
the great tradition in China, and although finds that exact pronunciation is important
some of these later works are more useful, to good writing, and has gone back to those
the Qièyùn and Guǎngyùn are still the most old notes and used them as the germ of his
important representatives of the whole rime- dictionary. Stripped of its elegant language,
book tradition. For this reason it is worth as- this is the gist of the preface.
sessing the meaning of the Qièyùn in its own Ever since serious critical study of the
day. Qièyùn began in the 19th century, different
ideas have vied to explain what it represented
5. The significance of the Qièyùn in its own time. The preface has been pored
over by scholars seeking to understand Lù
What actually did the Qièyùn represent in its Fǎyán’s intentions, and the discussion contin-
time ⫺ what did Lù Fǎyán intend it to be? ues unabated today after several generations.
42 II. The Establishment of the Chinese Linguistic Tradition

Below are a few common themes in this dis- Qièyùn phonology. Zhōu Zǔmó (1914⫺1994)
cussion. has shown that in organizing the Qièyùn, Lù
First, it is generally agreed that the Qièyùn Fǎyán essentially followed five earlier rime-
embodies a mixed phonological system; it books, making distinctions wherever any of
came out of an awareness of different accents the five made a distinction (Zhōu Zǔmó
and different kinds of rhyming, ancient and 1976[1966]). If this resulted in disorder, at
modern, and representing different parts of least it was achieved methodically. Zhōu’s
the Suı́ empire. Lù Fǎyán himself says in his view that the Qièyùn comprises a “maximal
preface that he and the others decided that diasystem” (Pulleyblank 1984: 134) has been
“the sounds of antiquity and of the present fairly widespread among 20th century schol-
day have a divide between them, and what ars. Luó Chángpéi (1899⫺1958) had already
the various schools accept or reject is varied, called this system the “least common
too. […] So I have taken from the sounds and multiple of the regional languages of the
rimes of all schools, from word-books an- whole nation” (1930: 55). Juhl (1989) has at-
cient and modern, and from what I wrote tempted to confirm that the poets of various
down long ago, and settled this material as regions of China rhymed in accordance with
the Qièyùn in five parts.” A relatively early the phonologies of the different regional rime
statement of the idea of the mixed nature of books on which the Qièyùn was based. (See
the Qièyùn came from the philologist and also Mather 1968 for English-language dis-
anti-Esperantist Chāng Pı̌ng-lı́n (1868⫺ cussion of some of these issues.)
1936): There have even been those who argue that
the Qièyùn represents a common phonologi-
[…] What the Guǎngyùn contains is variously the
sounds of ancient and current times, of regional cal system ancestral to and underlying all
languages and the national language. It is not a modern Chinese dialects. This idea has con-
collection of 206 weighty rime categories from one sistently appealed to philologists and to
place and one time (1917⫺1919: 18b). scholars with a highly evolved appreciation
of formal order. It comes up, for example,
However, it is not agreed whether the Qièyùn in an explication of the Western concept of
is a disorderly heap of material or a carefully historical-comparative reconstruction by the
organized work. In early modern times, the mathematician and linguistic reformer Láo
original Qièyùn and even the Guǎngyùn were Nǎixuān (1843⫺1921), best known in the
scarcely known at all, probably not until the West as Richard Wilhelm’s master in the
beginning of the 20th century; the Qièyùn study of the Yı̀jı̄ng:
was known mainly in the form of the huge
and chaotic Jı́yùn. So it is not surprising to The initials and rimes defined by ancient scholars
find some scholars arguing that it represents were created after the examination of dialects spo-
ken all over the country. And so, if one takes an
a meaningless system of hybrid and artificial interest in historical phonology, it is necessary to
origin. The philosopher and textual critic Dài assemble the [ancient] features that are accurately
Zhèn (1725⫺1777) wrote: attested in the various northern and southern dia-
The general method of Lù Fǎyàn’s Qièyùn is like lects if one is to do a thorough job. Even if one’s
this throughout; it deals with the reading pronunci- mouth cannot manage all the sounds, anyway one’s
ation of its time. Based on the comparison of vari- mind can grasp the significance of each of them,
ous differences and equivalences it prescribes spe- and thus one will not be unnecessarily constrained
cific readings, always seeking fine divisions and go- by dialects (Láo 1898[1883]: 37 a).
ing too far with them; it creates distinctions that This view appeals strongly to Chinese popu-
are unnatural. It even includes ancient graphs from lar national pride, because it presents all of
the Xià, Shāng, and Zhōu dynasties [of high antiq- modern linguistic diversity as reflecting one
uity and legendary times], jiǎjiè loan-characters
and xiéshēng abbreviated characters, near-rhymes
or another aspect of an ancient unity. Luó
and forced rhymes from the Classic of Poetry. To Chángpéi wrote:
include all these for the purpose of composing Rime-books of the Qièyùn system comprise region-
songs and music was to act indiscriminately and al sounds of all parts of China and from all time
without critical examination (Dài 1966[1775]: 6a). periods. Their goal was to find the least common
multiple of the regional languages of the whole na-
The name of the book Qièyùn itself means tion and use that as a unified national standard.
“closely-distinguished rimes”, and Lù Fǎyán Therefore, the sounds of any regional dialect, re-
says that his “analysis is hairsplitting, the gardless in what part of China, can never exceed
dinstinctions manifold.” This is an important the boundaries of that system, nor can they corre-
element of the idea of the mixed nature of spond exactly to that system (Luó 1930: 55).
5. The Suı́-Táng tradition of Fǎnqiè phonology 43

This particular view is now seriously disput- is now clearly defunct (see Norman & Coblin
ed, though it persists as a popular and ro- 1995). Its ghost persists, however, in the form
mantic myth in China. The fact that the pref- of the ‘Late Middle Chinese’ (i. e., post-Qièy-
ace explicitly mentions the “sounds of antiq- ùn period) reconstruction of Edwin Pul-
uity” shows that the reading of texts is leyblank (1984: 3).
meant, and not just everyday regional pro- Chinese scholars after Karlgren have tend-
nunciation. ed to look to Loyang as a source of Qièyùn
There is another question: If the Qièyùn is phonology. Loyang, the eastern capital of
inherently orderly, there is still the question many Chinese dynasties since ancient times,
of whether its phonology represented some- was the capital of the Western Qı̀n dynasty
thing authoritative in its day. Can we take it (AD 265⫺317). The eminent historian Chén
as ‘standard’ medieval phonology? Zhōu Yı́nkè (1890⫺1969) argued (1949) that the
Zǔmó argued: prestigious accent of Western Chı̀n Loyang
was kept as a kind of standard by aristocratic
The rime-book Qièyùn is extremely systematic and
makes strict phonetic distinctions. Its phonological
families of the Eastern Chı̀n and Southern
system is not based purely on the dialect of one Dynasties (317⫺589) around the southern ca-
particular place; rather, it is set up as a compromise pital of Qièkāng (modern Nanking), and that
between the different features of the North and the it actually influenced the language spoken by
South, based on the ‘cultured speech’ and the southerners and so came to be used as the basis
bookish readings used by gentlemen in the South. of the Qièyùn. Chén Yı́nkè’s view is contra-
Cultured speech and bookish readings always lean dicted by some linguistic data (Zhōu Zǔmó
toward traditional reading pronunciation, and 1976[1966): 472⫺3). Nevertheless, there have
since the Qièyùn tends to be strict in the way it been a number of variations on this idea, and
distinguishes rimes and prescribes readings ⫺ so the jury is still out (see Pān Wénguó 1986).
that such-and-such a group of characters is not go-
ing to be confused with such-and-such a different
One last question is whether the Qièyùn
group of characters ⫺ naturally, it preserves some describes real spoken language or not. Al-
of the distinctions from the language of a previous though Zhōu Zǔmó and many others have
age. It was not that Yán Zhı̄tuı̄ [and the others] mentioned that the basis of the phonology
intentionally used dialect readings here and archaic was character readings, nevertheless under-
readings there […] They discussed the issues over standing of the distinction between character
and over again, analyzing linguistic differences, readings and spoken morphemes comes with
and finally decided on this system. Since it was difficulty to many Chinese scholars. Certain-
reached through discussion among scholars and lit- ly, as Coblin (1996) has pointed out, Lù Fǎ-
erary men from both North and South, it necessari- yán emphasizes writing and the appreciation
ly corresponds to the language of both North and
South. This system can be said to be the phonologi-
of culture and poetry several times in the
cal system of the literary language of the 16th cen- preface: “Whenever there is good writing [to
tury (Zhōu Zǔmó 1976[1966]: 473). be done], I require [attention to] sound and
rime […]. Desiring to broaden the road of cul-
This view is now fairly widespread, in one ture, one must by all means be perfectly con-
form or another. But there have been other versant in the ‘clear’ and the ‘muddy’; if one
views of the Qièyùn as the representative of would enjoy a soul-mate [with whom one can
prestigious forms of Chinese. Bernhard Karl- truly appreciate the verbal music of poetry], it
gren (1889⫺1978), who first applied rigorous is necessary that ‘light’ and ‘heavy’ be distin-
Western methods of phonetic reconstruction guished.” (‘Clear’ and ‘muddy’, ‘light’ and
to the study of Qièyùn phonology proper ‘heavy’ are recognizable technical terms, but
(Karlgren 1915⫺24), held that the phonology they are apparently used merely as tokens to
of the Qièyùn was that of the dialect of Chan- give the feeling of thoroughness to what is
gan, the first capital of the Táng dynasty, essentially a literary composition).
which he believed had been the basis of a koi- There are many variations on these views,
nè used throughout the Táng empire. He but to sum up it is generally agreed that the
called this koinè “a real living and homogen- Qièyùn embodies an artificial phonological
eous language” (1954: 212n.), but produced system based mainly on reading pronuncia-
no evidence to support his view; indeed, tions from different traditions, not all of the
Karlgren does not seem to have analyzed the same time period. This complex phonological
Qièyùn preface anywhere in his work. Karl- system has been heaped with prestige since
gren’s idea of a Changan-based koinè was the end of the 6th century and continues to
long influential in the 20th century West but be used as the framework of general histori-
44 II. The Establishment of the Chinese Linguistic Tradition

cal phonology in Chinese. Even when simpler seeing the linguistic term shēng used in the
systems of rhyming were adopted for use in name of a poetic form, we learn from this
the official examinations, as for instance the that Shěn Yuē’s contrastive rules were not the
Pı́ngshuı̌ system, they were usually derived only kind of prosodic stricture in use.
from the framework of the Qièyùn. There is one last medieval linguistic idea
to mention: In their glosses on classical texts,
medieval scholiasts are thought to have made
6. Prosody and other linguistic ideas conscious use of the principle of derivation
by tone-change. That is, a word may exist in
In early medieval times there was deep inter- two forms, identical except for tone, so that
est in phonological issues generally, and a the difference in tone corresponds to the dif-
whole technical theory of poetic prosody was ference in meaning. For example, turning
developed in imitation of Sanskrit principles. again to a simple, illustrative reconstruction,
(The main source we have for early medieval gi (in the pı́ng tone) means “to ride a horse”
prosodic materials is the Bunkyō Hifuron of and gı̀ (in the qù tone) means “a rider”; both
the Japanese monk Kūkai, 774⫺835, for meanings are typically represented with the
which the principal Western-language study same written character , so that the differ-
is Bodman 1978). This theory was the work ence in meaning and sound is not evident to
of a number of 5th century poets, but it is the eye except in an explicit gloss. Similarly,
most saliently associated with the name of tom means “to carry a burden” and tòm
Shěn Yuē (441⫺513), who also gave us the means “a burden”; bion means “to stitch”
names of the four canonical tone categories, and biòn means “a seam”. This may actually
pı́ng, shǎng, qù, and rù. Shěn’s prosodic rules, have been a general principle of word-forma-
the so-called sı̀shēng bābı̀ng “four tones and tion in classical times, and in recent decades
eight prosodic defects” emphasize arranging the principle of derivation by tone-change
the syllables of a poetic couplet and quatrain has been incorporated into reconstructions of
so that their tones, initials and finals all con- medieval and classical Chinese phonetics,
trast as much as possible. Shěn and his fol- typically by the addition of a final -s in qù-
lowers developed the concept of contrasting tone words. But as a feature of natural lan-
the pı́ng tone category with the so-called zè guage in high antiquity it does not concern
“non-level” category, embracing the shǎng, us here. It is significant that one of the pre-
qù, and rù tones. The terms pı́ng “level” and eminent phonologists of the Manchu period
tsè “non-level” for these contrasting cate- believed that these tone-changes were not
gories survive down to the present day, but natural at all, but were the work of ignorant
evolved out of the older names qı̄ng “light” commentators (Gù 1966[1667]a). Whether or
and zhòng “heavy”, apparently themselves not it was born of ignorance, in many early
merely calques for the Sanskrit prosodic medieval exegetical texts, notably certain of
terms laghu “light” and guru “heavy” those represented in the Jı̄ngdiǎn shı̀wén,
(Mair & Mei 1991). there seems to be a pattern of glossing in
which tone-change is used intentionally as a
Medieval prosody has left us various kinds
way of distinguishing what we would call
of linguistically conscious terminology. Much
syntactic functions or parts of speech. In
of this is concerned with the details of proso-
most cases the derived form is in the qù tone,
dy, which are not relevant here, but some of and in G. B. Downer’s long list of examples
it deals with certain kinds of phonological re- from the Shı̀wén the greatest number of cases
lationships in vocabulary. For instance: Chi- are nouns derived from verbs, although there
nese poets had long used descriptive com- is no simple pattern to the part of speech of
pounds composed of two syllables with the derived meanings as a whole (Downer 1959).
same initial or the same final, but in an early Evidently medieval exegetes used derivation
6th century essay on literary aesthetics, the by tone change as a conscious principle in
Wénxı̄n diāolóng of Liú Xié, special names glossing words.
were assigned to these relationships: two Phonological ideas burgeoned in the early
characters sharing the same initial are called medieval period, but devoted linguistic works
shuāngshēng “doubled initials” and diéyùn such as the Qièyùn remained in only a partial
“concatenated rimes”. There was even a style state of development. The rime-tables that
of purely alliterative poetry occasionally developed during or before the 10th century
fashionable in medieval times called the were a far more sophisticated phonological
shuāngshēng shı̄. Aside from the interest of apparatus.
5. The Suı́-Táng tradition of Fǎnqiè phonology 45

7. Bibliography Jı̄ngdiǎn shı̀wén (556⫺627). For an indexed


ed. of the most authentic pre-modern redaction,
Chao, Yuen Ren. 1941. “Distinctive Distinctions see Wong Kuan Io [Huáng Kūnyáo] & Dèng
and Non-distinctive Distinctions in Ancient Chi- Shı̀liáng , eds. Xı̄njiào suǒyı̌n Jı̄ngdiǎn
nese”. [Appeared mistitled as “Distinctions within shı̀wén (Taipei: Xuéhǎi Chūbān-
ancient Chinese” in Harvard Journal of Asiatic shè , 1988.)
Studies 5: 3⫺4.203⫺233.] Juhl, Robert A. 1989. “Some North-south Dialect
Chén Yı́nkè . 1949. “Cóng shı̌shı́ lùn Qiè- Differences during late Six Dynasties Times”. Wen-
yùn [On the Qièyùn from the Point lin: Studies in the Chinese Humanities ed. by Tse-
of View of History]”. Lı̌ngnán xuébào tsung Chow, vol. II, 277⫺291. Published jointly at
9.1⫺18. Madison: Department of East Asian languages of
Chou Fa-kao [Zhōu Fǎgāo] , ed. 1960. the University of Wisconsin⫺Madison, and at
Yánshı̀ jiāxùn huı̀zhù [Collected an- N. T. T. Chinese Language Research Centre, Insti-
notations to the Yánshı̀ jiāxùn.] Taipei: Academia tute of Chinese Studies, the Chinese University of
Sinica. Hong Kong.
⫺. 1964. “Fójiào dōngchuán duı̀ Zhōngguó yı̄n- Karlgren, Bernhard. 1915⫺24. Etudes sur la phono-
yùnxué zhı̄ yı̌ngxiǎng logie Chinoise. Upsala: K. W. Appleberg. In four
[The Influence of the Eastward Transmission of installments: 1915: Archives d’Etudes Orientales, 12;
Buddhism on Chinese Classical Phonology]”. Chap- 1916: 13; 1919: 19; 1924: 24.
ter 2 of Zhōngguó yǔwén lùncóng , 21⫺ Láo Nǎixuān . 1883. Děngyùn yı̄dé
51. Taipei: Jı́chéng túshū gōngsı̄ . [Rime Table Phonology in a Nutshell.] “Wàipi-
Coblin, W. South. 1996. “Marginalia on two ān [Outer Chapters]”. Shanghai: Tányı̌n-
Translations of the QIEYUN Preface”. Journal of lú . (Repr. at the Government office in Wú-
Chinese Linguistics 24:1.85⫺97. qiáo , 1898.)
Dài Zhèn . 1775. Preface to Liùshū yı̄nyùn- Liú Xié . Wénxı̄n diāolóng [The Cul-
biǎo by Duàn Yù-cái 6a⫺ tured Soul and the Carved Dragon.] See the edition
7b. (Edition printed at Chéngdū by Mr. Yán of of Fàn Wénlán (1891⫺1969), (Shanghai:
Wèinán , n. d.; Repr. Taipei: Guǎngwén Kǎimı́ng Shūdiàn , 1947). [English transla-
Shūjú , 1966.) tion by Vincent Shih, The Literary mind and the
carving of dragons, New York: Columbia Univer-
Downer, Gordon B. 1959. “Derivation by Tone- sity Press, 1959.]
change in Classical Chinese”. Bulletin of the School
of Oriental and African Studies 22.258⫺290. Luó Chángpéi . 1930. Xiàmén yı̄nxı̀ .
Běipı́ng: Zhōngyāng Yánjiùyuàn Lı̀shı̌ Yǔyán Yán-
Gù Yánwǔ . 1667a. “Xiānrú liǎngshēng gèyı̀
jiùsuǒ , Dānkān jiǎ zhǒng
zhı̄ shuō bújı̀nrán [The
zhı̄ sı̀ .
Opinion of Former Scholars, that Tonal Differ-
ences had Different Meanings, is not Always Lù Zhı̀wéi . 1963. “Gǔ fǎnqiè shı̀ zěnyàng
True]”. Yı̄nlùn [On Phonology], published in gòuzàode [How were Ancient
Yı̄nxué Wǔshū , 3 [ ], 2a⫺4b. Shān- fǎnqiè Constructed?]. “Zhōngguó Yǔwén
yáng , Jiāngsū. (Ed. printed at Chéngdū by Mr. [Peking] 5.349⫺385.
Yán of Wèinán , n. d.; Repr. Taipei: Gu- Mair, Victor H. 1993. “Cheng Ch’iao’s Under-
ǎngwén Shūjú , 1966.) standing of Sanskrit: The concept of spelling in
⫺. 1667b. “Fǎnqiè zhı̄ mı́ng [The Name China”. A Festschrift in honour of Professor Jao
fǎnqiè]”. Yı̄nlùn [On phonology], published in Tsung-i on the occasion of his seventy-fifth anniver-
Yı̄nxué Wǔshū , 3 [ , 9a⫺10a. Shān- sary ed. by Cheng Hwei-shing, 331⫺341. Hong
yáng , Jiāngsū. (Ed. printed at Chéngdū by Mr. Kong: Institute of Chinese Studies, The Chinese
Yán of Wèinán , n. d.; Repr. Taipei: Gu- University of Hong Kong.
ǎngwén Shūjú , 1966.)
⫺, & Tsu-lin Mei. 1991. “The Sanskrit Origins of
Guǎngyùn [Expanded Rimes.] 1008. Compiled Recent Style Prosody”. Harvard Journal of Asiatic
under the administrative supervision of Chén Pén- Studies 51: 2.375⫺470.
gnián (961⫺1017). See the ed. of Zhōu
Zǔmó (1915⫺95), Guǎngyùn jiàoběn Martin, Samuel E. 1953. “The Phonemes of An-
[A Collation of the Guǎngyùn] (Shanghai: Com- cient Chinese”. Supplement to the Journal of the
mercial Press, 1953 and many reprints.) American Oriental Society 16.
Hóngwǔ zhèngyùn . 1375. Mather, Richard B. 1968. “A Note on the Dialects
of Lo-yang and Nanking during the Six Dynas-
Jı́yùn [Collected Rimes.] 1039. Compiled under
ties”. Wen-lin: Studies in the Chinese Humanities
the administrative supervision of Dı̄ng Dù
(990⫺1053). Numerous reprints and editions. For ed. by Chow Tse-Tsung, 247⫺256. Madison: Univ.
the most complete, with a thorough index, see of Wisconsin Press.
Shanghai: Shànghǎi Gǔjı́ Chūbǎnshè , Norman, Jerry & W. South Coblin. 1995. “A New
1987. Approach to Chinese Historical Linguistics”. Jour-
46 II. The Establishment of the Chinese Linguistic Tradition

nal of the American Oriental Society 115: 4.576⫺ (d. c. 120). See the critical edition of Duàn Yù-
584. cái (1735⫺1815), many editions, (repr. Tai-
Pān Wénguó . 1985. “Lùn zǒnghé tı̌xı̀ pei: Lı́mıng Wénhuà Shı̀yè Gǔfèn Yǒuxiàn
[On the Idea of the Comprehensive Gōngsı̄ , 1988.)
System]”. Yánjiùshēng lùnwén xuǎnjı́ Stimson, Hugh M. 1976. Fifty-five TÅang Poems.
, Yǔyán wénzı̀ fēncè , 89⫺ New Haven: Far Eastern Publications.
96. Nanking: Jiāngsū gǔjı́ chūbǎnshè Yùnjı̀ng [Mirror of Rimes.] See the critical edi-
. tion of Lı̌ Xı̄nkuı́ (Peking: Zhōnghuá Shū-
Pulleyblank, Edwin G. 1984. Middle Chinese: A jú , 1982.)
study in historical phonology. Vancouver: Univ. of Zhāng Bı̌nglı́n . 1917⫺1919. “Yı̄nlı̌ lùn
British Columbia Press. [On the Logic of Phonology]”. Guógù lùn-
Qı̄-Lı́n bāyı̄n . 1749. héng . In Zhāngshı̀ cóngshū ,
vol. I. (Repr. Shanghai: Yòuwénshè , n. d.)
Qièyùn [Finely Distinguished Rimes.] 601. Com-
piled by Lù Fǎyán (fl. 581⫺617). Numerous Zhōngyuán yı̄nyùn . 1324. Compiled by
redactions. For a facsimile of the earliest com- Zhōu Déqı̄ng . Numerous modern reprints.
plete edition, of mid-Táng date, see Tángxiěběn See Taipei: Yı̀wén Yı́nshūguǎn , 1970.
Wáng Rénxù Kānmiù Bǔquē Qièyùn Zhōu Zǔmó . 1966. “Qièyùnde xı̀ngzhı́ hé
(repr. Taipei: Guǎngwén tāde yı̄nxı̀ jı̄chǔ [The
Shūjú , 1964). For an exhaustive collation Nature of the Qièyùn and the Basis of its Phono-
of early fragments, see Liú Fù (1891⫺1934) logical System]”. Wènxué jı́ , 434⫺473. Pe-
ed., Shı́yùn huı̀biān [A Collection of Ten king: Zhōnghuá Shūjú . (Repr. Taipei:
Rime Books]. (Peking: Guólı̀ Běijı̄ng Dàxué Zhı̄rén Chūbǎnshè , 1976.)
, 1935.)
Shuōwén jiězı̀ [Explaining Simple and De- David Prager Branner,
rivative Characters.] Compiled by Xǔ Shèn New York (USA)

6. The rime-table system of formal Chinese phonology

1. Introduction There are several important features that


2. The formal system of rime-table phonology distinguish these tables from the older fǎn-
3. Phonological categories and their qiè tradition of rime-books (J Art. 5).
classification First, they are not dictionaries of the whole
4. Classification of initials
5. Classification of rimes
reading tradition, but guides to the phono-
6. Origins logical outlines of that tradition. Rime-tables
7. Higher structures of the phonological are systematic syllabaries that show only one
system: paired series of initials character for each sound, whereas the rime-
8. Other technical terminology books are more comprehensive and less me-
9. Chinese alphabets thodical, listing at times dozens of homo-
10. Bibliography phones under a single heading, together with
definitions, citations to classical texts, and
1. Introduction miscellaneous lore. Second, rime-tables em-
body a formal classification scheme, under
Though of foreign inspiration, rime-table the- which the various phonological categories
ory was the most influential single develop- and features of Chinese are organized. Rime-
ment in native Chinese linguistics in premod- books are usually more haphazard and lack
ern times. It is a formal system, associated with explicit phonological analysis. Third, the
the so-called děngyùntú , or “graded classification scheme of the rime-tables is
rime-tables”, which appeared after the 6th finely detailed and embodies significantly ab-
and 7th century rime-books such as the stract phonological ideas, so that where fǎn-
Qièyùn. The oldest rime-tables we have date qiè allowed readers no more than to find the
from the twelfth century, and their organiz- pronunciation of a given character in their
ing principles have been the dominant pho- own accent, using rime-table phonology they
nological tool in Chinese up to the present could consider conceptual linguistic matters.
day. Although rime-table phonology did not allow
6. The rime-table system of formal Chinese phonology 47

one to record phonetics verbatim, neverthe- known to Chinese scholars during the great
less one could describe the place and manner period of scholarship in the Manchu era
of articulation with a kind of precision that (1644⫺1911), but in the 20th century it has
was out of the question with fǎnqiè. Never- come to be appreciated as the earliest surviv-
theless, from the prefaces to various rime-ta- ing document of its kind, and it will serve
bles as well as from the way they are orga- here to illustrate many common features of
nized, it is clear that the primary purpose of rime-tables.
early rime-table phonology was to analyze Classical rime-tables, like all traditional
fǎnqiè found in books of the Qièyùn tradi- Chinese books, are read from right to left. In
tion. the right-most column is the title of this table:
It is because the rime-table movement was “inner-zhuǎn, Number 11, open”. The words
primarily analytical that its intellectual basis zhuǎn and “open” are technical terms that
is so much easier to describe ⫺ and so much will be discussed below; here it is enough to
harder to learn ⫺ than that of the more im- say that they apply to the whole table, which
pressionistic fǎnqiè tradition. (For more de- is the eleventh out of a total of forty-three.
tailed studies of various aspects of rime-table The greater part of the table is taken up by a
phonology, see Branner, fc. 1999.) grid of twenty-three columns and sixteen
rows, representing various initials and rimes
2. The formal system of rime-table of the language, respectively. As in modern
phonology syllabaries in Western linguistics, whenever a
character appears at the intersection of an
Fig. 6.1. shows a pair of facing pages from initial-column and a rime-row, its phonologi-
the earliest extant rime-table, the Yùnjı̀ng cal value is defined as the combination of
or “Mirror of rimes”, which has come to us that initial and rime. Empty circles are used
through Japan in an edition of the Southern to indicate both possible syllables that hap-
Sùng (probably 12th century). It was not pen to be unattested and also impossible syl-

Fig. 6.1: Table 11 from the Yùnjı̀ng


48 II. The Establishment of the Chinese Linguistic Tradition

lables; in later rime-tables, however, it was shéyı̄n “tongue sounds” (alveolar


usual to distinguish unattested from impos- stops and nasals);
sible syllables. yáyı̄n “fang sounds” (velar stops and
nasals);
chı̌yı̄n “tooth [molar?] sounds” (sibi-
3. Phonological categories and their lants);
classification hóuyı̄n “throat sounds” (velar frica-
Rime-tables embody a few positively epochal tives and laryngeals); and
advances over fǎnqiè-phonology, and the shéyı̄nchı̌ “tongue-sounds-tooth”
greatest of these is to identify individual pho- (sic; reconstructed as l and nj2).
nological categories and assign them explicit If the names “fang sounds” and “tooth
names. Tone categories and rimes already sounds” seem unlikely for velars and sibi-
had exemplary names in the Qièyùn of AD lants, one should be aware that the Chinese
601, but rime-table phonology also identified name yá for “fang” is an example of a velar
and named initial categories, and more im- initial (*na) and the name chı̌ for “tooth” an
portantly entire classes of initials and rimes, example of a sibilant initial (*tshı̌); the use of
and even different kinds of articulatory fea- exemplars is very widespread in Chinese pho-
tures that characterized such classes of ini- nology.
tials and rimes. A book like the Qièyùn might The individual initials represented by each
have a dozen or more distinct fǎnqiè uppers column also have their own exemplary
corresponding to what in the rime-tables are names, which however are shown not on the
a single, named initial category. Where fǎnqiè table but in the Yùnjı̀ng preface. This is an
were a mere guide to pronunciation, rime-ta- unusual arrangement; most other rime-tables
ble theory was a formal system of phonologi- have the names of the initials heading the
cal analysis; its tabular presentation implies various volumns. On Yùnjı̀ng tables, however,
that this analysis was felt to be complete initials are represented by the names of their
and confident. four possible manners of articulation:
The rime-rows in Fig. 6.1. are divided into
four groups, demarcated by horizontal lines qı̄ng “clear” (voiceless and unaspirated);
and representing the four canonical tone cı̀qı̄ng “secondarily clear” (voiceless
categories. Each of these tone categories is and aspirated);
subdivided into four rows, called děng zhuó “turbid, murky” (reconstructed as
“levels” (a term variously translated as “divi- voiced and by some scholars also as as-
sion”, “grade”, and “rank”). The phonologi- pirated);
cal meaning of these děng is one of the most qı̄ngzhuó “clear and murky” (perhaps
important problems in rime-table phonology this is actually supposed to mean “nei-
and will be discussed below. At the left edge ther clear nor murky”; reconstructed as
of the table is the name of the rime category nasal or liquid).
or categories represented in each tone, corre- The preface lists thirty-six initials, which are
sponding to usage in later rime-books of the canonical in rime-table phonology. Initials
Qièyùn tradition. In Fig. 6.1. there happens are called zı̀mǔ “mothers of characters”
to be only one rime per tone, but there may in Chinese, which may be an attempt to cap-
be as many as four per tone; that is, one for ture the feeling of the Sanskrit word mātr ø kā.
each děng in each tone. Ordinarily all the (The Sanskrit means something like “listing
rimes in a given table are closely related in of formative elements” but resembles the
sound, differing by tone and by the qualities word for “mother”.)
that děng represent. Indeed, both initials and Each of the thirty-six initial-names is ex-
finals are further classified in various ways. emplary: it is a real morpheme in its own
right, but it begins with the same sound as
4. Classification of initials the class it represents. The ‘lip’ sounds are
represented in two series. One series is
The initials are arranged into six types, sepa- zhòng “heavy” (bilabial):
rated by vertical lines. Reading from right to
bāng *p
left they are:
pāng *ph
chúnyı̄n “lip sounds” (reconstructed bı̀ng *b
as labials); mı́ng *m
6. The rime-table system of formal Chinese phonology 49

The other series is qı̄ng “light” (labioden- xié *z


tal):
The second tooth-sound series is the
fēi *pf ⬎ *f zhèngchı̌ “up against the teeth” (palato-
fū *pfh (?) ⬎ *f alveolar):
fèng *bv ⬎ *f or *v
wéi *mw ⬎ *w zhào *ts
chuān *tsh
The labiodental series is interesting because shàn *dz
(at least in this specific form) it does not seem shěn *s
to be attested in rime-books of the Qièyùn chuáng *z
tradition, although it is known in many mod-
ern varieties of Chinese. The Yùnjı̀ng shows Within the tooth sounds as a whole there is
the distinction between bilabials and labio- a sub-distinction: between affricates, which
dentals, but instead of creating a single initial have no special terminology and should be
category for what is now f, it preserves sepa- understood as ‘plain’, and fricatives, called
rate initials for each of the two or three Qièy- xı̀ “fine”.
ùn tradition-initial categories to which f cor- There is one series of ‘throat’ sounds:
responds. This may be because at one time yı̌ng *[zero initial]
there were indeed three separate labiodental xiǎo *x
initials (as suggested in the reconstruction
xiá *¥
used here) or it may be because the anony-
yù *j
mous compilers of the Yùnjı̀ng were trying to
be true to the distinctions made in the Qièy- Initials xiǎo and xiá are said to be “flying in
ùn. The latter possibility would have been pairs”, while yı̌ng and yù “stand alone”; this
very characteristic of them. In any case, mod- may have to do with the fact that yı̌ng and
ern Chinese labiodentals do not always ap- yù are essentially vocalic while xiǎo and xiá
pear in precisely the same words as rime-table are consonantal, but any literal meaning of
labiodentals. the terminology is opaque.
‘Tongue’ sounds are also in two series. Finally, there are two initials in the
There are the shétóu “tip of tongue” (api- ‘tongue-sounds-tooth’ category:
cal) sounds:
lái *l
duān *t rı̀ *nj2
tòu *th
dı̀ng *d
nı́ *n 5. Classification of rimes
and the shéshàng “on the tongue” (dor- Rimes are also arranged into types, called (in
sal) sounds: most tables other than the Yùnjı̀ng) shè , lit-
zhı̄ *tj erally “to gather up”. The nature of this cate-
chè *tjh gory will be clear on examination of the re-
chéng *dj constructed rimes associated with the sixteen
niáng *nj1 canonical shè in Fig. 6.2.
It is surely significant that the Qièyùn itself
‘Fang’ sounds are as follows, in one series: arranges rimes very largely in keeping with
jiàn *k shè-order.
qı̄ *kh Each of the forty-three tables has certain
qún *g other features associated with it. One is the
yı́ *n zhuǎn “cycles” ⫺ a single table may belong
to either the nèi “inner” or wài “outer” cycle
‘Tooth’ sounds are in two series. The first is of tables. It is now understood that these
the chı̌tóu “tip of the teeth” (apico-alveo-
terms refer to the height of the main vowel in
lar):
the rimes on each table ⫺ low vowels were
jı̄ng *ts ‘outer’ and others were ‘inner’. Another fea-
qı̄ng *tsh ture of tables of rimes is whether they are hé
cóng *dz “closed” (i. e., generally showing lip-
xı̄n *s rounding) or kāi “open”.
50 II. The Establishment of the Chinese Linguistic Tradition

phonology. The application of its principles


Name of Shè Shared ending of component to Chinese must have taken place some time
rimes after the introduction of its Sanskrit form.
tōng *-un Rime-tables proper appear almost a mil-
lennium after the introduction of Buddhism
jiāng *-an into China, but there are other sorts of evi-
dence suggesting that someone was already
zhı̌ *-i analyzing and classifying Chinese phonologi-
cal categories much sooner than that. An im-
yù *-uo portant concept of this kind is the niǔ
‘knot, gather’, a prosodic term which Roy
xiè *-ai
Andrew Miller considers to be a calque of the
zhēn *-en Sanskrit term varga “class of consonants”. A
niǔ in Chinese was a diagram showing groups
shān *-an of four syllables, one in each of the four ca-
nonical tones, having in common a single ini-
xiào *-au tial and sometimes also a single rime. Such
niǔ are meant to illustrate tonally different
guǒ *-a syllables sharing part or all of the rest of their
jiǎ *-a phonetics. Here is an example of a niǔ from
the Bunkyō Hifuron (see Bodman 1978), il-
dàng *-an lustrating the principles of tiáoshēng
‘harmonizing the tones’:
gěng *-æn
ziàn zian
liú *-u ziak ziǎn

shēn *-em The only differences among these four read-


ings are their tones (there is nothing unusual
xián *-am in the fact that the rùshēng example, in the
lower left corner, has a -k ending correspond-
zēng *-en ing to -n in the other tones). Materials like
this show a kind of control of phonology that
Fig. 6.2: The Sixteen Shè unambiguously anticipates rime-table theory,
but which is absent in the rime-book tradi-
tion. Niǔ date from no later than the 8th and
perhaps as early as the early 6th century, so
6. Origins we may arguably date the peculiarly Chinese
Although fǎnqiè are probably of native Chi- transformation of Siddham into rime-table
nese origin, there is no doubt that rime-table theory from this time.
phonology was inspired by Indian linguistic Among the manuscripts rescued at Dūn-
theory (J Art. 19), in particular by the prac- huáng by Paul Pelliot (1878⫺1945) is the
tical systems for teaching the Sanskrit sylla- precious Shǒuwēn manuscript fragment,
bary that came to be known collectively as thought to date from the 9th century.
Siddham (Chinese xı̄tán ). Sanskrit Sidd- Shǒuwēn was an ethnic Chinese bonze to
ham was already known in China by the last whom the invention of the 36 initials had
decades of the 4th century, and is the subject long been attributed in received sources. The
of certain still poorly understood Chinese Shǒuwēn fragment already mentions many of
treatises from this time (see Ráo 1990). One the technical terms associated with rime-table
of the most striking features of Siddham is phonology, including the names of most of
the way it presents lists of initial consonants, the initials, the four děng, and the solecism of
arranged by place and manner of articula- lèigé (see below). This document is the earli-
tion, in tabular form. It is hard to avoid the est surviving record we have of rime-table
conclusion that this was the ultimate inspira- phonology in its proper form, and is especial-
tion for the Chinese rime-tables. But note ly important for dating some of the recon-
that Siddham, even in Chinese, is still the structed phonetic features the evidence for
study of Sanskrit phonology, not Chinese which comes from the rime-tables. (Impor-
6. The rime-table system of formal Chinese phonology 51

tant new discoveries about the Shǒuwēn frag- concept was clearly understood. Some later
ments appear in Coblin, fc. 1999.) rime-tables would nevertheless list the two
As for how the actual organization of sets of initials separately, using eight columns
rime-table phonology developed, we have no to represent them, but the Yùnjı̀ng combines
explicit record. Nonetheless, we can tell cer- them into four columns. By squeezing thirty-
tain things about what the compilers of this six initials into only twenty-one columns, the
system must have had in mind. It is clear that Yùnjı̀ng compilers produced tables that can
they were trying to represent all the distinc- be viewed all at once, on two facing pages.
tions in some rime-book of the Qièyùn type This may also be the reason that the Yùnjı̀ng
(such as the Guǎngyùn ), even if at times lists not the names but the manners of articu-
they may have introduced features of their lation of the various initials at the tops of the
own contemporary pronunciation. In fact, columns ⫺ one column often represents two
there are relatively few examples of contem- initials with the same manner of articulation
porary features intruding on the structure of but slightly different places of articulation.
the Qièyùn system ⫺ most of the time such The fact that some series of initials are
features are indicated around the edges of the complementary illustrates something pro-
tables or in ways that do not create phono- found about the conceptual origins of the ta-
logical distinctions unknown in the Qièyùn or bles: the likely origin of that most puzzling
eliminate known distinctions. There are im- single feature of the rime-tables, the děng.
portant exceptions, however. Děng are literally the horizontal rows of the
tables into one of which each rime category
is classified, but the puzzle is to understand
7. Higher structures of the
why there are specifically four of them and
phonological system: paired series what it means for a rime to be placed in a
of initials particular one of them. What do these four
děng, these four rows, these four kinds of
So far all the features that have been dis-
rime, really represent?
cussed are either the names of simple cate-
Als always when there is no hard evidence,
gories or of classes of simple categories. But
speculation abounds. Since the late 19th cen-
there was far more to rime-table phonology
tury, scholars of many nationalities have vied
than just classification. One of its most im-
portant and least appreciated features is the to produce phonetically realistic reconstruc-
subtle relation between the thirty-six initials tions that would most perfectly account for
and the four děng, truly the key to the whole these děng. Underlying that struggle is the as-
system. Not all initials are actually found in sumption that the compilers of the rime-ta-
combination with all rimes, so that there are bles were practicing phonetic description; yet
patterns formed by the actual appearance of that is a most improbable idea, given what
specific classes of initials in specific rimes. we know about the overwhelmingly unpho-
The Yùnjı̀ng makes use of these distributional netic or indeed anti-phonetic Chinese tradi-
patterns to reduce the amount of space each tion. Far more insightful is the explanation
table takes up ⫺ in most rime-tables, a single of the eminent 20th century scholar Lı̌ Róng,
table takes up four pages, but the Yùnjı̀ng who holds that each děng represents not a
uses only half that space. Whenever one of specific kind of sound but a specific kind of
the classes of initials comprises two series, the cooccurrence of initial and rime: that is, a
Yùnjı̀ng lists both series together, with the ex- distributional pattern of initials that occur
pectation that the reader will know which ini- with the rime-book rimes placed in each row
tial appears in which děng. of the tables. (Lı̌ has apparently never pub-
For instance, words with the ‘tip of the lished an explicit statement of this approach,
tongue’ initials (duān *t, etc.) appear only in though he is well known to advocate it and
the first and fourth děng but never in the se- it is implied in his 1956: 76⫺79.) Since the
cond or third; and words with the ‘on the whole inspiration of the rime-tables has to do
tongue’ initials (zhı̄ *tj, etc.) appear only in with classification of categories, it makes
the second and third děng and never in the good sense that the děng should do the same.
first or fourth. In modern terminology, these This explanation is almost surely the right
two sets of initials are in complementary dis- one, because it suits the profoundly analyti-
tribution, and although there was no com- cal but only intermittently descriptive bent of
parable terminology in the 10th century, the the compilers of the tables.
52 II. The Establishment of the Chinese Linguistic Tradition

Tongue-tooth Throat Tooth Fang Tongue Lip


up against tip of on tip of
teeth teeth tongue tongue
Type X no no yes
Type Y yes yes no

Fig. 6.3: Tabulation of the Two Main Types of Rime

Tongue-tooth Throat Tooth Fang Tongue Lip


up against tip of on tip of
teeth teeth tongue tongue
Type X xiá no no yes bāng
Type Y1 xiá yes (one) yes no bāng
yes (two) bāng
Type Y2 rı̀ yù qún yes no
xié fēi

Fig. 6.4: Tabulation of the Three Main Types of Rime

In other words, the four děng are, in the tinctions. For example: Type Y1 can appear
main, part of a schematic classification of with only one set of the ‘lip’ initials (only the
rime-categories in rime-books of the Qièyùn “heavy” bāng series) but Type Y2 can appear
tradition. To say that there are four děng is with two sets (the bāng series as well as the
to say that there are four types of correspon- “light” fēi series). Type Y1 can appear with
dence between initials and rimes in the Qièy- the initial xiá but not with yù; Type Y2 can
ùn. We can derive this four-fold analysis in a appear with yù but not with xiá. And there
few steps, as follows: are three other initials that appear exclusively
In the incidence of initials, the most signif- with Type Y2 rimes: qún, xié, and rı̀. These
icant pattern is that all rimes can be classified distributions are displayed schematically in
almost without exception into two types: Fig. 6.4.
those which have the ‘tip of the tongue’ ini- Note that these patterns are not merely in-
tials but not the ‘on the tongue’ or ‘up ventions of the rime-table compilers but are
against the teeth’ initials, and those which, actually present in rime books of the Qièyùn
conversely, can have ‘on the tongue’ and ‘up type; the three rime-types labelled here X,
against the teeth’ initials but not ‘tip of the Y1, and Y2, are implicitly distinguished, dis-
tongue’ initials. With rare exceptions, these tributionally, in the Qièyùn. And they corre-
types are in complement. They are shown in spond very closely to the first three of the
Fig. 6.3., tentatively labeled Types X and Y. four rows in the rime-tables.
Of all the rimes in the rime-book tradition, The origin of the fourth row has no basis
then, the basic bifurcation is between these in the Qièyùn; almost all fourth-row rimes be-
two types. Each of these two types of rime long to what we have been calling Type X,
can be further divided in two on certain together with first-row rimes. Type X rimes
grounds. Type Y comprises one group of in the Qièyùn cannot be divided into two
rimes (let us call them Y1) that can appear such clear groups as the first and fourth rows
with only one set of the ‘up against the teeth’ on purely distributional grounds. But on the
initials, and another group (‘Y2’) that can basis of modern Chinese pronunciation in
appear with two contrasting sets of that most dialects ⫺ and presumably in some dia-
series of initials. This may seem unlikely as lects of the 10th or 12th centuries, as well ⫺
basis for a distinction, but the split between Type X can be divided into those rimes that
Y1 and Y2 is certainly not haphazard be- are palatalized and those that are not. Let us
cause it is corroborated by several other dis- call these Types X1 (plain) and X2 (palatal-
6. The rime-table system of formal Chinese phonology 53

Tongue-tooth Throat Tooth Fang Tongue Lip


up against tip of on tip of
teeth teeth tongue tongue
Type X1
xiá no no yes bāng
(unpal.)
Type Y1 xiá yes (one) yes no bāng
yes (two) bāng
Type Y2 rı yù qún yes no
xié fēi
Type X2
xiá no no yes bāng
(pal.)

Fig. 6.5: Tabulation of the Four Main Types of Rime

ized). And since rimes of Type Y2 are also of fǎnqiè uppers and lowers to represent a
palatalized in most attested varieties of Chi- given syllable.
nese dialects, it is natural to place the palatal- Lèigé “treating things that are distinct
ized Type X2 near Type Y2. This arrange- as belonging to the same category” ⫺ similar
ment produces a table as shown in Fig. 6.5. initials differing in some smaller aspect of ar-
And Fig. 6.5. is none other than the basic ticulation, e. g., using the duān initial instead
layout of the canonical rime-tables. There are of the zhı̄ initial (*t instead of *tj) or the
complications having to do with the fact that pāng-series instead of the fēi-series (bilabials
certain words belonging to third-row rimes instead of labiodentals). Lèigé involving the
can actually appear in rows two and four bāng- and fēi-series was mentioned by
(i. e., without belonging to second- and Shǒuwēn but was assigned a separate mén-
fourth-row type rimes). But in essence it is name in later, attested tables: qı̄ngzhòng
indisputable that the four děng must have jiāohù “light and heavy taking each
had their origins in the kind of analysis pre- other’s place”.
sented above, as Lı̌ Róng has suggested. Pı́ngqiè “[placement of the syllable]
Thus, we can be sure that the děng of the follows the initial” ⫺ There are several sub-
rime-tables originated in an analysis of some varieties of this, all of which seem to have
book or books of the Qièyùn tradition, only had to do with deciding the děng of the
somewhat modified by contemporary pho- spelled syllable. In these various mén, the
netic considerations. identity of the upper character in a fǎnqiè ex-
pression usually overrode any influence of
the fǎnqiè lower character in deciding the
8. Other technical terminology děng of the spelled syllable. (It is clear from
the great number of mén dealing with děng
Analysis of the Qièyùn tradition was the pre- that they have never been an easy feature to
vailing goal of early rime-table phonology. In work with.)
addition to isolating phonological categories Guǎngtōng “expanding connections”.
and assigning them names and classes, rime- This has to do with the fact that in certain
table theorists identified certain aspects of the rimes, the ‘lip’, ‘fang’, and ‘throat’ classes of
relation of fǎnqiè to rime-table categories. initials may have words appearing in both
These features were called mén “gateways”. the third and fourth rows of the same table,
They were almost all mnemonic rules for fig- yet these rimes are considered to belong in-
uring out how to make sense of fǎnqiè. The herently to the third děng.
study of them was called ménfǎ “the
method of [using] gateways”. Below are dis- 9. Chinese alphabets
cussed a few of the better-known of these
mén. The mén discussed above are only a small
Yı̄nhé “the sounds match” ⫺ this ap- part of the overgrowth of mnemonic tools
pears to be the name for the correct choice and other arcana associated with the rime-
54 II. The Establishment of the Chinese Linguistic Tradition

tables. There is no question that full control There has not really been a true Chinese
of all this theory was a highly specialized alphabet, unless one considers the set of thir-
branch of learning even in its own time, and ty-six canonical rime-table initials to be the
there must not have been many ordinary edu- Chinese alphabet. Certainly rime-table pho-
cated people in society (i. e., other than nology has accumulated enough prestige to
bonzes) who had such control. But if we cast bear this honorable name. Even in modern
aside all the elaborate formal terminology times, when the Mandarin Phonetic Symbols
and consider only the basic ideas associated (zhùyı̄n fúhào) were devised early in the 20th
with rime-tables ⫺ the sixteen shè, the century, they were arranged by phonetic
‘closedness’ or ‘openness’ of syllables, and classes and in an order reminiscent of the ini-
above all the thirty-six initials ⫺ then it is tials of the Yùnjı̄ng: labials first, then apicals,
clear that these things rapidly achieved a per- then velars, then sibilants, then varieties of
manent place in native Chinese linguistics. zero. And the rime-table tradition has pro-
The thirty-six initials in particular are the vided the basic vocabulary of phonology in
first thing in attested history to have served China ever since late Táng times; although it
as something like an alphabet for the Chi- has evolved, it is still in use. Discussion of
nese themselves. Qièyùn-tradition books since the 12th centu-
There have been other, more traditional al- ry has taken place in the main using rime-
phabets used in Chinese in pre-modern times. table terminology. When 16th century Jesuit
The ¤Phags-pa (Chinese Bāsı̄bā ) alpha- missionary Nicholas Trigault (1577⫺1628)
bet is always mentioned in histories of Chi- published his explanation of true alphabetic
nese linguistics, even though it is not Chinese writing for the Chinese, he found it natural
and does not represent an important stage in to present it in rime-table format. Manchu-
Chinese linguistic history. It was designed by era historical phonologists, grappling with
the Tibetan lama ¤Phags-pa (1235⫺1280) the phonologies underlying ancient rhyming
based on the Tibetan alphabet, at the behest texts and character-formation, used rime-ta-
of the Mongol Qubilai Khan. Qubilai pro- ble language and organization as a matter of
mulgated it in 1269, so that it could be used course in their discussions, and sometimes
as a standard system to transcribe Mongolian presented their conclusions in tabular form.
and various other languages spoken within 19th century Chinese even applied the rime-
the Mongol Empire, including Chinese. table principle to descriptive dialect studies of
(Mongolian had previously been written in a kind. Rime-table categories have been the
the Uyghur script.) It never seems to have unquestioned framework used in the recon-
caught on at all among the Chinese people struction of all ancient varieties Chinese os-
themselves, however, and Chinese transcrip- tensibly on Western comparative principles.
tions in ¤Phags-pa are attested today mainly In the 20th century, Yuen Ren Chao and later
Dı̄ng Shēngshù and Lı̌ Róng developed a
by various inscriptions on steles and coins of
kind of modern rime-table for use in dialect
the day and by a rime-dictionary of dubious
fieldwork, which continues to be widely used.
dialectal affiliation, the Ménggǔ zı̀yùn, which
If there is any one variety of phonology that
is laid out like a traditional Chinese charac-
is characteristically Chinese it is rime-table
ter-based rime-book but gives the sound of science, and the irony is that it came to China
each homophone group in ¤Phags-pa script from India.
(see Jūnast & Yáng 1987). ¤Phags-pa consists
of Tibetan-like letters with an expanded vow-
el set, combined to form square or rectangu- 10. Bibliography
lar shapes arranged vertically like Chinese
Bodman, Richard W. 1978. Poetics and Prosody in
characters. The significance of this alphabet Early Mediaeval China: A study and translation of
in the history of linguistics is that it was the Kūkai’s Bunkyō Hifuron. Ph. D., Cornell Univer-
first attempt at a universal system of alpha- sity.
betic transcription used in China; it also Branner, David Prager. Fc. 1999. The Linguistic
seems to have provided some of the inspira- Philosophy of the Traditional Chinese Rime Table.
tion for the vastly more sophisticated Korean Amsterdam: Benjamins.
alphabet (Ledyard 1997; J Art. 9). Other Coblin, W. South. Fc. 1999. “Reflections on the
than these considerations, ¤Phags-pa is im- Shoouuen Fragments.” Branner 1999.
portant mainly to modern research on Mon- Jūnast & Yáng Nǎisı̄ . 1987. Ménggǔ zı̀yùn
golian and Mongol-period transcriptions of jiàoběn . Peking: Mı́nzú chūbǎn-
Chinese. shè .
7. Le rôle du savoir linguistique dans l’éducation et la société chinoise 55

Ledyard, Gari Keith. 1997. “The International Ráo Zōngyı́ . 1990. Zhōng-Yı̀n wénhuà gu-
Linguistic Background of the Correct Sounds for ānxı̀shı̌ lùnjı́ ⫺
yǔwénpiān: Xı̄tánxué xùlùn
the Instruction of the People”. The Korean Alpha- : [Col-
bet: Its history and structure, ed. by Ioung-Key lected Essays on the History of Sino-Indian Cultur-
Kim-Renaud, 31⫺87. Honolulu: Univ. of Hawaii al Relations ⫺ Language and Literature: Essays on
Press. Siddham studies.] Hong Kong: Chinese University
Lı̌ Júng [Lı̌ Róng] . 1956. Qièyùn yı̄nxı̀ of Hong Kong.
[The Phonetic System of the Qièyùn.] Peking:
Xı̄nhuá shūdiàn . (Repr. (with some omis- David Prager Branner,
sions) at Taipei: Dı̌ngwén shūjú , 1973.) New York (USA)

7. Le rôle du savoir linguistique dans l’éducation et la société chinoise

1. Introduction ment le chinois classique ⫺ qui traitent de


2. Avant l’instauration des examens impériaux questions linguistiques. On trouve, ici ou là,
3. Après l’institution des examens impériaux par exemple dans le Xunzi, attribué à Xunzi
4. Conclusion (ca. 313⫺238 avant J.-C.), ou dans le Mozi,
5. Bibliographie
attribué à Mozi (480⫺420 avant J.-C.), quel-
ques considérations d’ordre sémantico-philo-
1. Introduction sophique sur les dénominations, mais ces re-
marques sont éparses et ne constituent pas,
La langue, en tant que médium littéraire, loin s’en faut, des réflexions intégrées d’un
mais aussi dans ses variations dialectales, a quelconque intérêt théorique.
toujours joué un rôle considérable dans la so- On est frappé du rôle tout à fait marginal
ciété chinoise. Que savaient les Chinois an- que tient le savoir linguistique dans le Lun yu
ciens de leur langue, et comment ce savoir “Entretiens” de Confucius (Ve siècle avant J.-
était-il transmis? Pour répondre à ces ques- C.), qui est pourtant un recueil d’enseigne-
tions, il convient assurément de différencier ments dispensés par Confucius (551⫺479
plusieurs étapes, tant il est vrai que le savoir avant J.-C.) à ses disciples.
linguistique, qui s’est accumulé au cours des
siècles, a, sinon changé de nature, du moins 2.2. Dynastie des Han
évolué dans ses centres d’intérêt. Deux gran- (206 avant J.-C.⫺220)
des périodes doivent d’abord être distinguées, Une science, qu’on peut déjà qualifier de lin-
en fonction de l’existence ou non des exa- guistique, voit le jour, en parallèle avec l’her-
mens impériaux, dont les épreuves testaient méneutique. C’est en effet à cette époque pré-
surtout le savoir littéraire, mais aussi philolo- médiévale qu’ont été compilés des dictionnai-
gique, des candidats. Ces examens, instaurés res qui resteront pendant longtemps la base
sous la dynastie des Sui (581⫺618), ont été des études classiques: le Er ya “Approcher la
supprimés définitivement en 1905. Ils ont ser- perfection”, d’auteur inconnu, mais compilé
vi à former une élite bureaucratique (le man- vraisemblablement au Ier siècle avant J.-C. à
darinat), politique et culturelle, et à stratifier partir de manuscrits rédigés entre le Ve et le
la société chinoise. Ier siècle avant J.-C., qui rassemble des syno-
nymes ou quasi-synonymes et est organisé, de
manière encyclopédique, en sections thémati-
2. Avant l’instauration des examens ques; le Shuo wen jie zi “Expliquer les figures
impériaux et interpréter les caractères” (100) de Xu
Shen (ca. 65⫺130), dictionnaire étymologi-
2.1. Epoque archaı̈que (jusqu’au IIIe siècle que de 9353 caractères classés sous 540 clés
avant J.-C.) ou éléments graphiques entrant dans la com-
Le savoir linguistique semble n’avoir pas été position des caractères, et fondé indubitable-
important. Rares sont les œuvres des philo- ment sur la pensée spéculative (théorie du yin
sophes de la période des Royaumes-combat- et du yang et des cinq éléments) propre à
tants (475 à 221 avant J.-C.) ⫺ qui consti- l’époque des Han; le Fangyan “Expressions
tuent la base de ce qu’on appelle communé- régionales” (Ier siècle) de Yang Xiong (53
56 II. The Establishment of the Chinese Linguistic Tradition

avant J.-C.⫺18), premier lexique général des lors des examens impériaux qui viennent
différents parlers de plusieurs régions de d’être institués. De même, le Er ya est désor-
Chine. mais un ouvrage obligatoire pour les élèves
Le savoir linguistique commence donc à du Collège impérial, dans la version du com-
devenir important, mais il joue encore un rôle mentateur Guo Pu (276⫺324). Le Shuo wen
négligeable dans l’éducation et dans la socié- jie zi, enfin, et l’étude de la phonétique an-
té. Il concerne uniquement quelques lettrés, cienne, sont aussi l’objet de nombreuses re-
dont le but essentiel reste, par-delà les querel- cherches, surtout à partir des Song, toujours
les philologiques, l’établissement d’une juste en vue de la préparation aux examens.
interprétation des classiques confucéens. Xu C’est aussi sous les Song qu’apparaı̂t le
Shen, à ce sujet, est un savant typique ayant premier recueil de particules: le Wenzi “Rè-
voulu fixer une fois pour toutes le sens des gles de composition littéraire” (1170) de Chen
caractères en s’appuyant sur des graphies Kui (1128⫺1203). Il s’agit d’un petit opuscule
plus anciennes. Il n’est pas non plus impossi- qui discute les principales particules gramma-
ble que ces dictionnaires aient été conçus, au ticales (morphèmes fonctionnels) de la langue
départ, dans le cadre d’une politique visant à classique. L’objectif primordial de Chen Kui
définir une norme linguistique, voulue par les est d’ordre stylistique et rhétorique. Il vise à
empereurs ou par leurs conseillers immédiats. fournir une bonne maı̂trise de l’emploi des
particules grammaticales pour la composi-
2.3. Epoque des Wei-Jin et des dynasties tion littéraire.
Nord-Sud (220⫺589)
Elle peut être caractérisée, d’un point de vue 3.2. Dynasties des Yuan (1279⫺1368) et des
linguistique, comme une étape transitoire, où Ming (1368⫺1644)
les études phonétiques prennent quelque im- L’invasion mongole et l’instauration de la dy-
portance, en raison de l’expansion du nastie mongole des Yuan marquent une rup-
bouddhisme et des traductions du sanskrit ou ture radicale avec le passé. Les points de vue
du pali. Une méthode est ainsi créée pour sur la phonétique sont délibérément nou-
la prononciation des caractères, qui sera veaux, notamment dans le Zhong yuan yin
systématiquement utilisée jusqu’en 1918: yun “Rimes et sons du mandarin des plaines
la méthode fanqie “retourner et couper” centrales” (1324) de Zhou Deqing (1277⫺
(J Art. 5). Elle consiste à transcrire le son 1365), qui milite contre l’imitation des an-
d’un mot en le décomposant et en le glosant ciens, contre le respect de la tradition, et est
par deux caractères différents, le premier in- décidé à décrire les réalités phonétiques de la
diquant l’initiale, le second la finale. langue standard de son époque.
Sous les Yuan, également, paraı̂t le premier
traité ‘grammatical’: le Yuzhu “Particules
3. Après l’institution des examens grammaticales” (1324) de Lu Yiwei (dates
impériaux précises non connues). Comme celui de Chen
Kui, précédemment, c’est un traité d’ordre
3.1. Dynasties des Sui (581⫺618), des Tang stylistique et rhétorique. Il est néanmoins
(618⫺907) et des Song (960⫺1279) tout à fait original sur deux points cruciaux.
Les recherches phonétiques et phonologiques Son auteur (un précurseur de la linguistique
sont désormais prédominantes. Deux ouvra- textuelle?) considère d’abord que les explica-
ges fondamentaux marquent le début de cette tions ne doivent pas se limiter au mot ou
période: Le Jingdian shiwen “Explications des même à la phrase, mais tenir compte du
classiques” de Lu Deming (556⫺627), qui contexte et donc se rapporter à de longs pas-
utilise la méthode fanqie, et surtout le Qieyun sages, voire au texte dans son entier. Ensuite,
“Rimes standardisées” (601) de Lu Fayan Lu Yiwei a intégré dans son recueil des parti-
(dates précises non connues), qui propose cules grammaticales de la langue vernaculai-
une classification d’environ 11500 caractères, re. Il donne aussi souvent les équivalents en
selon leur prononciation et en prenant en vernaculaire, et même parfois en dialecte wu
compte trois paramètres, les tons, les rimes et (région de Shanghai), des mots vides de la
les initiales. langue classique qu’il cherche à expliquer.
Ce dernier Thésaurus devient très rapide- Ce nouveau savoir linguistique restera
ment une somme indispensable à tout candi- l’apanage d’une minorité de lettrés sous les
dat tenu de composer des textes rimés et de Yuan. Il se diffusera d’autant plus mal que le
connaı̂tre parfaitement les règles de prosodie, système des examens est supprimé dès le dé-
7. Le rôle du savoir linguistique dans l’éducation et la société chinoise 57

but de la dynastie, et n’est restauré qu’en 4. Conclusion


1314. Lorsque les examens seront rétablis, les
épreuves sur les rimes et la poésie ancienne On l’aura compris, ce qui précède traite uni-
ou moderne et régulière seront supprimées. Il quement du savoir linguistique de l’élite, qui
faudra attendre 1757 et 1759 pour que des a toujours concerné, quelles que soient les
questions de poétique soient réintroduites époques, une infime minorité. Les écoles im-
dans les programmes des examens au niveau périales ont toujours été réservées, en Chine,
des villes et au niveau des provinces. Les re- aux élèves parlant le mandarin et ayant déjà
cherches phonologiques ont, en conséquence, une très bonne connaissance du chinois clas-
sique. Et les examens, même les plus simples
cédé le pas aux études philologiques classi-
organisés au niveau local, théoriquement ou-
ques sur l’étymologie et la composition litté- verts à tous, excluaient de fait plus de 90% de
raire pendant toute la dynastie des Ming. la population. Il est un autre savoir, le savoir
3.3. Dynastie des Qing (1644⫺1911) populaire, pour lequel, dans la Chine ancien-
ne et impériale, nous ne disposons d’aucun
L’école philologique de la dynastie mand- renseignement.
choue des Qing prône un retour important
aux sources et aux études épigraphiques et
paléographiques. Les études sur le Shuo wen
5. Bibliographie
jie zi sont ainsi relancées, notamment par Gong Qianyan. 1987. Zhongguo yufaxue shigao
Duan Yucai (1735⫺1815), auteur du Shuo [Histoire de la linguistique chinoise.] Pékin: Yu-
wen jie zi zhu “Annotations du Shuo wen” wen chubanshe.
(1807). Les autres dictionnaires anciens, le Er He Jiuying. 1985. Zhongguo gudai yuyuanxue shi
ya et le Fangyan font aussi l’objet de nom- [Histoire de la linguistique ancienne en Chine.] (⫽
Cidian yanjiu congkan 7.) Henan: Henan renmin
breuses recherches comparatives. L’étude de chubanshe.
la langue archaı̈que est à l’honneur, et on ne
Li Kai. 1993. Hanyu yufa yanjiu shi [Histoire des
compte pas le nombre des éditions critiques recherches sur la grammaire chinoise.] Nankin:
et révisées des textes anciens, entreprises par Jiangsu jiaoyu chubanshe.
des lettrés célèbres comme Dai Zhen (1723⫺ Lin Yushan. 1983. Hanyu yufaxue shi [Histoire de
1777), Lu Wenzhao (1717⫺1795), Wang la grammaire du chinois.] Changsha: Hunan
Niansun (1744⫺1832). jiaoyu chubanshe.
L’époque des Qing voit aussi le développe- Ma Jianzhong. 1898. Ma shi wen tong [Traité gram-
ment des études grammaticales, toujours matical de Ma.] Réédition. Pekin: Zhonghua shu-
dans une optique de retour aux sources. On ju, 1954.
peut ainsi citer: (i) le Xuci shuo “Traité des Ma Songting. 1986. Hanyu yufaxue shi [Histoire de
mots vides” (1710) de Yuan Renlin (dates la grammaire de la langue chinoise.] Hefei: Anhui
exactes inconnues), qui développe le Yuzhu de jiaoyu chubanshe.
Lu Yiwei; (ii) le Zhuzi bianlue “Analyse des Malmqvist, Göran. 1994. “Chinese Linguistics”.
particules” (1711) de Liu Qi (dates précises History of Linguistics ed. by Giulio Lepschy. Har-
low: Longman.
non connues), qui adopte une approche plu-
tôt philologique que stylistique, à la différen- Pu Zhinzhen. 1990. Zhongguo yuyanxue shi [His-
toire de la linguistique chinoise.] Taipei: Shulin
ce de Yuan Renlin; le Jingzhuan shici “Expli- chuban youxian gongsi.
cation des particules dans les classiques et Shao Jingmin. 1990. Hanyu yufaxue shigao [Histoi-
dans les chroniques” (1798) de Wang Yinzhi re de la grammaire du chinois.] Shanghai: Jiaoyu
(1766⫺1834), qu’on considère raisonnable- chubanshe.
ment comme le premier essai systématique de Wang Li. 1984. Zhongguo yuyanxue shi [Histoire
classification et d’explication des particules de la linguistique en Chine.] Hong Kong: Joint Pu-
pour bien comprendre les textes classiques. blishing Co.
Tous ces traités sont alors abondamment Wang Lida. 1959. Hanyu yanjiu xiao shi [Petite his-
utilisés comme manuels dans la préparation toire de la recherche sur le chinois.]. Shanghai:
des examens à différents niveaux. C’est aussi Shangwu yinshuguan.
pour aider les candidats à la composition Zheng Dian & Mai Meiqiao. 1964. Gu hanyu yu-
d’essais littéraires classiques que l’empereur faxue ziliao huibian [Recueil de documents sur les
études grammaticales sur le chinois ancien.] Pékin:
Kangxi donne l’ordre en 1704 de compiler un Zhonghua shuju.
nouvel ouvrage de référence, le Peiwen yunfu
“Thésaurus arrangé selon les rimes”, achevé Alain Peyraube, Paris
et publié en 1711. (France)
58 II. The Establishment of the Chinese Linguistic Tradition

8. La tradition linguistique vietnamienne et ses contacts avec la


tradition chinoise

1. La période chinoise point de vue linguistique, deux preuves sûres


2. La lexicographie vietnamienne de l’influence chinoise: des couches successi-
3. L’écriture Nôm ves d’emprunts de vocabulaire, et une lecture
4. La période moderne
indigène des caractères chinois, appelée ordi-
5. Bibliographie
nairement ‘lecture sinovietnamienne’. Cette
lecture est liée à la dernière couche des em-
1. La période chinoise prunts (faits avant le Xe siècle). Elle a pour
source, dans l’ensemble, la pronunciation
La linguistique vietnamienne est devenue de chinoise des VIIIe et IXe siècles et c’est elle
nos jours une branche de la linguistique mon- que les vietnamiens ont choisie pour la lectu-
diale: les linguistes professionnels du Vietnam re de tous les textes écrits en caractères chi-
d’aujourd’hui sont pour la plupart formés en nois, fussent-ils écrits par les chinois, les ja-
Occident. Ils sont en train de travailler sur ponais, les coréens ou par les auteurs indigè-
une base commune avec leurs collègues nes. Un peu plus tard cette lecture donnera,
étrangers, ayant les mêmes orientations théo- par suite de quelques évolutions ultérieures,
riques, suivant les mêmes buts et adoptant les encore une troisième lecture, celle appelée ‘si-
mêmes technologies. novietnamienne vietnamisée’. [Table 8.1]
Mais avant d’arriver à ce stade, la traditi- La lecture sinovietnamienne se distingue
on linguistique vietnamienne a dû passer par non seulement par son origine, sa forme pho-
trois étapes successives: nique et sa fonction dans la société. Sur le
a) l’étape antérieure au contact avec le chinois plan grammatical les morphosyllabèmes sino-
b) l’étape d’influence chinoise vietnamiens se distinguent aussi des anciens
c) l’étape d’influence française. sinovietnamiens et des sinovietnamiens viet-
La première étape est encore très mal connue. namisés par leurs caractéristiques morpholo-
Faute de recherches sérieuses sur les mythes, giques et syntaxiques: ils n’ont plus, dans
les prières rituelles, les interdits langagiers, les 75% de cas, le statut d’unités lexicales auto-
termes métalinguistiques indigènes, nous ne nomes; ils jouent seulement le rôle de séman-
savons actuellement presque rien sur ce que tèmes et de morphèmes dans des syntagmes
pensaient les Proto-VietMuongs sur la nature figés, appelés ordinairement mots composés.
et la fonction du langage en général, et sur En dehors des couches d’emprunts et de la
leur propre langue, en particulier. lecture sinovietnamienne ci-dessus citées, il
La deuxième étape est mieux documentée. est facile aussi pour les comparatistes, de voir
C’est une étape extrêmement longue. Elle encore une autre face de l’influence chinoise:
commence par dix siècles de domination chi- les changements phonétiques survenus dans
noise, c’est-à-dire dix siècles de contact direct la langue indigène sous la pression du contact
avec le chinois parlé (chinois archaı̈que, chi- avec le chinois parlé. On voit, par exemple,
nois moyen). Il nous reste de ces siècles, au la formation, avant le VIe siècle, d’un système

Tab. 8.1: Lectures sino-vietnamiennes

ancien sino- sino-


sino- vietnamien vietnamien
vietnamien vietnamisé

“saison” wù mùa vuø

“chambre” fáng buôòng phòng


“proche” jı̀n câaø n gâàn
?
“planche” păn ban ván
8. La tradition linguistique vietnamienne et ses contacts avec la tradition chinoise 59

de trois tonèmes, après la chute de *-?, *-s, *- nant les syllabes; et l’opposition entre mots
h; l’apparition des aspirées ph, th, kh; et le pleins et mots vides.
changement de *v- en *w-. Cependant, dans l’ensemble ce ne sont que
des connaisances exclusivement pragmati-
ques. Les manuels de métrique, comme le Thi
2. La lexicographie vietnamienne ? ?
thêe thú’c, kinh nghiã thêe thú’c “Règles de poéti-
que, règles de Jingyı̀” (de date inconnue, con-
Après la reconquête de l’indépendance politi-
servé dans une copie de 1888) nous le mon-
que au début du Xe siècle, les vietnamiens
trent clairement: l’enseignement de la phoné-
continuaient de garder leur respect pour la
tique au Vietnam n’avait presque jamais de
culture chinoise, considérant le chinois com-
caractère théorique. Les travaux classiques
me leur langage officiel, organisant des écoles de la “science des sons et des finales” (yinyn-
et des examens d’état d’après le modèle de xue) n’étaient pas inconnus chez les érudits
leurs voisins du nord, et créant une riche litté- vietnamiens tels que Lê Quý ›ôn (1726⫺
rature en Wénján. En même temps, la cons- 1784). Cet auteur a même un chapitre con-
cience nationale les poussa aussi, à partir du sacré aux sons et aux caractères dans son
XIe siècle, à la création d’une écriture et puis œuvre encyclopédique Vân dài loaø i ngũ’ “Not-
d’une littérature indigènes. Quelque temps es tirées des archives”. Mais lui-même, il ne
après ils commencèrent à éditer des diction- nous donne pas des théories ou des systèmes.
naires et des textes bilingues. Parmi les lexi- Nous ne pouvons trouver dans son chapitre
ques et dictionnaires bilingues on peut men- que plus d’une centaine de remarques très
?
tionner: Thiên tuø’ văn giai âm (lexique chinois- éparses, bien que parfois très profondes. Il
nôm de 1000 caractères de date inconnue, pu- parle, entre autres choses, sur l’écriture, sur
?
blié en 1890); Tam thiên tuø’ giai âm (lexique la diversité des langues et écritures, sur l’im-
chinois-nôm de 3000 caractères, de date inco- portance des pictogrammes et des conglomé-
nue, peut-être de Ngô Thò’i Nhâaø m, 1746⫺ rats sémantiques dans l’écriture chinoise, sur
1803, publié en 1891); Nhâaø t duø ng thu’ò’ng dàm les caractères vulgaires créés dans différentes
(dictionnaire des mots et expressions cou- provinces chinoises, sur les caractères dont le
? ?
rants, de Phaø m ›ı̀nh Hô , 1768⫺1839); Chı sens était mal interprété. En ce qui regarde
?
nam ngoø c âm giai nghiã “Boussole de la lan- la prononciation il discute les prononciations
gue de jade” (dictionaire chinois-nôm du dialectales, les mots vietnamiens mal trans-
XVIe ou XVIIe siècle, réédition de 1761); Tuø’ crits par les chinois, les formes phoniques du
loaø i diêẽn nghiã “Traduction des différentes ca- mot “père” dans différentes régions, l’allon-
tégories de caractères” (dictionnaire chinois- gement de la particule finale aø comme expres-
nôm, de date inconnue). sion de respect, etc.
Il est à remarquer que le caractère syllabi- L’esprit pragmatique n’est pas un trait par-
que, isolant du vietnamien et du chinois avait ticulier de l’enseignement traditionnel des
permis aux poètes indigènes non seulement notions de phonétique. Nous pouvons encore
d’appliquer les règles de métrique chinoise le retrouver dans la lexicographie et lexicolo-
dans leur création littéraire en langue natio- gie vietnamiennes. Dans le dictionnaire Chı
?

nale: il leur avait permis également de publier ? e


nam ngoø c âm giai nghiã (XVII ou XVI siè- e
de temps en temps des poèmes écrits en chi- cle; cf. Stankevič 1981; Trâàn Xuân Ngoø c Lan
nois classique, mais écrits d’après les règles 1985), par exemple, bien qu’il soit précieux à
de métrique vietnamienne. La composition plusieurs points de vue, il faut dire franche-
des poèmes et des sentences parallèles suppo- ment que son auteur ne visa qu’un but pure-
se une connaissance plus ou moins profonde ment pédagogique quand il le composa. Ceci
des notions de la tradition linguistique chi- est démontré par les points suivants. Le nom-
noise telles que la segmentation de la chaı̂ne bre des caractères donnés n’atteint qu’un
parlée en syllabes (vers de 7 syllabes; de 5 syl- chiffre très modeste dans le texte principal, à
labes; de 6 et 8 syllabes; de 7, 7, 6, et 8 sylla- peu près 7000 unités; les caractères rares et
bes, etc.); l’opposition entre tons égaux et difficiles sont tous donnés dans l’appendice.
tons non égaux et parmi les tons égaux l’op- L’explication phonétique est très sommaire,
position entre le ton haut et le ton bas, etc.; l’auteur se contentant presque toujours d’ex-
la segmentation de la syllable en initiale et pliquer par un homophone ou même par un
rime; les oppositions entre les divers types de quasi-homophone. Enfin, les définitions sont
rime, basées sur la longueur, le timbre des toutes versifiées pour que les lecteurs puissent
voyelles ou sur les différents éléments termi- facilement les apprendre par cœur:
60 II. The Establishment of the Chinese Linguistic Tradition

kim ô (jinwu): măaø t trò’i sáng hôòng thiêèm luân (chán- collective, englobant les apports de plusiers
lún): nguyêeø t raø ng trên không làu làu siècles et de plusiers régions. Enrichir le cor-
“le soleil brillant, rougeâtre la lune qui luit dans le pus des unités de l’écriture, chercher les enre-
ciel, tout pur” gistrements plus précis au point de vue pho-
nétique et tâcher d’arriver à des caractères
Il est à remarquer que l’on a versifié au Viet-
plus simples au point de vue graphique, voilà
nam, suivant la même tradition, pour le
les principaux efforts des philologues vietna-
même but, des livres entiers d’histoire, de
miens de tous les temps et de tous les lieux,
géographie et tout récemment de longues li-
efforts qui étaient à l’origine de ces apports.
stes de vocabulaire français et anglais, par
Ayant parfaitement conscience de la distinc-
exemple:
?
tion entre signifiant et signifié, tout comme
bœuf: bò, su’ tu’: li on, des faits d’homonymie, ces philologues de-
cheval: con nguø’a, mouton: con cù’u […]. vaient aussi, dans leurs apports, s’adapter
aux évolutions de la langue et s’adapter aux
3. L’écriture Nôm particularités des dialectes. Par suite de cet
état de choses, l’écriture Nôm devient une ri-
L’intérêt accordé aux dictionnaires et la clas- che source d’informations attirant l’attention
sification des caractères par ordre de matières de bon nombre de chercheurs: historiens, lit-
montrent que la tradition linguistique vietna- térateurs, comparatistes, étymologues, dialec-
mienne était fortement influencée par celle tologues etc. Mais il en est né aussi un côté
des chinois. Pourtant les lexicographes indi- négatif: c’est une écriture extrêmement diffici-
gènes avaient un esprit et un but tout diffé- le à écrire, à lire, et à déchiffrer dans bien de
rents. Il semble que dans le Vietnam d’antan cas litigeux.
tout venait de la pratique et que tout n’avait
que d’utilité pratique.
La création du Chũ’ Nôm “écriture du sud, 4. La période moderne
écriture du Vietnam” en est un autre exem-
ple. Il s’agit d’une écriture du même type que Il est donc facile de comprendre pourquoi les
celle des chinois. Elle était créée sur la base missionnaires occidentaux venant au Viet-
des éléments graphiques et des principes chi- nam au XVIIe siècle s’étaient vu obligés de
nois, mais elle comporte aussi quelques parti- créer une autre écriture, ce qu’on appelle au-
cularités intéressantes (cf. Lê Văn Quán 1981; jourd’hui le Quôo´c ngũ’ dans leur apprentis-
Nguyêẽn Quang Xỹ & Vũ Văn Kı́nh 1971). sage de la langue indigène et dans leurs tra-
Les principaux cas de l’écriture vietnamienne vaux de propagande religieuse. Le premier
peuvent s’analyser de la manière suivante dictionnaire alphabétique se servant de cette
(Table 8.2: Ls: lecture sinovietnamienne; S: écriture latinisée fut publié en 1651, le dic-
signifié; La: lecture plus ancienne; Lq: lecture tionnaire d’A. de Rhodes. Mais l’œuvre des
quasihomophone). missionnaires restait longtemps dans l’om-
Les cinq premiers cas sont des caractères bre, ayant peu d’influence dans la société. Il
pris du chinois: A, B servent à écrire les mots faut attendre encore plus de deux siècles pour
empruntés correspondants; C, D, E servent voir le triomphe complet de cette nouvelle éc-
de transcriptions des mots indigènes. Les riture. C’est un triomphe acquis grâce au
quatre derniers cas sont de création vietna- soutien d’une part du gouvernement colonial
mienne: dans F nous avons, à côté du carac- et de l’autre part des couches progressistes de
tère chinois, l’addition d’un petit signe an- la société vietnamienne.
nonçant aux lecteurs qu’il faut avoir une cer- Avec l’abolition graduelle de l’enseigne-
taine modification dans la lecture; dans G, ment des caractères chinois et son remplace-
H, I nous avons des conglomérats de deux ment par celui du français, la tradition viet-
éléments chinois: deux éléments phonétiques namienne entre dans la troisième étape de
servant à transcrire les groupes consonanti- son histoire: l’étape de l’influence française.
ques vietnamiens dans le cas de G; deux élé- Le côté fort de l’ancien temps se maintient
ments sémantiques dans le cas de H; un élé- avec la publication d’un grand nombre de
ment sémantique ajouté à un élément phoné- dictionnaires alphabétiques et de grande en-
tique dans le cas de I. vergure: dictionnaires vietnamien-français
Les caractères Nôm que nous avons ac- (e. g., Bonet 1899⫺1900; Génibrel 1898),
tuellement ne furent pas inventés une fois français-vietnamien, vietnamien-vietnamien
?
pour tous. Ils sont les produits d’une création (Huỳnh Tiønh Cua 1895⫺1896), et aussi chi-
8. La tradition linguistique vietnamienne et ses contacts avec la tradition chinoise
Tab. 8.2: Caractères Nôm

A B C D E F G H I

Caractères Nôm
Cao:haut Tim:Cœur Bây:Troupe
` ` ˆ
Ai:Qui? Thây:Maitre ` ˆ
Thây:Maitre *Klong > `’
Troi:Ciel `
Chông:Mari
/(Ls, S)/ /(La, S)/ /( , S)/ /(Ls, )/ /(Lq, )/ Trông:Tambour
´ /(S) + (S)/ /(S) + (Lq)/
/(Lq) + (<)/ /(Lq) + (Lq)/

Eléments chinois
(Ls) (S)

Cao Haut

Tâm Cœur

`
Quân Troupe

Ai Poussière

Sài Brindille

Sài Brindille

Côº Ancien

Lông
'
Jouer

Thiên Ciel

Thuong
’ ’
'
Dessus

Phu Mari

Trùng Double

61
62 II. The Establishment of the Chinese Linguistic Tradition

?
nois-vietnamien, anglais-vietnamien etc. Le Huỳnh Tiønh Cua. 1895⫺96. ›aø i Nam quôo´c âm tuø’ viø
point faible hérité de l’ancienne tradition chi- [Dictionnaire de la langue vietnamienne.] Saigon.
noise ⫺ l’absence de la grammaire ⫺ se voit Lê Qúy ›ôn. 1962. Vân dài loaø i ngũ’ [Notes tirées
corrigé. Mais malheureusement, ce n’était pas des archives.] Hanoi: Văn hóa & Viêeø n Văn hoø c.
un très grand bond en avant: les notions Lê Văn Quán. 1981. Nghiên cú’u vêè Chũ’ Nôm [Re-
grammaticales enseignées au Vietnam avant cherches sur le Chũ’ Nôm.] Hanoi: Khoa hoø c xã
1945 n’étaient que des notions normatives hô
oø i.
présentées dans des manuels de lycées. La Nguyêẽn Quang Hô òng. 1994. Âm tiêe´t và loaø i hı̀nh
professionalisation, la modernisation et l’in- ngôn ngũ’ [Syllabe et types de langues.] Hanoi:
ternationalisation de la linguistique vietna- Khoa hoø c xã hô
oø i.
mienne, c’est l’affaire de ces quelques derniè- Nguyêẽn Quang Xỹ & Vũ Văn Kı́nh. 1971. Tuø’ diên
?

res décennies. Chũ’ Nôm [Dictionnaire des caractères Nôm.] Sai-


Il semble qu’il y déjà maintenant un cer- gon.
tain retour aux notions traditionnelles de l’é- ?
Nguyêẽn Tài Câan. 1975. Ngũ’ pháp tiêe´ng Viêeø t
cole chinoise. Poussés par leur intuition natu- [Grammaire vietnamienne.] Hanoi: ›aø i hoø c.
relle, car ils parlent tous une langue syllabi- ⫺. ⫺. 1979. Nguôòn gôo´c và quá trı̀nh hı̀nh thành cách
que et isolante, quelques linguistes profes- doø c Hán Viêeø t [Origine et évolution de la prononcia-
sionnels du Vietnam d’aujourd’hui com- tion sinovietnamienne.] Hanoi: Khoa hoø c xã hô oø i.
mencent à réfléchir et à faire des recherches ?
⫺. ⫺. 1995. Giáo trı̀nh liøch su’ ngũ’ âm tiêe´ng Viêeø t
sur les caractéristiques typologiques de leur [Cours de phonétique historique de la langue viet-
langue. Voyant qu’il y a des notions de lingui- namienne.] Hanoi: Giáo duø c.
stique générale qui s’étaient, en réalité, élabo- ⫺. ⫺ & Nonna V. Stankevič. 1985. Môoø t sôo´ vâa´n dêè
rées sur la base des faits indo-européens, et vêè Chũ’ Nôm [Quelques problèmes du Chũ’ Nôm.]
qui, par suite, ne concordent pas complète- Hanoi: ›aø i hoø c.
ment avec leur langue, ils commencent à en Rhodes, A. de. 1991. Tù’ diê?n Annam-Lusitan-La-
faire des critiques sérieuses, par exemple cel- tinh. Réédition du Dictionarium (1651) avec traduc-
les de Cao Xuân Haø o (1985), de Nguyêẽn tion de Thanh Lãng, Hoàng Xuãn Viêeø t, ›ô õ Quang
Quang Hô òng (1994) sur l’application de la Chı́nh. Ho Chi Minh Ville: Khoa hoø c xã hô oø i &
notion de phonème et celles de Nguyêẽn Tài Viêeø n Khoa hoø c xã hô o` Chı́ Minh.
oø i taø i T. P. Hô
? ?
Câan (1975, 1979, 1995; Nguyêẽn Tài Câan & ?
Stankevič, Nonna V. 1981. “Chi nam ngoø c âm giai
?

Stankevitch 1985) sur l’application de la no- nghiã: Pamjatnik drevnej vjetnamskoj leksikogra-
tion de mot. Dans l’analyse de la structure fii” [Un monument de la lexicographie vietnamien-
d’une langue comme le vietnamien, au dire ne ancienne.] Istorija lingvističeskix učenij: Sredne-
de ces auteurs, une importance capitale doit vekovyj Vostok ed. by Agnija V. Desnickaja & Solo-
être réservée au syllabème sur le plan phono- mon D. Kacnel’son, 248⫺257. Léningrad: Nauka.
logique, et au morphosyllabème, sur le plan ⫺. ⫺. 1994. Les interférences grammaticales entre
grammatical. le chinois et le vietnamien. Conférence dédiée à la
mémoire de Georg von der Gabelentz. Saint Péter-
bourg. [En russe.]
5. Bibliographie Schneider, P. 1992. Dictionnaire historique des idéo-
grammes vietnamiens. Nice: RIASEM.
Bonet, J. 1899⫺1900. Dictionnaire annamite-fran-
çais (langue officielle et langue vulgaire). Paris. Taberd, A. J. L. 1838. Dictionarium Annamitico-
Latinum. Serampore.
Cao Xuân Haø o. 1985. Phonologie et linéarité: Ré- ?
flexions critiques sur les postulats de la phonologie Trâàn Xuân Ngoø c Lan. 1985. Chı nam ngoø c âm,
? ?
contemporaine. (⫽ Bulletin de la Société d’Etudes phiên âm và chú giai [Le dictionnaire Chı nam ngoø c
Linguistiques et Anthropologiques de France, 18.) âm, lecture et notes.] Hanoi: Khoa hoø c xã hôoø i.
Paris.
Génibrel, J. F. M. 1898. Dictionnaire annamite- Nonna V. Stankevič, Saint Péterbourg
français. Saigon. (Russie)
IV. The Establishment of the Japanese Linguistic Tradition
Die Anfänge der Sprachforschung in Japan
La constitution de la tradition linguistique japonaise

10. The Japanese linguistic tradition and the Chinese heritage

1. The Chinese origins of Japanese linguistics within the universe, and man within the cos-
2. Phonology and the Chinese script in Japan mos. To the Chinese worldview, order was
3. The period of ‘national learning’ everything; man, the world in which he lived,
4. The work of Motoori Norinaga even the cosmos itself, were of interest not as
5. The modern period
6. Bibliography
subjects for intellectual speculation, or in and
for themselves, but rather only in as far as
they reflected, or could be reduced to, pre-
1. The Chinese origins of Japanese conceived ideas of what constituted proper
linguistics and rigid order ⫺ order that found its most
tangible expression in the monolithic despo-
Just as is true of so much else in the culture tism of the centralized government of the
of Japan, so also does its linguistic tradition classical Chinese hydraulic state.
grow out of Chinese origins that remain It was only a short step to apply this nor-
strikingly evident throughout the course of mative, authoritarian, and essentially despot-
its history and development. But at the same ic world-view to the particular case of human
time, the considerable Japanese talent for social activity represented by language ⫺ in-
adaptation in the course of imitation, to- deed, more often than not it was no step at
gether with the subtle shifts in emphasis and all, so intimately was the linguistic tradition
approach that inevitably are to be observed in China consistently interrelated to the oth-
when foreign ideas and institutions are bor- er, more comprehensive aspects of the Chi-
rowed onto Japanese soil, have made them- nese world-view.
selves felt in the linguistic tradition as well. But the Japanese, at least in the early
This has meant that in the final analysis, the periods of their contacts with the rest of Asia,
Japenese linguistic tradition, while always in could not afford to indulge the Chinese delu-
debt to its continental sources, has in sum to- sion that theirs was the only language in the
tal ended up as somewhat more than the sim- world, or that the Japanese language was the
ple imitation of Chinese ideas in a foreign, sole rational form of communication ever de-
i. e. Japanese, context. veloped by civilized man.
Probably the single most important differ- From the earliest days of Japanese history,
ence between the two traditions has been their own civilization was confronted by Chi-
concerned with the obvious inability of the nese language and culture; and the Japanese
Japanese to reproduce, or even to imitate to early had to set themselves to the formidable
any significant extent, the essentially ethno- task of grappling with the pronunciation, lex-
centric bias that has determined so much of icon, and grammar of their imposing conti-
the linguistic tradition in China. nental giant of a neighbor. Bilingual glosses,
By and large ⫺ and always with the excep- bilingual lexical sources, even a certain de-
tion of certain aspects of phonological study gree of true bilingualism, were all common-
⫺ the Chinese linguistic tradition has consis- place in early Japan, and without question
tently reflected the world-view of Chinese did much to determine many of the original
culture and society in general; in particular, directions in which the Japanese linguistic
it has reflected those portions of that world- tradition took its development, particularly
view most concerned with the socio-political when it began to depart from the rote imita-
orientation of man within his world, man tion of patterns and ideas borrowed intact
10. The Japanese linguistic tradition and the Chinese heritage 73

from China. The Japanese would not know importantly, the enclitic grammatical ele-
the luxury of the splendid linguistic isolation, ments of the Japanese language, including
and the consequently arrogant linguistic eth- the case-suffixes, all of which were unlike
nocentricism, of the Chinese until much later anything in Chinese, required the develop-
into their history, even then, they would en- ment of special orthographic techniques if
joy it for brief periods only, the longest being they were to be written at all.
the some three-hundred years of the Tokuga- The early degree of sophistication that the
wa ‘closed country’ isolationism. Japanese achieved in the analysis of their
Even while paying due respect to Chinese own language along these particular lines is
ethnocentricism and linguistic xenophobia, well demonstrated by two famous poems in
we must at the same time keep in mind that the Man’yōshū anthology. These are poems
certain elements of the Indic linguistic tradi- 4174 and 4176 in the modern numbering of
tion had early managed to make their way the text, and are both attributed to Ōtomo
into that same tradition through Buddhist Yakamochi (729⫺785). In them, the poet, as
sources; this was particularly true of Chinese a conscious literary device, indulges himself
traditional phonological study, which was in the rather spectacular feat of writing his
considerably in debt to Indic grammatical lines without using the most common enclitic
science in ways that are only now slowly grammatical elements in the language; poem
coming to be understood. Many of these 4175 is composed without using Old Japan-
same elements of the Indic linguistic tradition ese mo, nö, and Fa, the three most common
that had reached China through Buddhist in- enclitic elements, resp. case-suffixes, in the
termediaries were in turn also transmitted to language, while poem 4176 not only avoids
Japan; and while there was little if any first- these three grammatical elements, but also
hand knowledge of Buddhist Sanskrit on the eschews te, ni, and wo, the next three most
part of the Japenese in the pre-modern common such forms. And just in case any
period (with the notable exception of several reader should not have gotten the point of
clerics who had studied it, along with other the exercise involved in these two feats of
aspects of Buddhist learning, in T’ang Chi- grammatical juggling, each poem has a note
na), the siddhāmø script, with its implicit pho- appended, in Chinese prose, pointing out
nological analysis and structuring of speech which enclitic elements have been avoided in
sounds, was well enough known in Japan each instance.
from an early period importantly to influence The same Man’yōshū anthology also incor-
the local linguistic tradition. porates a number of poem-texts in non-stan-
dard Old Japanese, many of which have ap-
pended notes identifying the geographical or-
2. Phonology and the Chinese script igin of their dialect materials. These non-
in Japan standard dialect poems, which are written
with Chingraphs used as phonograms, ap-
The borrowing of a foreign writing system, pear to have been prized by the compilers of
that of Chinese, for the purpose of writing the Old Japanese anthology for the exotic
the Japanese language, early forced the Ja- aesthetic effects of their phonology; but we
penese themselves to confront the necessity ought not to overlook the fact that their exis-
of isolating the grammatical elements of their tence and transmission also bear witness to
own language, mostly on the basis of the var- elements of the Chinese linguistic tradition.
ious ways in which it was observed to be It is hardly possible to understand how these
either similar to or different from Chinese. non-standard language poems found their
The borrowed Chinese graphs (‘characters’) way into the mainstream of Japanese literary
of the writing system could be used to write culture without reference to one of the earli-
the uninflected forms of Japanese without est representative textual examples of the
much difficulty (apart of course from the dif- Chinese linguistic tradition, the Fang yen that
ficulty of remembering which Japanese lin- is generally attributed (but on the basis of
guistic form had been assigned to go with largely circular literary evidence) to Yang
which Chinese graph); but writing the many Hsiung (23 BC⫺18 AD). Despite the prob-
inflected forms of Japanese posed special or- lems that complicate its authorship, there is
thographic problems, some of which are yet little question that the text is an ancient one,
to be solved to everyone’s satisfaction in the and that it deals with non-standard forms of
Japanese writing system even today. Most the Chinese language of the Han period, pre-
74 IV. The Establishment of the Japanese Linguistic Tradition

serving a large number of dialect versions of which the Sanskrit grammarians compulsive-
central, standard-language terms. Indeed, the ly ‘filled out” missing gaps in their phonolog-
title Fang yen, literally “regional terms”, has ical ordering by inventing non-existent units
become the modern word as well as the lin- for this express purpose.
guistic term for ‘dialect’, and in this sense has The earliest example of this ‘50 syllable’
also been borrowed into Japanese (hōgen). genre is to be dated to the period 1004⫺1028;
Without the existence of this prestigious Chi- and it is important to note that not only
nese linguistic exemplar, it is to say the least Indic principles of phonological analysis
doubtful if the Man’yōshū anthology would but also the Chinese rhyme table tradition
have devoted the space that it does to record- (J Art. 6) played a seminal role in the devel-
ing poetry in regional and dialect forms of opment of these sources. But since at the
the language. same time the Chinese rhyme table tradition
Together with Indic concepts of phonolog- was itself much in debt to Indic principles,
ical ordering and arrangement, which the details of mutual influences back and
reached Japan through Buddhist sources via forth across Asia in this segment of linguistic
China, calligraphy appears to have been an- science is complex indeed.
other stimulus for the development of or- As they learned more and more about the
dered sets of the Japanese syllabic inventory. Chinese language, the Japanese were of
These began as mnemonic devices to ensure course confronted, as are all foreign students
that the student would write one example of the language, with the Chinese tones. The
and one example only of each syllable in a Japanese early identified the tones of Chinese
fixed if arbitrary order, without repetition or with the distinctive pitch-accent of their own
omission of any syllable. The development of language, and experimented with using the
these syllabic inventories paralleled the devel- half-mnemonic, half-descriptive terms em-
opment of techniques for writing Japanese ployed for the Chinese tones in the Chinese
entirely without, or almost without, reference sources (p’ing “level”, shang “rising”, ch’ü
to the semantic value of the Chinese mor- “departing”, cf. Miller 1993: 91) as a system
phemes associated with each graph when for recording the features of the quite dif-
used to write Chinese. ferent Japanese pitch-accent. Some of the
The earliest of these syllabic inventories texts in which these notational techniques
post-dates the Old Japanese eight-vowel sys- were applied to Japanese at an early period
tem, but it still distinguishes two varieties of have been made to yield data for studying
syllable-initial e-, this last a phonological dis- early periods in the history of the Japanese
tinction that appears to have survived up to pitch-accent by means of written records; but
ca. 950. Some of the early syllabic inventories certain foreign students of these problems
consist of strings of semantically related (e. g. Martin 1987) have tended vastly to
words; others go together to form a meaning- over-rate the importance of such data for the
ful text. The most famous of this latter vari- history of Japanese, focusing virtually all
ety is the Iroha inventory of the syllabary, for their attention upon these fragmentary early
which the oldest surviving textual evidence is written-records of pitch recorded as Chinese
to be dated in correspondence with 1097; tone, and in the process all but neglecting the
read as a text, the Iroha syllabary may be history of the vowels and consonants of the
understood as a Buddhist didactic poem language. Also misleading is the unfounded
teaching the essential impermanence of all assumption that these written records dealing
phenomena. with the pitch-accent of rather late forms of
A further advance in linguistic sophistica- Japanese may automatically be used to estab-
tion is represented by the arrangement of the lish the pitch of Old Japanese, which is pat-
Japanese syllabic inventory into the so-called ently absurd.
‘charts of 50 syllables’. These were phonolog-
ical grids that provided spaces sufficient to
accommodate all the syllables of the lan- 3. The period of ‘national learning’
guage; but the total of fifty such openings
that these charts provide were never all neces- The great revival of interest in ‘national
sary at any stage in the history of the Japan- studies’ that distinguished Japanese intellec-
ese language. Here again Indic phonological tual life from the mid-18th century on could
elements that reached Japan via China are not but have had important implications for
surely at issue; one is reminded of the way in the linguistic tradition also, though naturally
10. The Japanese linguistic tradition and the Chinese heritage 75

its most striking expressions were to be found was, the author of this text had not only a
in the fields of literature, political and reli- good ear but also quite impressive training in
gious thought, and government institutions. and understanding of phonetic observation.
The tremendous prestige that Chinese letters By the time of this text Japanese z and d had
and Chinese culture had long enjoyed in Ja- fallen together as ž before -i-, but as d z before
pan remained unchanged; but now new voic- -u-. The author of this text lists 1,695 words
es were raised, expressing interest and con- known to him in which these changes had
cern in purely Japanese achievements, and taken place, and attempts to identify their
frequently stressing the supposed superiority etymological origin (entirely within Japanese,
of Japanese things over Chinese things more of course) on the basis of other orthograph-
than a trifle shrilly. ic evidence.
Ishizuka Tatsumaro (1764⫺1823) sought Mention must also be made of the cele-
to recover earlier orthographic princples that brated Tokugawa polymath Arai Hakuseki
had been lost sight of in the spelling that had (1657⫺1725) and his lexicon Tōga (1719);
been instituted, or at least named after, the again, the prestige and importance of Japan’s
poet Fujiwara Teika (1162⫺1241); and in the Chinese heritage come to the fore, since
course of his pioneering studies of the Old both the plan of the work and its title call to
Japanese text-corpus was probably the first mind the first Chinese lexical work Erh ya
scholar to stumble upon the evidence that the (J Art. 7) (the Sino-Japanese title Tōga sug-
early written records preserve for the Old gests that the work is an ‘eastern’, i. e. Japan-
Japanese eight-vowel system. ese version of the Erh ya). In his Tōga Haku-
Another towering figure in this early stage seki demonstrated a surprising grasp of the
of the linguistic tradition in Japan is the concept of linguistic change; there too he also
monk Keichū (1640⫺1701). Keichū was a for the first time suggested that the Japanese
member of the Shingon sect of Vajrayāna language might be in some way historically
Buddhism, one of the varieties of the religion related to the Korean language, commenting
that had its roots most deeply planted in its in detail upon similarities that he had noted
Chinese origins; but also, and most signifi- in form and meaning between a total of 62
cantly in this case, the Shingon sect always Japanese and Korean words (Lewin 1966).
maintained a lively tradition with respect to Even today, one frequently searches in vain
the ultimate Indic origins of its doctrines and for expressions in the current linguistic litera-
texts. The sect-designation Shingon, after all, ture of understanding of the historical pro-
is nothing but the Sino-Japanese version of cess in language, and of the possibility of
the Chinese translation of mantra; and in non-Japanese elements in the same, equal in
stressing the didactic, mystic, and philosophi- clarity and insight to those of Hakuseki.
cal aspects of these untranslated fragments of
Buddhist Hybrid Sanskrit, the Shingon cler-
ics naturally paid attention to details of lan- 4. The work of Motoori Norinaga
guage and pronunciation, which in turn con-
stantly kept them in touch with their Indic In more than one sense, the modern linguistic
origins. tradition in Japan begins with the work of
There can be little doubt that much of the great pioneer of the ‘national studies’
Keichū’s linguistic orientation derived from movement Motoori Norinaga (1730⫺1801;
the fact that, as just described, his Shingon J Art. 12). It is difficult to know where to
training early put him into fairly direct con- begin in summarizing Motoori’s achieve-
tact with the Indic linguistic tradition, and ments in Japanese linguistics, since his activi-
that it was thanks to this that he was able to ties ranged over such a wide spectrum of
make his major contributions toward recov- fields. He was the first to describe the func-
ering the orthographic standard for Old Jap- tioning of the grammatical suffixes that in-
anese phonology as it had predated the so- volve syntactic concord by means of discon-
called ‘Teika orthography’. tinuous immediate constituents; for this phe-
An interesting footnote to the early re- nomenon of syntactic concord he invented
cords of the linguistic tradition in Japan is the term kakari musubi, which is still widely
provided by an anonymous text entitled Ken- in use even though most modern scholarship
shuku ryōkoshū, dated in correspondence has lost sight of the sophistication of Mo-
with 1695 and written by a Kyoto author of toori’s original description. His Tenioha himo-
whom nothing else is known. Whoever he kagami (1771) is a study of the grammatical
76 IV. The Establishment of the Japanese Linguistic Tradition

enclitics of the language, and the term tenio- en of Motoori’s Mikuni kotoba katsuyō-shō
ha which he employs for the case-suffixes is (1782), in which he classified the inflected
a linguistic coinage in the best manner of the forms of Japanese into 27 sets or inflectional
Indic grammatical tradition, since the term categories. Again, his penchant for the al-
itself embodies a listing of the morphemes leged superiority of Japanese over Chinese
thus being identified, te, ni, o ⬍ *wo and ha was forced to give way before the reality of
⬍ *Fa being the principal case-suffixes. Actu- lexical demands, and he used the Chinese
ally, this term tenioha has its ultimate origins loanword e “meeting, assembly” for “inflec-
in the traditions of the schools that early de- tional category”, rather than attempt to coin
veloped in Japan for reading and interpreting a suitable Japanese term. In this treatise, Mo-
Chinese literary texts as if they were Japanese toori draws the bulk of his materials from the
texts. In this process, which was part para- classical literary language, but he also cites
phrase, part translation, it was of course first valuable examples from the spoken language
of all necessary to decide which Japanese of his time.
grammatical elements would be fitted into
what segments of the anatomy of the Chinese
passage being rendered. The earliest reliable 5. The modern period
textual citation of the coinage-term tenioha
appears to be one in the Yakumo mishō, a But before long, all the enormous promise of
treatise on poetics written by the Emperor this indigenous linguistic tradition of com-
Juntoku (1197⫺1242), who was on the prehensive, rigorous grammatical analysis
throne during the years 1210⫺21, but who of was totally wiped out by the impact of ‘West-
course followed his brief ‘reign’ with a period ern learning’ and European ⫺ initially,
of activity as a ‘Retired Emperor’, in the cus- Dutch ⫺ grammar. Tsurumine Shigenobu
tomary medieval Japanese style. The term (1788⫺1859) published his Gogaku shinsho in
tenioha becomes common in the texts of the 1833; this was the first trickle of what later
schools from 1266 on; it survives today, but became a torrent of publications that treated
now it is generally employed with no sense the Japanese language as if it were Dutch, ap-
either of its earliest meaning or of its termi- plying to it the nine parts of speech and the
nological sophistication. nine cases of the noun that were suddenly felt
Motoori was hardly a champion of Chi- to be universals, simply because they had
nese importations, to say the least, and it is been discovered in foreign books (J Art. 14).
because of this interesting to note that even Japanese scholars, needless to add, went
such a staunch proponent of Japenese superi- through appalling difficulties in the course of
ority still makes two overt references to Chi- acquiring this new information; their almost
nese even in the title of this purely Japanese superhuman efforts to master ‘European
linguistic treatise. One is the word kagami grammar’ makes all the more poignant the
“mirror”, here to be understood as a calque sad truth that in the process they were in ac-
upon Chin. chien “id.”, a morpheme semanti- tual fact doing little but shortchanging them-
cally specialized in Chinese booktitles in the selves and their cultural heritage, as they
sense of “survey, speculum”. The second is traded in their own perfectly sound linguistic
himo “cord”, which Motoori uses as his term tradition, with its important elements inher-
for grammatical elements; but in this sense ited from the traditions of China and India,
this Japanese lexial item too can best be for the entirely second-hand one of the West.
understood as embracing at least a portion Much of the important earlier work in the
of the semantic content of Chin. niu “button, Japanese linguistic tradition not only grew
knot”, which it regularly translates into Jap- out of Chinese origins, it also, as we have
anese, and which in Chinese is drawn from seen, served the practical concerns of those
the technical language of the rhyme books engaged in writing Japanese poetry, or in the
and rhyme tables. even more demanding task of teaching others
Motoori’s treatise on the grammatical ele- how to write it. This situation too was deeply
ments of Japanese arranges them into three involved with Japan’s cultural inheritance
major form-classes on the basis of the syntac- from China; there too the writing of poetry
tic concord that they display; these three was always a serious matter, and there too
form-classes embrace a total of 43 sentence- the requirements of the poetic schools played
and phrase-final elements with which Mo- an important role in the development of lin-
toori deals. Finally, some notice must be tak- guistic texts and treatises, particularly of the
11. The First Japanese attempts at describing Chinese and Korean bilingualism 77

rhyme books and tables that have yielded so peoples. In the course of these changes, Ja-
much data for the modern study of Chinese pan’s centuries-old cultural and intellectual
historical phonology. linkage with the Chinese civilization was fi-
But as Japan moved into the modern nally and completely severed.
period, and from approximately 1870 on, the The possibility that had earlier existed, of
elegant, courtly concern for the transmission somehow being able to graft the fruit of Ja-
of its antique poetic art necessarily came to pan’s indigenous linguistic accomplishments
an abrupt termination; soon it was replaced onto the once-robust root of Japan’s Chinese
by ‘education’ as the principal stimulus not heritage was now irretrievably lost. But one
only for linguistic speculation but for gram- can hardly avoid speculation, more in disap-
matical analysis as well. For newly-Western- pointment than in surprise, about what intel-
izing Japan of the Meiji period, education lectual accomplishments might have been
was seen as the one sure way in which one achieved had not the ‘modernizing’ Japan of
caught up with the West; education was the the 19th century and thereafter opted for the
way one might prevent the social and politi- mostly bogus coin of the ‘Western learning’
cal disasters that were overtaking the colos- in this field of linguistic science (J Art. 16).
sus of China from also swamping the tiny is-
land nation of Japan; and teaching (and
learning) one’s own language through the 6. Bibliography
newly discovered and supposedly rational Lewin, Bruno. 1966. “Arai Hakuseki als Sprachge-
systems of European grammars was held to lehrter”. Oriens Extremus 13.191⫺241.
be at the very heart of all education. Martin, Samuel E. 1987. The Japanese Language
Paradoxically, all this went hand-in-hand Through Time. New Haven: Yale Univ. Press.
with a growing sense of Japan and the Japan- Miller, Roy Andrew. 1975. “The Far East”. Current
ese language as somehow being unique ex- Trends in Linguistics, vol. XIII: Historiography of
pressions of the human spirit and of the hu- Linguistics ed. by Thomas A Sebeok, 1213⫺1264.
man expression, first of all as something very The Hague & Paris: Mouton.
different from anything to be found any- ⫺. 1993. Die japanische Sprache, Geschichte und
where else in the world, then finally as some- Struktur. Transl. by Jürgen Stalph et al. München:
how essentially superior to what might other- judicium verlag.
wise be assumed to be analogous develop-
ments in other countries and among other Roy Andrew Miller, Honolulu (USA)

11. The First Japanese attempts at describing Chinese and Korean


bilingualism

1. Background and some early developments tury that Japanese became proficient in deal-
2. Tokugawa period (1603⫺1867) views on ing with the Chinese language, and also be-
Chinese and Korean
3. The nature of comparisons and later
gan to employ Chinese characters (kanji) to
developments write their own language.
4. Bibliography In the course of this, literate Japanese
must have noticed various differences be-
1. Background and some early tween Chinese and their own tongue, the
developments most salient of which is the change necessitat-
ed in word order when ‘reading’ kanbun in
It is impossible to pinpoint when Japanese Japanese; this came to be indicated by vari-
(as opposed to naturalised Koreans or Chi- ous diacritical marks including the kaeriten
nese, who at first were in charge of writing in (marks showing word order). The following
Japan) first began to read and write (classi- example illustrates this process (tones abbre-
cal) Chinese (kanbun). While the import of viated):
Chinese classics and Buddhist works translat-
ed into Chinese dates back to the early 5th Chu-jen yu2 she ∨Chiang che1
century, it was probably not until the 7th cen- SO-hito ni KŌ wo wataru hito ari
78 IV. The Establishment of the Japanese Linguistic Tradition

“There was a man from Chu who crossed the logical dictionary of Japanese, Tōga (MS
Yangze river” about 1719, published 1903). In the introduc-
Apart from the particles (in italics) added in tion, the author provides the general context:
the Japanese ‘reading’, the Chinese charac- He stresses (Arai, Tōga 6f.) that Japanese has
ters are identical, but read in either Sino-Jap- long been influenced by Korean, Chinese and
anese (capitals, so-called on readings) or as Sanskrit (more recently also by Western lan-
Japanese translation equivalents (so-called guages), and (ibid. 7f.) that Japanese is unri-
kun readings). The subscript symbols indicate valled in its paucity of sounds, whereas West-
the changes in word order required for the ern languages (his information is mainly
Japanese reading (∨ indicates that order based on his questioning of the Italian mis-
needs to be inverted). sionary Sidotti, who had been arrested for il-
Japanese scholarly traditions soon legally entering the country) have a very rich
emerged, and commentaries and dictionaries inventory, followed by Chinese. Regarding
were produced, focusing on the readings
Korean, he examines the theory that the Jap-
(often including tones) and meanings of kan-
ji. Clearly, this was furthered by the scholars anese 50-sound chart, which is also known
and priests who went and studied in China by the name of Tsushima iroha [Tsushima
as part of the official envoys that were sent kana], was brought to Japan by a Southern
there between 630 and 894. Chinese nun via the island of Tsushima [an
The first comparisons of Japanese with a island in the Japan Sea, positioned between
foreign language concerned in fact the de- Japan’s southern island Kyushu and the Ko-
scription of Sanskrit sounds (letters) as part rean peninsula], in which case she can be as-
of the (originally Chinese) tradition of Sid- sumed to have come through Korea. How-
dham studies, in the 9th century. The ar- ever, as the Korean language has sounds that
rangement of the so-called 50-sound table, Japanese lacks he finds this theory implausi-
which orders the 48 letters of the Japanese ble (ibid. 8).
kana syllabary by initial and final, is influ- Arai considers words that appear to be na-
enced by both the Sanskrit alphabet (in the tive Japanese, when in fact they derive from
order of vowels and consonants), and by the
Sino-Japanese. His examination of the exam-
Chinese fan-qie system of indicating the ini-
tial and final of an unknown character by ples kure from Sino-Japanese go and aya
two others (J Art. 5). Rime tables by Japan- from kan gives an insight into the breadth of
ese for composing Chinese poetry, such as the his scholarship and the methodology he em-
14th century Shūbun Inryaku also appeared ploys: having first restated the point that
(J Art. 6). there is no country with sounds as few as Ja-
Medieval works on Japanese poetry con- pan, he quotes an analysis of the sounds of
tain some basic comparisons with Chinese, the Chinese characters according to rime ta-
e. g. the Teniha Taigaishō (14th⬃15th centu- bles (go ⫽ jidaku [Chinese tz’u cho, voiced
ry) says (in kanbun) “Teniha (grammatical aspirated], kan ⫽ jisei [Chinese tz’u ch’ing,
particles) in Japanese poetry are the okiji unvoiced aspirated]), and points out that
[Chinese particles that are not read in Japan- these sounds have no equivalent in Japanese,
ese] of China” (Anon., Teniha Taigaishō 41), i. e., cannot be pronounced correctly. There-
and the Anegakōjike Tenihaden (14⬃15th cen- fore kure and aya can be seen to be Japanese
tury) comments that “in China, particles are
read and understood in straight order, in Ja- approximations of the Chinese pronuncia-
pan, in changed order; therefore, the mean- tion. In the course of this argument, he gives
ing is not clear if the particles are incorrect” the characters’ contemporary Chinese pro-
(Anon., Anegakōjike Tenihaden 63), a refer- nunciation in katakana (as wū and hānu). In
ence to the different basic word order of the the case of kan, he assumes an intermediate
two language (note that in the latter com- stage ana, in support of which he points out
ment classical Chinese, not Japanese, is the the existence of both ana and aya in the 8th
standard of comparison). century Nihongi as readings of that character
(ibid. 15).
2. Tokugawa period (1603⫺1867) Similar methods, supplemented by infor-
views on Chinese and Korean mation on dialects, are used in his consider-
ation of Korean-derived vocabulary. He
2.1. Confucian and Chinese scholars’ views takes up (ibid. 15) the example of wata “sea”
The Confucianist scholar and politician Arai that is read as papai in a old commentary of
Hakuseki (1657⫺1725) compiled an etymo- the Nihongi, by adducing a Korean dialect
11. The First Japanese attempts at describing Chinese and Korean bilingualism 79

form patai. Under the entry umi “sea”, he Minagawa attaches importance to what he
gives more details: calls gosei, which he defines (ibid 19ff.) as the
meaning arising from a combination of char-
“Reading [the kanji for] umi as wata appears to be
a Korean dialect. The form hotai for umi in the acters (words) and the resulting changes in
Nihongi is Paekche dialect. I understand that even their effect on each other; the essence of it is
now in colloquial Korean they say patahi” (ibid. the meaning of a character/word. However,
56). he uses this in a different sense from the usual
‘dictionary meaning’, which only explains a
It is a well-known characteristic of Tōga that word with reference to another, thereby ob-
many words (82, according to Ryo 1980: 8) scuring the finer differences between them.
are related to Korean, although it was not With reference to his three word classes,
the first work to do so. he points out (ibid. 20f.) that the meaning of
Ogyū Sorai (1666⫺1728), who influenced jitsuji is easiest to understand, whereas kyoji
kokugaku “national learning” scholars such are a little more difficult, and joji the most
as Motoori Norinaga (J Art. 12) through his difficult.
pupil Hori Keizan, takes a new approach in The bulk of the work consists of a detailed
his Yakubun Sentei (MS 1711, first 6 vols. account of the use of 65 joji, with over 4 pag-
published 1715) in that he criticises the tradi- es on average devoted to each. In line with
tional Japanese way of ‘reading’ Chinese his way of thinking outlined above, the au-
texts by using Japanese translation equiva- thor refrains from giving established Japan-
lents; he points out (Ogyū, Yakubun Sentei ese ‘readings’, explaining instead their use in
547) that “these people think that they are colloquial Japanese, illustrating it with exam-
reading the text when in fact they are ples from classical Japanese poetry. To give
translating it”. He goes on to say that Japan an example of his approach, the joji yeh(3) is
has its language, and China its own, both dif- explained as follows:
ferent in character. How can they be expected
to match cleanly? He gives examples of Chi- This too is a word used at the end of a sentence,
nese characters (especially his so-called josei, equivalent to the meaning of ja as used in kore ha
sore ja, kayafu no koto ja “this is that, it’s that kind
or teniwoha, i. e. particles) that have no of thing” etc. that is so commonly used in Japanese
equivalent in Japanese, and stresses (ibid. […] Kokinshū [9th century anthology of poetry],
548) that words assume different meaning de- Spring, Vol. 1: Haru no yo no yami ha ayanashi ume
pending on context. Ideally he would (ibid. no hana iro koso miene ka ya ha kakururu “The
549) abolish reading Chinese in Japanese or- darkness of a spring night is of no avail ⫺ although
der with time-honoured Japanese equiva- the colour of the plum blossoms is invisible, how
lents, especially as such established readings could their scent be obscured?”. This ayanashi
are often archaic and have changed their means “useless”; after ayanashi, in Chinese one
would use the word yeh(3) (Minagawa, Joji-shō-
meaning, making it difficult to understand
kai 33).
them, but as this practice is too deeply root-
ed, he proposes new ways of translating char- After several more examples from Japanese
acters/words (ibid. 549⫺551). The bulk of the poetry, he then gives examples from Chinese
work in fact takes the form of a character poetry and prose, with explanation of
dictionary, where the meanings of (mostly context and meaning, and partial Japanese
single) characters are explained in plain Jap- translation.
anese.
Minagawa Kien (1734⫺1807), scholar of 2.2. Comparisons of Chinese and Japanese
Chinese and elder brother of the Japanese by kokugaku scholars
grammarian Fujitani Nariakira, wrote a Scholars of National Learning (kokugaku)
number of works on Chinese, including Kyo- are characterised by a much more ethno-
ji-kai (1783), Jitsuji-kai (1791) and Joji-shōkai centric view. Kamo no Mabuchi (1697⫺
(1811), reflecting his tripartite word class di- 1769)’s Goikō (first MS ca. 1760, completed
vision into jitsuji “nouns”, kyoji “verbs and 1769, published 1789) compares China, India
adjectives”, and joji “grammatical elements”. and Japan as follows:
In the Introduction of Joji-shōkai, he ex- The land of the rising sun [Japan] is a country
plains joji as follows: “What is called joji which forms words from 50 sounds, and communi-
should be understood as the equivalent of cates everything by word of mouth, whereas the
teniwoha as used in the Japanese language” land distant from the sun [China] is a country
(Minagawa, Joji-shōkai 9). which distinguishes everything by letters, while the
80 IV. The Establishment of the Japanese Linguistic Tradition

land of the setting sun [India] writes letters for readings, his stance has become even more
about 50 sounds, and uses these for everything radical. In the section The regularity of Ja-
(Kamo no, Goikō 145). pan’s sounds he writes as follows, having first
He even links such phenomena to national remarked that Japan is superior to all nations
character, finding a convenient way of ex- on account of it being the land of the sun
plaining the small sound inventory of the goddess.
Japanese language: All things and affairs are outstandingly beautiful,
but particularly the regularity and beauty of the
[…] because the Chinese like ingenuity, one sound
sounds of the people’s language is far superior to
contains many meanings, and things do not work
all other countries. Its sounds are pure and bright,
without letters, but it is hard to make up letters for
as if one were looking at a cloudless sky during the
thousands or myriads of sounds. As the Indians
day. They have no dullness, and are straight and
enjoy passionate feelings, both things and sounds
simple without any turns and twists ⫺ truly the
are as a consequence plentiful, and they also ap-
pure and refined sounds between heaven and earth
pear to use letters, but the reason why they devised
(Motoori, Kanji San’onkō 381).
expressing myriad things with letters that are
equivalent to only 50 sounds is because they can- He goes on to support this with reference to
not suppress their passionate feelings. Because in the fact that old Japanese had no voiced
Japan people’s hearts are honest, things are few sounds, and the regularity of the 50-sound ta-
and consequently words are few, too; because
things and words are few, there is no confusion and
ble. In his thinking, any sound outside these
forgetting, and therefore the 50 sounds arising nat- 50 sounds is mixed and impure, and akin to
urally from heaven and earth are sufficient (ibid.). the sounds of wild animals and other sounds
found in nature. In the next section On the
Kamo’s pupil Motoori Norinaga (1730⫺ language of Japan, he further makes the point
1801) studied Chinese (kangaku) with Hori that although Japanese has only 50 sounds,
Keizan, and besides numerous works on Jap- in combination they can express everything,
anese produced a number of works dealing and are therefore neither too few nor too
with Chinese characters, including Mojigoe many in number.
Kanazukai (1776) and Kanji San’onkō (1785). In the section The impurity of foreign
The Mojigoe Kanazukai, which deals with sounds, he gives concrete examples support-
the correct use of kana for Sino-japanese ing the above arguments as follows (sounds
words, has a brief introduction in 8th-century transliterated from Motoori’s katakana):
Japanese style, where Motoori comments on
the object of his study as follows. All foreign sounds are unclear, like viewing a
cloudy evening sky. Therefore, aa also sounds like
As the pronunciation of Chinese characters is an oo … There are also many twisted sounds, as in the
imitation of the foreign sounds of that people, not recent Chinese pronunciation for East-West, which
in the least similar to the refined sounds of Japan, sounds like ton suwi, where to is mixed up with n,
they sound filthy when sung, and lowly when recit- and su with wi; furthermore, there is a twist from
ed, for which reason they were not at all mixed to to n, and from su to wi (ibid. 383).
[with Japanese] in old Japan. However, since Chi-
nese books have long been transmitted to Japan, Having given various further illustrations, in-
people have grown used to reading them and as cluding reference to the nasal sound n “which
time passed no longer thought of them as filthy is totally produced from the nose, and not an
and lowly. They have not only permeated everyday oral sound at all” (ibid. 384), he concludes:
language, but even entered Japanese poetry a little,
The various sounds discussed are akin to the
so that in the end they are now no longer felt to
sounds of wild animals and other natural sounds,
be foreign. As nowadays many words seem to be
and impure. To differing degrees this is true of all
coined in Sino-japanese, people often don’t know
foreign contries, but as this work concerns the
the right kana for them, but there is no work that
sounds of kanji, I have dealt with those (ibid.).
can be consulted; as there are many easily confused
instances, I have checked many sources to establish In the miscellany Tamakatsuma, Motoori dis-
the correct usage and made a collection of exam- cusses (classical) Chinese language, this time
ples, made some arguments about their use, and based on what he perceived as modifying-
put them together in this volume (Motoori, Moji-
modified differences (section Language use
goe Kanazukai 322).
in China).
Here, the empathy is very much with native Compared to the Japanese language, Chinese is
Japanese, while Sino-japanese is grudgingly very rough. For instance, the expression han(3)
accepted as a necessary evil. In the Kanji San- yen(2) is expressed in Japanese as mare ni ifu “rar-
’onkō, a treatise on the three types of kanji ely say”, or ifu koto mare nari “it is rare to say”,
11. The First Japanese attempts at describing Chinese and Korean bilingualism 81

which are different in meaning. In mare ni ifu the after there is a long lapse, until Hideyoshi’s
main part, i. e. “say [something], which is by the invasions of Korea during the last decade of
way a rare thing”; in ifu koto mare nari, on the the 16th century, and the ensuing diplomatic
other hand, mare is the main part, i. e. “it is a rare negotiations between the two countries
thing to say [something]” (Motoori, Tamakatsuma
446).
brought about renewed interest.
This interest was expressed in various
Motoori’s pupil Suzuki Akira (1764⫺1837) forms. From the end of the 16th century, ety-
justifies his choice of topic at the beginning mological and other dictionaries of Japanese
of Gengyo Shishuron “Treatise on the four make frequent references to Korean. We al-
classes of words”, written in the 1790s, but ready saw an instance of this in Arai’s Tōga,
not published until 1824): but many others, such as Keichū’s Enjuan
The division into four word classes largely applies Zakki (MS 1699), Kaibara Ekiken’s Nihon
to all languages, but abroad [⫽ China], this is a Shakumyō (1700), Ogyū Sorai’s Narubeshi
division in substance only. In Japan, there is a very (MS 1736, publ. 1762) and Tanikawa Koto-
clear formal division by means of teniwoha [i. e. in- suga’s Wakun no Shiori (first instalment pub-
flectional endings] (Suzuki, Gengyo Shishuron 3f.). lished 1777) contain references to Korean.
He goes on to explain the differences with Some, like Motoori, thought that in some
Chinese in more detail: cases this was taken too far. In the entry Cas-
es where Japanese and foreign words happen
Words consisting only of content words (shi) with- to be similar or identical in Tamakatsuma
out teniwoha attached are tai no shi [i. e. substance (136), he cautions those who want to derive
words, or nouns], those with changing teniwoha
ending in the second rhyme [i. e. -i] are arikata no
everything from Korean or Chinese:
shi [i. e. words indicating shape, or adjectives], and Of those words that are the same as current Ko-
those ending in the third rhyme [i. e. -u], are shiwa- rean, tera “temple” and kohori “administrative dis-
za no shi [i. e. action words, or verbs]. Because in trict” have in fact been adopted from Korean; as
China there are no inflectional endings, the distinc- formerly, the three [ancient] Korean kingdoms
tion between these three classes exists only in were subjacent to Japan and were sending tributes,
meaning, not in the form of the word. As they are naturally words from that language may have been
all like our nouns, their meaning can naturally get transmitted, and things which were not formerly
easily confused. The reason why the words in their known in Japan and brought here from that coun-
classics are hard to understand is because all words try may have been continued to be called by the
lack the workings of teniwoha [here: inflection], name used there. There may also have been Japan-
making it often very difficult to tell whether some- ese words that Koreans used and became part of
thing refers to the past, present or future, or whe- that language and remained part of it until now,
ther it is declarative or imperative. Therefore, in but it is a mistake to think that all these words
the commentaries many different explanations are came from there. For instance, “mother” was for-
found, which hardly ever agree with each other. It merly occasionally called omo; the Confucianists,
is when we consider the detailed teniwoha of our as usual, maintain that this came from the charac-
inflected words that we understand that the noble ters read [in Sino-Japanese] amo, but that is incor-
and wonderful spirit of our language can never be
rect, it is an old indigenous word. In the songs
equalled by the languages of other countries (ibid.
from the Eastern provinces in the Man’yōshū it is
14ff.).
also read amo, but that is not based on Chinese
In the section On teniwoha, he continues his amo, but is the Eastern pronunciation of omo. They
comparison with Chinese: also claim that instances of words used in colloqui-
al Japanese, which happen to look like words
Teniwoha are equivalent to what in China are found in the Chinese classics, are taken from there,
called gosei, goji, joji, tanji, hatsugoji, or go no yosei for instance recently someone said that kaka for
etc. Ji are also called jiki, and are the voice of the “mother” came from classical Chinese, where
mind. Chinese particles are however very coarse, sometimes kaka [Sino-Japanese] is used, but that is
and in no way comparable to the way Japanese very far off the mark, because how could contem-
teniwoha are refined and detailed, with fine distinc- porary Japanese know and use a word that was
tions in their logic, and well-defined rules. The only rarely used in some ancient book in China? It
reason why our language is superior to that of all is a very strange thing that Confucianists these
other countries is precisely because of the excel-
days when they come across some words that were
lence of these teniwoha (ibid. 16f.).
occasionally used in some very old Chinese book
2.3. Early accounts of Korean seem to claim that they all hail from there.

Korean words are quoted in the 8th century Another area attracting scholars’ interest was
Nihongi, at a time when Japanese-Korean the Korean script, or hankul (at the time, gen-
comings and goings were frequent. There- bun or onmon in Japanese; J Art. 9).
82 IV. The Establishment of the Japanese Linguistic Tradition

For instance, Aoki Kon’yō (1698⫺1769), to a team of interpreters, which was to devel-
who first studied Confucianism with Itō Tō- op into a hereditary guild.
gai before becoming a Dutch studies (Ranga- As already noted, the focus of interest in
ku) scholar, introduces a table of nine basic comparisons with Korean in etymological
letters and their names, and the most com- dictionaries of Japanese at the time was on
mon combinations with their pronunciation vocabulary. This is also evident in the record
in katakana: “Korean onmon are as shown in of a conversation between Arai and Ameno-
the following. […] In Korea, books are mori on the Korean language, as recalled by
translated into onmon for popular and easy Arai:
reading” (Aoki, Kon’yō Manroku 40). Amenomori Tōgorō’s account of Korean.
Yamaoka’s encyclopedia Ruiju Meibutsukō On the 18th November of Kanoe Uma [1714],
has a section on sounds and letters; in the Amenomori Tōgorō visited. I asked him: “It seems
entry on onmon, the author speculates on that the words of colloquial Korean are the same
their derivation: “The shape of the letters as Japanese ⫺ what do you think?” He replied: “I
may be based on Sanskrit letters; they are dif- can think of four or five examples where they are
ferent from Manchurian script, and in Ryu- identical. Yanagi-gori “willow basket” is called
kori, written with the Chinese characters kao-lao
kyu yet another script is used” (Yamaoka,
but read kori. Also, kama “pot” is called kama in
Ruiju Meibutsukō VI, 35). colloquial language, and kabuto “helmet” is called
Only rarely are comments about similari- kabuto. There are others like that, but I have for-
ties between Japanese and Korean found, as gotten them” (Arai, Taishiroku 587⫺88).
in the taikō “fundamentals” of Tanikawa
Kotosuga’s (1709⫺1776) dictionary Wakun In Amenomori’s thinking, the study of Ko-
no Shiori, but even they are made in connec- rean occupies a prominent place. He outlines
tion with the writing system: his approach in the preface to the Zen’ichi
Dōjin (MS dated 1729):
In the Korean way of reading [kanbun] there are
josei “particles”, which are like our teniwoha. There Who in our country who is concerned with official
is also something like our iroha [kana] called on- business does not aspire to learning Korean? But
mon, written in small size along the side of [Chi- as there are no books or guidance for it, one can
nese] characters indicating their readings; the only lament the lack of any direction. Therefore I
sounds of the characters are different but the way have compiled four works; first, one reads Inryaku
of reading is no different from ours […] (Tanikawa, Onmon to get to know the letters and how to read
Wakun no Shiori 34). them, next, Shūsaku Gagen to get to know the
words, Zen’ichi Dōjin to cultivate the mind, and
These scholars clearly had an interest in the Teiku Iwan to get proficient in (language) use. […]
Korean language and writing system, but did (Amenomori, Zen’ichi Dōjin 78).
not have a working knowledge of the Korean Unfortunately, of the above tetralogy for
language. That was a characteristic of those learning Korean only Zen’ichi Dōjin survives.
concerned with intermediating and interpret- Judging from the above titles and description
ing in Japanese-Korean diplomatic relations, of contents, it appears to be the work least
who at the time were largely confined to the concerned with the language itself, at-
Tsushima clan. tempting instead “to cultivate the mind”. In
fact, it contains a selection of moralist tales
2.4. Amenomori Hōshū and the study of
by a Ming-period Chinese playwright Wang
Korean
Ting-Nei alias Chuan-yi Dao-jen (Zen’ichi
Probably the first prominent Japanese to Dōjin in Japanese pronunciation), probably
acquire fluent Korean, Amenomori Hōshū translated from the Chinese into Korean by
(1668⫺1755), having first studied Chinese Amenomori.
with the Confucian scholar Kinoshita Jun’an, Judging from the above quotation “first,
joined the service of the lord of the Tsushima one reads Inryaku Onmon to get to know the
clan as a Confucianist. He lived for most of letters and how to read them”, Amenomori
his life on Tsushima island after settling there considered the study of hankul to be the first
in 1693, but during that time also spent a step towards learning Korean. However, the
number of years in Korea to learn the lan- format of Zen’ichi Dōjin does not follow that
guage. Apart from being in charge of educa- approach in that sentences are first given in
tional matters on the island, he worked on Korean, transliterated in katakana, with han-
the diplomatic relations between the two kul frequently given alongside it, followed by
countries while passing on his Korean skills a Japanese translation.
11. The First Japanese attempts at describing Chinese and Korean bilingualism 83

The author himself explains this format in The Kōrin Shuchi is organized in tradi-
the introductory remarks as follows: tional dictionary form, arranged by subject.
Entries are single or compound Chinese char-
[…] this is merely a shortcut for guiding the stu-
dent, and not the correct way of creating proficient acters, followed by a Korean example sen-
people. The only way to do that is to select bright tence using the word, written in vertical han-
persons, send them from age seven or eight to Ko- kul. To the right or left of the hankul is a
rea, and get them to learn the language using han- parallel Japanese translation, in the begin-
kul from the start (ibid. 78). ning in katakana and kanji mix, later with ka-
takana on the left and Chinese characters
He goes on to say that words written in han-
that correspond to Chinese loanwords in Ko-
kul are not always pronounced as they are
rean on the right. There are no introduction
written, and quotes examples (e. g. han-rim
or notes comparing the two languages.
becoming in katakana transliteration haru-
Other works of a similar format include
rimu, i. e. hal-lim, MS: 8) after pointing out
the Ringo Taihō “Outline of the neighbouring
similar instances in Japanese, and notes that
country”, which appears to have been used
even Korean boys make mistakes in reading
for the study of Korean during the latter half
the script correctly, wherefore it is necessary
of the Tokugawa period, but was also printed
to have sufficient knowledge of the phonetic
in Korea for the study of the Japanese lan-
rules before attempting to read texts entirely
guage. Essentially, the format of the above-
in hankul.
mentioned works seems to be based on the
Amenomori also comments (with some
17th century Korean textbook of Japanese
irony) on phonetic differences between the
Chephai Sin.e and the dictionary Way.e Lyu-
two languages.
hai.
Although Koreans cannot pronounce voiced Occasionally, Amenomori comments on
sounds, they used to be famous for being able to differences between the languages he knows
speak well older forms of Japanese. According to (Korean expressions given in katakana, and
what the [Korean] interpreters say, today’s young transliterated here from the same):
judges lack that aspiration, and say that it is funny
that they pronounce even easy words such as ko- Spoken Japanese is long-winded and lax. For in-
sarimasu [i. e. gozarimasu] as kosarimasu. These stance, sō de gozarimasu “that is so” is in spoken
speakers themselves think that they are pro- Korean, kuritsusoi, which is short and compressed.
nouncing things correctly, but to Japanese ears In spoken Chinese, it is just one character. In spo-
they all sound like kosarimasuru, which is funny. ken Japanese, sō arite kara “thereafter” is long-
One must realise that the same sort of thing hap- winded and lax. In spoken Korean, kurihataka is
pens when Japanese speak Korean (ibid 14⫺15). short and compressed. In spoken Chinese, it is just
one character. In this way, there are great differ-
Besides being a text for familiarizing the ences between the various languages (Hōshū Buns-
reader with the Confucian way of thinking hû, as quoted in Ogura 1920: 153).
prevalent in Korea, Zen’ichi Dōjin was obvi-
ously also intended as a textbook for learning
the language. 3. The nature of comparisons and
later developments
After reading Zen’ichi Dōjin in the kana version
and having memorised it well, one should study it As shown above, comparisons of Japanese
again in the hankul version with a Korean person; with Chinese were attempted by Confucian/
otherwise one will not master real Korean (ibid.
Chinese scholars on the one hand, and koku-
14⫺15).
gaku scholars on the other. The former con-
The most widely used text for the study of centrated on etymology and how to render
Korean in Tokugawa/Meiji Japan is said to grammatical elements in Japanese, but tend-
have been Kōrin Shuchi “Essential knowledge ed to compare things objectively, especially in
for neighbourly contacts”, which is attribut- the person of Arai Hakuseki, who often
ed to Amenomori Hōshū. Having circulated blamed opaque etymologies on the inability
in copied manuscript form (no author given of Japanese to accommodate foreign sounds
in surviving manuscripts), it was eventually because of its poor sound inventory. Kokuga-
printed by Japan’s Foreign Ministry, which ku scholars views are much more biased in
had taken over the responsibility of further- favour of Japanese, accusing Chinese (and
ing Korean language studies, in 1881 (under other languages) of being impure because of
Amenomori’s name), and later variously in their larger sound inventory, and morpholog-
revised form. ically (and semantically) unrefined because
84 IV. The Establishment of the Japanese Linguistic Tradition

they lack the agglutinative morphology of Anon., Teniha Taigaishō. 14⬃15th century. Tran-
Japanese, an approach that echoes the argu- scription Kokugogaku Taikei, vol. VII. Tokyo: Ko-
ments trying to prove the superiority of Indo- kusho Kankōkai, 1975.
European languages over isolating and ag- Aoki, Kon’yō, Kon’yō Manroku. 17th century. Ni-
glutinative ones by European scholars such hon Zuihitsu Taisei, first series, vol. XX. Tokyo:
Yoshikawa Kōbunkan, 1976.
as the Schlegel brothers and A. Schleicher in
the 19th century. Arai, Hakuseki, Tōga. Ms. 1719. Arai Hakuseki,
Early comparisons with Korean were vol. I. Nihon kyōiku shisō taikei, vol. X. Tokyo: To-
kyō Nihon Tosho Sentā, 1979.
much more limited, which was initially due
to the limited knowledge of the language, re- ⫺, Taishiroku. No date. Arai Hakuseki, vol. II. Ni-
hon kyōiku shisō taikei, vol. X. Tokyo: Tokyō Ni-
sulting in reference to the vocabulary and
hon Tosho Sentā, 1979.
writing system (the emphasis of research was
more on Korean institutions and customs). Kamo no, Mabuchi, Goikō. 1789. Zenshū [Collect-
ed Works], vol. XIX. Tokyo: Zoku Gunsho Ruijū
Later, language textbooks were compiled; Kanseikai, 1980.
some key works here were lost, so we do not
Minagawa, Kien, Joji Shōkai. 1811. Facsimile. To-
really know whether there existed any struc- kyo: Benseisha Bunko, 1978.
tural comparison between the two languages,
Motoori, Norinaga, Mojigoe Kanazukai. 1776. Mo-
but from what survives it appears that the
toori Norinaga Zenshū [Collected Works], vol. V.
study of Korean took place in the form of Tokyo: Chikuma Shobō, 1968.
side-by-side translations of text, without any
⫺. Kanji San’onkō. 1785. Motoori Norinaga Zenshū
grammatical explanations. This can be ex- [Collected Works], vol. V. Tokyo: Chikuma Sho-
plained by the tradition of learning by rote bō, 1968.
without analysis (recall Amenomori’s above- ⫺. Tamakatsuma. No date. Motoori Norinaga Zen-
quoted advice “After reading Zen’ichi Dōjin shū [Collected Works], vol. I. Tokyo: Chikuma
in the kana version and having memorised it Shobō, 1968.
well, one should study it again in the hankul Ogyū, Sorai, Yakubun Sentei. Ms. 1711. Zenshū
version […]”), but also the structural similari- [Collected Works], vol. II. Tokyo: Misuzu Shobō,
ty of the two languages, which made the side- 1974.
by-side translation format possible. Suzuki, Akira, Gengo Shishuron. 1824. Facsimile
Structural comparisons with Korean did Gengo Shishuron, Gago Onjōkō, Kiga. Tokyo:
not take place until well into the modern Benseisha Bunko, 1979.
Meiji period (1868⫺1912), when scholars like Tanikawa Kotosuga, Wakun no Shiori, introduc-
Ōya Tōru and Kanazawa Shōzaburō began tory volume. 1777. Facsimile Tokyo: Benseisha
researching these aspects, using Western Bunko, 1984.
methodology. Yamaoka, Matsuake. Ruiju Meibutsukō. 1779. To-
kyo: Kondō Kappanjo, 1904.

4. Bibliography 4.2. Secondary sources


Kaiser, Stefan, 1994. “Japan: History of Linguistic
4.1. Primary sources Thought”. Encyclopedia of Language and Linguis-
tics 1800⫺1804. Oxford: Pergamon Press.
Amenomori, Hōshū, Zen’ichi Dōjin. 1729. Facsimi-
le of ms. and part-transcription Zen’ichi Dōjin no Ogura, Shinpei. 1920. “Amenomori Hōshū no
kenkyū. Ed. by Kyoto Daigaku Bungakubu Koku- Chōsen gogaku [Amenomori Hōshū’s Korean Lan-
gogaku Kokubungaku Kenkyūshitsu. Kyoto: Kyo- guage Studies]. (Repr. Ogura Shinpei Hakushi Cho-
to Daigaku Kokubungakukai, 1964. sakushū ed. by Kyoto Daigaku Bungakubu Koku-
gogaku Kokubungaku Kenkyūshitsu. Kyoto: Kyo-
⫺, attr., Kōrin Shuchi. No date. Facsimile of ms. to Daigaku Kokubungakukai, 1975.)
Kōrin Shuchi, honbun, kaidai, sakuin. Ed. by Kyoto
Ryo, Sang-hee. 1980. Edo-jidai to Meiji-jidai no Ni-
Daigaku Bungakubu Kokugogaku Kokubungaku
hon ni okeru Chōsengo no kenkyū [Korean Lan-
Kenkyushitsu. Kyoto: Kyoto Daigaku Kokubun- guage Studies in the Edo and Meiji Periods in Ja-
gakukai, 1966. pan.] Tokyo: Seikō Shobō. (English summary,
Anon., Anegakōjike Tenihaden. 14⬃15th century 314⫺305.)
Transcription Kokugogaku Taikei, vol. VII. Tokyo:
Kokusho Kankōkai, 1975. Stefan Kaiser, Tsukuba (Japan)
12. Sprache und Denken in der japanischen Sprachforschung während der Kokugaku 85

12. Sprache und Denken in der japanischen Sprachforschung während


der Kokugaku

1. Einleitung das dadurch extrem erschwert wurde, daß


2. Keichū (1640⫺1701) das Japanische in Sprache und Schrift durch
3. Kamo Mabuchi (1697⫺1796) das Medium des Chinesischen überlagert und
4. Motoori Norinaga (1730⫺1801) verdeckt wurde, führte durch eine intensive
5. Fujitani Nariakira (1738⫺1779)
6. Motoori Haruniwa (1763⫺1828)
Beschäftigung mit den altjapanischen Texten
7. Suzuki Akira (1764⫺1837) zu einer Vervollkommnung der linguistischen
8. Tōjō Gimon (1786⫺1843) Methoden und zu zahlreichen, bis heute be-
9. Schluß achteten literaturwissenschaftlichen und lin-
10. Bibliographie guistischen Ergebnissen. Als Hauptarbeitsfel-
der der Philologen galten die Orthographie,
die Phonologie, die Etymologie, die Lexiko-
1. Einleitung logie, die Morphologie, die Grammatik und
die Stilistik.
Kokugaku, die sog. Nationale Wissenschaft,
gilt als Höhepunkt der traditionellen japani-
schen Sprachwissenschaft während der Edo- 2. Keichū (1640⫺1701)
Zeit (1603⫺1868). Die starke Reaktion auf
die Überfremdung durch den Einfluß der chi- Als Wegweiser für die vergleichend-histori-
nesischen Kultur und Sprache auf Japan sche Art des Herangehens an die Sprachana-
führte zu einer nationalistischen Geisteshal- lyse gilt die Bearbeitung der Gedichtsamm-
tung seit dem ausgehenden 17. Jh. Durch die lung Manyōshū “Sammlung aus zehntausend
Rückbesinnung auf die japanischen Wurzeln Generationen” (8. Jh.) des buddhistischen
entstand die Kokugaku-Philologie als eine re- Mönchs Keichū mit dem Titel Waji shōranshō
ligiöse, poetische, philologische und histori- “Traktat zur Richtigstellung der japanischen
sche Wiederbelebung des altjapanischen Gei- Schrift” (1693, gedruckt 1695). Als Fortfüh-
stes. Im 18. Jh. beschäftigten sich sehr viele rung der Lautforschung der japanischen
Wissenschaftler mit der altjapanischen Spra- Sanskritistik (shittangaku) und der poeti-
che und in diesem Zusammenhang mit der schen Orthographiestudien des Mittelalters
Segmentierung und Erforschung der japani- (kanazukai “Gebrauch der Silbenschriftzei-
schen Sprache in räumlicher, zeitlicher und chen”) systematisierte Keichū die historische
sozialer Hinsicht. Die frühere Blütezeit der Silbenschriftorthographie auf der Basis der
japanischen Sprachwissenschaft ist die Fünfziglautetafel (gojūonzu).
Heian-Zeit (794⫺1185), in der erst einmal die Die Silbenschrift, deren vollständige Aus-
Adaption der chinesischen Schrift auf die ja- bildung im 9. und 10. Jh. geschah, divergierte
panische Sprache morphologisch, semantisch bereits am Ende der Heian-Zeit (11.⫺12. Jh.)
und grammatisch vollzogen wurde. Die hö- stark von der Aussprache. Die Lautverände-
fische und klösterliche Beschäftigung mit chi- rungen betrafen viele Lautgruppen. Zu or-
nesischen und japanischen Texten brachte in- thographischen Problemen führten besonders
teressante poetologische, semasiologische der Schwund der bilabialen und palatalen
und orthographische Resultate mit sich. Im Halbvokale /wo/ ⬎ /o/, /wi/ ⬎ /i/, /we/ ⬎ /e/
Mittelpunkt der Aufgaben der japanischen oder /ye/ ⬎ /e/ und die Veränderung des in-
Philologie, die in der Heian-Zeit noch im we- lautenden /Fa/, der im Altjapanischen noch
sentlichen nach der chinesischen Philologie als /*pa, *pi, *pu, *pe, *po/ klang und über
ausgerichtet war, standen normative und bilabial /Fa, Fi, Fu, Fe, Fo/ schließlich im
kommentatorische Fragen. 12. Jh. über Verstimmhaftung weiter zu /wa,
Nach Auffassung der Vorreiter der Koku- wi, wu, we, wo/ geworden ist. Die Entstehung
gaku-Philologie sollte die japanische Staats- von Silbenschlußvokalen sowie langen und
idee durch die Erklärung der Sitten der alten palatalisierten Konsonanten führte zu weite-
Zeit und der Wörter des Altertums rekonstru- ren Abweichungen von Laut und Schriftbild.
iert werden, um den verlorenen Weg der Göt- Seit der Heian-Zeit sind mehrere Regel-
ter wiederherzustellen, der wegen des chinesi- bücher für die Beseitigung des orthographi-
schen Einflusses auf die japanische Kultur schen Durcheinanders entstanden, die als Ba-
verlorengegangen sei. Dieses Unterfangen, sis für Keichūs Studien galten. Keichū ging
86 IV. The Establishment of the Japanese Linguistic Tradition

jedoch über die Methoden seiner Vorgänger geworden. Seine philologische Schule grün-
weit hinaus, indem er die Kana-Orthographie dete er in Edo (im heutigen Tokyo). Die Kon-
auf ihre Ursprünge, auf die Manyōgana- zeption der Erforschung der nationalen Kul-
Schreibung (“entlehnte Schriftzeichen des tur und Sprache legte er in fünf Abhandlun-
Manyōshū”) etymologisch zurückführt. gen dar: Bunikō “Abhandlung über die Be-
Durch die genaue Gegenüberstellung der Zei- deutung der Literatur” (1747), Kokuikō “Ab-
chen gelangte er zu den Schwachstellen des handlung über die Bedeutung des Reiches”
Systems. Die grundlegende Frage lautete für (1767), Shoikō “Abhandlung über die Bedeu-
ihn jedoch nicht, welche Kana am besten den tung der Schriften” (1767), Goikō “Abhand-
damaligen Lautwert wiedergeben, sondern lung über die Bedeutung der Sprache”, mit-
mit welchen einzelnen Silbenzeichen die Wör- unter rein japanische Lesung des Titels ⫺ Ko-
ter auch in der Hiragana-Schreibung durch toba no kokoro no kōgae (1769), Kaikō “Ab-
das Schriftbild bedeutungsmäßig unter- handlung über die Bedeutung der Dichtung”
scheidbar sind. Seine etymologisch unantast- (1769).
bare Orthographie konnte die Abweichungen In diesen Abhandlungen betrachtet er das
zwischen Schrift und Lautung zwar nicht be- Japanische als eine Sprache göttlicher Her-
seitigen, dennoch blieb sie bis zum 16. No-
kunft in Harmonie mit Himmel und Erde. In
vember 1946, d. h. bis zum Erlaß einer neuen
seiner Argumentation greift er zwei Meta-
amtlichen Rechtschreibung als geltende Or-
thographie erhalten (Müller-Yokota 1987: phern über die japanische Sprache auf, die
50). bis heute in der emotional-ideologischen Art
Keichū gilt damit in Japan als Entdecker der kulturtheoretischen Reflexion des Japani-
der vergleichend-historischen phonologi- schen immer wieder erscheinen. Die erste Me-
schen Methode, da er dem Prinzip der ‘Über- tapher bezieht sich auf die Vorstellung von
lieferung’ das Prinzip des ‘Quellenvergleichs’ der Wortseele (kotodama), die zweite auf das
und der ‘Gesetzmäßigkeiten’ gegenüberstellte Schweigen. Da die Ahngötter von Himmel
(Streb 1977: 200). Durch den Umfang der und Erde Japan die Sprache zu lehren geruh-
herangezogenen sprachlichen Fakten und ten, gibt es kein solches Beispiel in anderen
durch die Vorstellung des Vergleiches auf der Ländern. Wegen der ununterbrochenen gött-
Basis verschiedener Sprachstufen konnte er lichen Tradition ist Japan das Land, das seit
tiefer in den Wirkungsmechanismus der alters her durch die Wortseele (kotodama)
Sprache eindringen und auch die Hauptepo- blüht. Die andere Manifestation der Harmo-
chen der japanischen Sprache historisch um- nie ist darin zu sehen, daß Japan das Land
reißen. Diese neue Etappe in der Entwick- des Schweigens sei, denn während das alte Ja-
lung der japanischen Sprachwissenschaft pan wortlos (koto agesenu) gewesen sei,
kann man als induktive, historische Sprach- bahnte sich China seinen Weg im Gegensatz
wissenschaft bezeichnen. dazu lärmend (koto saegu).
Von großer Bedeutung ist weiterhin die Das Lautsystem des Japanischen ent-
Tatsache, daß seine Erkenntnisse nunmehr spricht auch dem Mythos der idealen Harmo-
nicht als buddhistische Geheimwissenschaft nie, da die 50 Silben von Himmel und Erde
gehütet wurden, sondern daß er durch die selbst geschaffen (ametsuchi no onozukara
Öffentlichkeit eine allgemeine Bereicherung naru) sind, daher einfach und ökonomisch
der Sprachwissenschaft leistete. Ende des
geprägt wurden. Daß Phänomene schöp-
17. Jhs. begann sich deutlich der wirtschaftli-
fungsbedingt natürlich entstanden sind, d. h.
che Aufstieg des Landes durch die städtisch-
bürgerliche Entwicklung abzuzeichnen. Von aus sich selbst hervorgetreten sind, gilt in die-
offizieller Seite gründete das Schogunat Bil- ser Theorie als eindeutiges Qualitätsmerkmal.
dungsmöglichkeiten für die Krieger- und Ver- Die herausragenden Vorzüge des Japanischen
waltungsschicht. Daneben wuchsen die priva- im Vergleich zum Chinesischen lassen sich
ten Schulen für Medizin und chinesische und auch an dem ursprünglichen Lautsystem er-
japanische Philologie, als Bildungsmöglich- kennen. Kamo Mabuchi versucht auch die
keit für die Herrscherschicht und für die im- Tatsache zu deuten, daß sowohl das Chinesi-
mer reicher werdenden Bürger. sche als auch das Japanische einen Ton-
höhenakzent besitzen, wobei er die Meinung
vertritt, daß diese Distinktionen im Japani-
3. Kamo Mabuchi (1697⫺1796)
schen nicht primär seien. Weiterhin ist er der
Kamo Mabuchi ist neben seinen Studien der Auffassung, daß die Fünfziglautetafel etwas
altjapanischen Dichtung und Gebete als ideo- genuin Japanisches sei, während Keichū die
logischer Begründer der Kokugaku bekannt Überzeugung vertrat, daß die Fünfziglauteta-
12. Sprache und Denken in der japanischen Sprachforschung während der Kokugaku 87

fel auf die silbische Systematisierung der Gelehrten für die etymologische Analyse der
Sanskrit-Forschung zurückginge. lautlichen und silbischen Veränderungen und
Die Idee, die Sprache morphologisch stär- Worterklärungen angewandt. Eingebürgert
ker auf die Fünfziglautetafel zu beziehen, ist haben sich die Termini leicht verändert als:
zwar bereits im 13. Jh. zu erkennen, als nobegoto, tsuzumegoto, tsūon, yakuon und
Grundlage der Sprachbeschreibung entfaltet das gesamte Verfahren als en-yaku-tsū-ryaku.
sich diese Idee jedoch erst zur Zeit der Koku- Die in der Fortführung dieser Methode prak-
gaku. So entwickelt auch Kamo Mabuchi tizierte unwissenschaftliche Verbindung der
richtungsweisend seine Theorie der Systema- einzelnen Silben mit bestimmten festen Be-
tisierung der japanischen Konjugation, in- deutungen im Rahmen der Wortseelenhypo-
dem er die Vokale der horizontalen Stufen- these bei Hirata Atsutane (1776⫺1843) führte
schemata der Fünfziglautetafel mit der Be- zu ideologischen Verirrungen und dazu, daß
deutung der Wörter verbindet (Text in Fukui, diese Art des Etymologisierens in Verruf ge-
Goikō 1975: 4). raten ist (Lewin 1981: 35).
1. a-Stufe koto hajimuru koe “Wortlaut des Anfan- Die Übernahme der chinesischen Schrift
gens” yukan (Futurum) für die japanische Sprache wird von Kamo
2. i-Stufe koto ugokanu koe “Wortlaut des Sich- Mabuchi heftig kritisiert. Er erkennt die Öko-
nicht-bewegens” yuki- (verbales Nomen) nomie der phonetischen Wiedergabe gegen-
3. u-Stufe koto ugoku koe “Wortlaut des Sich-be- über der ideographischen. In Indien und in
wegens” yuku (‘bewegliche’ Finalform des Holland werden nur 50 oder 25 Buchstaben
Verbs) verwendet, um tausende von Büchern zu
4. e-Stufe koto ōsuru koe “Wortlaut des Befehlens”
schreiben. In der chinesischen Schrift muß
yuke (Imperativ)
5. o-Stufe koto tasukuru koe “Wortlaut des Hel- man zahllose Elemente behalten, die lästig
fens” (die Verbform mit postpositionellen Hilfs- seien. Weiterhin ist er der Ansicht, daß durch
wörtern, die häufig auf -o enden: wo, to, zo, die Übernahme der chinesischen Schrift in
no, mo). der japanischen Sprache die ursprüngliche
Harmonie gestört wurde. Kamos Gegenüber-
Kamos Verbparadigma beschreibt noch nicht
stellung des Chinesischen und des Japani-
die verschiedenen Typen von Verben, son-
schen, die Hypostasierung des japanischen
dern erst die 4-stufige Verbalflexion des klas-
Idealsystems führt zu einem geschlossenen
sischen Japanischen (modern 5-stufig), ver-
Vorurteilssystem. Trotz dieses ideologischen
mengt es jedoch in der fünften Stufe noch mit
Hintergrundes sind die Ergebnisse der philo-
den unveränderlichen Postpositionen.
logischen Arbeit enorm. Ein ähnlicher Wider-
Es ist umstritten ob diese Konjugationsta-
spruch zeigt sich bei seinem bedeutendsten
belle, die sich als System im Prinzip später
Schüler Motoori Norinaga (vgl. 4.).
durchgesetzt hat, Kamo Mabuchi oder Tani-
Trotz der ideologischen Widersprüche, die
gawa Kotosuga (1709⫺1776) zuzuschreiben
auf eine romantische nationale Selbstbesin-
ist, da sich in einer Arbeit von Tanigawa in
einem Anhang zu einem Kommentar des Ni- nung zurückzuführen sind, ist festzustellen,
hon shoki “Annalen Japans” (1761) das glei- daß Kamo Mabuchi einen enormen Beitrag
che Verfahren findet. dazu geleistet hat, die japanische Sprache
Der Begriff des Wortwandels umfaßte zeitlich und räumlich zu charakterisieren,
nach Kamos Ansichten aus dem Goikō vier d. h. die Sprachwissenschaft aus einem uni-
Arten: versalistischen Verfahren hinauszuführen. Bei
der Suche nach der idealen Kohärenz des Alt-
1. Wortkürzung (tsuzumegoto), z. B. awafumi ⬎ japanischen treten die einzelnen Entwick-
afumi; lungsschritte des Japanischen und deren Un-
2. die Wortlängung (nobegoto), z. B. miru ⬎ mi-
terschiede im Vergleich zum Chinesischen
raku;
3. die Wortwendung (utsushi-megurashi-kayou), zum Vorschein; damit wird die Differenzie-
z. B. mimashi ⬎ mimushi; rung der Sprache in zeitlicher und räumlicher
4. die Silbenauslassung (habukugoto), z. B. ihe ⬎ Hinsicht geschaffen.
he.
Diese Termini, die bereits in dem etymologi- 4. Motoori Norinaga (1730⫺1801)
schen Wörterbuch von Kaibara Ekiken
(1630⫺1714) Nihon shakumyō “Japanische Arzt und Privatgelehrter, Begründer einer
Worterklärungen” (1700) zu finden sind, großen Privatschule für Kokugaku in Matsu-
wurden von Kamo und anderen Kokugaku- zaka, war Motoori Norinaga der bedeutend-
88 IV. The Establishment of the Japanese Linguistic Tradition

ste Sprachforscher des 18. Jhs., der die ganze Sehr gute Kenntnisse des japanischen und
Breite der damaligen philologischen For- chinesischen Lautsystems stehen bei Motoori
schung vertrat. Seine etwa 500 Schüler übten in einem klaren Widerspruch zu seinen Vor-
auf die geistesgeschichtliche Entwicklung Ja- urteilen gegen das Chinesische, die aus der
pans eine große Wirkung aus. Seine Betäti- Überzeugung resultieren, daß nur das ver-
gungsfelder umfaßten die Altertumskunde, meintlich alte japanische Lautsystem rein,
Religionswissenschaften, Philosophie, Litera- richtig und elegant sei. Das Japanische sei
turwissenschaft und Linguistik. Seine breiten z. B. rein, da es ursprünglich keine konsonan-
historischen Kenntnisse verschafften ihm ei- tischen Silbenschlußlaute, lange Vokale,
nen ungewöhnlich umfassenden Weitblick Diphtonge und Nasale sowie Glottisver-
und verhalfen ihm zu scharfen Beobachtun- schlußlaute besaß, während das Chinesische
gen auf den Gebieten der Phonologie, Ety- solche unnatürlichen Lautelemente aufwiese.
mologie und Grammatik des Japanischen. Lautänderungen im Sinne von Verunreini-
Sein zentrales Werk war die Edition des Koji- gungen hätten aus dem Einfluß des Chinesi-
ki “Aufzeichnungen von Begebenheiten aus schen resultiert, da das Japanische vor der
alter Zeit” (712) mit dem Titel Kojiki-den Heian-Zeit ohne Lautgruppenänderungen
“Kojiki-Edition” (geschrieben in 35 Jahren korrekt war. In diesem Kontext interessierte
zwischen 1764⫺1798, veröffentlicht 1790⫺ er sich auch für das Holländische und ließ
1822) auf dessen Rekonstruktion alle späte- durch Schüler in Nagasaki nachprüfen, ob
ren Untersuchungen dieser historischen Quel- auch das Holländische über bilabiale Silben-
le basieren. laute (we, wi) verfügen würde, die im Japani-
Bei der Ausarbeitung der Probleme der hi- schen zu seiner Zeit bereits nicht mehr ausge-
storischen Phonologie des Altjapanischen be- sprochen wurden. Diese Frage war auch des-
steht das Verdienst von Motoori vor allem wegen von hoher ideologischer Bedeutung,
darin, daß er den altjapanischen Vokalbe- weil im Kontext von bilabialen und palatalen
stand von 8 Vokalen anhand der in Manyōga- Halbvokalen (yi, wi), die als Kombination
na geschriebenen Texte im Kojiki rekonstru- von zwei Vokalen zu beschreiben waren, die
iert hat. In den folgenden drei Abhandlungen lautkombinatorische Richtigkeit in Harmo-
leistete er einen bedeutenden Beitrag zu der nie mit der göttlichen japanischen Sprache
Weiterentwicklung von phonologischen Ka- geklärt werden mußte.
tegorien aus der chinesischen Phonologie und Die Hauptaufmerksamkeit Motooris auf
zu der Verbindung des chinesischen Lautsy- dem Gebiet der Grammatik war auf die Teni-
stems in verschiedenen zeitlichen Stadien mit woha (grammatisch-morphologische Elemen-
dem Lautsystem des sinojapanischen Voka- te des Japanischen: Postpositionen und Ver-
bulars im Japanischen. Die Erklärung von balsuffixe) und auf das Prädikat gerichtet.
lautlichen Veränderungen beruhte auf der Unter Bezugnahme auf die poetologische
Konstruktion von phonologischen Opposi- Tradition in der grammatischen Erklärung
tionen wie leicht/schwer bei den Vokalen, was untersuchte er eine Reihe von japanischen
etwa der westlichen phonologischen Opposi- Gedichten, vor allem Waka, grammatisch. In
tion vorne/hinten entspricht. Jion kanazukai den Abhandlungen Teniowoha himokagami
oder Mojigoe kanazukai ”Orthographie der “Schmuckspiegel der Teniwoha” (1771) und
sinojapanischen Silben” (1775, gedruckt Kotoba no tamanowo “Perlenschnur der Wör-
1776) ist eine Regelung des sinojapanischen ter” (1779, gedruckt 1785) bezieht sich Mo-
Teils der Orthographie, d. h. die Ergänzung toori für die Erklärung der Wichtigkeit der
zu Keichūs Studien. Kanji sanonkō “Abhand- Teniwoha auf die Schmuckmetapher. Wie in
lung über die drei sinojapanischen Lautun- dem japanischen Altertum die Perlenketten
gen” (1784, gedruckt 1785) ist eine detaillierte als Schätze hochbegehrt waren, sollten auch
Studie über die drei verschiedenen Formen die Partikel für die Schönheit der Sprache
der sinojapanischen Lesungen (kanon, goon, hochgeschätzt werden, da sie die Sätze arran-
tōon) und gleichzeitig eine ideologische Streit- gieren. Die wichtigste syntaktische und se-
schrift über die Richtigkeit und Überlegen- mantische Kraft der Teniwoha besteht in der
heit des japanischen Lautsystems. Chimei ji- Herstellung einer Kongruenzrelation zwi-
mei tenyōrei “Beispiele für den abweichenden schen dem Anfang und dem Ende des Satzes,
Gebrauch sinojapanischer Lautungen in die er mit kakari-musubi “Koordination des
Ortsnamen” (1798, gedruckt 1800) befaßt Nomens mit der Postposition zu der Final-
sich mit der Laut- und Kulturgeschichte von form des Verbs” bezeichnet. Dieses Charak-
Ortsnamen. teristikum ist wiederum seit dem Götterzeit-
12. Sprache und Denken in der japanischen Sprachforschung während der Kokugaku 89

alter nur dem Japanischen eigen, so daß die unter dem Titel Kokinshū tōkagami “Fern-
chinesischen Partikel damit nicht vergleich- rohr zur Reflexion der Kokinshū” (1794), um
bar wären. Chinesische Partikel stellen näm- seinen Schülern auch durch ihre Sprache ei-
lich seiner Ansicht nach keine Harmonie zwi- nen emotionalen und literarischen Zugang zu
schen Anfang und Ende einer Aussage her der alten japanischen Poesie als Gegenge-
und überlassen alles dem impliziten Verste- wicht zu der chinesischen Literatur zu ermög-
hen des Satzes. Motooris Entdeckung der ka- lichen.
kari-musubi Relation war etwa zeitgleich mit Eine der wichtigsten in der Sprachdiskus-
Fujitani Nariakira. Der Begriff lebt heute in sion der Kokugaku gewonnenen Einsichten
der engeren syntaktisch-morphologisch In- betrifft die konstitutive Rolle der Emotionen
terpretation weiter; eine breitere semantisch- für das Denken und die Sprache und die Ein-
textlinguistische Interpretation ist nicht mehr heit ihrer kognitiven Funktion. Das Ausge-
lebendig (Bedell 1968: 899). Nach diesem hen von der Behauptung, daß Bedeutungen
Prinzip sind im Frühmitteljapanischen be- durch die sinnlich-emotionale Erfahrung der
stimmte Postpositionen (wa, zo, koso) und Dinge entstehen und nur in diesem Sinne er-
die Prädikatsformen morphologisch und syn- fahrbar sind, hatte wichtige Konsequenzen
taktisch miteinander (Finalform, Attributiv- für die linguistische Diskussion. Der Begriff
form, Konditionalform) verbunden. Die Kor- mono no aware “das Bewegtsein durch die
relation der Postposition (kakari) mit der af- [emotionale Erfahrung] der Dinge”, der von
fizierten Flexionsform des Verbs (musubi) im Motoori in dieser Richtung als Instrument
Falle der emphatischen Postposition zo löst der Erfassung von Bedeutungen vorgeschla-
die Attributivform aus: tada ariake no tsuki gen wurde, führte zu einer Abkehr von der
zo nokoreru “nur Morgendämmerung [gen.] logistischen Betrachtung des Denkens.
Mond wahrlich ist zurückgeblieben” ⫽ “nur
eben der Mond der Morgendämmerung ist
zurückgeblieben” (-ru Attributiv, rentaikei). 5. Fujitani Nariakira (1738⫺1779)
Die Attributivform trat im Mitteljapanischen
Bruder des anerkannten China-Gelehrten
in prädikativer Stellung auf, wodurch diese
Minagawa Kien, beschäftigte Fujitani Naria-
Unterscheidung im modernen Japanischen
kira sich mit Geschichte, Astronomie und
nicht mehr existiert. Semantisch-argumenta-
Dichtkunst; sein Werk ist wegen seines frü-
tiv stellen Postpositionen eine bindende (tsu-
hen Todes unvollendet. Fujitani gilt als der
zuku kaku), etwa attributive Beziehung oder
genialste Theoretiker des Japanischen, der
Nebensatzkonstruktion oder eine trennende
sich von der chinesischen Tradition am stärk-
(kiruru kaku) d. h. satzfinale Konstruktion
sten losgelöst hatte (→ Art. 16). Seine eigen-
her.
willige Terminologie und Unabhängigkeit
Motoori beschäftigte sich auch mit der
trugen dazu bei, daß er erst neuerdings volle
Kategorisierung der Verbflexionsendungen.
Anerkennung erfährt (Lewin 1982: 32). In
In seinem Werk Mikuni kotoba katsuyōshō
seinem frühen Werk Kazashishō “Traktat
“Traktat über die Konjugation der Wörter
über die Haarpfeile” (1767) und in seinem
des erlauchten Landes” (1782, gedruckt
späteren Werk Ayuishō “Traktat über die
1886) faßte er morphologisch 27 Flexions-
Saumbänder” (1773, gedruckt 1778) entwik-
klassen der Verba und Qualitativa im Japani-
kelte er eine neue Wortklassentheorie (Lewin
schen zusammen. Diese Klassifikation, die
1982: 33; Orig. Nakada 1960: 89):
bei Motoori noch nicht ganz ausgereift war,
wurde von seinem Sohn Motoori Haruniwa Mit den Namen (na) werden die Dinge (mono) ver-
und von anderen Gelehrten wie Suzuki Akira ständlich gemacht, mit der Gewandung (yosoi)
und Tōjō Gimon weitergeführt und vervoll- werden die Vorgänge (koto) bestimmt, mit den
kommnet (vgl. 6., 7., 8.). Haarpfeilen (kazashi) und Saumbändern (ayui)
wird den Wörtern Hilfe geleistet, und diese vier
Die Orientierung an der alten Sprache und
Klassen sind anfänglich eine Wortseele (kotodama).
an der Sprache der klassischen Zeit der früh-
mitteljapanischen Literatur konnte für den In dieser Klassifikation werden Nomina (na)
Pragmatiker Motoori Norinaga den Blick für zwar noch in der ursprünglichen Form be-
andere Bedürfnisse seines Publikums nicht nannt, andere Bezeichnungen weichen aber
verdecken. 1888 veröffentlichte er die erste von den in dieser Zeit üblichen chinesischen
moderne und sehr freie Übersetzung des Ge- Termini (jitsuji “nominaler Bereich”, kyoji
dichtbandes Kokinshū “Sammlung japani- “verbaler Bereich”, joji “Partikel”) ab. Die
scher Gedichte einst und jetzt” (905⫺914) Bedeutung der weiteren Bezeichnungen, die
90 IV. The Establishment of the Japanese Linguistic Tradition

als Kleidungsstücke metaphorisch bezeichnet kalischen Auslautes der Endungssilbe jeder


werden, sind: yosoi sind Verba und Qualitati- Flexionsklasse auf die vertikal angeordneten
va, kazashi sind Pronomina, Adverbia, Kon- Stufen (dan) der Tafel und die Zahl der mög-
junktionen und Interjektionen, ayui bezieht lichen konsonantischen Anlaute der En-
sich wiederum auf Postpositionen und Suffi- dungssilbe auf die horizontal angeordneten
xe. Die verschiedenen Klassen illustriert er Reihen (gyō) bezog. In dem Werk Kotoba no
mit klassischen und umgangssprachlichen yachimata “Acht Weggabelungen der Wör-
Beispielen. Fujitanis Klassifikation ging über ter” (1806, gedruckt 1808) hat er weitgehend
frühere Klassifikationsversuche hinaus, da er die endgültige Aufstellung der Flexionsklas-
konsequent alle Wörter der Sprache erfaßt sen geschaffen, indem er die 5 Vokalstufen
hat und gleichzeitig bestrebt war, eine eindeu- der Fünfziglautetafel mit gleich auslautenden
tige Zuteilung eines Wortes zu einer bestimm- Funktionsformen kombiniert und so eine
ten Klasse vorzunehmen. starke Reduzierung der bisherigen Klassen
Fujitani versuchte ebenfalls, alle morpho- bewirkt. Motoori Haruniwa unterscheidet
logischen Verknüpfungspunkte auszuarbei- eine vierstufige (a/i/u/e), eine einstufige (heute
ten, und kam damit in seiner Flexionstabelle obere einstufige Flexion i), mittlere zweistufi-
(Yosoi no kata) in dem Vorwort zu Ayuishō ge (heute obere zweistufige i/u Flexion), unte-
einen wesentlichen Schritt voran, indem er re zweistufige (Alternation u/e) Verbalflexion
die Konjugationsformen in Stamm und En- sowie eine unregelmäßige ka-Reihe, sa-Reihe
dung getrennt hat. und na-Reihe. Die vierte unregelmäßige Fle-
Fujitani führt seine Auffassung von der xionsklasse der ra-Reihe wurde von ihm noch
Sprache im Prozeß des Sprachwandels auch nicht etabliert (Lewin 1990: 106).
anhand der Kleidungsmetapher aus. Das We- Motoori Haruniwa widmet sein umfang-
sen der Sprache entspricht dem Bild eines reiches zweites Werk Kotoba no kayoiji “Ver-
Menschen vergangener Zeiten. Auf dem Kopf kehrswege der Wörter” (1828, drei Bände)
trägt er die ‘Haarpfeile’, auf seinem Körper der weiteren Systematisierung der Beschrei-
die ‘Kleider’ und auf den Beinen die ‘Saum- bung der Verba im Japanischen. Er befaßt
bänder’. Die Kleidungsstücke von einst und sich unter anderem mit den endoaktiven und
jetzt haben sich jedoch verändert. Dieses Bild exoaktiven Verba (jidōshi und tadōshi), eine
der sprachlichen Wandels folgt die Untertei- Unterscheidung, die auf Fujitani Nariakira
lung in sechs Epochen, womit er eine genaue- und auf dessen Werk Ayuishō zurückgeht
re Bestimmung der aufgeführten Gedichtbei- (vgl. 5.).
spiele als historische Quellen erreicht. Ent-
sprechend dieses Prozesses fügt Fujitani den
historischen Belegen umgangssprachliche 7. Suzuki Akira (1764⫺1837)
Beispiele zu.
Ursprünglich studierte Suzuki Akira Konfu-
zianismus und Medizin wie sein Lehrer Mo-
6. Motoori Haruniwa 1763⫺1828) toori Norinaga. Im Alter von 29 wurde er
Schüler von Motoori. Suzuki konzentrierte
Sohn von Motoori Norinaga, systematisierte sich besonders auf die Lehre von Wortarten
Motoori Haruniwa besonders den Bereich und Konjugation.
der Erforschung der Verba. Da er im Alter Die einflußreichste Arbeit von Suzuki ist
von 33 Jahren erblindete, mußte er mit den die Abhandlung Gengyo shishuron “Theorie
wissenschaftlichen Studien für seinen Vater über die vier Wortarten der Sprache” (1824).
früh aufhören. Er klassifiziert die japanischen Wortarten
Motoori Haruniwa führte die Lehre über ebenso in vier Kategorien wie Fujitani, des-
die Flexionsklassen der Verba und Qualitati- sen Schriften er offenbar nicht kannte. Im
va weiter, indem er morphologische und se- Unterschied zu Fujitani scheint seine Katego-
mantische Unterscheidungen konsequenter risierung eher von chinesischen Theorien in
aufeinander bezog. Er unterschied als erster der Beschreibung des klassischen Chinesi-
zwischen regelmäßigen und unregelmäßigen schen beeinflußt worden zu sein (vgl. 5.).
Flexionsklassen und erkannte 7 Flexionsklas- Nach Ansicht Suzukis kann man die Wörter
sen von den heute üblichen 9. Die Endungsil- grundlegend in folgende Klassen trennen: in
be der Verba wurde auf das Ordnungsschema die Klasse der Nomina als Begriffswörter (tai
der Fünfziglautetafel bezogen, indem man no kotoba), Verbindungslemente wie Adver-
die Zahl der möglichen Alternationen des vo- bien, Postpositionen, Interjektionen, Verb-
12. Sprache und Denken in der japanischen Sprachforschung während der Kokugaku 91

und Adjektivsuffixe (teniwoha), darüber hin- 8. Tōjō Gimon (1786⫺1843)


aus Verba und Adjektiva (yō no kotoba), die
wiederum in Verba, d. h. Handlungswörter Tōjō stammt aus einer Familie von buddhisti-
(shiwaza no kotoba) sowie Adjektiva und Ko- schen Mönchen und Wissenschaftlern des
pula d. h. Zustandswörter (arikata no kotoba) Tempels Myōgenji in Obama (heute Fukui-
zu trennen sind. Die Unterscheidung in tai Präfektur). Nach dem Tode seines Bruders
und yō geht auf die sinojapanische Untertei- 1807 übernahm er als Mönch die Leitung des
lung in unflektierbare und flektierbare Wör- Tempels. Er gilt als Motoori Schüler, ohne je-
ter zurück. doch bei ihm persönlich studiert zu haben. Er
Suzuki wird mit seinem deutschen Zeitge- korrespondierte mit Motooris Sohn Motoori
nossen Wilhelm von Humboldt parallelisiert, Haruniwa. Tōjō ist weniger durch eigene
besonders, was seine Auffassung über die Theorien bekannt, sondern als derjenige, der
morphologisch primitive chinesische Sprache die Systeme anderere konsequent geordnet
angeht (Bedell 1968: 103). In Anlehnung an und vervollkommnet hat.
Motooris Meinung zu der Überlegenheit der Auf dem Gebiet der Phonologie befaßte er
morphologischen Struktur des Japanischen sich im Werk Namashina “Namashina [ein
bemerkt er, daß das Chinesische und das Ja- Ortsname]” (geschrieben 1808, gedruckt
panische zwar eine ähnliche kognitive 1837) mit den Auslauten der sinojapanischen
Grundstruktur hätten, das Chinesische je- und chinesischen Morpheme, die schon Mo-
doch nicht wie das Japanische über genügend toori Norinaga beschäftigt hatten. In diesem
Mittel verfüge, um die Tiefenstruktur an der Werk gelang ihm der Nachweis, daß die Aus-
Oberfläche morphologisch repräsentieren zu laute -n auf zwei frühere Auslaute -n und -m
können (vgl. 4.). Nomina, Verba und Adjekti- zurückzuführen sind.
va existieren im Chinesischen nur nach der Die Studien Tomo kagami “Gemeinsamer
Bedeutung und nicht nach der Form. Dar- Spiegel” (1823), die Konjugationstabelle Wa-
über hinaus fehlen im Chinesischen klare gosetsu ryakuzu “Kurze Tabelle zur Erklä-
Tempus- und Modusformen, weswegen die rung japanischer Wörter” (1833) und das
Interpretation chinesischer Texte schwer sei. Kommentarwerk zu dieser Tabelle Katsugo
Solche Probleme würden seiner Ansicht nach shinan “Unterweisung zur Konjugation” (ge-
im Japanischen nicht vorkommen. Suzuki be- schrieben 1810⫺1818, gedruckt 1844) bear-
hauptet, daß die Wortarten universal seien, beiten die endgültige Systematisierung der
wobei die Morphologie der Wortarten an der Flexionsklassen. Von besonderer Wichtigkeit
Oberfläche unterschiedlich ist. Nur das Japa- war die Eingliederung der Qualitativa in das
nische zeigt die Worarten in reinster Form. Verbparadigma und die Analyse und Benen-
Die Sprachentstehung steht im Mittel- nung der Funktionsbereiche der einzelnen
punkt der Abhandlung Gago onjōko “Überle- Flexionsformen, die zum Teil noch in der
gungen zu den Lautungen der [klassischen ja- heutigen Terminologie erhalten sind. Die Fle-
panischen] Sprache” (1816). Suzuki entwik- xionsformen nannte Tōjō gen “Aussage-
kelt hier selbständig den onomatopoetischen (weise)”:
Ansatz der Sprachursprungstheorie. Nach Indefinitform shōzengen (⫽ mizenkei),
seiner Auffassung kann man in der Sprache Konjunktionalform renyōgen (renyōkei),
die Dinge lautlich abbilden. Er unterscheidet Finalform setsudangen (⫽ shūshikei),
dabei vier Typen: Nachahmung von Tierstim- Attributivform rentaigen (⫽ rentaikei),
men (karasu “Krähe”), von menschlichen Konditionalform izengen (⫽ izenkei),
Imperativform kegugen (⫽ meireikei).
Stimmen (kamu “beißen”), Laute der Natur
oder von Formen (soyogu “rauschen”) Zu- Die Konjunktionalform fungiert im Japani-
ständen und Handlungen (nameraka schen als Prädikatsform in Vordersätzen von
“sanft”). Dabei ist jedoch die Beziehung zwi- Satzverbindungen und als Kompositionsform
schen Laut und Sinn teilweise nur ver- des vorderen Gliedes in zusammengesetzten
schwommen zu hören und zeitlich verdun- Verba und als Verbalnomen. Für den Begriff
kelt. Allgemein sei das Lautliche die Grund- Flexionsform wurde von den Zeitgenossen
lage der Sprache und dasjenige, was die ver- eher die Bezeichnung dan “vertikale Stufen”
schiedenen Sprachen verbindet. Suzuki teilt benutzt, was später unter dem Einfluß des
nicht mehr die Ansicht Motooris, daß das Ja- englischen form zu kei “Form” verändert
panische in lautlicher Beziehung alle anderen wurde.
Sprachen überträfe, denn das Chinesische ist In der Wortarttheorie (Katsugo shinan)
z. B. in Bezug auf die Onomatopoesie beson- führte er die Arbeit Suzuki Akiras weiter und
ders stark ausgeprägt. klassifizierte die Wörter in taigen “unflektier-
92 IV. The Establishment of the Japanese Linguistic Tradition

bare Wörter”, yōgen “flektierbare Wörter” Nakada, Norio & Masao Takeoka, Hg. 1960.
und teniwoha “Hilfswörter” konsequenter Ayuishō shinchū. Tokyo.
weiter. Ōno, Susumu, Hg. 1968⫺1974. Kojiki-den. Motoori
Norinaga Zenshū. Bde. 9⫺12. Tokyo: Chikuma
9. Schluß shobō.
Ueda, Mannen, Hg. 1926⫺1927. Keichū zenshū.
Gegenstand der japanischen Sprachwissen- 11 Bde. Tokyo: Asahi shinbun.
schaft in der Edo-Zeit war vor allem die alte
und die klassische Sprache mit Vorbildcha- 10.2. Sekundärliteratur
rakter. Die weltanschauliche Tragweite dieser Bedell, George Dudley. 1968. Kokugaku Grammati-
ideologischen Position wird durch den Platz cal Theory. Cambridge, Mass.: MIT.
verdeutlicht, den bis heute die Stellungnahme Dumoulin, Heinrich. 1955. “Zwei Texte Kamo Ma-
für die Einzigartigkeit der japanischen Spra- buchis zur Wortkunde”. Monumenta Nipponica
che neben der eigentlichen wissenschaftlichen 11:3.48⫺63.
Sprachwissenschaft in der öffentlichen Mei-
Eschbach-Szabo, Viktoria. 1990. “Chinesisch-Ja-
nung einnimmt. Freilich ging es damals vie-
panischer Sprachenvergleich bei Kamo Mabuchi”.
len vor allem darum, das Japanische von dem Papers in Japanese Linguistics hg. von Lone Takeu-
Chinesischen ideell weitgehend zu reinigen chi, 1⫺11. London.
und die ursprüngliche, reine Form wiederher-
zustellen. Doch gab es nicht wenige, denen Lewin, Bruno. 1982. Sprachbetrachtung und
Sprachwissenschaft im vormodernen Japan.
diese Konfrontation unwesentlich oder sogar
Opladen: Westdeutscher Verlag.
schädlich erschien (z. B. Ueda Akinari,
1734⫺1809). ⫺. 1990. Abriss der japanischen Grammatik.
Die Leistung der Kokugaku-Philologie 3. Aufl. Wiesbaden: Harrassowitz.
kann als zentraler Pfeiler der modernen Loosli, Urs. 1981. “Sprachbeschreibung als Meta-
Grammatik, Lexikologie und Syntax in Ja- pher: Fujitani Nariakira und die erste japanische
pan gelten. Auf den Gebieten der Phonolo- Grammatik”. Referate des V. Deutschen Japanolo-
gie, Orthographie, Etymologie, Grammatik gentages vom 8. bis 9. April 1981 in Berlin hg. von
und Syntax sind in der Kokugaku-Philologie Sung-jo Park & Rainer Krempien, 130⫺138. Bo-
wesentliche Leistungen erzielt worden. chum: Brockmeyer.
Bei aller praktischen Betonung von be- ⫺. 1984. Die erste Grammatik des Fujitani Nariaki-
stimmten sprachlichen Aspekten wie Regeln, ra. Diss. Universität Zürich.
Bedeutungen und Zeichen, bleiben theoreti- Mc Ewan, J. R. 1949. “Motoori’s View of Phonet-
sche Voraussetzungen offen. Fujitanis und ics and Linguistics in his Mojigoe no kanazukai and
Motoori Norinagas Ausführungen zur Se- Kanji san on kō”. Asia Major 1.109⫺118.
mantik sind zwar noch weitgehend uner- Miller, Roy Andrew. 1993. Die japanische Sprache:
forscht, dennoch kann bei diesen und ande- Geschichte und Struktur. Übers. von Jürgen Stalph.
ren Autoren kaum eine kohärente Theorie für München: iudicium.
die Entstehung und das Funktionieren von Müller-Yokota, Wolfram. 1987. “Abriss der ge-
Sprache vermutet werden. schichtlichen Entwicklung der Schrift in Japan”.
Die Auseinandersetzung mit der eigenen Bochumer Jahrbuch zur Ostasienforschung 10.1⫺
Sprache durch historische Quellen, Literatur 77.
und Sprachwissenschaft, die vor allem von ei- Streb, Inga. 1977. Keichūs Studien zur Entwicklung
nem religiös-kulturellen Weltbild ausging, von Laut und Schrift in Japan ⫺ unter besonderer
trug in dieser Zeit zur Herausbildung eines Bezugnahme auf das “Waji-shōranshō”. Diss. Uni-
differenzierten Umgangs mit sprachlichen versität Bochum.
Fakten bei. Im gleichen Zeitraum entstanden Yanada, S. 1950. “Motoori Norinagas’s Contribu-
wichtige Voraussetzungen der modernen Lin- tion to a Scheme of Japanese Grammar”. Bulletin
guistik in Japan. of the School of Oriental and African Studies
13.474⫺503.
10. Bibliographie Wenck, Günther. 1987 [1954]. “Über die Entdek-
kung und Systematisierung der japanischen Konju-
10.1. Primärliteratur gation”. Günther Wenck, Pratum Japonisticum,
Fukui, Kyūzō, Hg. 1938⫺1944. Kokugogaku taikei. 132⫺143. Wiesbaden: Harrassowitz.
10 Bde. (2. Aufl., Tokyo: Hakuteisha, 1975.) Winter, Prescott Bowmann. 1982. Language,
Kokugakuin henshūbu, Hg. 1904. Kamo Mabuchi Thought and Institutions in Tokugawa Japan. Ph. D.
zenshū. Teil II. Tokyo: Yoshikawa kōbunkan. Stanford University.
Motoori Norinaga, Kojiki-den, Bd. I. Hg. von Ann
Wehmeyer, Vorwort Naoki Sakai. Ithaca: Cornell Viktoria Eschbach-Szabo, Tübingen
Univ. Press, 1997. (Deutschland)
13. Die Frühzeit der neueren japanischen Sprachforschung: Vom Kokugaku zum Kokugogaku 93

13. Die Frühzeit der neueren japanischen Sprachforschung:


Vom Kokugaku zum Kokugogaku

1. Der Anfang der neueren japanischen (?1561⫺1649 Arte da Lingoa de Iapam 1604⫺
Sprachforschung 1608). Rodriguez’ Grammatik, die die Kate-
2. Die linguistischen Bedingungen der gorien der lateinischen Grammatik auf das
Schaffung der modernen Literatur- und Japanische anwendet, erfaßt die Charakteri-
Umgangssprache
3. Ueda Kazutoshi (1867⫺1937)
stika des Japanischen über den lateinischen
4. Ōtsuki Fumihiko (1847⫺1928) Rahmen hinaus sehr treffend. Die weitere eu-
5. Yamada Yoshio (1873⫺1958) ropäische Beschreibung des Japanischen und
6. Shinmura Izuru (1876⫺1967) die Vermittlung der westlichen grammati-
7. Matsushita Daisaburō (1878⫺1935) schen Kategorien konnten in Dejima bei Na-
8. Hashimoto Shinkichi (1882⫺1945) gasaki im Zusammenhang mit derjenigen der
9. Die Historiographie der Kokugogaku holländischen Faktorei fortgeführt werden.
10. Bibliographie Unter diesem Einfluß schrieb der Kokugaku-
Vertreter Tsurumine Shigenobu (1788⫺1859)
1. Der Anfang der neueren die erste Grammatik Gogaku shinsho “Neue
Schrift zur Sprachwissenschaft” (1833), in
japanischen Sprachforschung der von einem Japaner versucht wurde, das
Mit der Öffnung Japans im Jahre 1868 entfal- Japanische mit den Termini aus der holländi-
tete sich eine intensive Tätigkeit auf dem Ge- schen Grammatik wie Tempus und Modus zu
biete der Sprachwissenschaft, die sich aus der beschreiben. Tsurumine stellte neun Wort-
ungehinderten Begegnung mit dem Westen klassen auf:
und aus den neuen Bedingungen und Bedürf- 1. ikotoba “Nomen”,
nissen der gesellschaftlichen und sprachlichen 2. tsukikotoba “Qualitativa”,
Praxis ergaben. Unter dem Terminus Koku- 3. kaekotoba “Pronomen”,
gogaku “Japanische Sprachwissenschaft” 4. tsuzukikotoba “Attributiva”,
oder “Wissenschaft, Philologie der National- 5. hatarakikotoba “Verba”,
sprache” (die Bezeichnung Kokugogaku wur- 6. samakotoba “Adverbia”,
de erst seit ca. 1890 gebraucht) ist die Traditi- 7. tsuzukekotoba “Konjunktionen”,
8. sashikotoba “Präpositionen”,
on innerhalb der japanischen Sprachwissen-
9. nagekikotoba “Interjektionen”.
schaft zu verstehen, die sich im wesentlichen
auf die japanische Erforschung des Japani- Mit der Öffnung Japans ging der Einfluß der
schen konzentriert. Japanisch wurde vor Rangaku “Hollandwissenschaft” zurück. Für
1868 auch als wago “Sprache des Landes die Philologie und Sprachwissenschaft besa-
Wa” oder als gengo, kotoba “Sprache” be- ßen nun die ausländischen Missionare und
zeichnet, während kokugo “Landessprache, Gastwissenschaftler eine enorme Bedeutung.
Nationalsprache” im Gegensatz zu fremden In diesem Zusammenhang ist besonders das
Sprachen als Bezeichnung der eigenen Staats- Wirken der Briten Basil Hall Chamberlain
sprache geprägt wurde. Kokugogaku geht (1850⫺1935), William George Aston (1841⫺
zwar auf die traditionelle Philologie der Ko- 1911) ⫺ Grammatiker und Philologen ⫺ und
kugaku “Nationale Wissenschaft” zurück, die des Amerikaners James Curtius Hepburn
sich in der Abwehrreaktion gegen die regime- (1815⫺1911) ⫺ Lexikologe ⫺ zu erwähnen.
geförderte Sinologie (kangaku) auf das ur-
sprünglich Japanische besann, ist jedoch
stark von der europäischen Sprachwissen- 2. Die linguistischen Bedingungen der
schaft beeinflußt worden. Schaffung der modernen Literatur-
Die ersten systematischen westlichen Be- und Umgangssprache
schreibungen des Japanischen stammen von
portugiesischen Missionaren, die seit Mitte In der Geschichte der Normierung der japa-
des 16. Jhs. bis zu ihrer Ausweisung 1639 nischen Sprache zeigt sich, daß in den grund-
nach Japan kamen. Die Druckerei in Nagasa- legenden Auffassungen über das Wesen der
ki veröffentlichte mehrere Lexika und Gram- Sprache und besonders über die Struktur des
matiken des Japanischen, darunter die ein- Japanischen in den letzten Jahrzehnten des
malige Grammatik von João Rodriguez 19. Jhs. in der Zeit der Industrialisierung und
94 IV. The Establishment of the Japanese Linguistic Tradition

Modernisierung ein starker Wandel eingetre- Landessprache Kokugo oder des Japanischen
ten ist. Dieser Wandel wurde durch die Rolle Nihongo gelten. Die Festlegung einer anderen
der Ausländer in der japanischen Philologie als der klassischen Norm wurde bereits in der
wesentlich beschleunigt. Man hat sich im gro- ‘härtesten’ Phase der Nationalen Schule im
ßen und ganzen von dem Vorurteil befreit, 18. Jh. vorbereitet. Motoori Norinaga, der
daß die klassische japanische Sprache in der ein glühender Vertreter der klassischen
Form der höfischen Literatursprache des 9. Schriftsprache gewesen war, hatte die dringli-
und 10. Jhs. sozusagen eine ideale Urstruktur che Aufgabe erkannt und die klassische Poe-
aufweist. Wesentlicher jedoch als diese Wand- sie durch moderne Übersetzungen zu vermit-
lung der Grundeinstellung in der Sprachwis- teln versucht. Es war allerdings für die Lin-
senschaft ist die Bewegung, die von der ge- guisten der Meiji-Zeit nicht leicht, bei der
samten Sprachgemeinschaft, darunter vor Schaffung der neuen Norm der Umgangs-
allem Literaten und Reformer des Schulwe- sprachlichkeit und den dialektalen Unter-
sens getragen wurde. “Die Gesellschaft zur schieden Rechnung zu tragen. Der sprach-
Vereinheitlichung der gesprochenen und ge- historische Sprung in die Gegenwartssprache
schriebenen Sprache” (genbun itchikai) wur- implizerte, daß man sich von dem etwa 900
de von namhaften Politikern, Journalisten, Jahre alten Ideal der klassischen Schriftspra-
Literaten und Linguisten im März 1900 ge- che und von der Verwendung des klassischen
gründet (Maejima Hisoka, Nakai Kitarō, Chinesischen für viele Textgattungen trennen
Ueda Kazutoshi, Ōtsuki Fumihiko, Shinmu- mußte. Ebenso große Diskussionen verur-
ra Izuru etc.) (Twine 1991: 165). sachte die Frage der Modernisierung oder
Die wichtigsten Phasen der Entstehung der aber der Abschaffung der Schrift. Vorschläge
Standardsprache sind die folgenden: wie die Einführung des lateinischen Alpha-
1. Die sog. chaotische Phase, in der die Überset- bets, der umfassenden Verwendung der Sil-
zungstätigkeit einsetzt (1868⫺1885). benschrift, die Begrenzung der Zahl der chi-
2. Die Zeit der Suche nach dem modernen literari- nesischen Schriftzeichen und die Angemes-
schen Stil für japanische Werke (1886⫺1899). senheit der historischen Silbenschriftortho-
3. Die Konsolidierung des einheitlichen Stils in der graphie wurden diskutiert. Mit der Reformie-
Schrift- und Umgangssprache (1900⫺1909). rung der Schrift befaßten sich u. a. folgende
4. Die Perfektionierung des umgangssprachlichen
Gesellschaften: Kana no tomo “Freunde der
Stils (1909⫺1923) (Yamamoto, 1972).
Silbenschrift” (gegründet 1882) und Rōmaji
Durch die eindeutige Verlegung der Haupt- kai “Gesellschaft des Alphabets” (gegründet
stadt in den Osten kam es zu der Aufwertung 1885) (Twine 1991: 224ff.). Die Reformierung
der gebildeten Stadtsprache von Edo. Sie der Schrift brachte eine neue Norm als eine
zwang auch den normierenden Sprachkund- leicht vereinfachte Variante der Mischschrift
ler zu Zugeständnissen, zu weitgehender Be- von Ideogrammen und Silben der traditionel-
rücksichtigung dessen, was tatsächlich ge- len Schrift hervor.
sprochen wurde. Der Terminus für Standard- Als Erfolg der Sprachreformbewegung ist
sprache hyōjungo “Gemeinsprache” ist als die Entstehung einer neuen Standardsprache
Übersetzung des Paulschen Terminus von für die gesprochene und für die geschriebene
Ueda Kazutoshi 1895 eingeführt worden. Die Sprache und die stärkere Standardisierung
Vermeidung der Bezeichnung zokugo “vulgä- der Schrift zu verzeichnen.
re Umgangssprache”, die in der bisherigen
Kokugaku-Tradition als im wesentlichen ver-
dorbene, von der idealen klassischen Schrift- 3. Ueda Kazutoshi (1867⫺1937)
sprache abweichende Form betrachtet wurde,
zeigt die geistige Einstellung Uedas. Der Ter- Ueda Kazutoshi (Mannen) schrieb sich 1885
minus hyōjungo ist auch im Vergleich zur Be- an der literaturwissenschaftlichen Fakultät
zeichnung kōgo “gesprochene Sprache” auf- der Kaiserlichen Universität in Tokyo ein
wertend gemeint. Der Terminus hyōjungo und absolvierte bis 1888 das Fach japanische
wurde mit der Paulschen Konzeption der Literatur. In dem anschließenden Doktor-
Sprachnorm verbunden; so wurden auch Be- kurs wurde er von Tsubouchi Shōyō (Lite-
griffe wie “usuelle Bedeutung” (kanyōteki raturwissenschaftler und Sprachreformer,
imi), “lexikalische Bedeutung” (goiteki imi) 1859⫺1935) und dem englischen Gelehrten
und “Sprachwandel” (gengo henka) direkt Basil Hall Chamberlain (Englischlehrer und
übernommen. Der wirkliche Usus der Linguist, der erste Ordinarius für Philologie
Sprachgemeinschaft soll als Norm für die an der Kaiserlichen Universität in Tokyo,
13. Die Frühzeit der neueren japanischen Sprachforschung: Vom Kokugaku zum Kokugogaku 95

1850⫺1916) unterrichtet. Auf seiner Studien- Linguist), Yuzawa Kōkichirō (1887⫺1963),


reise in Europa verbrachte er zwischen Andō Masatsugo (1878⫺1952), Yoshizawa
1890⫺94 die überwiegende Zeit in Berlin und Yoshinori (1876⫺1954, Sprachhistoriker),
Leipzig und etwa ein halbes Jahr in Paris. In Hashimoto Shinkichi (1882⫺1945, Gramma-
Berlin hatte er u. a. bei Georg von der Gabe- tiktheorie), Tōjō Misao (1884⫺1966, Dialek-
lentz gehört. In der Leipziger Zeit hatte Ueda tologe), Ogura Shinpei (1882⫺1944, Korea-
die Gelegenheit gehabt, u. a. folgende Sprach- nist), Iha Fuyū (1876⫺1947), Ryūkyū-Stu-
wissenschaftler kennenzulernen: August Les- dien), Kindaichi Kyōsuke (1882⫺1971, Lexi-
kien, Karl Brugmann, Eduard Sievers, Her- kologe, Ainu-Forscher), Tokieda Motoki
mann Osthoff sowie den Psychologen Wil- (1900⫺1967, Grammatiker und Sprachtheo-
helm Wundt. Er knüpfte ebenfalls Beziehun- rie), Hoshina Kōichi (1872⫺1955, Geschichte
gen zu Hermann Paul, durch dessen Denken der Sprachwissenschaft). Eine besonders in-
Ueda entscheidend geprägt wurde. tensive Beziehung zu den Ideen der jung-
Nach seiner Rückkehr wurde er 1894 zum grammatischen Schule besteht bei Hashimo-
Professor der Philologie (hakugengaku) an to Shinkichi und Tokieda Motoki. Mit dieser
der Kaiserlichen Universität ernannt. Ende Namensliste soll gezeigt werden, daß Ueda
1895 heiratete er Murakami Tsuruko; Enchi wissenschaftspolitisch weitblickend die Diszi-
Fumiko, eine Tochter aus dieser Ehe, wurde plinenbildung und Professionalisierung der
eine bekannte Schriftstellerin. 1898 wurde er Sprachwissenschaft gefördert und somit bis
Leiter des von ihm mitbegründeten sprach- in die 30iger Jahre des 20. Jhs. und in man-
wissenschaftlichen Instituts der Universität, cher Beziehung bis heute das Gesicht der ja-
wo er die Gebiete japanische Sprachwissen- panischen Linguistik geprägt hat. Doi, der
schaft, Literatur und Geschichte betreute, die diese Zeit in seinem Werk The Study of Lan-
später in verschiedene Disziplinen geteilt guage in Japan: A historical survey (1976),
wurden. Durch seine sprachpolitischen Peti- sehr sorgfältig aufgearbeitet hat, behauptet,
tionen an das Parlament gewann er immer daß die neuen strukturalistischen Theorien
größere Bedeutung und erhielt diverse Funk- zwar vordergründig Pauls Theorie verdrängt
tionen übertragen. Ebenso sichtbarer Aus- hätten, das ganze Gebiet aber substanziell
druck der Verknüpfung von Forschung und von Pauls Prinzipien geprägt wurde und diese
Sprachpolitik ist die auf Uedas Anregung Ideen jetzt und in Zukunft immer wieder zu-
1900 ins Leben gerufene Kokugo chōsa iinkai rückkehren würden und die Forscher vor der
“Kommission zur Untersuchung der Landes- Konfusion durch die Vielfältigkeit bewahren
sprache” beim Kultusministerium. Diese (Doi 1977: 175).
Kommission befaßte sich mit Untersuchun- Als Sprachpolitiker kritisiert Ueda die
gen zur Schriftreform, Sprachreform, Schul- Tendenz, sich den fremden Sprachen bedin-
materialien, Umgangssprache und Dialekten. gungslos zuzuwenden (Sinologie und westli-
1900 erfolgte die Umbenennung Uedas Lehr- che Sprache) und ihre konfuzianische Kin-
stuhls in Gengogaku “Sprachwissenschaft” despflicht (kōkō) gegenüber der eigenen Mut-
und die Gründung der ersten fachwissen- ter zu vernachlässigen. Die japanische Spra-
schaftlichen Zeitschrift: Gengogaku zasshi che der modernen Zeit kann nicht mehr die
“Zeitschrift für Sprachwissenschaft”. Im Jahr Sprache einer gebildeten Minderheit sein,
1924 wurde er Vorstandsmitglied der Tōyō sondern die alltägliche Sprache des Volkes.
bunko, einer einzigartigen Asien-Bibliothek Für die Entwicklung der Sprachwissenschaft
und Forschungsstelle. Mit seinem Schüler seien vor allem folgende Bereiche zu bearbei-
Shinmura Izuru gründete er 1926 die Japani- ten: historische und vergleichende Gramma-
sche Gesellschaft für Phonetik (Nihon onsei- tik, die Phonetik, die Sprachgeschichte, die
gaku kyōkai). Von der Japanischen Akade- Erforschung der Schriftzeichen und der
mie der Wissenschaften wurde er 1926 zum Fremdwörter, der Homonyme und Synony-
Abgeordneten des Oberhauses gewählt. 1927 me, die Unterrichtsmethoden der Sprachaus-
wurde er emeritiert und war anschließend als bildung und die Beschäftigung mit den For-
Leiter der Kokugakuin-Universität tätig. schungsmethoden ausländischer Sprachen.
Ueda bildete eine ganze Generation japani- (Diese Gedanken nimmt Ueda in seinem be-
scher Linguisten aus, die bis auf die Indoger- rühmten Vortrag Kokugo to kokka “Landes-
manistik breit gefächert vertreten sind. Als sprache und Staat” 1894, publiziert 1895,
direkte Schüler gelten Fujioka Katsuji (1872⫺ auf).
1935), Altaische Sprachen), Shinmura Izuru Die für die sprachpolitische Arbeit wich-
(1876⫺1967), Lexikologe und historischer tigsten Werke sind diejenigen, die konkrete
96 IV. The Establishment of the Japanese Linguistic Tradition

Untersuchungen auf dem Gebiet der Erfor- Neugrammatiker einfach lösbar. In dem Auf-
schung der modernen japanischen Sprache, satz P-onkō “Abhandlung zu dem Laut p”
Dialekte und Schrift initiierten und dann in (1903) weist Ueda zwar noch kurz auf die
späteren Jahren als Abschlußberichte der sture Überzeugung Motoori Norinagas hin,
Kommissionsarbeit vorgelegt wurden. Der daß die halbgetrübten Laute wie p keine
Bericht “On’in chōsa-hōkokusho “Bericht ‘richtigen’ Laute des Altjapanischen seien;
über die Aussprache in den einzelnen Landes- dennoch sprechen die Gesetzmäßigkeiten im
teilen” (1905), Kōgohō chōsa hōkokusho “Be- Worzusammenhang, die Transkription der
standsaufnahme der Umgangssprache des Lehnwörter aus dem Sanskrit, die Phonem-
Landes” (1906) konnten für die Phonologie, struktur der Onomatopoetika und die japani-
Orthographie und Sprachnormentwicklung schen Lehnwörter im Ainu für die Annahme
benutzt werden. Die Anfangsetappen und die eines japanischen p-Phonems.
Entwicklung der japanischen Sprachwissen- Der Einblick in den Bau jedes zu behan-
schaft wurden besonders in seiner von seinen delnden Lautsystems konnte nach den Prinzi-
Schülern veröffentlichten Universitätsvorle- pien der modernen Linguistik vorurteilsfrei
sung Kokugogakushi “Geschichte der Koku- ausgeführt werden. Die historischen Fakten
gaku” und in Aufsätzen wie in Gengogakusha wurden neu interpretiert. Ein weiterer Übel-
to shite no Arai Hakuseki “Arai Hakuseki als stand, nämlich die Konzentration auf die ge-
Sprachwissenschaftler” (1894) und in den hi- schriebene Sprache, die durch die Übernah-
storischen Editionen der Philologen der na- me der chinesischen Schrift im Japanischen
tionalen Schule ermittelt. Schließlich wandte die tatsächlich gesprochene Lautform noch
sich Ueda nach dem Vorbild Hermann Pauls zusätzlich verdunkelt hat, wurde unter dem
dem Gebiet der Lexikologie intensiv zu und Einfluß der ausländischen Philologie gänzlich
gab mehrere Lexika heraus. Seine erfolgreich- aufgehoben, so daß die natürliche, unverbil-
sten Wörterbücher der japanischen Sprache dete, gesprochene Sprache in den Berichten
wurden mehrfach aufgelegt und werden bis der Sprachkommissionen in den Vordergrund
heute benutzt: das Daijiten “Das große Wör- rücken konnte.
terbuch” (1917), das Dai Nihon kokugo jiten Da die europäische, grammatische Traditi-
mit Matsui Kanji, das Dai Nihon kokugo jiten on bei der offiziellen Öffnung Japans bereits
“Großes Wörterbuch der japanischen Spra- durch die Hollandwissenschaften lange be-
che” (1915), und mit Takakusu Junjirō et al. kannt war und teilweise durch die Kokuga-
das Nihon gairago jiten “Wörterbuch des ja- kusha “Nationale Schule” gedanklich vorbe-
panischen Lehnwortschatzes” (1915). reitet wurde, entsteht keine offenkundige
Für die Schaffung der modernen Stan- Fremdheit. Die Eingliederung des Eigenen
dardsprache waren bestimmte Schritte im lin- und Fremden in ein allgemeines System wur-
guistischen Denken erforderlich, die auch in de schon früher begonnen. Die Idee der Be-
der Phonologie verwirklicht werden mußten. stimmung der Linguistik als historische
Für den Sprachforscher war es wichtig, von Sprachwissenschaft und Textphilologie läßt
den allgemeinen Gesetzen der Lautphysiolo- sich mit der philologischen Denkungsart der
gie überzeugt zu sein und sich von alten Vor- Kokugaku-Tradition, vor allem in der Prä-
urteilen über die speziellen Lauteigenschaften gung von Motoori, leicht verknüpfen. Die
des Japanischen freizumachen. Die Kokuga- Erklärung empirischer Fakten und Beobach-
ku-Tradition prägte die Vorstellung, daß das tungen durch entwicklungsgeschichtliche Zu-
japanische Lautsystem im Gegensatz zu an- sammenhänge kann Synchronie und Dia-
deren Sprachen ‘gottgegeben’ und deswegen chronie verbinden; dies ist ein großer Vorteil
‘natürlich’ und ‘richtig’ sei. Ueda hat zu dem des junggrammatischen Systems Paulscher
neuen Denken wesentlich beigetragen, wie Prägung. Die sprachlichen Erfordernisse des
zum Beispiel an dem konkreten Fall des altja- modernen Staates werden besonders durch
panischen stimmlosen Labials p, der später die ausländische Philologie reflektiert. Die
spirantisch wurde und sich über h ⬎ f weiter- germanische Philologie als Philologie einer
entwickelte. Während dieses Problem in der ‘Vulgärsprache’ bewirkt auch in Japan die
Kokugaku-Philologie des 18. Jhs. Anlaß zu Revolution der philologischen Denkart. Die
erbitterten Debatten bot, da man die stimm- für das Japanische so prägende chinesische
losen Labiale nicht zu dem Phoneminventar und japanische klassische Schriftprache wird
des Altjapanischen rechnen wollte, scheint zugunsten der lebendigen Umgangssprache
dieses Problem durch die ‘Aufhellung der Ge- und von der neuen schriftlichen Variante des
setze und Prinzipien’ der Phonologie der Japanischen langsam zurückgedrängt. Trotz
13. Die Frühzeit der neueren japanischen Sprachforschung: Vom Kokugaku zum Kokugogaku 97

vielfacher Beteuerung der Notwendigkeit ei- nischen. Die Wortklassen teilt Ōtsuki in 8
ner kritischen Auseinandersetzung mit den Klassen ein:
sprachtheoretischen Grundlagen ist die empi-
1. meishi “Nomina”,
rische Ausprägung stärker. Die empirische 2. dōshi “Verba”,
Sammlung von Fakten wird historisch durch- 3. keiyōshi “Qualitativa”,
geführt, wobei die vollständige detaillierte 4. jodōshi “Verbalsuffixe”,
Erfassung intendiert wird. In den grammati- 5. fukushi “Adverbia”,
schen Kategorien entsteht ein Mischsystem 6. setsuzokushi “Konjunktionen”,
aus der lateinischen und der japanischen 7. teniwoha “Postpositionen”,
Grammatik, die viele Fragen des Japani- 8. kandōshi “Interjektionen”.
schen, als einer nicht-indoeuropäischen Spra- Das Weiterbestehen der eigenen Klassen der
che, offenläßt. Die Doppelgestaltigkeit der teniwoha (der Verbalsuffixe und der Postposi-
Strukturen bleibt bis heute erhalten. tionen) aus der traditionellen Philologie führt
zu der Vermischung der morphologischen
und der syntaktischen Ebene der Sprachbe-
4. Ōtsuki Fumihiko (1847⫺1928) schreibung.
Ōtsukis Vater war eine angesehene Autorität
auf dem Gebiet der Sinologie. Er studierte
5. Yamada Yoshio (1873⫺1958)
selbst zuerst Sinologie, um sich später an dem
Vorläufer der Kaiserlichen Universität dem Yamada arbeitete zuerst als Schullehrer und
Erlernen des Englischen zuzuwenden. 1872 bildete sich autodidaktisch in der Linguistik
bekam er einen Posten im Kultusministeri- weiter. Später wurde er als Experte von der
um. Ōtsuki war Mitherausgeber des viel- “Sprachkommission zur Untersuchung der
bändigen Koji ruien “Der klassifizierte Gar- Landessprache” zu Rate gezogen. Ab 1928
ten alter Sachen” (1879⫺1907), einer nach wurde er zuerst Dozent, dann Professor an
Sachgebieten geordneten Quellen-Sammlung der Universität Tōhoku in Sendai. Als Mit-
aus der Zeit vor 1868. Ōtsuki war Mitglied glied der “Kommission zur Herausgabe der
der sprachpolitisch wichtigen Gesellschaft für Landesgeschichte” mußte er wegen nationali-
die Silbenschriftorthographie Kana no tomo stischer Aktivitäten 1945 zurücktreten, wurde
“Freunde der Silbenschrift” (gegründet jedoch später rehabilitiert. Sein Wirken um-
1882). Während die früheren Wörterbücher faßte mehrere Disziplinen wie Linguistik, Li-
nach den chinesischen Schriftzeichen geord- teraturwissenschaft, Geschichtswissenschaft,
net wurden, gab er das erste japanische Wör- Philologie. Yamada verfaßte zu der Geschich-
terbuch aus, die nach der Silbenschrift-Or- te der japanischen Sprache mehrere Werke,
thographie eingeteilt wurde, Genkai “Wörter- worunter besonders seine Beschreibung des
meer” (1891, mit einem neuen Grammatik- Altjapanischen nach der Gedichtsanthologie
entwurf). Ōtsuki definierte in dem Wörter- Manyōshū im Narachō bunpōshi “Historische
buch Genkai die Standardsprache erstmals Grammatik der Nara-Zeit” (1913b), des frü-
als die gesprochene Sprache unter den gebil- hen Mitteljapanischen Heianchō bunpōshi
deten Menschen in Tokyo. Postum erschien “Historische Grammatik der Heian-Zeit”
die fünfbändige Ausgabe seines Wörterbuchs (1913a) und die Aufarbeitung der histori-
Daigenkai “Großes Wörtermeer” (1932⫺ schen Orthographie Gojūonzu no rekishi “Ge-
1937). Unter seiner Leitung erschienen die schichte der “Fünfzig-Laute-Tafel” ” (1938)
Forschungsresultate der Sprachkommission zu erwähnen sind.
als die erste offizielle Grammatik der gespro- In der Einleitung zu seinem großen Werk
chenen Sprache Kōgohō “Grammatik der ge- Nihon bunpōron “Theorie der japanischen
sprochenen Sprache” (1916 mit Supplement Grammatik” (1902⫺1908), einer Schriftspra-
1917). chengrammatik, die die zeitgenössischen Ar-
Seine 1897 erschienene Grammatik Kō Ni- beiten weit überflügelt, befaßt er sich einge-
hon bunten “Detaillierte japanische Gramma- hend mit dem Verhältnis der traditionellen ja-
tik” wirkte nachhaltig und richtungsweisend panischen und der westlichen Sprachwissen-
für die Beschreibung des Japanischen, indem schaft. Seiner Meinung nach sind Versuche,
er die Kokugaku-Beschreibung mit der westli- das Modell des Englischen und des Deut-
chen Art erneut zu verknüpfen versuchte. schen auf das Japanische anzuwenden, ge-
Das Buch befaßt sich mit der Orthographie, nauso zum Scheitern verurteilt wie die frühe-
Etymologie und der Morphosyntax des Japa- ren Versuche mit dem Chinesischen. Für die
98 IV. The Establishment of the Japanese Linguistic Tradition

grammatische Analyse sei zwar die äußere Satzes (bun), die entweder als Teilsatz oder
Form des elaborierten europäischen Systems selbst als Hauptsatz gilt. Die Sätze gliedert
geeignet, denn menschliche Sprachregeln sind er in zwei Hauptarten: in Ausrufesätze und
universal, dennoch muß man in jedem Fall Aussagesätze, während bei Wundt die diskur-
die Oberfläche durchdringen, um bei der sive Gliederung des Satzes die Dualität der
Analyse nicht den Verblendungen der Elabo- Subjekt-Prädikat-Gliederung erfordert. Die
riertheit zu erliegen. Als theoretischen Weg, Apperzeption (tōkaku sayō) ist zwar auch für
mit dem man die Basis der japanischen Yamada nötig, um menschliche Gedanken zu
Grammatik aufbauen kann, bezieht er sich fokussieren, dennoch ist die nach Wundt not-
auf die linguistische Methoden Henry Sweet’s wendige duale logische Beziehung in einem
und die psychologische Methode Wilhelm Satz nach der Meinung Yamadas im Japani-
Wundts. schen lediglich fakultativ. Ellipsen charakte-
Yamada unterscheidet Wortlehre (goron) risieren die gesprochene Sprache und haben
und Satzlehre (kuron) strikt voneinander, wo- eine direkte prädikative Kraft (chinjutsu).
durch er zu der Herausbildung der modernen Der Begriff der prädikativen Kraft (chin-
Syntax entscheidend beigetragen hat. Er ist jutsu), der nach Yamada eine eigenständige,
auch einer der ersten, der eine Wortdefinition mitunter nationalistisch geprägte Entwick-
aufstellt, indem er das Wort als eine sprach- lung hatte, indem die prädikative Kraft be-
lich selbständige minimale Einheit bestimmt, sonders dem Japanischen zugeordnet wurde,
die irgendeinen Gedanken sprachlich aus- lebte in der japanischen Syntax lange weiter.
drückt. Die Wortkategorien entsprechen im Besonders schwierig wurde die Debatte da-
wesentlichen den später allgemein gebräuch- durch, daß Yamada diesen Begriff auf mehre-
lichen: ren Ebenen der Sprachbeschreibung ange-
die unflektierbaren Wörter (taigen) werden in wandt hatte; so nannte er zum Beispiel auch
1. meishi “Nomen”, die selbständigen, flektierbaren Wörter (Ver-
2. daimeishi “Pronomina”, ba, Qualitativa, verbale Qualitativa, yōgen)
3. sūshi “Numeralia” und selbst chinjutsugo “Prädikativa” im Kontrast
die flektierbaren (yōgen) in zu den Begriffswörtern gainengo (taigen
4. keiyōshi “Adjektiva” und “selbständige unflektierbare Wörter”).
5. dōshi “Verba” aufgeteilt. Yamada propagierte seine Sprachtheorie
Weitere Wortklassen sind die
6. fukushi “Adverbia”,
in den Werken Nihon bunpō kōgi “Vorlesung
7. joshi “Postpositionen” und zur japanischen Grammatik” (1992a) und Ni-
9. setsuji “Konjunktionen”. hon bunpōgaku yōron “Allgemeine Theorie
der japanischen Grammatik” (1931), revi-
Yamada erkennt die eigentliche Schwäche der dierte ausführlich in Nihon bunpōgaku gairon
traditionellen japanischen Grammatik in “Allgemeine Lehre der japanischen Gramma-
dem fast vollständigen Fehlen der Beschäfti- tik” (1936) und erweiterte das sprachliche
gung mit der Syntax. In dem sehr umfangrei- Material mit Beispielen aus der gesprochenen
chen syntaktischen Teil seiner Grammatik Sprache Nihon kōgohō kōgi “Vorlesung zur
(kuron) basiert er seine Satzdefinition eben- japanischen gesprochenen Sprache” (1922b).
falls auf die psychologischen Funktionen und Eine umfassende Analyse der Sprachtheorie
insbesondere auf die Apperzeption (tōkaku Yamadas und der Kokugaku bietet Georg Be-
sayō) und die Verstandestätigkeit (ryōkai dell’s Kokugaku Grammatical Theory (1968).
katsudō), indem er den Satz als Ausdruck ei-
nes apperzipierten Gedankens durch die
Form der Sprache bestimmt. 6. Shinmura Izuru (1876⫺1967)
Die kleinste grammatische Einheit ist das
Wort (go, tango) mit Flexion (katsuyō), Wort- Shinmura studierte Sprachwissenschaft bei
endungen (gobi) und Affixen (setsuji). Wörter Ueda an der Universität Tokyo. In den Jah-
können semantisch Ideen (kannen, kannengo ren 1907⫺1909 hielt er sich auf einer Studien-
“Begriffswörter”) oder Relationen (kankei, reise in England, Frankreich und Deutsch-
kankeigo “Bezugswörter”) ausdrücken. Die land auf und nahm Kontakt zu vielen euro-
Relationen unter den Wörtern werden in ver- päischen Gelehrten auf, darunter zu Henry
schiedenen Kasusfunktionen (ikaku) herge- Sweet, Antoine Meillet, Karl Brugmann und
stellt, die mit Partikeln oder Postpositionen Hermann Paul. 1909 wurde er Professor an
(joshi) markiert sind. In der Syntax von Ya- dem neu eingerichteten Lehrstuhl für Sprach-
mada ist die Phrase (ku) die Basiseinheit des wissenschaft (gengogaku) der Kyoto Univer-
13. Die Frühzeit der neueren japanischen Sprachforschung: Vom Kokugaku zum Kokugogaku 99

sität, bis er 1936 die Nachfolge Uedas antrat. morphologischen Relationen folgenderma-
Shinmura ist als Lehrer bedeutend, da er für ßen konzipiert: Eine Aussage (setsuwa) be-
seinen anschaulichen Stil berühmt war. Auf steht aus einem oder aus mehreren Sätzen
dem Gebiet der Lexikologie war Shinmura (danku). Ein Satz besteht aus einem oder
ein wirklicher Neuerer. Seine Wörterbücher mehreren Wörtern (shi) mit oder ohne suffi-
Jien “Wörtergarten” (1935b) und Kōjien gierten Partikeln. Ein shi ist entweder ein ein-
“Großer Wörtergarten” (1955) gelten als faches Wort (tanshi) oder eine Relativphrase
Klassiker der modernen Lexikographie. Von (renshi). Ein renshi kann aus zwei oder aus
seinen weiteren Arbeitsgebieten seien vor mehreren shi bestehen. Ein tanshi besteht
allem seine Editionstätigkeit und die Aufar- wiederum aus einem oder mehreren elemen-
beitung der Geschichte Kokugaku Tōhō gen- taren Wörtern (genji), die wiederum als tanji
goshi sōkō “Essays zur Geschichte orientali- oder als renji fungieren (Matsushita
scher Sprachen” (1927) und der möglichen 1930: 15). Die syntaktischen Relationen er-
Verwandtschaft des Japanischen Kokugogaku klärt er in Dependenzverhältnissen; er nennt
keitōron “Sprachverwandtschaftliche Bezie- das Regens (tōritsugo) und das Dependens
hung des Japanischen” (1935a) genannt. (jūzokugo), die zusammen eine Relativphrase
(renshi) bilden können.
Matsushitas Wortklassifikation weicht von
7. Matsushita Daisaburō (1878⫺1935) der traditionellen Klassifizierung ab; er ver-
einfacht dies nach den Kriterien der Flektier-
Matsushita studierte an der Kokugakuin barkeit und nach der Syntax in folgende
Universität in Tokyo. Er gründete ein sino- Klassen:
japanisches Kolleg (Nikka gakuin) an der Ko-
kugakuin Universität, an der er 1926 zum 1. meishi “Nomina, Pronomina”,
Professor ernannt wurde. Ab 1931 war er 2. dōshi “Verba, Adjektiva”,
3. fukushi “Adverbia, Konjunktionen”
bettlägerig und verstarb früh. 4. fukutaishi “Adnominale”,
Matsushitas Hauptanliegen bestand darin 5. kandōshi “Interjektionen”.
eine eigene Grammatiktheorie für die Des-
kription des modernen Japanischen auszuar- Weiterhin beachtenswert sind seine Ausfüh-
beiten. Im Jahre 1901 verfaßte er die erste rungen zu Kasus und Aspekte im Japani-
Grammatik des alltäglich gesprochenen japa- schen.
nischen Nihon zokugo bunten “Grammatik Als Philologe ist Matsushita mit der Edi-
der japanischen Vulgärsprache”. Seine weite- tion eines Zeilenindexes zur klassischen Poe-
ren grammatischen Werke tragen den Titel: sie berühmt geworden, Kokka taikan “Gro-
Hyōjun Nihon bunpō “Grammatik des Stan- ßer Überblick über die Gedichte unseres Lan-
dardjapanischen” (1923), Hyōjun Nihon kō- des” (mit Watanabe, 1923).
gohō “Grammatik des gesprochenen Stan-
dardjapanischen” (1930).
8. Hashimoto Shinkichi (1882⫺1945)
In seiner Theorie der japanischen Gram-
matik geht Matsushita von der Annahme Hashimoto studierte Sprachwissenschaft an
aus, daß es zwei Arten von Grammatik gäbe, der Universität Tokyo. Er arbeitete als Japa-
nämlich die interne, universale und die exter- nischlehrer für chinesische Gaststudenten,
ne, sprachspezifische Grammatik. Im Ein- um dann in die “Kommission zur Untersu-
klang mit Yamada Yoshios psychologischem chung der Landessprache” einzutreten. 1909
Ansatz setzt er die Priorität des Gedankens wurde er Uedas Assistent an der Kaiserlichen
vor die sekundäre Sprache. Für seine deskrip- Universität. 1929 wurde er zum Professor er-
tive Grammatik ist charakteristisch, daß er nannt und 1943 emeritiert. Hashimoto befaß-
versucht, die verschiedenen morphologischen te sich vor allem mit den Gebieten der histo-
und syntaktischen Ebenen strikt voneinander rischen Linguistik, der Phonologie des Altja-
zu trennen. Gleichsam ist er bestrebt, dem panischen und mit der Grammatik des mo-
agglutinativen Charakter des Japanischen zu dernen Japanischen.
entsprechen, indem er die Partikeln (teniwo- Auf dem Gebiet der historischen Phonolo-
ha) nicht in der Tradition der Kokugaku von gie konnte Hashimoto die Hypothese Motoo-
den anderen Wortklassen isoliert. ri Norinagas zu dem achtfachen Vokalsystem
In Matsushitas Systematik nach der des Altjapanischen beweisen, indem er die in-
“Grammatik des gesprochenen Standardja- nere lautliche Rekonstruktion des Lautsy-
panischen” werden die syntaktischen und stems fortsetzte und mit vergleichend-histori-
100 IV. The Establishment of the Japanese Linguistic Tradition

schen Daten aus japanischen Dialekten un- Adverbia, Verbalsuffixe und Postpositionen
termauern konnte in seinem Jōdaigo no ken- (siehe dazu Miller 1993: 322⫺326; Rickmey-
kyū “Studien zum Altjapanischen” (1950). er 1983).
Hashimoto weckte als erster die Aufmerk-
samkeit für die portugiesischen Studien als
historisches Material für das Spät-Mitteljapa- 9. Die Historiographie der
nische Bunroku gannen Amakusaban Kirishi- Kokugogaku
tan kyōgi no kenkyū “Das Studium der christ-
lichen Doktrinen in der Amakusa-Edition Die Universitätsvorlesung, mit der Ueda seit
1592” (1928) und bearbeitete dieses Material 1894 eine ganze Generation von Linguisten
für das Lautsystem des Mitteljapanischen. in die Sprachwissenschaft eingeführt hatte,
Für die Grammatik des Japanischen ist ist als Vorlesungsmitschrift erhalten und von
seine Systematisierung der Klassifizierung Shinmura Izuru ediert worden. Der Titel lau-
der Wortkategorien in der Shin bunten bekki tet zwar Kokugogakushi “Geschichte der ja-
“Neue Grammatik” (1931⫺1936) von Bedeu- panischen Sprachwissenschaft”. In dieser
tung, womit er die Grundlage der wissen- Vorlesung bettet Ueda die Leistungen der ja-
schaftlichen und der japanischen Schulgram- panischen Sprachwissenschaft in die Fortent-
matik bis heute bestimmt hat, die aber auf wicklung der linguistischen Systeme der Welt
eine längere Entwicklung im japanischen lin- ein. Die Beschäftigung mit der eigenen Ge-
guistischen Denken zurückgeht und an die schichte setzte also parallel zu der Entste-
europäische Tradition angelehnt ist. hung dieser Richtung ein (Yamagiwa 1961;
Hashimoto teilt alle Formen in zwei Kate- Lewin 1989). Die institutionelle Etablierung
gorien ein, nämlich in freie ( jiritsugo) und fu- der Kokugogaku geschah viel später während
zokugo) Formen. Selbständige Vollwörter des zweiten Weltkrieges mit der Gründung ei-
werden in flektierbare und unflektierbare ner eigenen “Gesellschaft für japanische
Vollwörter (katsuyōgo) eingeteilt und sind Sprachwissenschaft”. Die großen Fortschrit-
entweder flektierbar und prädikativ (yōgen) te, die auf allen Gebieten der Linguistik er-
(1. dōshi “Verba”, 2. keiyōshi “Qualitativa”, zielt wurden, um das Japanische genauer zu
3. keiyōdōshi “verbale Qualitativa”) oder un- charakterisieren, sind in drei repräsentativen
flektierbar und subjektivisch (taigen), adver- Lexika nachzuverfolgen: Kokugogaku jiten
bial, adnominal, konjunktional, isoliert. Die “Wörterbuch der Japanischen Sprachwissen-
subjektivischen sind die folgenden: 4. meishi schaft” (1955), Kokugogaku daijiten “Großes
“Nomina”, 5. daimeishi “Demonstrativa”, 6. Wörterbuch der Japanischen Sprachwissen-
sūshi “Numeralia”. Adverbial sind die 7. fu- schaft” (1980) und Kokugogaku kenkyū jiten
kushi “Adverbia”. Adnominale heißen 8. ren- “Sachwörterbuch zur japanischen Sprachfor-
taishi “Attributiva”. Konjunktional sind die schung” (1977).
9. setsuzokushi “Konjunktionen”. Isoliert ste-
hen die 10. kandōshi “Interjektionen”. Ab- 10. Bibliographie
hängige Hilfswörter werden als eigene Klasse
betrachtet und in flektierbare 11. jodōshi Bedell, George D. 1968. Kokugaku Grammatical
“Verbalsuffixe” und unflektierbare 12. joshi Theory. Ph. D. thesis. MIT.
“Postpositionen” unterschieden. Doi, Toshio. 1976. The Study of Language in Ja-
Eine sehr ausführliche Darstellung der Ko- pan: A historical survey. Tokyo: Shinozaki shorin.
kugogaku-Systematik der Beschreibung des Eschbach-Szabo, Viktoria. 1989. “Wilhelm Wundt
Japanischen ist in dem Abriß der japanischen und Yamada Yoshio über die Definition des Sat-
Grammatik von Bruno Lewin (1959) zu fin- zes”. Bruno Lewin zu Ehren hg. von I. Hijiya-
den. Als Kritik an der Begriffsbildung wurde Kirschnereit & J. Stalph, 67⫺79. Bochum: Brock-
vor allem mehrfach die Frage der gelungenen meyer.
oder nicht gelungenen Synthese japanischer Hashimoto, Shinkichi. 1928. Bunroku gannen Ama-
und europäischer Systematik für die japani- kusaban Kirishitan kyōgi no kenkyū. Tokyo: Tōyō
sche Grammatik erörtert. Morphologische bunko.
und syntaktische Gründe sprechen für meh- ⫺. 1931⫺39. Shin bunten. Shin bunten bekki.
rere Verschiebungen und Veränderungen, die 10 Bde. Tokyo: Fuzanbō.
im Rahmen der strukturalistischen Linguistik ⫺. 1946⫺71. Hashimoto, Shinkichi hakushi chosa-
vorgenommen wurden. Am deutlichsten sind kushū. 12 Bde. Tokyo: Iwanami.
die unnötigen Komplikationen bei der Erfas- Hattori, Shirō. 1967. “Descriptive Linguistics in
sung der Kopula, der Pronomina, Adjektiva, Japan”. Current Trends in Linguistics. Linguistics in
13. Die Frühzeit der neueren japanischen Sprachforschung: Vom Kokugaku zum Kokugogaku 101

East Asia and South East Asia hg. von Thomas A. Shinmura, Izuru. 1927. Tōhō gengoshi sōkō. To-
Sebeok, 530⫺584. The Hague: Mouton. kyo: Iwanami.
Kindaichi, Haruhiko et al, Hg. 1988. Nihongo hya- ⫺. 1935a. Kokugogaku keitōron. Tokyo: Meiji
kka daijiten. Tokyo. Kokugo, Chōsa Iinkai. 1905. shoin.
On’in chōsa hōkokusho; on’in bunpuzu. 2 Bde. To- ⫺. 1935b. Jien. Tokyo: Iwanami.
kyo: Nihon Shoseki Kabushiki kaisha.
⫺. 1955. Kōjien. Tokyo: Iwanami.
⫺. 1906. Kōgohō chōsa hōkokusho; kōgohō bunpu- Sugimoto, Tsutomu. 1989. Seiyōjin no Nihongo
zu. 3 Bde. Tokyo: Kokutei kyōkasho kyōdō han- hakken: The discovery of the Japanese language by
baisho. Western people. Tokyo: Sōtakusha.
Kokugo, Gakkai, Hg. 1955. Kokugogaku jiten. To- Tsukishima, Hiroshi et al. 1982. Bunpōshi. (⫽ Kōza
kyo: Tokyodō. Kokugogakushi, 4.) Tokyo: Taishūkan.
⫺. Hg. 1980. Kokugogaku daijiten. Tokyo: To- Tsurumine, Shigenobu. 1833. Gogaku shinsho. Ko-
kyodō. kugogaku taikai, hg. von Kyūzō Fukui, I, 207⫺318.
Lewin, Bruno. 1959. Abriss der japanischen Gram- Tokyo, 1930⫺1944. (2. Aufl., Tokyo: Hakuteisha,
matik auf der Grundlage der klassischen Schriftspra- 1975.)
che. Wiesbaden: Harrassowitz. (3. verb. Auflage, Twine, Nanette. 1991. Language and the Modern
1990.) State: The reform of written Japanese. London &
⫺, et al. Hg. 1989. Japanische Sprachwissenschaft. New York: Routledge.
Wiesbaden: Harrassowitz. Ueda, Kazutoshi. 1968. Ueda Kazutoshi-shū. Meiji
bungaku zenshū. Hg. von Senichi Hisamatsu,
Matsushita, Daisaburō. 1901. Nihon zokugo bun-
XLIV. Tokyo: Chikuma shobō.
ten. Tokyo: Seibidō.
⫺. 1984. Kokugogakushi. Hg. von Izuru Shinmu-
⫺. 1924. Hyōjun Nihon bunpō. Tokyo: Kigensha. ra & Tōsaku Furuta. Tokyo: Kyōiku shuppansha.
(2. rev. Aufl., 1928.)
⫺ & Kanji Matsui. 1939⫺1941. Dai Nihon kokugo
⫺. 1930. Hyōjun Nihon kōgohō. Tokyo: Chūbun- jiten. 2. verb. Aufl. 5 Bde. Tokyo: Fuzanbō.
kan shoten. (1. Aufl., 1915.)
⫺. 1930. Hyōjun kanbunpō. Tokyo. ⫺, Junjirō Takakusu et al. 1915. Nihon gairago ji-
⫺ & Watanabe Fumio. 1901, 1903, 1925, 1926. ten. Tokyo: Sanseidō.
Kokka taikan. 4 Bde. Tokyo: Kigensha. ⫺ et al., Hg. 1917. Daijiten. Tokyo: Keiseisha.
Miller, Roy A. 1993. Die japanische Sprache: Ge- Yamada, Yoshio. 1902⫺1908. Nihon bunpōron. To-
schichte und Struktur. Übers. von Jürgen Stalph. kyo: Hōbunkan.
München: iudicium. ⫺. 1913a. Heianchō bunpōshi. Tokyo: Hōbunkan.
Ōtsuki, Fumihiko. 1891. Genkai. Tokyo: Yūseidō. ⫺. 1913b. Narachō bunpōshi. Tokyo: Hōbunkan.
⫺. 1897. Kō Nihon bunten. Tokyo: Yoshikawa. ⫺. 1922a. Nihon bunpō kōgi. Tokyo: Hōbunkan.
⫺, Hg. 1916. Kōgohō. Tokyo: Kokugo Chōsa Iin- ⫺. 1922b. Nihon kōgohō kōgi. Tokyo: Hōbunkan.
kai. (Suppl. 1917.) ⫺. 1931. Nihon bunpōgaku yōron. Tokyo: Kado-
⫺. 1932⫺1937. Daigenkai. 5 Bde. Tokyo: Fuzanbō. kawa.
Paul, Hermann. 1886. Prinzipien der Sprachge- ⫺. 1936. Nihon bunpōgaku gairon. Tokyo: Hōbun-
schichte. Halle a. S.: Max Niemeyer. (6. Aufl., Tü- kan.
bingen: Niemeyer, 1960.) ⫺. 1938. Gojūonzu no rekishi. Tokyo: Hōbunkan.
⫺. 1888. Principles of History of the Language. Yamagiwa, Joseph K. 1961. Japanese Language
Übers. von H. A. Strong. London: Sonnenschein. Studies in the Shōwa Period: A guide to Japanese
reference and research materials. Ann Arbor: Univ.
⫺. 1965. Gengoshi no genri. Übers. von Kinosuke of Michigan Press.
Fukumoto. Tokyo.
Yamamoto, Masahide. 1971. Genbun itchi no reki-
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schen Gegenwartssprache. Heidelberg.
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Tokyo: Meiji shoin. (Deutschland)
102 IV. The Establishment of the Japanese Linguistic Tradition

14. The influence of Dutch grammar on Japanese language research

Although Japan gave up her policy of seclu- In the 16th and early 17th century, when
sion only in 1854, the country had been ex- Iberian missionaries and traders came to Ja-
posed to Western influences for three centu- pan, many Portuguese and a few Spanish
ries. words were assimilated into the Japanese lan-
The Portuguese had held trading rights guage. In the period from 1609 until ca. 1860
from 1543 to 1639, the Spanish from 1592 to a very large number of Dutch words were
1624. The first Dutch ship arrived in April borrowed. Some examples are gasu “gas”,
1600. On August 24, 1609, the Dutch re- kōhii (D. koffie “coffee”), kokku (D. kok
ceived official permission to establish a trad- “cook”), masuto “mast”. More interesting in
ing post at Hirato, an island to the west of our present contect are Sino-Japanese trans-
Northwest Kyushu. In 1641 the Dutch settle- lations of D. words (especially scientific,
ment was moved to Dejima, an artificial islet medical and anatomical terminology). Sino-
in the Bay of Nagasaki. Between 1639 and Japanese (S.-J.) is a term applied to Chinese
1854, the Dutch were the only Europeans loan words the pronunciation of which has
who were allowed to have trade relations been adapted to the Japanese sound system.
with Japan. This exceptional position they In order to designate new concepts the Jap-
owed to their enmity with the Portuguese and anese often coin their own S.-J. compounds
the Spaniards as well as to the fact that they in a way comparable to our combinations of
were interested only in commerce and not in words of Latin, Greek or Greek-Latin origin
attempts at conversion of the Japanese to the for new objects or ideas (e. g., automobile or
Christian religion. They imported useful television). Some examples of such loan
manufactured goods from Europe and the translations are bi-yoku (D. neusvleugel
Indies and such colonial products as spices, “nostril”, lit. nose ⫹ wing), shi-kaku (D. ge-
tin and mercury. Moreover, the Japanese zichtshoek “visual angle”, lit. vision ⫹ angle),
kept themselves informed through the Dutch shojo-maku (D. maagdevlies “hymen”, lit.
of events in the rest of the world. maiden ⫹ membrane).
The isolationist policy, which had been the When, towards the end of the 18th centu-
aim of the Japanese government for some de- ry, the Rangakusha began to read and
cades before it was fully implemented in translate more and more Dutch scholarly
1639, marked the end of a period of fairly books, they became acutely aware of the
intensive contact with Western culture. need to study Dutch grammar, and it was
Notwithstanding all the restrictions im- only natural that they tried to apply its con-
posed during the period of seclusion, a thirst cepts and rules to their own language. An ex-
for knowledge of Western scholarship and haustive treatment of the subject being im-
technology continued to exist. As time went practical here, I will confine myself to the
by and certain regulations were relaxed that grammatical categories.
interest grew, culminating in the second half Shizuki Tadao, alias Nakano Ryūho
of the 18th century in a flowering of the (1750⫺1806), Nagasaki interpreter and spe-
study of Western sciences, which were re- cialist in Western astronomy and physics,
ferred to collectively as Rangaku: Dutch studied Sewel’s Nederduytsche Spraakkonst
learning or ‘Hollandology’. The word Ranga- (Dutch grammar) and wrote Oranda shihinkō
ku covered a wide range of disciplines includ- “A Study of the Dutch parts of speech”. Wil-
ing medicine, astronomy, mathematics, bota- lem Sewel, a Dutchman of English descent,
ny, physics, geography, geodesy, and military published his grammar in 1708; it was re-
science. Less attention was given to Euro- printed in 1717 and 1733. A revised and en-
pean history and art. The scholars specializ- larged edition appeared in 1756. Shizuki’s
ing in these fields, all of which had studied work was used for the instruction of other
Dutch, were called Rangakusha or “Hollan- interpreters, but never published. His disciple
dologists”. Japan’s emergence as a major Baba Sadayoshi (1787⫺1822) revised the text
power in the second half of the 19th century and put it into circulation on a small scale
is in large measure attributable to her rapid under the title Teisei Rango kyūhinshū “Re-
absorption and adaptation of Western vised collection of the nine parts of speech of
knowledge; the foundations of this accultura- the Dutch language” (1814). Baba also wrote
tion process were laid by the Rangakusha. a preface to Orandago hōge “Explanation of
14. The influence of Dutch grammar on Japanese language research 103

the rules of Dutch grammar” by Fujibayashi are obviously intended to render the D. ad-
Fuzan (1781⫺1836). It was based on several jective zelfstandig. Tsuzuki-kotoba refers to
Dutch grammars and printed in 1815. the attributive base (ren-taikei) of the verb,
Tsurumine Shigenobu (1788⫺1859) was hataraki-kotoba to its conclusive base (shūshi-
the first to apply the methods of Dutch gram- kei). The sama-kotoba include the renyōkei of
mar to the Japanese language. In 1833 he the verb.
published his Gogaku shinsho “New book on It is not surprising that later grammarians
the study of language”, a descriptive gram- substituted S.-J. compounds for Tsurumine’s
mar of Japanese based on the linguistic clas- unwieldy appellations: na-kotoba was re-
sifications of the West. placed by meishi, kae-kotoba by daimeishi,
For the understanding of Tsurumine’s and hataraki-kotoba by dōshi, etc. (see below).
others’ classification it is necessary to present In 1842 Mitsukuri Genpo (1799⫺1863)
here a list of the parts of speech traditionally published Oranda bunten zenpen “Dutch
distinguished in Dutch grammar: grammar, part I”, a reprint of Grammatica of
Nederduitsche Spraakkunst, compiled by the
(1) [zelfstandige] naamwoorden, lit. “[indepen- Maatschappij tot Nut van ’t Algemeen (Soci-
dently existent] name words”, i. e. nouns, sub-
ety for the Public Weal) in 1822. The parts
stantives
(2) bijvoeglijke naamwoorden, lit. “attachable
of speech enumerated in this Dutch book, of
name words”, i. e. adjectives which 5,000 copies were printed, were later
(3) telwoorden, lit. “number words”, i. e. numer- rendered into Japanese by Mitsukuri and his
als colleagues as:
(4) werkwoorden, lit. “work(ing) words”, i. e. (1) [jitsu]meishi (jitsu “true”; mei “name”; shi
verbs “words”) ⫺ substantives
(5) lidwoorden, lit. “member words” (translation (2) kanshi “capping words” ⫺ articles
of Latin articuli), i. e. articles (3) keiyōshi “form and appearance words” ⫺ ad-
(6) voornaamwoorden (transl. of L. pronomina), jectives
i. e. pronouns (4) sūshi “number words” ⫺ numerals
(7) voorzetsels (transl. of L. praepositiones), i. e. (5) daimeishi “words substituting (instead of)
prepositions names” ⫺ pronouns
(8) voegwoorden (transl. of L. coniunctiones), i. e. (6) dōshi “movement/action words” ⫺ verbs
conjunctions (7) fukushi “aiding/assisting words” ⫺ adverbs
(9) bijwoorden (transl. of L. adverbia), i. e. ad- (8) zenshi “before words” ⫺ prepositions
verbs (9) setsuzokushi “connecting words” ⫺ conjunc-
(10) tussenwerpsels (transl. of L. interiectiones), tions
i. e. interjections (10) tansokushi “lamentation words” ⫺ interjec-
tions.
Tsurumine classified the parts of speech of
the Japanese language in the following way: In spite of its obvious shortcomings for the
description of Japanese the traditional Dutch
(1) [i]na-kotoba “[existent] name words”: nouns,
substantives
classification of the parts of speech became
(2) tsuki-kotoba “attached words”: qualifiers, ad- exemplary for later grammars of that lan-
jectives guage.
(3) kae-kotoba “substituting words”: pronouns Nakagane Masahira (dates unknown) of
(4) tsuzuki-kotoba “continuation words”: attribu- Osaka, for instance, gives in his Yamato go-
tives gaku tebikigusa “Guide for the study of the
(5) hataraki-kotoba “working words”: verbs Japanese language” (1871) the following
(6) sama-kotoba “condition words”: adverbs eight parts of speech:
(7) tsuzuke-kotoba “connecting words”: conjunc-
tions (1) jitsu-meishi
(8) sashi-kotoba or sasu-kotoba “pointing-out (2) keiyōshi
words”: case particles (3) daimeishi
(9) nageki-kotoba “lamentation words”: interjec- (4) dōshi
(5) bunshi (Dutch deelwoorden, i. e. participles)
tions
(6) fukushi
As lidwoorden (articles) do not exist in Japan- (7) setsuzokushi
ese, this category has been omitted by Tsuru- (8) kantanshi (“admiration words”, i. e. interjec-
mine. Some of his appellations require fur- tions).
ther explanation. The i of ina-kotoba is the When compulsory education was instituted
renyōkei (continuative base) of iru “to exist, in 1872 the teaching of grammar in primary
to be”; the Chinese characters rendering ina and secondary schools became, of course,
are read jittai “substance, entity”, in S.-J. and very important.
104 IV. The Establishment of the Japanese Linguistic Tradition

In 1897 Ōtsuki Fumihiko (1847⫺1928) Lewin, Bruno. 1959. Abriß der japanischen Gram-
published his Kō Nihon bunten “Comprehen- matik. Wiesbaden: Harrassowitz.
sive Japanese gammar”, in which he classified ⫺, ed. 1989. Sprache und Schrift Japans. Leiden
the parts of speech as follows: Brill.
(1) meishi (nouns) Maës, Hubert. 1975. “Un point d’histoire termino-
(2) dōshi logique: taigen ⬃ yōgen”. Travaux du groupe de lin-
(3) keiyōshi guistique japonaise, vol. I: Problèmes terminologi-
(4) jodōshi (auxiliary verbs)
ques, 66⫺760. Paris: Université de Paris VII.
(5) fukushi
(6) setsuzokushi ⫺. 1975. « Un point d’histoire terminologique:
(7) tenioha (particles) dōshi ». Travaux du groupe de linguistique japonaise,
(8) kandōshi (“emotion words”, i. e. interjections). vol. I: Problèmes terminologiques, 77⫺86. Paris:
The first category included daimeishi (pro- Université de Paris VII.
nouns) and sūshi (numerals). Jodōshi is a lit- Miller, Roy Andrew. 1967. The Japanese Language.
eral translation of Dutch hulpwerkwoorden. Chicago & London: The Univ. of Chicago Press.
Tenioha is the old Japanese appellation for
Nichiran Gakkai, ed. 1984. Yōgakushi jiten [Dictio-
particles and a certain number of verbal end-
nary of the History of “Western Learning”.] To-
ings, but Ōtsuki used it only for morphemes kyo: Yūshōdō shuppan.
indicating syntactical relationships. From his
classification it becomes clear that he felt the Numata, Jirō. “The Introduction of Dutch Lan-
need to emphasize certain characteristics of guage”. Acceptance of Western Cultures in Japan
the Japanese language. from the Sixteenth to the Mid-nineteenth Century,
Ōtsuki’s classification was adopted with 9⫺19. Tokyo: The Centre for East Asian Cultural
slight modifications by Hashimoto Shinkichi Studies.
(1882⫺1945), who was responsible for the of- Saitō Makoto (Shin). 1985. Nihon ni okeru Oranda-
ficial school reference grammar established go kenkyū no rekishi [A History of the Study of the
by the Ministry of Education; it has actually Dutch Language in Japan.] Tokyo: Daigaku
remained authoritative until the present day. shorin.
Lack of space has prevented us from deal-
Sugimoto Tsutomu. 1976⫺82. Edo-jidai Rangoga-
ing with other subjects besides the grammati-
ku no seiritsu to sono tenkai [The Establishment of
cal categories, but we can certainly conclude
Dutch Language Studies in the Edo Period and
safely that Japanese linguistic terminology in
their Development.] 5 vols. Tokyo: Waseda daiga-
general has been strongly influenced by
ku shuppansha.
European examples and that its origins are
to be found in the study of Dutch grammar. Vos, Frits. 1963. “Dutsch Influences on the Japan-
ese Language (with an Appendix on Dutch Words
in Korean)”. Lingua 12:4.341⫺388.
Bibliography
Yamada Yoshi. 1936. Nihon bunpōgaku gairon [An
Fukui Kyūzō. 1953. Nihon bunpōshi [History of Introduction to the Study of Japanese Grammar.]
Japanese Grammar.] Tokyo: Kazama shobō. Tokyo & Osaka: Hōbunkan.
Kindaichi Kyōsuke. 1953. Kokugogaku nyūmon
[Introduction to Japanese Linguistics.] Tokyo: Yo-
shikawa kōbunkan. Frits Vos †, Oegstgeest (The Netherlands)

15. The role of linguistics in Japanese society and education

Today, just as for ca. the past 100 or more lation, and control; and it is today, just as in
years, the principal role of linguistics in Jap- the past, one of the most effective means by
anese society and education continues to be which relatively small numbers of Japanese
one relatively simple to categorize, even élite are empowered for implementing their
though in actual application it inevitably dis- domination and exploitation of the remain-
plays a multifarious repertory of superficially ing bulk of the population, at the same time
differentiated modes. In brief, in Japan lin- ensuring that this small élite is able to perpet-
guistics mainly serves, and has long served, uate its own socioeconomic hegemony. Thus,
as an instrument of social coercion, manipu- linguistics in Japan continues today to be
15. The role of linguistics in Japanese society and education 105

what it has been throughout most of re- manipulation as a principal medium for soci-
corded Japanese history, i. e. the major effec- etal control; and even following their early
tive mechanism that segments Japanese soci- demise, this sociolinguistic component of
ety along a rigid, self-perpetuating, vertical Japanese social structure and organization
axis of social control; and the advent of the has continued to flourish throughout the
so-called modernization of the 19th century shadow-structures of despotic horizontal net-
⫺ in reality, little more than the entirely su- works that have, ever since the 8th century
perficial imposition from above of an imita- and down to the present day, continued to
tive pseudo-Euro-Western exploitative capi- dominate as well as to regulate Japanese soci-
talism upon the inherited and largely unal- ety.
tered feudal economic base of the society ⫺ Central to the imposition of Chinese bu-
has done little to alter the linguistic aspects reaucratic institutions upon Japanese society
of the society or those of its education in any in the late 7th century was a massive linguis-
essential particular. tic onslaught. This took the form of a whole-
The vertical imposition of an imitative ver- sale adoption of the Chinese language as the
sion of the classical Chinese despotic hydrau- sole operative linguistic medium of govern-
lic super-state bureaucracy upon Japanese ment, administration, and social control.
agrarian society from the second half of the Henceforth all such functions were to be ex-
7th century on led almost immediately to to- ercised exclusively through the agency of a
tal atrophy in the development of genuinely foreign language accessible only to a careful-
indigenous Japanese institutions of social ly delimited and policed élite.
control. This entirely irrelevant pseudo-conti- Overnight this astonishing coup de langage
nental bureaucracy, with its music-hall chi- had the effect of rendering politically impo-
noiserie trappings of hollow court ranks, re- tent the bulk of the Japanese population, and
sounding titles, empty enfoeffments, and at the same time effectively isolating them
numbing ceremonials was not only economi- from their own political institutions. At the
cally disastrous and aesthetically absurd; it same time it ensured that the indigenous in-
also proved itself totally ineffective, and un- stitutions would atrophy in the bud, which to
able to provide essential services, and power- be sure they almost immediately did.
less even to collect the taxes that it so lavishly Replacing them were two structures. One
levied, leaving itself without the necessary was highly visible but mostly decorative and
minimum of economic resources required for powerless, a Chinese-style charade of court
its own maintenance. Thus by default the bu- and bureaucracy with their attendant satellite
reaucracy in short order turned the govern- institutions. The other was a mostly invisible
ment of the country over to a variety of shad- but generally effective internal-horizontal
ow-structures that survive in one form or an- control axis of the despotic shadow institu-
other down to the present day, since these tions already mentioned. These have contin-
have shown themselves to be the only way ued to provide the effective government of
out of the disaster brought about by the the country, just as they continue to be in the
adoption of the Chinese-style central despo- main self-perpetuating.
tism of the 7th century. Both these structures from their inception
In earlier periods these shadow-structures managed to become empowered because of
(hereditary landowners, beneficed clergy, their effective monopoly upon the use of the
monastic foundations, bands of assorted out- Chinese language, and especially because of
laws and mafiossa, etc.) were empowered as their ability to exercise strict control over the
interlocking sets of horizontal despotisms; to- all-important paths of accessibility to that
day most of these survive, but with the addi- language. Today the situation remains virtu-
tion of further varieties of similar structures ally unaltered, with the minor difference that
(e. g., in the political sphere the ‘clubs’ that English has replaced Chinese.
represent the real power behind the overt po- This phenomenon of the elevation of a for-
litical parties). eign language that, by definition, remains en-
Against this historical background, it is tirely beyond the grasp of all but a miniscule
not difficult to understand how the imported minority of the population is one that has
Chinese bureaucratic institutions of the been repeated time and time again through-
abortive 7th century attempts at a continen- out the history of Japanese society. In the late
tal-model centralized government were from 7th century and immediately following, the
their inception deeply embroiled in linguistic situation with respect to this all-important
106 IV. The Establishment of the Japanese Linguistic Tradition

control of access to the foreign language at sisted upon employing, e. g. in the negotia-
issue, i. e., Chinese, was especially critical. tions with the American authorities who were
Travel between Japan and the Asian main- determined to force open the so-called
land in the 7th century was difficult and dan- ‘closed country’ of the mid-19th century, was
gerous, and long remained so; nevertheless, it not really Dutch such as would be employed
was possible, and fair numbers of Japanese by a Dutchman, or Dutch that could be
managed to survive the rigors of the learned by a period of residence in Holland.
roundtrip to China. In the main these trips Like the Chinese of earlier centuries, this
tended to be little more than grand tours, Dutch too was an officially sanctioned artifi-
whose survivors returned to Japan as soon as cial language, generated and manufactured
possible, having learned little or nothing of by the élite for the purposes of their own élite
the Chinese language. But there were notable ends and accessible only to members of that
exceptions, persons who returned with con- same élite. It was a language without native
siderable or in some cases even formidable speakers, a special restricted medium of com-
linguistic skills. munication more important for its value as
These individuals provided a sudden new an agent of social control than for its ability
challenge for the system of social control to facilitate communication. Developed and
based upon the élite’s control of access to honed by generations of Tokugawa heredi-
language-learning opportunities; and this tary ‘Dutch interpreters’ who had never been
new challenge soon generated a new and vir- to Holland or spoken with a Dutchman, it
tually unique response. stood in exactly the same relationship to au-
The ruling élite quickly countered the chal- thentic Dutch as the pseudo-Chinese of early
lenge to their empowerment-monopoly by re- Japanese bureaucracy did to real Chinese.
placing proper, authentic Chinese ⫺ the kind Most significantly, this same process of of-
of Chinese that one might learn in China ⫺ ficial élite-sanctioned ‘pidginization’ was in
with an altered pseudo-Chinese, a pidgin jar- turn implemented with respect to English in
gon that one could only learn as a participat- the years immediately followed Japan’s de-
ing member of the Japanese élite. So different feat in World War II. Long before the events
was this artificial linguistic medium from the of the 1940s, it had become self-evident that
authentic Chinese of China that practical English would necessarily replace Dutch as
first-hand linguistic preparation gained the medium for Japan’s intercourse with the
through study and residence in China would rest of the world. Down to and including the
be more of a drawback in mastering the new war years, the élite were able to control ac-
mediu than it would be an advantage. As a cess to English just as rigidly as in earlier cen-
consequence, travel to and study in China be- turies they had been able to control access to
came less and less desirable, because learning Made-in-Japan Chinese and the halting
the Chinese language of China was of Dutch of the Tokugawa interpreters.
increasingly little utility in Japanese society. But after 1945, travel to English-speaking
From the mid-9th century on, when official countries was no longer an activity that could
‘study missions’ to China ceased, the lan- be controlled effectively. Soon it became pos-
guage of the social control and despotic hege- sible for virtually anyone at any level of Jap-
mony exercised by the Japanese élite was so anese society to go to England or the United
far removed from authentic Chinese that the States, live and study there, and learn some-
élite became almost entirely self-perpetuat- thing of the language there employed. When
ing: the only way to learn this new language such individuals returned to Japan, they
was already to be a member of the tiny élite found themselves ⫺ and today still find
clique that employed it. themselves ⫺ in much the same situation en-
This extremely curious episode in linguistic countered by the brave 8th and 9th century
history would be little more than an histori- travellers to China. Linguistically they were
cal curiosity were it not for the fact that the well equipped, but in a manner with which
Japanese élite has continued to implement Japanese society was not prepared to cope.
the same gambit through subsequent centu- They posed a powerful threat to the linguistic
ries, down to and including the present day. hegemony of the hereditary élite whose train-
Later in Japanese history the Dutch language ing in English, like the Dutch training of the
became the sole officially sanctioned medium Tokugawa interpreters and the pidgin-Chi-
for intercourse with Western countries (→ nese of the medieval bureaucrats, had been
Art. 14). But the Dutch that the Japanese in- gained entirely in Japan. Potentially the situ-
15. The role of linguistics in Japanese society and education 107

ation was one fraught with enormous danger ostensibly test the candidate’s ability in Eng-
for the entire Japanese social structure; left lish. This requirement holds firm whether the
unchecked, it might have led to the disem- candidate’s proposed course of studies deals
powerment of the élite and the opening of with English or not ⫺ nor will the successful
opportunities of advancement, even eventual- candidate normally have occasion to hear,
ly full societal participation, by large num- use, or read a word of the language during
bers of non-élite individuals. the four-year curriculum, which is conducted
But as one observes so often in the course entirely in Japanese, down to and including
of Japanese history, in this instance too a classes in English.
sudden powerful stimulus was immediately The highly ceremonialized and entirely un-
countered by an equally strong repressive re- realistic nature of this entire rite of passage
sponse. The operative agency in this case was procedure is further highlighted by the fact
the highly centralized Japanese state univer- that the English concerning which the candi-
sity system, established in 1886 on the model date is examined is not even remotely con-
of the Prussian universities. nected with the employment of that language
Few Japanese imitations of Western insti- as a normal medium of communication,
tutions introduced in the 19th century and either oral or written. Instead, the testing is
following have succeeded in replicating much entirely devoted to intricate puzzle-solving,
more than the external trappings of their such as guessing what words are missing in
originals; and this was also true of the at- a mutilated passage drawn from some minor
tempt to erect a Prussian-style centralized British novelist of the previous century (Mill-
state university system. Both Lernfreiheit and er 1982: 239ff.).
Lehrfreiheit of course ran counter to the au- The unrealistic nature of this variety of
thoritarian goals of the state, and both re- testing is best demonstrated by the fact that
main largely foreign to the Japanese universi- no one with native-speaker ability in the lan-
ties. Instead of such factors, it was instead guage can possibly pass these tests, nor can
the demonstrated capability of the Prussian- a Japanese who has spent years abroad and
model university to regiment the social order learned to speak and write and read English
that most interested the Japanese; and this there, but has not ‘studied English’ in a Jap-
remains the single attribute of German high- anese secondary school, where years are de-
er-education that they have consistently imi- voted solely to preparing students to solve
tated with the most remarkable success. these pseudo-linguistic puzzles. Like the pid-
The Japanese élite soon realized that it gin Chinese of earlier centuries, or the Made-
would be possible to exploit the imported in-Japan Dutch of the Tokugawa interpret-
university system for the effective control of ers, the English of the Japanese university ex-
society by making graduation from one of aminations is a specialized sociolect, a jargon
these few, select institutions the sine qua non that has no native-speakers, an idiom that
for meaningful participation in the social may only be mastered, slowly and at great
process. Without a degree from a state uni- cost, within Japanese society itself. Needless
versity, advance to positions of power in gov- to say, it consequently functions as an instru-
ernment, in business, and even in the many ment of social control par excellence.
shadow-structures that were critically opera- This situation is reflected in the terms used
tive in Japanese society, would be impossible. in modern Japanese to refer to English. The
Once this system of empowerment was in Sino-Japanese loan-compound eigo is used
place, vertical social control became a fairly for the jargon that one must master in order
simple matter, requiring only the implemen- to pass the university entrance examinations;
tation of strict controls on admissions to the but eigo has no other utility, and especially
universities. In turn, the university entrance no utility outside Japan. If one wishes to
examination became the major rite of pas- communicate with Westerners one must learn
sage for all Japanese society; and especially another language, called eikaiwa. This is a
in the post-war decades, linguistic factors low-status linguistic entity, in large measure
came to play a dominant role in these same because learning it necessarily involves one-
curious rites. on-one contract with foreigners, but also be-
This has been accomplished by requiring cause it is not taught in the state universities,
that all candidates for admission to a state nor is it of utility in passing their entrance
university receive passing-grades in a series examinations. Demonstrated ability to speak
of highly involved written examinations that and understand English, i. e. to conduct ei-
108 IV. The Establishment of the Japanese Linguistic Tradition

kaiwa, is a somewhat feared and mostly dep- the racist postulates of the Kokutai no hongi,
recated skill; it hints at long residence this hypothesis too survived the debacle of
abroad, isolation if not independence from 1945, and continues to dominate Japanese
the university system; and worst of al, the educational circles. As a result, despite five
possibility of intimate (perhaps even sexual) decades of post-war activity, Japanese schol-
contacts with foreigners, which in turn raises arship has yet seriously to address the ques-
the spectre of racial impurity. tion of the genetic relationship of the Japan-
Implementing this foreign-language gam- ese language. In Japan, this mostly remains a
bit as a control-valve for admission into the non-question: since Japanese is unique, it can
dominant élite is by no means the sole role be definition have no relationshps, nor any
of linguistics in Japanese education. During relatives.
the 1930s and 1940s, the state universities The American structuralist Leonard
vied with one another in generating racist, Bloomfield defined language as a set of arbi-
jingoistic, and imperialistic propaganda in- trary vocal symbols by means of which a so-
volving language. They claimed to have dis- cial entity cooperates. Had he known some-
covered that the Japanese language was thing of the role of language and linguistics
unique among human languages, and hence in Japanese society and education, he might
the outward sign of the inner superiority of well have considered altering this, his typical-
the Japanese race, as well as the overt license ly concise and elegant statement. In Japan,
for its imperialistic domination of the rest of he might have observed, language rather is a
Asia. These ideas found their canonical form set of arbitrary symbols by means of which a
in Kokutai no hongi, a notorious tract that small élite manages to exercise rigid vertical
numbered among its authors some of the control over the rest of the population. The
bestknown professors in the state university Japanese authorities who continue to insist
system (Miller 1982: 92⫺101 and passim.). upon the ‘unique’ nature of the Japanese lan-
Even following Japan’s defeat, many of these guage are of course not to be taken seriously.
men continued to be influential, and their But it would also be a mistake to overlook
views concerning language and linguistics or minimize the truly ‘unique’ role that lin-
were in large measure uncritically taken over guistics, involving foreign languages as well
by much foreign Japanology, especially of the as Japanese, has traditionally and consistent-
American variety. The Kokutai no hongi, in ly been made to play in Japanese society
many respects resembled the spurious aca- and education.
demic screeds that certain German university
circles hurriedly assembled in order to bolster
National Socialist racist policies. The impor- Bibliography
tant difference is that in Germany such voices Miller, Roy Andrew. 1977. The Japanese Language
ceased to be heard in 1945, while in Japan in Contemporary Japan. Washington, D. C.: Ameri-
their language-centered racist allegations can Enterprise Institute for Public Policy Research;
have continued to command serious atten- Stanford: Hoover Institution on War, Revolution
tion throughout the post-war decades. and Peace.
One of the corollaries of this myth of the ⫺. 1982. Japan’s Modern Myth, The Language and
uniqueness of the Japanese language has long Beyond. New York & Tokyo: Weatherhill.
been the postulate that it is now and in future ⫺. 1986. Nihongo, In Defence of Japanese. London:
will always be impossible to demonstrate a The Athlone Press.
genetic relationship (Urverwandtschaft) be-
tween Japanese and other languages. Like all Roy Andrew Miller, Honolulu (USA)

16. Traditional linguistics and Western linguistics in Japan

The most important figure in the pre-Western J Art. 12). Fujitani’s work with the analysis
Japanese linguistic tradition, and perhaps in and description of the Japanese language was
all Japanese linguistic history, is the Kyoto stimulated by purely practical problems con-
scholar Fujitani Nariakira (1738⫺1779; fronted in providing instruction in the intri-
16. Traditional linguistics and Western linguistics in Japan 109

cacies of composition in traditional forms of forms observed in different times, and cit-
Japanese poetry. Fujitani was until very re- ations of its use in earlier poetic texts.
cently sadly overlooked by most Japanese The Kazashishō limits itself to grammatical
scholarship. His works were not printed dur- elements (isolated somewhat along the lines
ig his life-time, and indeed, easily available of the ‘empty words’ concept of the Chinese
editions of them are only recently being made tradition), and deals with its materials in
available. His ideas were handed down, and terms of a four-stage periodicization of Jap-
understood, only by a handful of personal anese linguistic history. Fujitani’s under-
disciples; his terminology is always difficult, standing of the nature of historical change in
sometimes arcane; and his analysis is so ex- language, and his attempt to divide up the
tremely involved, with many different levels history of Japanese into a number of discrete
all inter-related to one another, that it can be periods, count among his greatest accom-
made to yield up its treasures only to persis- plishments.
tent and concentrated study. All these factors Fujitani’s most difficult work is probably
have conspired to consign Fujitani to neglect the Yosoi no katagaki, which is actually a
until modern times, and scholars have only preface to the Ayuishō; in this essay he sets
now begun to assess correctly the accom- up an elaborate system of description and
plishments of this remarkable and original terminology for the inflected forms of the
figure in Japanese intellectual history. language. Here his linguistic terminology has
Fujitani was the second son of a physician- its origin in elegant metaphor involving bodi-
by-appointment to a branch of the imperial ly activities (e. g. hiki “pulling”, nabiki “bow-
household; he was a child prodigy, and was ing”, kishikata “coming”, etc.). Everything
adopted into the Fujitani line at the age of about this system is highly original, and it re-
19. His interests and talents were those of the pays careful consideration even today; but it
classical polymath; his studies embraced his- also provides an excellent illustration of the
tory, astronomy, music, poetry, and linguis- way in which Fujitani’s involved analysis and
tics. His two most important works are the too often arcane terminology conspired to
Ayuishō (1773) and the Kazashishō; both ap- make much of his work almost too difficult
for subsequent generations of students even
pear to have been the work of students tak-
to follow, much less to build upon. Here, as
ing down and later editing their notes of his
in so much else concerning Fujitani, one is
lectures, rather than original manuscripts
almost tempted to risk the wrath of the In-
drawn up by Fujitani himself, reminding one
dologists and speak of the Pānø ini-like nature
of the origins of de Saussure’s Cours.
that distinguishes his linguistic work, at the
In the Ayuishō, Fujitani established four same time that it has led to its misunder-
major form-classes for the linguistic descrip- standing and neglect.
tion of Japanese (cf. Miller 1993: 319⫺321), Passed over in his own day, and largely
employing for this purpose an elaborate ter- forgotten after his death, Fujitani is now fi-
minology that had its origin in elegant meta- nally beginning to come into his rightful
phors relating to articles of clothing and ele- place in Japanese linguistic scholarship. It
ments of dress. Even though the essential was his unfortunate fate to have his work all
motivation for his work was establishing data but swept away before the incoming flood of
for the instruction of would-be poets seeking ‘Dutch learning’, which brought with it
to write Japanese verse according to received wholesale neglect of the indigenous gram-
canons of poetic aesthetics, his work never- matical tradition that he more-or-less single-
theless also places considerable emphasis on handedly founded, in favor of the newly pres-
the colloquial language of his time (for which tigious importations from the West. Had his-
it thereby provides valuable documentation!); torical factors been more in his favor, Fuji-
and he is careful to explain the sense and nu- tani might well have become one of the
ance of each of the literary locutions with world’s best-known linguistic pioneers, and
which he is concerned in terms of the collo- the principles of linguistic analysis in which
quial of the period. The Ayuishō is distin- he specialized might have been further devel-
guished, above everything else, by its rigor- oped and refined by subsequent generations
ous and comprehensive approach; and for of Japanese scholars. His achievements are
each item of the literary language that it dis- particularly impressive when we contrast his
cusses, the text gives syntactic concords, col- work with parallel studies of Chinese in Chi-
loquial translations, compounds, different na; when we do that we immediately realize
110 IV. The Establishment of the Japanese Linguistic Tradition

that the comprehensiveneses and rigor that render respectable the best elements of the
characterize his work must have been reflec- earlier Japanese linguistic tradition went all
tions of his own intellectual equipment and but unnoticed in ‘educational circles’, and it
personality, since there was nothing available was the ‘educational circles’ that mattered so
to him in the way of continental models that far as lingustic studies were concerned, since
would have encouraged him along these in modern Japan education had now replaced
lines. literature, and in particular the study and
Suzuki Akira (1764⫺1837) provides a mi- composition of poetry, as the principal stimu-
nor exception to the general statement that lus for linguistic scholarship.
the work of Fujitani was by and large ne- Any account of this period in the history
glected after his death (J Art. 12). Suzuki at- of the Japanese linguistic tradition would be
tempted a harmony of the work of Fujitani grossly incomplete without some mention of
with that of Motoori Norinaga (1730⫺1801), Basil Hall Chamberlain (1850⫺1935), an
the great pioneer in the so-called ‘national Englishman who came to Japan in 1873,
studies’ school. He also published a work on where he was at first employed as an English
the classification of inflected forms based on instructor at a military academy. He was ap-
the work of Motoori. Gimon (1786⫺1843) pointed ‘Professor of Japanese and Philology
was a Buddhist cleric who coined a set of in the Imperial University of Japan’ in 1886,
terms for certain categories of established a post that he held until his retirement as
forms established in these earlier systems; a Professor Emeritus four years later. Even af-
number of these coinages, including rentai ter his return to Europe, he continued his
“adnominal”, izen “aorist”, and ren’yō “ad- work with Japanese texts; and among the
verbal”, have survived into modern times, several important Japanese scholars who
though generally not in precisely the sense in came under his influence during his brief aca-
which he originally employed them. demic career in Japan the names of Ueda Ka-
In 1833 Tsurumine Shigenobu (1788⫺ zutoshi (1867⫺1837) and Haga Yaichi
1859) published his Gogaku shinsho, the first (1867⫺1927) stand out with particular im-
of a flood of publications presenting the lin- portance.
guistic analysis of Japanese in terms of Dutch
Ueda was the first Japanese linguistic
(J Art. 14); and this would be the work that
scholar to receive any formal training in the
was selected to serve as the basic text when
comparative method. He studied briefly in
teaching materials were first prepared for the
Germany, and with the grasp of the essentials
presentation of Japanese grammar in the
of the historical method that resulted from
newly-established system of Japanese com-
pulsory education promulgated in 1872. Ōt- that experience he was able to formulate the
suki Fumihiko (1847⫺1929), the first great shift of pre-Old Japanese *p- ⬎ h- ⬃ f- that
lexicographer of modern Japan, published his is now accepted as an elementary given in the
Kō Nihon bunten in 1897, a work that pre- study of historical Japanese phonology.
sented Japanese grammar entirely along Haga also studied in Germany; he was a
‘Western’ lines; it marked the effective sever- prolific author of linguistic works, and an in-
ing of the by-then already much attenuated fluential administrator in Japan’s rigidly cen-
strands that in a few areas still bound the tralized, Prussian-style state university sys-
Japanese linguistic tradition to its illustrious tem. He is remembered in linguistic circles
past. mainly for his codification of the form-class
Even those scholars who, remaining in the that he denominated keiyō dōshi “adjectival
minority, were struggling for some revival of verb”. This term had first appeared in the
pre-Dutch-learning ideas of grammatical work of Ōtsuki, who employed it as an ad
analysis, were soon nevertheless firmly hoc device in order “to distinguish Japanese
caught in the grip of this same pattern of adjectives from English adjectives”, when
thinking. Yamada Yoshio (1873⫺1942) began confronted with the type of dead-end that is
to resurrect some of Fujitani’s ideas about all too common when one persists in at-
treating Japanese in terms of the form-classes tempting to describing one language as if it
of Japanese, rather than as a variety of were another, particularly one of quite a dif-
Dutch. And somewhat along the same lines, ferent structure. The term had also been ma-
Matsushita Daisaburō (1878⫺1935) pre- nipulated by Matsushita, but it remained for
sented original arguments in his Hyōjun Ni- Haga to apply it rigorously to a limited
hon bunpō. But these efforts to revive and form-class.
16. Traditional linguistics and Western linguistics in Japan 111

What was at issue in all this was really of important studies of Japanese, ranging
something quite simple. The forms called kei- over both the earlier forms of the written lan-
yōshi “adjectives” in the Dutch-based Japan- guage and the modern spoken language were
ese school-grammar actually constitute a published abroad in the descriptivist tradi-
sub-class of the verb, and are inflected for al- tion, but they remain even now all but un-
most all the categories for which the verb is known to modern Japanese scholarship. Nor
inflected. Unfortunately the entire concept of have the findings of these studies always been
the form-class to which this term refers was as widely consulted even in their own country
established first in terms of Dutch, then later of origin as one might hope. With more at-
of English, grammar; and from this it follows tention to this important literature, the field
that anything in Japanese that might be might for example have been spared the con-
translated by a Dutch, or an English adjec- fusion in which, e. g., the original formula-
tive, but which does not belong to this form- tion of a basic principle in Japanese morpho-
class in Japanese, presents a problem in phonemics that goes back to Yokoyama 1950
analysis. As luck would have it, just such a would twenty years later be attributed to ir-
set of forms does exist in Japanese; words relevant and entirely trivial work by others,
like shizuka “quiet”, genki “healthy”, and with not even a notice of Yokoyama’s pion-
teinei “polite” may be translated into West- eering achievement (McCawley 1966: 173,
ern languages by adjectives, but in Japanese n. 3).
they do not inflect like the ‘true adjectives’ Finally, when the scholars and students of
already labelled keiyōshi, but instead appear a newly-affluent Japan finally began to go
in syntax as if they were nouns, coming di- abroad in large numbers, and upon their re-
rectly before the copula or before the copula- turn to put into the academic market-place
alternate when modifying a noun directly the supposedly ‘advanced Western learning’
following. Unable to overlook the linguisti- in the field of linguistics, as their Meiji grand-
cally irrelevant fact that these words are fathers before them had done, they found
often translated into Western languages by that the linguistic hegemony in foreign lands
Western adjectives, Haga identified them as had mostly fallen into the hands of the trans-
keiyō dōshi “adjectival verbs”, and for this formational-generative school of Noam
feat he is best remembered today. One turns Chomsky; and so they fell to imitating the
from the contemplation of such terminologi- approach of this school with the same enthu-
cal feats of leger de main with added respect siasm and remarkable ability for replicating
for the work of Fujitani and the other early the externals of foreign fads that have always
scholars who were fortunate enough to be characterized Japanese cultural contacts with
born before Japanese intellectual life turned the outside world.
its major attention to manufacturing a se- In the Meiji-period grammars of Japanese
cond-rate imitation of the West out of gen- were based on the structure and analysis of
erally shoddy native materials. Dutch and English; but then at least the sub-
Basil Hall Chamberlain was the last non- ject-matter of these studies was still Japanese
Japanese whose work and teaching in Japan in large measure, even though by the time
would be of any significance in determining that the language had passed through the an-
the direction of the Japanese linguistic tradi- alytic mill it emerged looking rather more
tion; from this point on, and well into the like a European language than it had when it
1960s, the tradition would develop almost en- went in. Now, at the hands of the trans-
tirely as a self-contained unit, leavened only formational-generative school, even the sub-
by what little the Japanese might be able to ject-matter for their studies conducted à la
glean from foreign books, generally rare and this new fad would be foreign. Their analysis
always expensive, and from brief visits to for- would of necessity have to be performed not
eign countries, the latter more often to travel directly upon Japanese texts, or upon Japan-
and visit than to study. ese utterances transcribed into texts, but
Military and political circumstances con- rather upon English-language translations ⫺
spired together and all but prevented the often little more than pidgin renderings ⫺ of
American descriptivist school from exercising the Japanese that they were attempting to
any influence upon Japanese linguistics study (Inoue 1969 is a representative sample).
(Bloch 1970); and by the time these circum- This unfortunate paradox followed directly
stances had resolved themselves, the descrip- from the fact that the transformational-gen-
tivist school itself was in shambles. A number erative techniques that the Japanese encoun-
112 IV. The Establishment of the Japanese Linguistic Tradition

tered abroad had been developed for and Secondary


through the study of English, the only lan- Bloch, Bernard. 1970. Bernard Bloch on Japanese
guage to and hence the only language studied ed. with an introduction and analytic index by Roy
by, the first-generation of the Chomsky Andrew Miller. New Haven: Yale Univ. Press.
school. Under these circumstances, it is hard- Inoue, Kazuko. 1969. A Study of Japanese Syntax.
ly surprising that efforts to date at the trans- (⫽ Janua linguarum, Series practica, 41.) The
formational-generative study of Japanese Hague: Mouton.
have satisfied neither traditional-minded crit-
Kuroda, S. Y. 1972. Review of Inoue (1969). Jour-
ics (Miller 1972), nor, for that matter, canoni- nal of the American Oriental Society 92.353⫺355.
cal transformational-generativists themselves
(Kuroda 1972). And discouraging to be sure McCawley, James D. 1966. Review of Japanese
as this state of affairs is in contemporary Ja- Language Studies in the Showa Period: A guide to
Japanese reference and research materials ed. by Jo-
pan, at least it appears in a somewhat better
seph K. Yamagiwa, 1961. Language 42.170⫺175.
light, because it reveals itself to be only a
small part of a larger pattern, when we refer Miller, Roy Andrew. 1972. Review of Inoue (1969).
it to the overall history of traditional linguis- Language 48.214⫺230.
tics and Western linguistics in Japan. ⫺. 1975. “The Far East”. Current Trends in Lin-
guistics, vol. XIII. Historiography of Linguistics ed.
by Thomas A. Sebeok, 1213⫺1264. The Hague &
Bibliography Paris: Mouton.
1. Primary ⫺. 1993. Die japanische Sprache: Geschichte und
Matsuo Sutejirō, ed. 1932. Ayuhishō Tokyo: Ōo- Struktur. München: judicium verlag.
kayama. Yokoyama, Masako. 1950. The Inflections of 8th-
⫺. 1934. Kazashishō, Yosohishō. Tokyo: Ōokay- Century Japanese. (⫽ Language Dissertation, 45.)
ama. Baltimore: Linguistic Society of America.
Nakada Norio & Takeoka Masao, eds. 1960. Ayu-
hishō shinchū. Tokyo: Kazama. Roy Andrew Miller, Honolulu (USA)
V. The Establishment of Sanskrit Linguistics
Die Anfänge der Sanskritforschung
La constitution de l’étude du sanskrit

17. Pānø ini

1. Introduction speech: an élite group of Brāhmanø as, referred


2. Pānø ini’s work to as the śisøtøas, who inhabit the area of
3. Pānø ini’s derivational system north-central India called āryāvartta (‘abode
4. Operations
of the Ārya’). The most reasonable way to
5. Zero
6. Bibliography interpret all these statements is as follows. At
a certain time, the high language ⫺ later
called saṁskrøta “polished, purified” (whence
1. Introduction ‘Sanskrit’, see Cardona 1997: 557⫺564) as
opposed to prākrøta “belonging to the com-
1.1. The language described
mon people” (whence ‘Prakrit’) ⫺ could not
In a grammar called the Asøtøādhyāyı̄ (hence- lay claim to being the everyday medium of
forth abbreviated A), Pānø ini describes a lan- all communication even for Ārya Brāhma-
guage in use at his time ⫺ at latest the 5th nø as, but this language remained an élite me-
century BC ⫺ in the north-west of the Indian dium, in which ritual and learned texts were
subcontinent He also accounts for features of preserved. The language was then accorded
earlier Vedic usage that differ from those of the same power as the rites with which it
the spoken language. Pānø ini uses the locative was associated.
singular forms bhāsøāyām and chandasi with
reference to the spoken language and to Ved- 1.2. Background
ic usage, respectively. Moreover, he mentions
Pānø ini knew the analyzed text (padapātøha)
dialectal features of easterners (prācām) and
that was composed by Śākalya to serve as a
northerners (udı̄cām). Accordingly, it is ap-
theoretical source for deriving the continu-
propriate to accept that the language de-
scribed was in current use at Pānø ini’s time. ously recited text (saṁhitāpātøha) of the earli-
Nevertheless, to judge from what early com- est Vedic work available, the R ø gveda. Pānø ini
mentators say in the 3rd and 2nd centuries refers to Śākalya explicitly, and it is evident
BC, this was not the sole or even the princi- that his derivational system (see section 3.1.)
pal medium of everyday communication. It is indebted to the procedure adopted by Śā-
coexisted with vernaculars that had features kalya. The latter posits an analyzed base text
referred to as ‘Middle Indic’ features. From associated with the actually recited text. For
what Kātyāyana (3rd century BC) says, Pā- example, the continuously recited text of
nø ini’s grammar was intended to impart a Rø gveda 1.1.1, transliterated with accentual
knowledge of correct speech forms (śabda) marks according to traditional notations (see
and the use of such forms accompanied by a Cardona 1997: li⫺lxiv), is
knowledge of the grammar led to religious ṁ yaß jñasyà deß vam rßøtvijàm 兩
(1) aø gnim ı̄løe puß rohı̀taym̆
merit (dharma). Patañjali (2nd century BC) hotāraṁ ratnaß dhātàmam
also notes that a meaning is understood
whether a correct speech form or an incorrect “I praise (ı̄løe [1sg sg. pres. indic. mid.]) Agni
one (apaśabda) is uttered. A restriction is (aß gnim [acc. sg.]), the god (deß vam [acc. sg.])
made: one should use only a correct speech of the sacrifice (yaß jñasyà [gen. sg.]) set at the
form to signify a meaning; this results in felic- fore (puß rohı̀tam [acc. sg.]), the priest who per-
ity, prosperity (abhyudaya). Patañjali identi- forms the rite at the appropriate time (rrßøtvijàm
fies the model speakers for such correct [acc. sg.]), the Hotrø officiant (hotāram [acc.
114 V. The Establishment of Sanskrit Linguistics

sg.]), who best grants treasure (ratnaß dhātà- These rules assume a knowledge of articula-
mam [acc. sg.]).” tory efforts (prayatna) and places of pro-
The padapātøha corresponding to this is duction (sthāna). They also presuppose a par-
ticular stand taken with respect to the efforts
(2) aß gnim 兩 ßıı̄leß 兩 puß rahø -hı̀tam 兩 yaß jñasyà 兩 deß vam 兩
rßøtvijàm 兩 hotāraṁ 兩 raß tnaß -dhātàmam assumed for producing vowels and spirants,
so that, for example, i-vowels and the spirant
Here syntactic words (pada) are separated by ś, both of which are palatal (tālavya), would
pauses (indicated by vertical lines), and paus- be eligible for membership in the same class
es are made between members of unambigu- of homogeneous sounds because in produc-
ously analyzable compounds like puß rohı̀tam ing both the articulator does not make full
as well as within words between stem forms contact with a place of production.
and endings before which phonological
changes apply that occur at word boundaries.
The connection between the padapātøha and 2. Pānø ı̄ni’s work
the saṁhitāpātøha assumes operations that The Asøtøādhyāyı̄ “Eight chapters” is a work of
apply to give the latter from basic forms. For grammar (vyākaranø a) divided into eight (asø-
example, puß rohı̀taym̆ ṁ presupposes a basic tøan-) chapters (adhyāya-), each subdivided
form puß rahø -hı̀tam, with prepause -ahø and -m. into four quarter chapters (pāda). The core of
Phonological operations change -ahø to -o be- this work consists of approximately 4,000
fore a voiced sound, and -m to a nasalized rules (sūtra, śāstra, yoga, laksøanø a; see Cardo-
semivowel ⫺ here nasalized y (ym̆ ṁ) ⫺ before na 1997: 573⫺576). This grammar is also
a semivowel other than r; the base text has known as a śabdānuśāsanam, a means of in-
ßı̄ıleß , with two low-pitched vowels; the first of struction (anuśāsanam) whereby one learns
these is changed to a high-low vowel (svarita) correct speech forms (śabda-, see section
⫺ marked with a superstroke in the tradi- 1.1.).
tional notation ⫺ after the high-pitched vow- Most sūtras of the Asøtøādhyāyı̄ are opera-
el of the preceding word (aß gnim): ßı̄ıleß J ı̄løeß . In tional rules. In addition, there are rules ancil-
addition, any basic low-pitched vowel is laries to these: metarules (paribhāsøā) and
raised to a high ⫺ unmarked in the tradi- rules concerning technical terms (saṁjñāsū-
tional notation ⫺ except where a high fol- tra), as well as headings (adhikāra) which
lows, in which case it is then lowered to an serve to subdivide the grammar into major
extra low pitch level, marked with a sub- groups of thematically related rules. The
stroke in the traditional notation. Phonologi- organization of the grammar is treated in ar-
cal rules of this kind are given in texts called ticle 21.
Prātiśākhyas. Pānø ini’s derivational procedure It is plausible to assume that the Asøtøādhyā-
is indebted to such an earlier system but goes yı̄ originally was accompanied by an auto-
beyond it. For example, the padapātøha leaves commentary, but none is extant. The earliest
words like aß gnim unanalyzed. Pānø ini posits a commentatorial work available is a series of
basic aß gnı́-am, with the nominal base aß gnı́- discussions, concerning most but not all
and the ending am, and provides for aß gnim rules, by Kātyāyana (3rd century BC), whose
by rule (see A 6.1.107, section 4.1.), and a work is preserved in the form of comments,
form like pace “I cook, am cooking” [1st sg. called vārttika, as cited in the great commen-
mid. pres. indic.] is derived from underlying tary (Mahābhāsøya) of Patañjali (2nd century
pac-a-i, with a verbal base (pac), a basic end- BC). Later commentaries explain rules and
ing i and an intervening affix a. illustrate with examples and counterexamples
Pānø ini also assumes that a student of his how they work. These commentaries deal
grammar already knows phonetics (śiksøā). with rules in two orders: the original order of
For example, according to A 1.1.9: tulyāsya- the Asøtøādhyāyı̄ and thematic rearrangements
prayatnaṁ savarnø am, two sound are classed such that rules concerning technical names
as savarnø a “homogeneous” with respect to (saṁjñā), metarules (paribhāsøā), and sandhi
each other if they are produced with the same are put together, as are rules concerning
(tulya) articulatory effort (prayatna) at the nominal forms and so on.
same place of production in the oral cavity
(āsya). An exception in this rule (A 1.1.10: 2.1. Ancillaries
nājjhalau) provides that a vowel and a conso- The corpus of sūtras is accompanied by three
nant (ajjhalau) which would qualify for being anciliaries: Pānø ini’s dhātupātøha, ganø apātøha
classed as savarnø a are not (na) so classed. and aksøarasamāmnāya.
17. Pānø ini 115

(A) The dhātupātøha is an ordered list of primitive stated in his grammar. A rule (A 1.1.71: ādir antye-
verbal bases (dhātu-, see section 3.2.) divided into na sahetā) provides for terms of the type im, that
ten groups (ganø a-). These groups begin with the begin with an item i which is the first member of an
following bases: bhŭ “be, become” (3rd sg. pres. ordered set or subset and end with a final marker m
indic. bhav-à-ti [I bhó-a-ti I bhŭ-a-ti I bhŭ-ti]), (shown in bold face): im denotes i and all interven-
adá “eat” (at-tı̀ [I ád-ti]), hu “offer oblations” (juß - ing items up to m. For example, ac names all the
ho-tı̀ [I … hu-ti]), dı́vú “play, gamble” (dı̄v-yà-ti [I vowels, hal all the consonants of the list shown,
dı́v-ya-ti I dı́v-ti]), søuñ “press juice out of some- and ik refers to the vowels i u rø øl.
thing” (suß -no-tı̀ [I su-nú-ti I sú-ti], 3rd sg. mid.
indic. su-nuß -te [I su-nu-tá I su-tá]), tudà “goad,
wound” (tuß d-a-tı̀ [I túd-ti], tuß d-á-tè [I tud-á-ta I 3. Pānø ini’s derivational system
túd-ta]), rudhı̀r “hold in, obstruct” (ruß nø addhı̀ [I …
ru-ná-dh-ti I rúdh-ti], ruß nddhé [I … ru-na-dh-té I 3.1. General
ru-na-dh-tá I rudh-tá), tánù “stretch” (taß n-o-tı̀ [I (A) Pānø ini’s is a derivational system which
tan-ú-ti I tán-ti], tan-uß -te [I tan-u-tá I tan-tá]), presupposes an analysis (cf. section 1.2.).
dø ukrı̆ñ “buy” (krı̄ßı-nø ā-tı̀ [I krı̄-nă-ti I krı̆-ti], krı̄-nø ßı̄ı-
Starting with bases (prakrøti), affixes (pra-
te [I … krı̄-nā-té I … krı̄-tá]), cura “steal” (coß r-
ay-à-ti [I cor-é-a-ti I cor-ı́-a-ti I cor-ı́-ti, cor-ı́- I tyaya, see section 3.3.) are introduced under
cur-ı́-], coß r-a-yà-te [I … cor-ı́-ta]). As shown, bases meaning and cooccurrence conditions to
of different groups take distinct affixes in forms form syntactic words (pada) in utterances
with agentive verb endings. bhav-à-ti (I bhó-a-ti) (vākya), which can be simple or complex.
has an unaccented suffix -a-, but tuß d-a-tı̀ (J túd-ti) Each such word bears a stateable relation to
contains an accented suffix -a-, and dı̄v-yà-ti (I other words of the same utterance. The prin-
dı́v-ya-ti) has unaccented -ya-; suß -no-tı̀, su-nuß -te, cipal constituents in utterances are derivates
taß n-o-tı̀, tan-uß -te and krı̄ßı-nø ā-tı̀, krı̄-nø ßıı̄-te contain suf- of verbal bases, signifying actions. To these
fixes that have alternants (-nó-/-nu-, -ó-/-u-, -nă-/ are immediately related nominal forms signi-
-nı̄-) before different sets of endings; and ruß nø addhı̀,
ruß nddhé have an infix that also exhibits alternants
fying direct participants (kāraka, see section
(-ná-/-n-); coß r-ay-à-ti has two suffixes: -a- as in the 3.3.) in the accomplishment of actions.
type bhavàti and accented -ı́-/-é-. As also indicated, Through their direct relations with actions,
verbs are given in the dhātupātøha with appended kārakas are indirectly related to each other.
markers, shown here in bold face. Such appended For example,
sounds, called it in Pānø ini’s system are uncondi-
tionally dropped before items to which they are at- (3a) devadattahø katøaṅ karoti “Devadatta is making
tached undergo operations, but they serve to show a mat”
that given items undergo or condition particular derives from an underlying string
operations or belong to certain grammatical class-
es. In addition, certain verbal bases are listed with (3b) (devadatta-s1) (katøa-am2) (krø-tip) [I krø-latø]
primitive sø- and n- ⫺ which are unconditionally re- in which the verbal base krø “make” is fol-
placed by s- and n- ⫺ to indicate that they are sub-
ject to particular retroflex replacements.
lowed by the ending tip [3rd sg. act.], which
replaces the L-affix latø ⫺ one of ten abstract
(B) Certain items are grouped together and listed affixes replaced by endings and participial
as accompaniments to rules in which are stated suffixes ⫺ and the nominal bases devadatta-
classifications or operations pertinent to members “Devadatta”, katøa- “mat” are respectively
of the set. For example, the set beginning with sar-
followed by the endings su [nom. sg.] and am
va- “whole, all” accompanies A 1.1.27: sarvādı̄ni
sarvanāmāni, which provides that members of this [acc. sg.]. The corresponding passive sentence
group (sarvādı̄ni) are given the class name sarva- (4a) devadattena katøahø kriyate “A mat is being
nāman- “pronominal”; the group beginning with made by Devadatta”
ajā “she goat” contains items such that the affix
tøāp follows a nominal used in the feminine (A 4.1.4: is derived from a string
ajādyatasø tøāp [striyām 3]). Such sets of items are (4b) (devadatta-ā3) (katøa-s1) (krø-ta) [I krø-latø]
referred to as ganø as in Pānø ini’s ganø apātøha.
where krø is followed by ta [3rd sg. medio-
(C) The text of the Asøtøādhyāyı̄ is traditionally pre-
ceded by a catalog of sounds subdivided into four-
pass.] that also replaces latø, but katøa- takes
teen groups, each closed by a consonantal marker, the ending su and devadatta- is followed by
as follows: (1) a i u nø (2) rø øl k (3) e o ṅ (4) ai au c the instrumental singular ending tøā. Simi-
(5) h y v r tø (6) l nø (7) ñ m ṅ nø n m (8) jh bh ñ (9) larly,
gh dø h dh sø (10) j b g dø d ś (11) kh ph ch tøh th c tø t v (5a) rājñahø purusøo grāmaṅ gacchati “The king’s
(12) k p y (13) ś sø s r (14) h l. These sounds are servant is going to the village”
arranged in a manner that allows Pānø ini to refer to
sets of sounds pertinent to phonological rules as is derived from
116 V. The Establishment of Sanskrit Linguistics

(5b) (rājan-as6) (purusøa-s1) (grāma-am2) gam-tip [I nø a) with the nominal it follows. There is a
gam-latø] remainder of relations with respect to the
in which gam “go” is followed by tip replac- possible relations between actions and kāra-
ing latø, su and am respectively follow purusøa- kas as well as certain cooccurrence relations.
“man”, grāma- “village”, and rājan- “king” When such a residual relation is involved
is followed by the ending ṅas [gen. sg.]. (śesøe “remainder”), an ending of the sixth
In (3b)⫺(5b) each syntactic pada is sur- triplet follows a nominal (A 2.3.50: søasøtøhı̄
rounded by parentheses. By definition (A śesøe), as in rājan-as6 of (5b). Endings of the
1.4.14: suptiṅantam padam) such a pada ter- first triplet, on the other hand, constitute a
minates in a nominal or verbal ending, default set, introduced when nothing more
respectively referred to by the abbreviatory than a base meaning (prātipadikārtha), gen-
terms sup, tiṅ (see B, C). der (liṅga), measure (parimānø a), and number
(vacana) is to be designated (A 2.3.49: prāti-
(B) As shown by the subscripts, nominal padikārthaliṅgaparimānø avacanamātre pratha-
endings such as s1 (su), am2, ā3 belong to trip- mā).
lets of endings (vibhakti) which Pānø ini refers
to by the traditional terms prathamā “first”, (C) Endings of finite verb forms are allowed
dvitı̄yā “second”, trøtı̄yā “third”, caturthı̄ to occur as replacements for abstract L-affix-
“fourth”, pañcamı̄ “fifth”, søasøtøhı̄ “sixth”, and es, which are introduced in general if one is
saptamı̄ “seventh”. The seven triplets of basic to signify an agent (kartrø) or an object (kar-
nominal endings are: su au jas, am autø śas, tøā man) after verbs taking objects and an agent
bhyām bhis, ṅe bhyām bhyas, ṅasi bhyām bhy- or the mere action (bhāva) after verbs not
as, ṅas os ām, ṅi os sup. These endings are taking objects (akarmaka: A 3.4.69: lahø [kart-
referred to by the abbreviation sup, which ari 67] karmanø i ca bhāve cākarmakebhyahø ).
consists of the first ending su and the final There are ten such L-affixes, six marked with
marker p of the last ending sup, in accor- tø (latø, litø, lutø, lrøtø, letø, lotø), four marked with ṅ
dance with the rule that provides for such ab- (laṅ, liṅ, luṅ, lrøṅ). Particular L-affixes occur
breviatory terms (A 1.1.71, see section 2.1.C). under conditions of time reference and mo-
Rules provide for introducing endings of dalities. For example, latø follows a verbal
these triplets after nominal bases (prātipadi- base if the action in question is spoken of as
ka) or nominals with feminine affixes, under currently taking place (A 3.2.123: vartamāne
meaning conditions. Thus, A 2.3.2: karmanø i latø). An L-affix is always replaced, by an end-
dvitı̄yā introduces endings of the second trip- ing or a participial affix. A set of eighteen
let (dvitı̄yā) if an object (karman) is to be sig- basic verb endings replaces any L-affix (A
nified, and by A 2.3.18: kartrøkaranø ayos trøtı̄yā 3.4.77⫺78: lasya, tiptasjhisipthasthamibvas-
an ending of the third triplet (trøtı̄yā) occurs mastātāñjhathāsāthāndhvamidø vahimahiṅ).
if an agent (kartrø) or an instrument (karanø a) These are divided into two sets of nine end-
is to be signified. The first, second and third ings, which in western terminology are called
endings in each triplet su au jas and so on active and medio-passive and in Pānø ini’s sys-
are respectively called ekavacana, dvivacana, tem belong to the classes named parasmaipa-
bahuvacana (etymologically: “signifying one, da and ātmanepada: parasmaipada: tip tas jhi,
two, many”). Their distribution is provided sip thas tha, mip vas mas; ātmanepada: ta
for in terms of semantics: bahuvacana end- ātām jha, thās āthām dhvam, itø vahi mahiṅ.
ings occur if many entities (bahusøu) are to be These endings as a whole are referred to by
signified (A 1.4.21: bahusøu bahuvacanam), the abbreviation tiṅ, made up of the first end-
dvivacana and ekavacana endings respec- ing ti and the final marker of the last ending
tively if two (dvi) and one (eka) are to be des- mahiṅ (A 1.1.71, see section 2.1.C). As shown,
ignated (A 1.4.22: dvyekayor dvivacanaikava- each set of nine endings is subdivided into
cane). Thus, in (3b) and (5b), am2 is intro- three triplets, called prathama “first”,
duced to signify an object relative to the ac- madhyama “middle”, uttama “last”, corre-
tion in question, specifically a mat (katøa-) sponding to third, second, and first person
that Devadatta is making and a village endings of western grammarians. Within
(grāma-) to which the king’s servant is going. each of these triplets, the endings are respec-
In (4b), ā3 (tøā) is introduced to signify an tively called ekavacana, dvivacana, and bahu-
agent relative to making, specifically the per- vacana, as are members of triplets of nominal
son named Devadatta. Each such ending is endings. Restrictive rules provide for the
thus treated as coreferential (samānādhikara- proper distribution of parasmaipada and āt-
17. Pānø ini 117

manepada endings, for prathama, madhya- endings (tiṅ) and verb affixes marked with ś
ma, and uttama endings, and for ekavacana, (śit) are members of the sārvadhātuka class,
dvivacana, and bahuvacana endings. Thus, if and the remainder (śesøa) of verb affixes be-
an L-affix has been introduced when an ob- long to a class called ārdhadhātuka (A
ject (karman) or action (bhāva) is to be signi- 3.4.113⫺114: tiṅśit sārvadhātukam, ārdhadhā-
fied, ātmanepada endings take its place (A tukaṁ śesøahø ). Verbal endings not only substi-
1.3.13: bhāvakarmanø ohø [ātmanepadam 12]). tute for abstract L-affixes but also serve as
Some verbal bases are activa tantum, others contexts for introducing other affixes to verb
media tantum, still others take either paras- bases. If a sārvadhātuka used to signify an
maipada or ātmanepada suffixes under state- object or when a mere action is signified fol-
able conditions. Certain markers are used lows a verbal base, this takes the suffix yak
with different types of verbs. For example, a (A 3.1.67: sārvadhātuke yak); if the sārvadhā-
base that is marked with a svarita vowel ⫺ a tuka signifies an agent, verbal bases as ar-
vowel with a combination of high and low ranged in ten groups of the dhātupātøha (see
pitches ⫺ or with ñ takes ātmanepada suffix- section 2.1.) takes distinct affixes. kri-ya-te
es of the result of the action in question is (I krø-ya-te) of (4a) has yak following krø used
intended for the agent (A 1.3.72: svaritañitahø with the ending te signifying an object; kar-
kartrabhiprāye kriyāphale). Once all the con- o-ti (← krø-u-ti) and gacchati (I gam-a-ti) in
ditions are given for the occurrence of ātma- (3a) and (5a) respectively have u and śap
nepada suffixes, there is a remainder (śesøa) of following krø and gam used with the ending ti
bases and conditions such that verbs that fall signifying an agent.
into this remaining category take parasmai-
pada suffixes replacing an L-affix introduced (E) (3)⫺(5) are simple sentences, involving
to signify an agent (kartrø: A 1.3.78: śesøāt only one action. Pānø ini’s system also serves
kartari parasmaipadam). The distribution of to derive certain complex sentences, which
endings of the triplets named prathama and involve two or more related actions. For ex-
so on is accounted for in terms of corefer- ample,
ence. If an L-affix is coreferential (samānād- (6a) krøsønø aṁ namec cet sukhaṁ yāyāt “If (ced) one
hikaranø e) with a pronominal yusømad [2nd does obeisance (namet [3rd sg. opt.]) to Krøsønø a
pers., loc. sg. yusømadi] that may but need not one obtains (yāyāt [3rd sg. opt.] “would go
be used (sthāniny api) as a cooccurring term to”) happiness (sukham)”
(upapade), then endings of the madhyama
is derived from
triplet occur; if the L-affix is coreferential
with a potentially usable pronoun asmad [1st (6b) krøsønø a-am2 nam-tip [I nam-liṅ] cet-s1 sukha-
pers.], endings of the uttama triplet occur; af- am2 yā-tip [I yā-liṅ]
ter these and one other condition ⫺ not con-
This involves the acts of bowing (nam) to
sidered here ⫺ are accounted for, there is a
Krøsønø a and obtaining happiness, related as
remainder (śesøa) such that prathama endings
cause (hetu) and effect (hetumat). A 3.3.156:
occur (A 1.4.105, 107, 108: yusømady upapade
hetuhetumator liṅ provides for introducing
samānādhikaranø e sthāniny api madhyamahø ,
the L-affix liṅ after verbs whose actions are
asmady uttamahø , śesøe prathamahø ). Finally,
said to be related as cause and effect (hetu-
ekavacana, dvivacana, and bahuvacana verb
hetumatohø ), accounting for optative forms as
endings occur under the same number condi-
in (6a). The following also involves two relat-
tions as determine the occurrence of nominal
endings. Thus, karoti of (3a) has the ekavaca- ed actions:
na ending tip of the prathama triplet (tip tas (7a) rājapurusøaṁ grāmaṁ gacchantam apaśyat “…
jhi) in place of the L-affix latø introduced to saw (apaśyat [3rd sg. impfct.]) the king’s ser-
signify a single agent relative to the act of vant (rājapurusøam) going (gacchantam [acc.
making, which is spoken of as currently tak- sg. masc.]) to the village”
ing place. In addition, the agent Devadatta is This is derived from
spoken of here as making a mat for someone
else, so that a parasmaipada affix is used. If (7b) rājapurusøa-am2 grāma-am2 gam-latø drøś-laṅ
Devadatta were making the mat for himself, Ordinarily, the L-affix of gam-latø would be
one would use kurute, with the ātmanepada replaced by a verb ending, as in (5a). In (7b),
ending te (I ta). however, latø introduced to signify an agent
(D) Endings such as tip, ta belong to the relative to the act of going is coreferential
class calles sārvadhātuka. In general, verb (samānādhikaranø a) with rājapurusøa-am2,
118 V. The Establishment of Sanskrit Linguistics

which refers to the particular agent involved equivalent to and alternates with kartum
in the act of going. Pānø ini operates with un- icchati “wishes to do, make”, as in
derlying strings like (7b) and provides for latø (8) katøaṅ kartum icchati “… wishes to make a
to be replaced by the participial affixes śatrø, mat”
śānac if this L-affix is coreferential with a (9) katañ cikı̄rsøati “… wishes to make a mat”
nominal pada terminating in an ending other
than one of the first triplet (A 3.2.124: latøahø To a pada with a nominal ending an affix is
śatrøśānacāv aprathamāsamānādhikaranø e). śatrø, introduced to derive an item called dhātu,
śānac are respectively parasmaipada and āt- within which nominal endings are dropped.
manepada affixes, so that they occur under For example,
the conditions that determine the use of end- (10a) putram icchati “… desires a son”
ings like tip, ta and so on. These affixes are
also marked with ś to indicate that they are is derived from
members of the sārvadhātuka class. Accord- (10b) (putra-am) (isø-ti) [I isø-latø].
ingly, śap is introduced after gam in gam-at-,
After putra-am of (10b), the affix kyac is op-
just as it follows gam in gam-ti to derived
tionally introduced to form the derived ver-
gacchati. In addition, gam-at- is a derived
bal base putra-am-ya, the ending within
nominal base and is coreferential with rāja-
which is dropped: putra-am-ya J putra-ya- J
purusøa-, both referring to an agent of going.
putrı̄ya. putrı̄yati is equivalent to (10a).
Accordingly, the ending -am2 is also intro-
duced after gam-at-. (C) Any meaningful element (arthavat) other
than a verbal base (adhātuhø ) or an affix
3.2. Units of the system (apratyayahø , see below, D) is given the class
(A) As shown (section 3.1.), utterances are name prātipadika “nominal base” (A 1.2.45:
derived as complexes of syntactically and se- arthavad adhātur apratyayahø prātipadikam).
mantically related padas. Padas in turn con- Such bases also are either primitive or de-
tain stems (aṅga) with their affixes. Stems are rived. Derived nominal bases are formed
simple or complex. For example, ((devadat- from verbal bases or nominal elements. Affix-
ta-)s1) ((katøa-)am2) consist of the simple es called krøt occur with verbal bases to form
stems devadatta-, katøa- and their affixes su, action nouns, infinitives, instrument nouns,
am; on the other hand, (((krø-)-u-)ti) contains participles; e. g., kar-trø- (I krø-trø-, affix trøc,
two stems: the complex stem krø-u- relative to trøn), kār-aka- I krø-aka- (affix aka I nø vul)
ti and the simple stem krø- relative to u. The “doer, maker”, kar-anø a- “doing, making”,
simple stems shown contain bases, which are (affix ana I lyutø), krø-ti- “doing, making”,
either verbal or nominal, primitive or de- kar-tum (I krø-tum [tumun]) “to do, to make”,
rived. kar-anø a- “means of doing, making”, krø-ta-
(affix kta) “done, made”. Derived nominal
(B) Primitive verbal bases are given in the bases are also formed from padas of syntactic
dhātupātøha, an ordered set divided into ten strings. There are two types: compounds (sa-
groups (see section 2.1.A). Members of this māsa) and derivates with affixes called tad-
set (bhūvādayahø ) are given the class name dhita. For example the semantically and syn-
dhātu ‘root’ (A 1.3.1.: bhūvādayo dhātavahø ). tactically related padas (rājan-as6) (purusøa-s1)
Derived verbal bases are formed from primi- of a string such as (5b) are optionally com-
tive verbs or nominal forms. A primitive ver- bined to form a compound rājan-as-purusøa-
bal base is followed by san, yaṅ, nø ic, resepc- s, ending within which are deleted: rājan-as-
tively, to form desideratives, intensives, and purusøa-s J rājan-purusøa J rājapurusøa-. Tad-
causatives. For example, from the base dø ukrøñ dhita affixes generally follow syntactic padas,
“do, make“ [3rd sg. pres. indic. act. karoti, to which the derivates are equivalent. For ex-
mid. kurute] are derived cikı̄rsøa- (I krø-san-) ample, the pada putra-as6, with the nominal
“wish to do, make” (cikı̄rsøati, cikı̄rsøate), ending ṅas, is followed optionally by -a (affix
cekrı̄ya- (I krø-yaṅ-) “do, make intensely, re- añ) to form the derived nominal putra-as-a-,
peatedly” (cekriyate), kār-i- (I krø-nø ic-) “have the ending within which is dropped putra-as-
… do, make” (kārayati, kārayate). Such deri- a- J putra-a J pautra-a- J pautra- “son’s
vates also have the class name dhātu (A son”. Forms of this derivate alternate with
3.1.32: sanādyantā dhātavahø ) and enter into equivalent strings; e. g., pautrahø [nom. sg.] is
the same derivational processes as do primi- equivalent to putrasya putrahø . Accordingly,
tive verbal bases. For example, cikı̄rsøati is Pānø ini formulates rules such as A 4.1.92: tas-
17. Pānø ini 119

yāpatyam, in which a form of the pronoun the initial augment nutø to the ending ām (A
tad “that” is used as a variable. A taddhita 7.1.54: hrasvanadyāpo nutø [āmi 52]): deva-ām
affix is optionally (vā) introduced after the J deva-nām J devānām; and -cit- of agni-cit-
first (prathamāt) of syntactically and semanti- “one who has set up a sacrificial fire” [acc.
cally related (samarthānām) padas stated in sg. agnicit-am] has the final augment tuk (A
such rules (A 4.1.82: samarthānāṁ prathamād 6.1.71: hrasvasya piti krøti tuk; see section 5).
vā). For example, putra-as6 is a value of tad- There are also augments added within items.
as6 (J tasya). A 4.1.92 also contains another These are marked with m, as are infixed affix-
pada, apatyam “descendant”, which desig- es. For example, iṅg (I ing) “move” [3rd sg.
nates the meaning of the affix introduced af- pres. indic. iṅgati], muñcati (I munc-a-ti)
ter a value of the first pada. Primitive nomi- “lets loose”, chandāṁsi (I chandans-i [nom.-
nal bases are those that are not treated as de- acc. sg. nt.]) “metres” contain the augment
rived by affixation or composition, lexical num (A 7.1.58, 59, 72: idito nuṁ dhātohø , śe
items like go “cow, ox”. There were also an- mucādı̄nām, napuṁsakasya jhalacahø ) intro-
cient scholars ⫺ without doubt including pre- duced after the last vowels of ig, muc- in muc-
decessors of Pānø ini ⫺ who considered all a-, and chandas- in chandas-i.
nominals to be derivable from verbal bases.
3.3. Conditions for affixation
(D) Affixes are introduced by a large group
The Asøtøādhyāyı̄ is composed from a speaker’s
of rules, headed by A 3.1.1: pratyayahø and
point of view, so that meanings (artha) are
extending through the fifth chapter. Accord-
taken as conditions (nimitta) for introducting
ing to A 3.1.1, items newly introduced by
affixes. Pānø ini distinguishes between mean-
subsequent rules are called pratyaya. In gen-
ings that are understood from everyday us-
eral, an affix follows (para: A 3.1.2: paraś ca)
age and those that are not. For example, he
the unit to which it is introduced. Not all af-
refers to different times using vartamāna-
fixes, however, are suffixes. There are, for ex-
“current, present” (A 3.2.123, see section
ample, several infixes. These are marked with
3.1.C) bhūta- “past”, bhavisøyat- “future”, an-
m and a rule (A 1.1.47: mid aco’ ntyāt parahø )
adyatana- “not including today”, and to
provides that an element bearing this marker
numbers, using bahu, eka, dvi (A 1.4.21⫺22,
(mit) occurs after the last (antyāt) vowel
section 3.1.B). There is evidence from com-
(acahø ) of the item to which it is introduced.
mentators that some grammarians felt it nec-
For example, śnam introduced to primitive
essary to specify what was meant by adya
verbal bases of the group beginning with
“today”, since there were different opinions
rudhı̀r (A 3.1.78: rudhyādibhyahø śnam, see sec-
concerning just when a day was considered
tion 2.1.(A) is marked with m to show that it
to begin and end. Pānø ini takes it for granted
is an infix: runø addhi (I ru-na-dh-ti). One pre-
that, whatever conception one has of what
fix is recognized: bahu-, as in bahupatøu-
stretch of time constitutes what one refers to
“sharpish”.
with adya, this everyday knowledge suffices
(E) In addition, Pānø ini recognizes augments to account for usage in terms of his rules. On
⫺ called āgama “adventitious element” in the the other hand, there are terms which require
Pānø inian tradition ⫺ elements that are intro- particular statements. To derive utterances
duced as parts of others. Augments are like (3)⫺(5) (section 3.1.A), Pānø ini formu-
marked with tø, k (tøakitau) respectively to lates rules like A 2.3.2: karmanø i dvitı̄yā, A
show that they are initial and final (ādyantau) 3.4.69: lahø [kartari 67] karmanø i ca bhāve cā-
segments of items (A 1.1.46: ādyantau tøaki- karmakebhyahø , in which he uses karman [loc.
tau). For example, a form such as abhavat sg. karmanø i]. As used in these rules, karman
[3rd sg. impfct. act.] “was” contains a stem names members of a category to which direct
abhava- (I abhū-a-) with the initial augment participants in actions (kāraka) are assigned
atø (A 6.4.71: luṅlaṅlrøṅksøv adø udātta). Endings under particular circumstances. According to
also take augments. Thus, a parasmaipada A 1.4.49: kartur ı̄psitatamaṁ karma, that par-
ending like tip receives the initial augment yā- ticipant which an agent (kartrø, gen. sg. kar-
sutø if it replaces the L-affix liṅ, as in (6b) (A tuhø ) most wishes to reach (ı̄psitatamam)
3.4.103: yāsutø parasmaipadesøūdātto ṅic ca [li- through an activity is given the class name
ṅahø 102]): nam-ti J nam-yāsti J … namet, karman. But there are also several other sūt-
yā-ti J yā-yāsti J yāyāt. A genitive plural ras assigning kārakas to the karman catego-
such as devānām “gods” is derived from an ry. For example, by A 1.4.46: adhiśı̄ṅsthāsāṁ
underlying form deva-ām, with addition of karma [ādhārahø 45]) that kāraka which plays
120 V. The Establishment of Sanskrit Linguistics

the role of locus (ādhārahø “substrate”) with third-triplet ending tøā is not introduced after
respect to an action is classed as karman if devadatta-, and in (4b) the L-affix is intro-
the act in question is one of those denoted by duced to signify an object, so that the second-
adhi-śı̄ “lie on”, adhi-søtøhā “remain at”, adhy- triplet ending am is not introduced after ka-
ās “be at”, as in daksøinø aṁ bhāgam adhiśete tøa-. On the other hand, am does follow katøa-
“… lies on the right part”. Although daksøi- in (3b), and tøā follows devadatta- in (4b). In
nø aṁ bhāgam refers to a place where someone this way, groups of sentences of the type (3)
lies ⫺ this concerns a woman’s lying on the and (4) are treated as equivalent utterances
right of her husband ⫺ the kāraka is classed derived on the basis of a single set of rela-
as karman so that, by A 2.3.2, daksøinø a- tions between the same participants and a
“right” and bhāga- “part” are followed by given action referred to the same time and
the second-triplet ending am. kartrø, karman with the same modality. Moreover, the action
and so on, referring to categories which me- is treated as the principal part of the content,
diate between semantics and strings, are in- so that the verbal base is considered the main
troduced by rules that assign kārakas to dif- component of the utterance.
ferent categories in the manner illustrated.
Certain affixes are also introduced under
cooccurrence conditions. For example, by A 4. Operations
2.3.16: namahø svastisvāhāsvadhālaṁvasøadyo-
gāc ca [caturthı̄ 23]), a fourth-triplet ending 4.1. Pānø ini’s derivational system is built
follows a nominal if this is syntactically con- around the introduction of affixes to bases
nected with namas “obeisance, salutation” (see section 3.2.). As can be seen from (3b)⫺
and several other terms, as in namo devāya (5b) in section 3.1.A, moreover, Pānø ini oper-
“[let there be] salutation to the god”, with the ates with basic forms of elements and ac-
dative singular devāya (I deva-e4). counts for variants through rules of substitu-
tion. To illustrate, it will suffice to show how
3.4. Meaning and form the final utterances (3a)⫺(5a) are derived
As has been illustrated, to derive sentences from the posited strings (3b)⫺(5b). There are
Pānø ini starts from semantics. He also careful- substitutions that apply to particular gram-
ly distinguishes between meaning and form. matical elements in grammatical contexts.
Thus, triplets of nominal endings like su au Others concern sounds in grammatical
jas, am autø śas are referred to simply as pra- contexts, and still others are purely phono-
thamā, dvitı̄yā and so on (section 3.1.B), not logical, applying regardless of grammatical
by any terms comparable to ‘nominativus’, contexts. Thus, the derivation of karoti and
‘accusativus’, which have semantic content. kriyate in (3a), (4a) involve replacements for
Similarly, Pānø ini operates with verb endings the vowel of krø- in different contexts. Accord-
tip tas jhi and so forth as well as abstract L- ing to A 7.3.84: sārvadhātukārdhadhātu-kay-
affixes, but he does not use terms such as ohø [gunø ahø 82, aṅgasya 6.4.1]), the final sound
bhavantı̄ ⫺ comparable to ‘present’ ⫺ which of a stem that ends in an i-, u-, rø- or øl-vowel
have semantic content. There is evidence to is replaced by vowel of the gunø a class ⫺ that
indicate that at least some predecessors of is, a e o (A 1.1.2: ad eṅ gunø ahø ) ⫺ if the stem
Pānø ini did indeed use bhavantı̄ and other is followed by an affix belonging to the sār-
comparable terms. vadhātuka class (see section 3.1.D) or its
In addition, Pānø ini operates with a hierar- complement, verbal affixes called ārdhadhā-
chy with respect to utterance meanings. Rules tuka. The gunø a vowel a thus replaces the -rø
such as A 2.3.2 (section 3.1.B) are headed by of krø before u, which is an ārdhadhātuka af-
A 2.3.1: anabhihite. Accordingly, A 2.3.2 pro- fix, and the gunø a vowel o substitutes for the
vides that a second-triplet ending is intro- final vowel of the stem krø-u before the sār-
duced if there is to be signified a karman that vadhātuka affix tip. In addition, a vowel sub-
is not signified (anabhihite), and A 2.3.18 in- stituting for rø is automatically followed by r
troduces a third-triplet ending if there is to (A 1.1.51: ur anø raparahø ), so that the gunø a
be signified a kartrø or karanø a that is not sig- replacement for rø is ar. In general, gunø a sub-
nified. In deriving (3)⫺(5), then, the expres- stitution applying to vowels i u rø øl by rules
sion of karman and kartrø by a verbal affix where substituends are not specified is disal-
takes precedence over their expression by a lowed if the affix which would otherwise con-
nominal affix. Thus, in (3b) the L-affix is in- dition this replacement bears certain mark-
troduced to signify an agent, so that the ers, among them k (A 1.1.5: kṅiti ca [na 4, iko
17. Pānø ini 121

gunø avrøddhı̄ 3]). The suffix yak of krø-ya-te is brought into play to derive devadattena of
marked with k, so that gunø a substitution (4a) from devadatta-ina. For this to apply, how-
does not apply before this. Instead, -rø is re- ever, a grammatical substitution must first
placed by -ri (A 7.4.28: riṅ śayagliṅksøu [røtahø take effect, such that tøā is replaced by ina af-
27]). Deriving gacchati of (5a) from gam-a-ti ter a stem ending in short a (A 7.1.12: tøāṅasi-
also involves replacing a final sound of a ṅasām inātsyāhø [atahø 9]): devadatta-ā J deva-
stem before a particular affix. The final con- datta-ina J devadattena. katøaṅ as in katøaṅ
sonants of three verbs, including gam, are re- karoti of (3a) also involves several replace-
placed by ch before an affix marked with ś ments, one of which concerns a grammatical
(śiti: A 7.3.77: isøugamiyamāṁ chahø [śiti 75]). unit. In order to account for forms like ka-
The affix śap in gam-a-ti is thus marked, so tøam, agnim “fire”, vāyum “wind” ⫺ which
that it conditions this substitution: gam-a-ti can occur before vowels and labials ⫺ Paø nø ini
J gach-a-ti (J gatch-a-ti J gacchati). As not only posits a basic ending am but also
shown, once the -m of gam- has been re- provides (A 6.1.107: ami pūrvahø ) that the first
placed by -ch, other operations apply. The vowel (pūrvahø “prior”) of a sequence V1V2 is
language Pānø ini describes does not allow the single replacement for both vowels if V2
simple intervocalic -ch- preceded by a short is the vowel of am: katøa-am J katøam. In ad-
vowel. In addition, there is an assimilatory dition, word-final -m is replaced by the nasal
process whereby dental stops and s are re- offglide called anusvāra (ṁ: A 8.3.23: mo’
placed by palatal stops and ś in contiguity nusvārahø ). Moreover, word-final (padānta-
with palatal stops and ś (A 8.4.40: stohø ścunā sya) -ṁ is optionally (vā) replaced by a sound
ścuhø ). Accordingly, Pānø ini provides for a homogeneous with a following stop or semi-
short vowel immediately followed by ch to vowel (yayi parasavarnø ahø : A 8.4.58⫺59:
take the augment tuk (A 6.1.73: che ca [hras- anusvārasya yayi parasavarnø ahø , vā padānta-
vasya tuk 71]); this t is then replaced by c sya): katøam k- J katøaṁ k- J (optionally)
since it is immediately followed by ch. Deriv- katøaṅ k-.
ing rājñahø in (5a) also involves several re- Some replacements depend not on a
placements: rājan-as J rājn-as J rājñas, rāj- context but on the source of an element. As
ñas p- J rājñar p- J rājñahø p-. Penultimate noted earlier, Pānø ini posits ten abstract L-af-
short a of a stem in -an is dropped if the stem fixes, six marked with tø, four marked with ṅ.
is followed by a vowel-initial ending other In the first instance, these are replaced by the
than acc. sg., nom.-acc. du. and nom. pl. (A basic endings shown in section 3.1.C. These
6.4.134: allopo’nahø ): rājan-as J rājn-as. By endings are then subject to additional opera-
the assimilation rule noted above, n is re- tions depending on the L-affix from which
placed by ñ: rājnas J rājñas. Since rājñas is a they derive. For example, that part of an āt-
pada, its -s is replaced by an -r (rājñas J rāj- manepada ending which begins with its last
ñar: A 8.2.66: sasajusøo ruhø ), for which the vowel (tøi [gen. sg. tøehø ]) is replaced by e if the
voiceless pharyngeal spirant -hø (called visar- ending is a substitute for an L-affix marked
janı̄ya) substitutes in absolute final position with tø (tøitahø : A 3.4.79: tøita ātmanepadānāṁ
(avasāna “cessation of speech”) and before tøer e); e. g., ās-ta J āste [3rd sg. pres. indic.
voiceless stops and spirants (A 8.3.15: khara- mid.] “… is seated”, ās-ātām [3rd. du.] J
vasānayohø visarjanı̄yahø ): rājñar J rājñahø . āsāte “they two are seated”. The endings ta,
Similarly, devadattas J … devadattahø and ka- ātām in these forms derive from the L-affix
tøas J … katøahø in (3a), (4a). The -r that sub- latø. Final -s of first person (uttamasya) paras-
stitutes for -s is distinguished from basic -r maipada endings that replace an L-affix
by being marked with u (ru). ru is replaced marked with ṅ (ṅitahø ) is dropped (A 3.4.99:
by u if it follows short a and precedes short nityaṁ ṅitahø [sahø uttamasya [98] lopahø 97]),
a or a voiced consonant (A 6.1.113⫺114: ato as is final -i of most parasmaipada endings
ror aplutād aplute [ut 111], haśi ca). purusøa-s replacing such an L-affix (A 3.4.100: itaś ca);
of (5b) thus goes through the following re- e. g., krø-vas J … akurva [1st du. impfct. act.
placements: purusøa-s J purusøa-r J purusøa-u. indic.] “we two did, made [something at
In addition, a purely phonological rule (A sometime before today]”, krø-mas J … akur-
6.1.87: ād gunø ahø ) provides that a vowel of the ma [1st pl.] “we all did, made”, krø-ti J …
gunø a class is the single substitute for an a- akarot [3rd sg.], krø-si J … akaros [2nd sg.]
vowel and a following vowel. In purusøa-u, the “… did, made”. The endings of such forms
single replacement for -a-u is o: purusøa-u J replace the L⫽affix laṅ, introduced on condi-
purusøo. The same phonological rule is tion that an action is referred to past time
122 V. The Establishment of Sanskrit Linguistics

excluding the day of reference (anadyatane: A scribes this in terms of substitution: certain
3.2.111: anadyatane laṅ [bhūte 84]). verbal bases occur in place of others when
one is to use affixes of the ārdhadhātuka
4.2. As can be seen from the last examples
given in section 4.1., a final form can show class (see section 3.1.D). For example, San-
the absence of an element which appears at skrit uses as “be” in present and imperfect
an earlier stage of derivation and is dropped. forms such as the third singular indicative
Such deletion can result in items lacking a asti, āsı̄t, (archaic ās [I ās-t]), but the corre-
grammatical element that appears in other sponding future form is bhavisøyati (I bhū-
comparable forms. For example, the endings isya-ti I bhū-ti), the infinitive is bhavitum,
of akarot, akaros lack the -i of -ti, si in karoti and the gerundive is bhavya- (I bhū-ya-). A
[3rd sg. pres. pres. act. indic.], karosøi [2nd sg. Pānø inian rule (A 2.4.52: aster bhūh) provides
I kar-o-si]. These forms nevertheless contain that bhū occurs instead of as with ārdhadhā-
endings. The corresponding imperfect ahan tuka affixes. Suppletion can also obtain in
“… killed” [3rd sg., 2nd sg.], on the other more limited contexts. Thus, drøś “see, look”
hand, lacks any ending, though it is of the is one of a series of bases subject to replace-
same grammatical type as akarot, akaros. To ment by other bases before an affix marked
account for such a form, Pānø ini starts with with ś (śiti: A 7.3.78: pāghrā … drøśy … pibaj-
han-ti, han-si, in which -ti and si are substi- ighra … paśya … [śiti 75]); it is replaced by
tutes for laṅ, has the -i of the endings paśya, as paśyati [3rd sg. pres. indic.], apaśyat
dropped, then provides for dropping the re- [3rd sg. impfct., see (5a) [section 3.1.]).
maining -t, s after a consonant. The rule in
4.4. As shown in section 3.2., Pānø inian rules
question (A 6.1.68: halṅyābbhyo dı̄rghāt sutisy
serve to derive compounds from syntactic pa-
aprøktaṁ hal [lopahø 66]) states that the endings
su (nom. sg.), ti and si are replaced by zero das. There is another procedure that concerns
(lopahø ) after a consonant and feminine affixes such padas: syntactic doubling; e. g., dive dive
referred to by ṅı̄ and āp, provided that the “each and every day”, grāmo grāmahø “each
feminine affixes have not undergone shorten- and every village”. Pānø ini accounts for this
ing (dı̄rghāt “long vowel”) and that ti and si type by providing that under stated condi-
have had their final sound dropped, so that tions two (dve) instances of a whole (sarv-
each ending consists of a single consonant asya) pada occur (A 8.1.1: sarvasya dve).
(aprøktam). Moreover, Pānø ini operates with Such doubling occurs, for example, if an ac-
abstract affixes which have no overt realiza- tivity is constantly performed (nitya) or one
tion at all. For example, brahma-han- “one wishes to speak of a property or action as
who has slain a Brāhmanø a” is comparable to pervading something (vı̄psā: A 8.1.4: nityavīp-
a compound such as kumbha-kāra- “pot sayohø ). It is noteworthy that in his padapātøha
maker”. In the latter, -kāra- contains not to the R ø gveda, Śākalya (see section 1.2.)
only a form of krø “make” but also a suffix treats such complexes as compounds. Pānø ini
a, which conditions replacement of -rø by -ār. could not do the same for a good reason. He
brahma-han- contains -han-, but there is no has of course to account for compounds like
overt suffix. Pānø ini accounts for -kāra- in the mātāpitarau “mother and father, parents”
type kumbha-kāra- by introducing an affix anø and does so by providing that any number of
after a verbal base construed with a nominal padas related to each other through addition
term denoting an object (karmanø i) of the ac- (cārthe “in the meaning of ca [“and”]”) op-
tion in question (A 3.2.1: karmanø y anø ). He tionally combine to form a compound of the
also accounts for brahma-han- by introducing type called dvandva (A 2.2.29: cārthe dvan-
an affix after han “kill” construed with a dvahø ). Theoretically, this would allow also
nominal denoting an object, specifically, possibly combining homophonous padas to
forms of brahman-, bhrūnø a- “foetus”, vrøtra- form compounds like *vrøksøavrøksøau “two
“Vrøtra” (A 3.2.87: brahmabhrūnø avrøtresøu kvip trees”, *vrøksøavrøksøavrøksøās “many trees”, but
[karmanø i hanahø 86, bhūte 84]). The affix intro- this has to be precluded. Accordingly, Pānø ini
duced is kvip. This affix is dropped (A 6.1.67: provides for a single remainder (ekaśesøahø ) to
ver aprøktasya [lopahø 66]): -han-v J -han-. occur for any number of terms with the same
4.3. Sanskrit is like other Indo-European shape (sarūpānø ām) to be used with a single
languages in that it exhibits suppletion of the ending (ekavibhaktau: A 1.2.64: sarūpānø ām
type seen in English be, is, was, German bin, ekaśesøa ekavibhaktau). In accordance with
ist, war or Latin esse, est, fuit. Pānø ini de- this, Pānø ini does not treat the type dive dive
17. Pānø ini 123

as a compound; instead, he accounts for this former ends with an augment -t; e. g., upa-
type by allowing padas to be repeated (see stutya “after praising”. Pānø ini accounts for
Cardona 1995). the occurrence of this augment by marking
the krøt suffix ya with p, to show that it condi-
tions the augment tuk. Now, agni-cit “one
5. Zero who has set up a sacrificial fire” (see section
3.2.E) also contains this augment. The verb
Pānø ini operates with zero as an unfilled slot
base in question is ci. If this is construed with
that can also be occupied by a grammatical
agni denoting an object of the action per-
unit. In general, the absence (adarśanam
formed in the past, the affix kvip is added to
“non-perception”) of an item is called lopa
ci (A 3.2.91: agnau cehø [kvip 87, bhūte 84]).
(A 1.1.60: adarśanaṁ lopahø ). In particular,
kvip is deleted (see 4.2.), but this does not
however, several additional varieties of zero mean there is no effect. -ci-o⁄ is treated as
as a replacement for an affix (pratyayasya) though kvip, which is marked with p, were
are recognized; these are referred to by terms still there to condition the introduction of the
containing lu : luk, ślu, lup (A 1.1.61: pratya- augment tuk. The derivation of a nominal
yasya lukślulupahø ). For example, the suffix form like rājā [nom. sg.] from rājan-s il-
kvip introduced to form derivates like lustrates the same convention. The ending of
brahmahan- is replaced by zero (see section rājan-s follows a consonant, so that it is
4.2.). In deriving present and imperfect forms dropped (see section 4.2.): rājan-s J rājan.
of the type juhoti (see section 2.1.A), the affix Now, the first five nominal endings (su au jas
śap ⫺ seen in the type bhavati ⫺ is intro- am autø, denoted by the abbreviation sutø) used
duced (A 3.1.68: kartari śap). A rule (A with a non-neuter base (anapuṁsakasya) con-
2.4.75: juhotyādibhyahø śluhø [śapahø 72]) pro- stitute a particular group named sarvanāmas-
vides that this affix is deleted after verbs of thāna (A 1.1.43: sudø anapuṁsakasya [sarvanā-
the set beginning with hu: hu-a-ti J hu-o⁄ -ti. masthānam 42]). Before a sarvanāmasthāna
The replacement for śap is ślu, which entails ending except for su used in a vocative form,
a particular operation. A base after which ślu penultimae -a- of a stem in -an (nopadhāyāhø )
has substituted for śap undergoes doubling is replaced by the corresponding long vowel
(A 6.1.10: ślau): hu-ti J ho-ti J ho-ho-ti … (dı̄rghahø ) -ā- (A 6.4.8: sarvanāmasthāne cāsam-
J juhoti. buddhau [nopadhāyāhø 7, dı̄rghahø 6.3.111]): rā-
Pānø ini states a convention whereby, in jan-au J rājānau, rājan-as J rājānas, rājan-
general, even in the absence of an affix (prat- am J rājānam. In accordance with the con-
yayalope) that has been introduced and then vention noted, the same substitution applies
dropped, the operation that is conditioned by also to rājan-o⁄ : rājan J rājān. Moreover, as
that affix (pratyayalaksøanø am) still takes effect rājan-s is a pada by virtue of terminating in
(A 1.1.62: pratyayalope pratyayalaksøanø am). a nominal ending (A 1.4.14 [section 3.1.A]),
To illustrate, let us consider derivates that rājan-o⁄ also is now a pada, as is rājān. There-
contain the augment tuk, introduced to a fore, the rule (A 8.2.7: nalopahø prātipadi-kān-
short vowel followed by an affix of the krøt tasya) can apply which provides for dropping
class ⫺ a verbal affix other than a verb end- -n in a pada which coincides with a nominal
ing ⫺ marked with p (A 6.1.71: hrasvasya piti base.
krøti tuk; see section 3.2.E). Sanskrit has a The general convention established con-
construction of the type cerning zero has to be restricted. Consider
(11) snātvā bhuṅkte “… bathes before eating” some forms of the pronominal tad “that”.
The accusative singular masculine form of
involving a series of actions performed by the this base is tam, derived from tad-am, with
same agent; a verbal base that refers to an the second-triplet ending am: tad-am J taa-
action performed prior to another is then fol- am J ta-am J tam. Two of the operations
lowed by tvā (ktvā) in a derivate of the type that apply here are important for our discus-
snā-tvā “having bathed, after bathing”. In sion. Once a stem form ta- is obtained, ta-am
(11), bathing precedes eating (bhuṅkte [3rd is eligible for the replacement that accounts
sg. pres. indic.] “eats”). In addition, if a com- for the types katøam, agnim, vāyum (see sec-
pound verbal derivate is involved, instead of tion 4.1.). To get this, Pānø ini provides that
tvā, a suffix ya (lyap) occurs, as in ā-gamya the final sound of stems in the subgroup of
“after coming”. Moreover, if this suffix fol- pronominals that begins with tyad “that”
lows a base that ends in a short vowel, the (tyadādı̄nām) is replaced by -a before any
124 V. The Establishment of Sanskrit Linguistics

ending (vibhaktau: A 7.2.102: tyadādı̄nām ahø ⫺. 1994. “Indian Linguistics”. A History of Lin-
[vibhaktau 84]). Now, the nominative singular guistics, vol. I: The Eastern Traditions of Linguistics
neuter form of the pronoun in question is ed. by G. C. Lepschy, 25⫺60. London & New
tad, derived from tad-s. su is dropped after a York: Longman.
consonant (see section 4.2.). If, however, ⫺. 1995. “Āmredø ita Compounds?” Studien zur In-
Pānø ini let the ending of tad-s be replaced by dologie und Iranistik XX. (⫽ Festschrift Paul
simple zero, in accordance with the general Thieme), 67⫺72.
convention noted above the -d of tad-o⁄ would ⫺. 1997. Pānø ini, His Work and its Traditions, vol. I:
still be subject to replacement by -a, so that General Introduction and Background. 2nd revised
instead of tad, the grammar would allow *ta. ed. Delhi: Motilal Banarsidass. [1st ed., 1988.]
Morover, tad is also the accusative singular
⫺. 1999. Recent Research in Pānø inian Studies. Del-
neuter form, to be derived from tad-am. Ac-
hi: Motilal Banarsidass.
cordingly, Pānø ini lets both su and am be re-
placed by a particular zero, luk, after a neuter Katre, Sumitra Mangesh. 1987. Asøtøādhyāyı̄ of Pānø i-
(napuṁsakāt) stem (A 7.1.23: svamor napuṁ- ni. Austin: Univ. of Texas Press. [Indian ed.: Delhi:
sakāt [luk 22]). He also states an exception to Motilal Banarsidass, 1989.]
the general convention: an operation condi- Scharfe, Hartmut. 1977. Grammatical Literature
tioned by the presence of an affix does not (⫽ A History of Indian Literature, part II, fascicle
(na) take effect on a stem (aṅgasya) if the af- 2). Wiesbaden: Harrassowitz.
fix for that stem is replaced by a zero desig- Sharma, Rama Nath. 1987. The Asøtøādhyāyı̄ of Pānø i-
nated with a term containing lu (lumatā: A ni, vol. I: Introduction to the Asøtøādhyāyı̄ as a gram-
1.1.63: na lumatāṅgasya). matical device. Delhi: Munshiram Manoharlal.
There are also instances that involve both
the general convention about zero and its ex- ⫺. 1990. The Asøtøādhyāyı̄ of Pānø ini, vol. II: English
ception. As shown earlier (section 3.2.C), a Translation of Adhyāya One with Sanskrit Text,
Transliteration, Word-Boundary, Anuvrøtti, Explana-
compound rājapurusøa- is derived by combin-
tory Notes, Derivational History of Examples, and
ing related padas: rājan-as-purusøa-s. A nomi-
Indices. Delhi: Munshiram Manoharlal.
nal ending (supahø ) contained within a derived
verbal or nominal base (dhātuprātipadikayohø ) ⫺. 1995. The Asøtøādhyāyı̄ of Pānø ini, vol. III: English
is replaced by zero (luk: A 2.4.71: supo dhātu- Translation of Adhyāyas Two and Three with San-
prātipadikayohø [luk 58]): rājan-as-purusøa-s J skrit Text, Transliteration, Word-Boundary, Anuvrøt-
rājan-purusøa-. As rājan-as is a pada, so is rā- ti, Explanatory Notes, Derivational History of
jan-o⁄ that results from dropping the ending Examples, and Indices. Delhi: Munshiram Mano-
within a compound. Hence, the -n of rājan- is harlal.
deleted: rājan-purusøa- J rājapurusøa-. On the ⫺. 1999. The Asøtøādhyāyı̄ of Pānø ini, vol. IV: English
other hand, the deletion of penultimate -a- in Translation of Adhyāyas Four and Five with Sanskrit
rājan-as (J rājñas, see section 4.1.) should Text, Transliteration, Word-Boundary, Anuvrøtti, Ex-
not be allowed. It is not, since the replace- planatory Notes, Derivational History of Examples,
ment for the endings in rājan-as-purusøa-s is and Indices. Delhi: Munshiram Manoharlal.
the particular zero designated luk.
[Cardona 1990, 1994 briefly consider Pānø ini in re-
lation to predecessors and other Indian schools of
6. Bibliography thought. Scharfe 1977 is at once a more compre-
hensive and less detailed treatment of Indian gram-
6.1. Primary source mar. For Pānø ini’s derivational system, see Sharma
Pānø ini, Asøtøādhyāyı̄. In S. S. Pathak & S. S. Chitrao, 1987: 141⫺211, Cardona 1997: 136⫺400. Katre
Word Index to Pānø ini-sūtra-pātøha and pariśisøtøas, 1987 is the most recent complete translation of the
461⫺648. Poona: Bhandarkar Oriental Research Asøtøādhyāyı̄. Sharma 1990⫺1999 gives not only
Institute, 1935. translations but also details about how rules are
6.2. Secondary sources understood. Most of the rules dealt with here are
paraphrased and explained also in Cardona 1997.]
Cardona, George. 1990. “La linguistica indiana”.
Storia della linguistica, ed. by Giulio C. Lepschy, I,
51⫺84. Bologna: il Mulino. George Cardona, Philadelphia (USA)
18. Die Entwicklung der Sprachwissenschaft in Indien nach Pānø ini 125

18. Die Entwicklung der Sprachwissenschaft in Indien nach Pānø ini

1. Das Mahābhāsøya tisch mit dem Verfasser des Prātiśākhya zu


2. Buddhistische Sanskrit Grammatiker diesem Vedatext; außerdem postuliert er ne-
3. Jinistische Sanskrit Grammatiker gierte Verben wie apacasi “Du kochst
4. Grammatiken der mittelindischen Dialekte schlecht!”, die möglicherweise auf dravidi-
5. Werke in der Tradition der Pānø inı̄yas
6. Sanskrit Grammatik an den Fürstenhöfen
schen Einfluß hinweisen. Patañjali stammt
7. Bibliographie eher aus der Gegend um Mathurā, einer
Stadt, die in mehreren seiner Beispiele vor-
kommt, oder aus der Gegend nördlich oder
1. Das Mahābhāsøya nordöstlich davon, d. h. dem mittleren oder
oberen Gangestal, weil man, wie er sagt
1.1. Das bedeutendste grammatische Werk (Mbh. II, 162.6f.), über Saketa nach Pātøalipu-
in Pānø inis Nachfolge ist das monumentale tra reist. ⫺ Beide Autoren bemühen sich in
Mahābhāsøya (Mbh.), das “Große Erklärungs- ihrer Untersuchung, in der sie Pānø inis Regeln
werk”. Es besteht eigentlich aus zwei Text- auf Lücken und Unstimmigkeiten abtasten,
schichten etwa aus dem 3. und 2. Jh. v. Chr. am Ende doch Pānø inis ursprüngliche Formu-
und hat zwei Autoren. Kātyāyana untersucht lierung zu retten und schlagen nur als letzten
in etwa 4293 knappen Anmerkungen (vārtti- Ausweg gelegentlich Änderungen am Text
ka) im sūtra-Stil 1245 von Pānø inis etwa 4000 vor. Der Prozeß ähnelt dem Vorgehen von
Regeln auf methodische und faktische Rich- Juristen, die Rechtsfälle auf der Basis viel
tigkeit und Vollständigkeit. Patañjalis Werk älterer Gesetze entscheiden müssen ⫺ auch
ist zuerst ein Kommentar zu Kātyāyanas wenn der Gesetzgeber keine expliziten Provi-
vārttikas, verfolgt dann aber die Untersu- sionen für den anhängigen Fall gemacht hat.
chung von Pānø inis Regeln auch auf eigene Wie im dharma-śāstra, wo die Interpretation
Faust weiter. Insgesamt bespricht Patañjali eines anerkannten Kommentars den Vorrang
1713 Regeln Pānø inis. Genau genommen, ist hat vor einer unabhängigen, schlagend richti-
nur diese Arbeit Patañjalis das Mahābhāsøya; gen Neudeutung des Grundtextes, gilt in der
er allein wird in den Kolophonen als Autor späteren Tradition der Grundsatz yathôtta-
genannt. Die vārttikas sind in den Text des ramø hi muni-trayasya prāmānø yam “Der je-
Mahābhāsøya eingebettet und sonst nirgends weils folgende der drei Weisen ist [höhere]
unabhängig überliefert, obwohl Patañjali Autorität” (Kaiyatøa zu P I 1 29); gemeint
noch andere Behandlungen der vārttikas sind Pānø ini, Kātyāyana und Patañjali. ⫺ Es
kannte. Die säuberliche Scheidung der beiden gab offenbar einen Bruch in der mündlichen
Autoren ist von Kielhorn (1876), weithin im Tradition zwischen Pānø ini und Kātyāyana;
Einklang mit der indischen handschriftlichen denn schon Kātyāyana muß wahrscheinlich
und mündlichen Tradition, herausgearbeitet die wichtigen technischen Akzente und Nasa-
und in seiner Ausgabe des Mbh. im Einzelnen lierungen in Pānø inis Text mühsam erschlie-
durchgeführt worden. Selbst wenn in einigen ßen. Der Hauptwert des Mahābhāsøya und der
Fällen die Zuschreibung einzelner Sätze an sich daran anschließenden Literatur liegt für
einen der beiden Autoren angezweifelt wer- uns daher nicht in ihrer (unterbrochenen)
den kann, sind allgemeine Zweifel an der Zu- Tradition, sondern ihrer fast unglaublichen
teilung nicht gerechtfertigt. ⫺ Wenn Kātyā- Beherrschung des Materials und ihrem tiefen
yana mit dem Ausdruck śāka-pārthiva “vege- Verständnis der inhärenten Probleme. Kātyā-
tarischer König” (Pānø ini, Asøtøadhyāyi ⫽ yanas Beitrag, der so eng mit dem Patañjalis
P II 1 69 vārtt. 8) auf Aśoka anspielt, wäre verschmolzen ist, hat oft keine unabhängige
seine Zeit etwa um 250 v. Chr. anzusetzen, Würdigung erfahren. Die kürzlichen Arbeiten
während Patañjalis Hinweise auf das Ritual von Deshpande (1980, 1985) haben seine An-
des Śungakönigs Pusøyamitra und die griechi- sichten stärker profiliert.
sche Belagerung von Saketa (Ayodhyā) auf Während Pānø ini gelegentlich auf abwei-
die zweite Hälfte des 2. Jh. v. Chr. für diesen chenden Sprachgebrauch hinweist mit Wor-
Autor deuten. Kātyāyanas Heimat ist viel- ten wie “nach Śākalya”, “in Gandhāra”,
leicht im mittleren Gangestal nahe dem Vind- “nach [dem Gebrauch] der östlichen [Spre-
hyagebirge oder im nördlichen Dekkhan zu cher]”, halten Kātyāyana und die ihm folgen-
suchen. Denn er kennt die Tradition des Wei- den Grammatiker alle diese Formen für
ßen Yajurveda und ist wahrscheinlich iden- gleichberechtigt und sehen in diesen Hinwei-
126 V. The Establishment of Sanskrit Linguistics

sen nur Ehrenbezeugungen. Der Grund dafür schaffen gemacht hat. Denn die Funktion,
ist vermutlich, daß Sanskrit mehr und mehr die der Stammbegriff eines Wortes mit Nomi-
von einer Umgangssprache zu einer Sonder- nativendungen im Satz haben würde, nämlich
sprache gebildeter Brahmanen geworden war, Agens in aktiven Sätzen, Objekt in passiven,
im Überlebenskampf mit den verschiedenen ist schon durch die Endung des finiten Ver-
Prakrits, die wir in staatlichen Inschriften bums bezeichnet: śrønø oti “[er, sie, es] hört”,
und in den Traditionen heterodoxer Sekten śrūyate “[er, sie es] wird gehört”. Aber wie
finden. Die feinen Unterschiede, die Pānø ini steht es damit in Nominalsätzen wie vı̄rahø pu-
verzeichnete, paßten nicht in dieses Bild rusøahø “Der Mann [ist] ein Held”? Kātyāyana
brahmanischer Wiederbehauptung (Desh- definiert daher den Nominativ als den Kasus,
pande 1978: 102⫺107), und selbst wenn Pa- der mit dem (manchmal unausgedrückten)
tañjali gelegentlich auf dialektische Beson- Verbum kongruent ist (vārtt. 6 zu P II 3 1). ⫺
derheiten seiner Zeitgenossen hinweist ⫺ fal- Das veränderte Sprachgefühl einer späteren
sche Formen konnte es in den verehrten Tex- Zeit zeigt sich auch in seiner Analyse einiger
ten und bei als Autorität zitierten Sprechern quasi-reflexiven und impersonalen Verbfor-
nicht geben, wenn die Vedas und alle Sans- men. Das indo-iranische Passiv hatte sich aus
kritworte als ewig galten. Alle Varianten sind intransitiven Verbalstämmen auf -ya- entwik-
mit umfaßt. kelt wie jāyate “wird geboren” und mriyate
“stirbt”, die auch später weiter als Media gel-
1.2. Einige von Kātyāyanas Anmerkungen ten. Eine Zwitterstellung nehmen Sätze wie
spiegeln deutlich sprachliche Entwicklungen odanahø pacyate “Der Reis kocht” ein, wo
im Sanskrit wider, obwohl Kātyāyana kaum nach Pānø inis Regel III 1 87 der Agens der
historisch gedacht und diese Ausdrücke als Handlung, nämlich der Reis, derselben
Neuerungen angesehen hat. So lehrt Pānø ini Handlung unterliegt wie ein Objekt und da-
das periphrastische Perfekt ⫺ in Überein- her wie ein Objekt behandelt wird: das in-
stimmung mit dem späteren vedischen transitive Verbum erhält folglich die Suffixe
Sprachgebrauch ⫺ allein mit Formen von krø des Passivs. Kātyāyana in seinem Vārttika 10
als Hilfsverb (Typ gamayām ø cakāra); Kātyā- zu dieser Regel postuliert die Ellipse des Wor-
yana erkennt auch Formen von as und bhū tes ātmanā “durch sich selbst”, wodurch der
an (P III 1 40 mit vārtt. 3). Daneben gibt es Satz odanahø pacyate [ātmanā] ein einfacher
viele Neuerungen im Wortschatz; häufig sind Passivsatz mit einem transitiven Verbum
freilich die geforderten Wörter nicht ander- wird: “Der Reis wird [durch sich selbst] ge-
weitig belegt, sodaß ihre Einschätzung kocht”. Kātyāyana schafft sich damit freilich
schwierig ist. Von größerem Interesse ist Kā- anderweitig Schwierigkeiten, z. B. bei der im-
tyāyanas verändertes Sprachgefühl; was dazu personalen Konstruktion odanena pacyate
den Anstoß gegeben hat, ist bisweilen unklar. “Kochen durch den Reis findet statt”. Diese
Während Pānø ini nirgends den Satz definiert, Konstruktion ⫺ nach Patañjali (Mbh. II,
ist es für Kātyāyana (vārtt. 10 bis 12 zu P 66.2) sprachlich korrekt ⫺ ist nämlich nur für
II 1 1) klar, daß jeder Satz ein Verbum hat ⫺ intransitive Verben erlaubt (P III 4 69; Desh-
und nur eins. Damit wird Konstruktionen pande 1985: 8⫺16). ⫺ Kātyāyana macht
wie bhavati pacati “Es ist wahr, er kocht” auch sonst weiten Gebrauch von Ellipsen,
oder “Er kocht wirklich” das Recht abge- z. B. in der Nominalkomposition. śākapārthi-
sprochen als ein Satz zu gelten, und die so vahø “Gemüsekönig” gilt als kompositionsbe-
häufigen Nominalsätze des Sanskrit werden dingte Kontraktion von śāka-bhojı̄ pārthivahø
als Ellipsen erklärt, in denen eine Form des “Gemüse essender, d. h. vegetarischer König”
Verbums “sein” in der dritten Person ergänzt (vārtt. 8 zu P II 1 69), wo bhojı̄ durch
werden muß (vārtt. 11 zu P II 3 1). Damit Schwund des hinteren Wortes (uttara-pada-
geht eine neue Sicht des Nominativs einher. lopa) vor dem Vollzug der Komposition abge-
In Pānø inis Kasussyntax war der Nominativ fallen ist. Spätere Grammatiker wie Purusøot-
sozusagen funktionslos; er diente lediglich tama oder Durgasim ø ha sprechen von
dazu, Geschlecht und Zahl des Stammbegrif- “Schwund des mittleren Wortes” (madhyama-
fes anzuzeigen, während die anderen Kasus pada-lopa), d. h. im schon realisierten Kom-
verschiedene Faktoren der im Satz ausge- positum *śāka-bhoji-pārthivahø schwindet das
drückten Handlung bezeichnen. Pānø ini ver- mittlere Glied. Komposita wie dadhy-odanahø
mied damit geschickt die Idee eines ‘Sub- “Yoghurtreis” ermangeln in Kātyāyanas Mei-
jekts’, die der europäischen Grammatik mit nung einer semantischen Verbindung, außer
ihrem philosophischen Ballast so viel zu wenn ein verbindendes Wort hypostasiert
18. Die Entwicklung der Sprachwissenschaft in Indien nach Pānø ini 127

wird: dadhy [-upasikta]-odanahø “mit Yoghurt se letztere Ableitung ließe sich durch einen
vermischter Reis”. pra-parnø ahø “[ein Baum,] Hinweis auf Perfektformen wie cikāya (von
dessen Blätter dahin sind” soll elliptisch für ci) stützen, wo ein solcher Wechsel /c/ ⬎ /k/
prapatita-parnø ahø “[ein Baum,] dessen Blätter berechtigt ist. Aber es gibt keine solchen Ent-
dahingeflogen (oder: hingefallen) sind” ste- sprechungen zwischen /m/ und /p/. Recht me-
hen (vārtt. 4 zu P II 1 35 und vārtt. 14 zu P chanisch mutet Kātyāyanas Erklärung von
II 2 24). Kātyāyana (vārtt. 6f. zu P II 1 35) mātāmaha “Großmutter” und pitāmaha
ist dann aber doch bereit, auf einige dieser “Großvater” an, die P IV 2 36 einfach als un-
Ellipsen zu verzichten und sich statt dessen regelmäßige Formen gelehrt hatte; Kātya-
auf eine erweiterte Semantik zu stützen, viel- yana sieht hier ein Suffix dø āmahac, das an die¯
leicht unter dem Einfluß der Schule der Sau- Stämme mātrø “Mutter” und pitrø “Vater” an-
nāgas, die nach Patañjali (Mbh. I, 416f.) diese gefügt ist. Dabei ist doch die Verbindung mit
Methode häufig erwähnt, Damit ist gemeint, dem Adjektiv mahā “groß” ganz offensicht-
daß der nicht direkt ausgedrückte Sinn sich lich.
aus dem Satzzusammenhang oder der Situa- Andere Anmerkungen Kātyāyanas befas-
tion ergibt. Es ist ja offenbar, daß z. B. das sen sich mit methodischen oder philosophi-
Wort upasikta “vermischt” in vergleichbaren schen Fragen. Pānø inis Grammatik ist genera-
Redewendungen nicht auftritt, wenn man tiv, d. h. sie führt vom Wunsch, einen Gedan-
einfach, d. h. ohne Kompositumsbildung, ken auszudrücken, zur Bildung (vyākaranø a;
sagt: dadhnâudanam ø buṅkte “Er ißt Reis mit vgl. Thieme 1982: 23⫺34) korrekter Worte
Yoghurt” (Deshpande 1985: 47⫺57) und Satzstrukturen aus elementaren Bestand-
Eine bemerkenswerte Neuorientierung teilen. Der Aufbau der Sanskritworte aus
zeigt sich in Kātyāyanas Ableitung der Desi- Wurzel und Suffix, oft sogar mehreren Suffi-
derative. Sanskrit hat als synthetische Spra- xen ⫺ der keineswegs immer auf der Hand
che besondere ererbte Formen wie jigamisøati liegt ⫺ setzt intensive Analyse des Sprachma-
“[er, sie, es] will gehen”, die P III 1 7 als be- terials voraus, von der Pānø ini jedoch nie
vorzugte Formen lehrt; daneben gibt es die spricht. Kātyāyana gründet diese vorauszu-
analytische Ausdrucksweise gantum icchati setzende Analyse auf die komplementären
“[er, sie, es] wünscht zu gehen”. Pānø ini leitet Prinzipien von anvaya “Konkomitanz, Zu-
das Desiderativ direkt aus der Wurzel mit ei- sammenvorkommen” und vyatireka “Zusam-
nem Suffix -san ab, wenn gewisse Eingaben men-Abwesend-Sein” (vārtt. 9 zu P I 2 45).
vorliegen: es soll ein Wunsch ausgedrückt Wenn aśvahø “[ein] Pferd” bedeutet, aśvau
werden, Wunsch und Handlung der Wurzel “zwei Pferde”, und vrøksøau “zwei Bäume”,
haben denselben Agens, und der Wunsch be- schließen wir, daß das Element aśva “Pferd”
zieht sich auf die Handlung der Wurzel. Kā- bedeutet, die Endung hø die Einzahl, au die
tyāyana schlägt in den Vārttikas 10 und 11 zu Zweizahl, und das Element vrøksøa “Baum”.
dieser Regel zwei alternative Ableitungswege Eine Gegenprobe ergibt, daß Laute als solche
vor: das Suffix -san tritt an den Infinitiv oder keine Bedeutung haben (vārtt. 9⫺15 zu P Śi-
an die erste Person des Optativs, deren En- vasūtra 5). Wie Patañjali (Mbh. I, 32.3⫺10)
dungen dann getilgt werden; Patañjali (Mbh. später zeigte, ergibt sich aus einer Reihe kū-
II, 14.9⫺12) gibt die Beispiele kartum icchati: pahø sūpahø yūpahø “Brunnen, Soße, Opferpfo-
cikı̄rsøati; kuryām itı̂cchati: cikı̄rsøati. Diese sten” weder eine überwiegende Gemeinsam-
Technik, eine Form aus einer anderen durch keit auf Grund der gemeinsamen Lautgrup-
Ellipse abzuleiten, ist eine Neuerung Kātyā- pe /ūpa/, noch der Nachweis, daß die spezifi-
yanas. schen Wortbedeutungen auf den Lauten /k/,
Kātyāyana hat gelegentlich versucht, in /s/ und /y/ beruhen. ⫺ Folgenschwer war Kā-
der Analyse unerklärter Wörter über Pānø ini tyāyanas Ausweitung der Regel P I 4 2 vipra-
hinauszukommen. Neben durchsichtigen Ab- tisøedhe param ø kāryam “Wenn es einen Kon-
leitungen auf -ya wie vāpya (von vap) und flikt gibt, [gilt] die später [gelehrte] Operati-
pranø āyya (von nı̄) hatte dieser in P III 1 129 on”, die ursprünglich nur bis P II 2 38 galt
pāyya “Maß” und nikāyya “Wohnung” als (in einem Abschnitt, der Definitionen gibt),
fertige Worte gelehrt, statt sie aus Elementar- auf die ganze Grammatik mit Ausnahme der
teilen aufzubauen. Kātyāyana schlägt vor, drei letzten Kapitel. Damit ergab sich schein-
diese beiden Worte von den Wurzeln mā bar ein bequemer mechanischer Weg, die
“messen” und ci “schichten” abzuleiten mit Priorität verschiedener Regeln zu entschei-
Ersetzung des anfänglichen Konsonanten: den; aber eine solche Regel ist nicht nur über-
*māyya ⬎ pāyya, *[ni]cāyya ⬎ nikāyya. Die- flüssig ⫺ es ergeben sich Schwierigkeiten,
128 V. The Establishment of Sanskrit Linguistics

und Kātyāyana führt selbst zahlreiche Fälle Seine Zusätze zur deskriptiven Grammatik
auf, in denen im Gegenteil die vorausgehende sind wohl bescheidener als die Kātyāyanas.
Regel den Vorrang hat (pūrva-vipratisøid- Er fügt in II, 157.12 das Wort durmarsøanø a zu
dham). ⫺ P I 2 64 lehrt die Bildung von no- Kātyāyanas Liste hinzu, und er lehrt in II,
minalen Dual- und Pluralformen durch einen 135.14 ein neues Suffix krukan, um das Wort
Prozeß, den er eka-śesøahø “nur eins bleibt üb- bhı̄ruka “furchtsam” von der Wurzel bhı̄ ab-
rig” nennt: für *aśvaś ca∧aśvaś ca “ein Pferd leiten zu können. In dem Satz grāmam ø / gra-
und ein Pferd” sagt man aśvau “zwei Pferde”, māya gantum icchati “Er wünscht zum Dorf
für aśvaś ca∧aśvaś ca∧aśvaś ca sagt man aś- zu gehen” erhebt sich die Frage, wer das Ob-
vāhø “Pferde”. Kātyāyana widmet dieser Re- jekt von wem ist. Sind “Dorf” und “gehen”
gel 59 Anmerkungen, in denen er u. a. der beide Objekt von “wünscht”? Dann können
Frage nachgeht, ob man sich bei diesem Pro- wir P II 3 12 nicht mehr anwenden, wonach
zeß vorstellen muß, daß die einzelnen Worte das Objekt von “gehen” die Endungen des
ein Universale, nämlich die Form oder den Akkusativs oder des Dativs erhält. Ist dann
Typ des Pferdes schlechthin, bezeichnen oder “Dorf” das Objekt von “gehen” und “gehen”
eher die Individuen, d. h. einzelne Pferde. Er das Objekt von “wünscht”? Dann können
folgt in dieser Diskussion zwei älteren Auto- wir die Passivkonstruktion nicht richtig bil-
ritäten, von denen Vājapyāyana die erstere den: isøyate grāmo gantum “Es wird ge-
These vertrat, Vyādø i die letztere. Kātyāyanas wünscht, zum Dorf zu gehen”. Die Lösung
Lösung (vārtt. 53⫺59) ist ein Kompromiß: ist, daß “Dorf” das Objekt von “gehen” ist,
ein Wort bezeichnet das Universale, das sich und sowohl “Dorf” und “gehen” Objekte
in Individuen manifestiert. von “wünscht”. Damit sind sowohl der Ak-
kusativ im aktiven und der Nominativ im
1.3. Patañjalis Beitrag ist wesentlich philolo- passiven Satz bildbar (Deshpande 1980: 81⫺
gischer und philosophischer Natur, obwohl 92). In seiner Terminologie kehrt Patañjali
auch er Entwicklungen in der Sanskritspra- mehrfach wieder zu Pānø inis Ausdrücken zu-
che verzeichnet. Die singularischen Dvandva- rück, wo Kātyāyana unter dem Einfluß der
komposita waren ursprünglich auf Sonder- Prātiśākhyas davon abgewichen war: lopa
“Schwund” gegen Kātyāyanas apāya, und
fälle beschränkt wie pānø i-pādam “Hand und
ādeśa gegen sein vikāra. ⫺ Patañjali entwik-
Fuß” (P II 4 2ff.); aber nach Patañjali (I,
kelt Ansätze Pānø inis zu einer Klassifizierung
232.4f.) kann jedes Dvandvakompositum im
der Komposita weiter. P II 2 24 anekam an-
Singular stehen. Sein geographischer Hori-
ekapadârthe und 29 cârthe dvandvahø lehren,
zont ist erweitert: das Gebiet, dessen Sprache
daß die Glieder eines Bahuvrı̄hi ein anderes
als maßgeblich gilt, ist jetzt der ganze zentra- Objekt bezeichnen, und daß ein Dvandva die
le Teil der nordindischen Ebene. Aber nicht Bedeutung “und” hat. Daraus entwickelt Pa-
alle Sprecher dieses Gebietes können als tañjali eine symmetrische Klassifizierung:
Autorität gelten, sondern nur rechtschaffene, Avyayı̄bhāva-Komposita haben den Schwer-
gebildete Brahmanen (III, 174.6⫺15). Selbst punkt auf der Bedeutung des ersten Wortes,
Ehefrau oder Tochter eines Brahmanen, die Tatpurusøa-Komposita auf der des zweiten,
üblicherweise nicht studiert haben, können Bahuvrı̄hi-Komposita auf der eines ganz an-
durch umgangssprachliche Aussprache von deren, Dvandva-Komposita auf der Bedeu-
der Norm abweichen (I, 19.21f.). Patañjali tung beider Worte des Kompositums (I,
verweist sogar auf die Weisen (røsøi) Yarvānø as 378.24⫺379.3). Es erscheint fraglich, ob diese
und Tarvānø as, so genannt, weil sie trotz ihrer Definition recht auf die Avyayı̄bhāva-Kom-
großen Gelehrsamkeit und tiefen Einsicht posita (z. B. yathā-mati “entsprechend der
statt yad vā nas und tad vā nas im täglichen Meinung”) zutrifft; vielleicht floß diese For-
Leben yar vā nø as und tar vā nø as sagten (vgl. mulierung aus der Liebe zur Symmetrie.
im modernen Malayāløam sam ø valsalam statt Patañjalis stärkste Beiträge sind philologi-
samø vatsaram; bhavel statt bhavet!), aber nicht, scher und philosophischer Art. Er geht von
wenn sie vedische Rituale zelebrierten (I, dem Prinzip aus, daß Pānø ini seine Regeln mit
11.11⫺14). Patañjali ist vielleicht der letzte größter Präzision und Ökonomie verfaßt hat.
Grammatiker, der noch mit der Autorität ei- Scheinbar überflüssige Ausdrücke oder Re-
nes geborenen Sanskritsprechers auftritt. geln sind in Wahrheit Fingerzeige (jñāpaka)
Sein Werk wird zu Recht für die Exaktheit des Meisters, die uns die Existenz einer Meta-
seiner Argumentation und die knappe Ele- regel anzeigen sollen. Eine große Zahl solcher
ganz seiner Ausdrucksweise gepriesen. Metaregeln (pari-bhāsøa) wird postuliert, von
18. Die Entwicklung der Sprachwissenschaft in Indien nach Pānø ini 129

denen ein Teil wohl Pānø ini vorgeschwebt ha- vadbhyām “Sitzen von euch beiden findet
ben mag ⫺ andere sind sekundäre Rationali- statt”)? Die Handlung ist nur eine, (daher der
sierungen. Man muß sich ja doch fragen, Singular des unpersönlichen Verbums), kann
warum Pānø ini diese Metaregeln nicht direkt aber mehrere materielle Substrate (in diesem
gelehrt hat, wie er es in anderen Fällen getan Falle Objekte, nämlich die Reisbreie) haben.
hat, z. B. P I 3 10 yathā-sam ø khyam
ø anudeśahø Verschiedene Arten zu kochen können mit
samānām “Die nachfolgenden Glieder in ei- dem Substantiv pāka bezeichnet werden, das
ner Regel, wenn sie von gleicher Anzahl mit gegebenenfalls auch im Dual oder Plural ste-
den vorhergehenden sind, entsprechen diesen hen kann. Ein Substantiv, sagt Patañjali,
der Reihe nach.” Einige dieser Metaregeln wird wie ein Ding, dem eine Handlung inhä-
haben so viele Ausnahmen, daß man ihren rieren kann; es kann grammatisch gespro-
Wert in Frage stellen muß. Die Metaregel chen, mit einem Verbum konstruiert werden.
(Nr. 50 im Paribhāsøêndu-śekhara), daß Ele- Das ist nicht der Fall bei einer Handlung, die
mente außerhalb eines Stammes (bahir-aṅga) durch ein Verbalsuffix ausgedrückt ist; denn,
keinen Einfluß auf die Bildung des Stammes wie die Philosophen sagen, kann keine Hand-
selbst haben (antar-aṅga-Regeln), erscheint lung einer anderen Handlung inhärieren.
sinnvoll, stößt sich aber an einigen Fällen der Grammatisch gesehen ist der Unterschied
bekannten Regel, daß Absolutive ohne Präfi- von Verbum und Nomen der, daß das erstere
xe mit dem Suffix -tvā gebildet werden, die mit Zeit, Person und Diathese verbunden
mit Präfix jedoch mit dem Suffix -ya (chittvā wird und einen Agens verlangt, das Nomen
gegenüber vicchidya); denn es ergeben sich nicht. ⫺ Patañjali hat eine interessante Inter-
ernsthafte Schwierigkeiten, wenn das Suffix pretation von Worten, deren Referendum
-tvā eine Wurzelmodifizierung verlangt, -ya (noch) nicht existiert. Jemand sagte zu einem
nicht: von der Wurzel dhā heißt es daher (mit Weber: “Webe ein Tuch aus diesem Garn!”
dhā ⬎ hi) hitvā, aber pra-dhāya. Hier hat die Der Weber sperrte sich: “Wenn es ein Tuch
bahir-aṅga Substitution tvā ⬎ ya die Wurzel- ist, braucht es nicht erst gewebt zu werden,
modifizierung verhindert. Patañjali postuliert und wenn es erst gewebt werden muß, dann
eine weitere Metaregel (Nr. 54 im Paribhāsøên- ist es kein Tuch: Die Worte ‘Tuch’ und ‘muß
du-śekhara), daß ein bahir-aṅga Suffix -ya so- gewebt werden’ widersprechen sich.” Patañ-
gar antar-aṅga-Regeln verhindert, und er jalis Lösung des Problems ist, daß es sich um
sieht einen Fingerzeig oder zwingenden Hin- einen potentiellen Namen (bhāvinı̄ sam ø jñā)
weis (jñāpaka) dafür in der Formulierung von handelt, d. h. der Name wird erst später reali-
P II 4 36. Hier lehrt Pānø ini die Wurzelsubsti- siert: “Webe das, was, wenn es gewebt ist,
tution ad ⬎ jagdh (Dies ist ein Fall, wo sich ‘Tuch’ heißt” (I, 112.10⫺13). Hier bezeichnet
zwei Wurzeln im Paradigma ergänzen wie im das Wort ‘Tuch’ nicht ein äußeres Objekt,
Deutschen ist und war) sowohl für -ya als sondern ein geistiges Bild, dessen Realisie-
auch für -ktvā: jagdhvā “gegessen habend” rung auf die Zukunft wartet. ⫺ Das Verlan-
neben pra-jagdhya “aufgegessen habend”; der gen etwas auszudrücken (vivaksøā) liegt an der
Hinweis auf pra-jagdhya ist nur sinnvoll, Wurzel jeder grammatischen Operation. Pa-
wenn die Metaregel 54 gilt, die an sich die tañjali hat diese Vorstellung, die schon in den
Wurzelsubstitution vor -ya verhindern wür- Vārttikas angedeutet war, weiterentwickelt. P
de, und er ist deswegen gleichzeitig nicht nur I 2 68 hatte gelehrt, daß Worte wie bhrātrø
sinnvoll, sondern auch notwendig, um die “Bruder” und svasrø “Schwester” so zusam-
Substitution ad ⬎ jagdh auch vor dem Suffix mengefaßt werden, daß nur das erstere übrig
-ya zu sichern. Ist hier ein gesundes gramma- bleibt: bhrātarau “Bruder und Schwester”.
tisches Prinzip mißbraucht oder ist die Meta- Kātyāyana erklärte diesen Vorgang in Vārtti-
regel 50 überhaupt ungültig, wie Kiparsky ka 1 zu dieser Regel so, daß nur das Gemein-
(1982: 87⫺102) zu beweisen sucht? Kompli- same und nicht das Unterschiedliche ausge-
zierte technische Erörterungen dieser Art drückt werden sollte (vivaksøita). Patañjali
nehmen einen breiten Raum im Mahābhāsøya wendet diesen Begriff der vivaksøā auf viele
ein. Gebiete der Syntax an. Der Begriff “Wegnah-
Andere Diskussionen sind mehr philoso- me” (apādāna) wird in P I 4 24 als das defi-
phischen Fragen gewidmet. Warum kann eine niert, was bei einem Weggang fest bleibt; er
passive Verbform im Plural stehen, wenn wird häufig durch ein Ablativsuffix bezeich-
mehrere Objekte betroffen sind (pacyante net. Man sagt folglich grāmād āgacchati “Er
odanāhø “Reisbreie werden gekocht”), aber kommt vom Dorf”. Wie steht es dann, wenn
nicht im unpersönlichen Passiv (āsyate bha- auch der Ausgangspunkt nicht wirklich fest
130 V. The Establishment of Sanskrit Linguistics

ist, wie in dem Satz aśvāt trastāt patitahø “Er Equivalent: z. B. brāhmanø ârtham “zum Woh-
fiel von dem aufgeschreckten Pferd”? Der le der Brahmanen” oder kumbha-kāra “Töp-
Ablativ ist auch hier berechtigt, denn es ist fer”; überhaupt kann ein Suffix allein nie se-
nicht beabsichtigt, die Unfestigkeit des Pfer- parat Teil eines analytischen Ausdrucks sein.
des auszudrücken, auch wenn es als aufge- Das Problem der Zeit, besonders der Ge-
schreckt und durchgehend bezeichnet wird. genwart und des grammatischen Präsens,
Patañjali argumentiert hier erst mit einer ety- wird von Patañjali in mehrfacher Weise erör-
mologisierten Erklärung, daß es die feste tert. In II, 160.23⫺161.2 geht es um die Tem-
Vorstellung des Pferdes (aśva) als schnell pora des Verbums ‘sein’ bei permanenten Ob-
(āśu) laufendes Tier sei, die den Gebrauch des jekten. “Hier ist etwas Sinneswerk, etwas
Ablativs rechtfertige. Aber diese Erklärung Vernunftwerk. Sinneswerk ist Erreichen, Ver-
befriedigt nicht, denn sie kann nicht Sätze nunftwerk ist Entscheidung. So sagt ja auch
wie dhāvatahø patitahø “Er fiel von dem Lau- einer, der nach Pātøaliputra gehen will: ‘Auf
fenden” rechtfertigen. Er kommt zu dem dem Weg, der bis Pātøaliputra zurückzulegen
Schluß, daß auch hier der Sprecher nicht die ist, wird ein Brunnen sein’; wenn es sich nicht
Unfestigkeit ausdrücken wollte. “Es gibt Fäl- um Heutiges handelt (sondern um eine weite-
le, wo auch das Existierende (hyperbolisch) re Zukunft) ‘… wird ein Brunnen sein’ [Futu-
nicht ausgedrückt werden soll, wie alomikâidø a- rum II]; wenn er ihn erreicht hat ‘… ist ein
kā “die haarlose Ziege”, anudarā kanyā “das Brunnen’; wenn er ihn erreicht hat und wei-
bauchlose Mädchen”; und es gibt Fälle, wo tergegangen ist ‘… war ein Brunnen’ [Aorist];
(phantasievoll) etwas Nichtexistierendes aus- wenn er ihn erreicht hat, weitergegangen ist
gedrückt werden soll, wie samudrahø kunø dø ikā und eine Nacht zugebracht hat ‘… war ein
“Das Meer ist ein Topf”, Vindhyo vardhita- Brunnen’ [Imperfekt]; wenn er ihn erreicht
kam “Das Vindhyagebirge ist eine Schüssel” hat, weitergegangen ist, eine Nacht zuge-
(I, 327.10⫺21). Die Sprache bezieht sich hier bracht hat und ihn vergessen hat ‘… ist ein
nicht direkt auf die objektive Welt, sondern Brunnen gewesen’. Wenn dieses Sinneswerk
auf die Welt, wie sie dem Sprecher erscheint [vorliegt], dann treten diese verschiedenen
oder darauf, welche ihrer Aspekte er ausdrük- Endungen ein; wenn nämlich Vernunftwerk
ken will. [vorliegt], dann wird das Präsens sein.” Man
Schon Kātyāyana (vārtt. 6 zu P III 1 22) kann also ganz allgemein sagen: “Der Brun-
kennt den Begriff des vigraha für einen ‘auf- nen ist da.”
gelösten’, analytischen Ausdruck. Einen ge-
wundenen Gang auszudrücken, benutzt man 1.3. Nur durch das Mahābhāsøya wissen wir
nach (P III 1 23) stets das sogenannte Inten- von anderen Gelehrten, die in Pānø inis Nach-
siv der Wurzeln für ‘gehen’; Kātyāyana findet folge als Grammatiker gearbeitet haben. Die
es unnötig darauf hinzuweisen, daß dies Saunāgas verfaßten vārttika-ähnliche Anmer-
‘stets’ der Fall sei, weil die einzelnen Worte kungen zu seiner Grammatik (II, 105.7f. und
nicht der Bedeutung des Intensivs gleichkom- 228.6), während die Bhāradvājı̄yas Kritik
men: na hi kutøilam ø kramatı̂ti caṅkramyata iti und Verbesserungen zu Kātyāyanas Vārttikas
gamyate “Denn ‘Er geht krumm, taumelt’ vorbrachten (z. B. I, 73.26). In mehreren Fäl-
drückt nicht genau die Bedeutung von ‘Er len beruht Patañjalis Kritik auf anonymen
geht nicht gerade [auf ein Ziel los], streift her- Anmerkungen zu Pānø inis Grammatik in Ver-
um’ aus” (II, 30.11f.). Patañjali kontrastiert sen (später oft śloka-vārttika genannt).
oft einen analytischen Ausdruck wie śastrı̂va Schließlich finden sich mehrere Zitate in ślo-
śyāmā und einen synthetischen wie śastrı̄-śyā- ka-Form, die wie Fragmente einer versifizier-
mā “[Devadattā ist] schwarz wie ein Messer” ten Grammatik aussehen, mit deutlichen Ver-
(I, 397.13⫹25), pitrā sadrøśahø oder pituhø sa- bindungen zu Pānø ini, aber auch mit Unter-
drøśahø und pitrø-sadrøśahø “dem Vater ähnlich”, schieden: das sekundäre Nominalsuffix -ika
aver mām ø sam und āvikam “Schaffleisch” (III, (z. B. in vārttika-sūtrika), das Pānø ini als Tø Hak
124.5⫺7). Derartige analytische Entspre- gelehrt hatte (wobei Tø H heterophonisch, d. h.
chungen gehen nach ihm den synthetischen als stellvertretendes Zeichen, für ik steht und
voraus (II, 431.7f., 18), wie ja auch Pānø ini das Determinativ k vrøddhi der ersten Stamm-
Nominalkomposita (P II 1 3 bis II 2 38) und silbe und Akzent auf der letzten Silbe be-
sekundäre Nominalsuffixe (P IV 1 82 bis stimmt), wird hier als ikak gelehrt (II, 284.1),
V 2 140) als zweiten Schritt anstelle von ana- also ohne Gebrauch des Heterophons, aber
lytischen Ausdrücken lehrt. Für gewisse mit demselben Determinativ. Dasselbe gilt
Komposita gibt es aber kein analytisches für die ähnlichen Suffixe ikan (Pānø ini Tø Han)
18. Die Entwicklung der Sprachwissenschaft in Indien nach Pānø ini 131

und søikan (Pānø ini søTø Han) in II, 284.15 und mentarbuch, wurde es schrittweise durch Ein-
398.13. ⫺ Auch wenn uns Patañjalis Werk als schluß erst der primären Nominalsuffixe und
der Abschluß einer Epoche erscheinen mag, dann der sekundären Nominalsuffixe, Kom-
kam mit ihm die Arbeit an Pānø inis Gramma- position und Femininbildungen vervollstän-
tik nicht zu einem Ende. Wir wissen aus dem digt. Mit seiner leicht faßlichen Ordnung
Vers Vākya-padı̄ya II, 484 des berühmten nach grammatischen Bereichen war das Kā-
Bhartrøhari, daß Grammatiker wie Vaiji, tantra das Vorbild für viele spätere Gramma-
Saubhava und Haryaksøa in unabhängiger tiken. Pānø inis Anordnung seiner Regeln, de-
Weise Änderungen zu Pānø inis Grammatik ren ‘organisiertes Chaos’ vielleicht das Ge-
vorgeschlagen hatten, die uns nicht erhalten fühl eines grammatischen Mysteriums (parok-
sind. Es bildete sich ein Vulgatatext seiner søa; vgl. Thieme 1982: 18) förderte, wurde nun
Grammatik heraus, der weitgehend die Anre- mit einem buddhistischen Ausdruck als akā-
gungen Kātyāyanas und Patañjalis berück- lakam “zur Unzeit angeboten” (Candra-vrøtti
sichtigte und dem mehrere Hilfstexte beigege- zu C II 2 68) kritisiert. Von Pānø inis generati-
ben wurden: die Unø ādi-sūtras geben etwas ge- vem Prinzip ist nichts geblieben. Während
zwungen wirkende Ableitungen von Worten, Pānø ini alle Verbalendungen aus 18 Grundfor-
die sich Pānø inis System nicht fügen wollten, men ableitete, führt das Kātantra alle 180 En-
das Lingânuśāsana und Śāntanavas Phitø-sū- dungen tabellenartig auf. Im Laufe von Jahr-
tras geben Faustregeln für die Bestimmung hunderten wuchs das Kātantra durch Anhän-
des grammatischen Geschlechts und der alten ge und Listen zu einem vollständigen System.
Akzente, und die Pānø inı̄ya-śiksøā orthoëpische
Regeln. Einem Bhı̄masena wird die Zufügung 2.2. Eine wissenschaftliche Leistung ist das
von Bedeutungen zu Pānø inis Wurzelliste Cāndra-vyākaranø a des Candragomin (ca. 450
(Dhātupātøha) zugeschrieben. Damit und mit n. Chr.?), der unter sorgfältiger Benutzung
der Kodifizierung von Metaregeln (paribhā- des Mahābhāsøya eine Grammatik verfaßt hat,
søā) und Wortlisten (ganø a) wurde Pānø inis die klar und vollständig sein soll: klarer of-
Grammatik zu einem Mechanismus zur Kon- fenbar als Pānø inis und vollständiger als Śar-
trolle korrekten Sanskritgebrauchs. Erst eini- vavarmans Werk. Wahrscheinlich hatte sie
ge Jahrhunderte später finden wir in Bhartrøha- (wie Pānø inis Grammatik) acht Bücher zu je
ri wieder einen bedeutenden Kommentator vier Kapiteln; aber die beiden letzten Bücher
und Philosophen, der die im Mahābhāsøya ge- über vedische Regeln und über Akzente ⫺
gebenen Ansätze vertieft und systematisiert wenn sie in der Tat ursprünglich existierten
(J Art. 20). ⫺ sind verloren. Für die Buddhisten hatten
diese Regeln kein Interesse. Die Vrøtti mit ih-
ren Erläuterungen und Beispielen wurde oft
2. Buddhistische Sanskrit als das Werk des Autors selbst angesehen.
Grammatiker Aber nach den Arbeiten von Oberlies
(1989: 2⫺4; 1995) und anderen muß es als
2.1. Als buddhistische Schulen in den ersten wahrscheinlich gelten, daß dieser Kommen-
Jahrhunderten n. Chr. begannen, ihre kano- tar von einem Dharmadāsa verfaßt wurde,
nischen Texte und philosophischen Erörte- dessen Name jetzt in den Kolophonen mehre-
rungen in dem wieder in höchsten Ehren ste- rer Handschriften vorliegt.
henden Sanskrit ⫺ ein Aspekt des erstarken- Die beschriebene Sprache ist wesentlich
den Hinduismus ⫺ zu verfassen statt in um- mit der Pānø inis identisch. Die Originalität
gangssprachlichen Dialekten, entstand ein liegt in der Beschreibung, die praktisch ohne
Bedürfnis nach einem praktischen Lehrbuch. Termini auskommt (asam ø jñakam: Vrøtti zu C
Denn den Buddhisten, soweit sie nicht be- II 2 68) und sich anstatt auf Aufzählungen
kehrte Brahmanen waren, fehlte die Geläu- und darauf basierende Kürzungen stützt, ver-
figkeit in dieser Sprache, wie sie viele Brah- gleichbar vielleicht mit Hans Glinz’ Buch Die
manen ihrer Zeit von Kindheit auf entwickel- innere Form des Deutschen (1962). Pānø ini
ten. Wir haben nur Fragmente der Gramma- I 1 73 hatte ein Wort, dessen erste Silbe einen
tik des Kumāralāta (nach ihm Kaumaralāta vrøddhi-Vokal hat, vrøddham genannt; Candra-
genannt) in Handschriften aus dem frühen gomin II 4 98 nennt es ād⫽aij-ādy-ac “dessen
4. Jh. n. Chr., die in Turkestan gefunden wor- erste {a…au} {ā…ai,au} sind”. In der Kasus-
den sind. Das beliebte Kātantra des Śarvavar- syntax reduziert er Pānø inis drei Stufen auf
man ist wahrscheinlich eine Umarbeitung zwei: die Beschreibung der Situation (durch
dieses Werkes. Ursprünglich ein knappes Ele- die Augen des Sprechers gesehen; z. B. kri-
132 V. The Establishment of Sanskrit Linguistics

yâpya “durch Handlung zu erreichen”, d. i. meinen Pānø ini, mit der Ausnahme von W.
Objekt: Pānø inis erster Stufe entsprechend) Geiger (1923: 15), der Candragomin folgt. ⫺
oder beschreibende semantische Ausdrücke Oft verkürzt Candragomin den Wortlaut ei-
(kartrø “Täter”: Pānø inis zweiter Stufe ent- ner Regel gegenüber Pānø inis Formulierung: P
lehnt), die dann mit den Kasussuffixen ge- I 4 2 vipratisøedhe param ø kāryam wird zu C
paart werden. Er vermeidet damit ganz die I 1 16 vipratisøedhe reduziert, und parahø gilt
vermittelnde Kategorie der kāraka, die bei aus C I 1 14 weiter. Dieser Eifer, Silben zu
Pānø ini eine große Rolle spielt, obwohl er das sparen selbst auf Kosten der Deutlichkeit, ist
Wort nicht konsequent meidet (C II 2 16 kā- vielen der späteren Sanskritgrammatiken ei-
rakam ø bahulam). Die Sprachbeschreibung ist gen. Wenn Devanandins Jainendra-vyākara-
damit einfacher geworden, hat aber auch an nø a älter ist als das Cāndra-vyākaranø a, ist des-
Definitionsschärfe und generativer Kraft ver- sen Autor dem Candragomin auch darin vor-
loren. Wo P I 4 37 gelehrt hatte, daß derjeni- angegangen. Die Tendenz zu knappster For-
ge, gegen den der Ärger bei Verben wie ‘zür- mulierung ist ja freilich schon in Pānø inis eige-
nen, neidisch sein’ gerichtet ist, die Bezeich- nen Regeln inhärent, aber erst spätere Inter-
nung sam ø pradāna “Übergabe” erhält, aber preten formulierten die extreme Metaregel
die Bezeichnung karma “Objekt”, wenn das “Grammatiker freuen sich über [die Einspa-
Verbum ein Präfix hat (Im ersten Fall resul- rung] eine[r] halbe[n] Vokallänge wie über die
tiert dann ein Dativsuffix, im letzteren ein Geburt eines Sohnes”: Nr. 122 im Paribhāsøên-
Akkusativsuffix), lehrt C II 1 76 nur kopa- duśekhara, wo sie schließlich jedoch abge-
sthāne ’nāpye “[Die Dativendung] für den Be- lehnt wird. Ganz allgemein läßt sich sagen,
reich des Zornes, wenn er kein Objekt ist”. daß Candragomin oft dem Sprecher die Wahl
Damit soll einerseits Devadattāye krudhyate anheimstellt, wo Pānø ini eine direkte Anwei-
und andererseits Devadattam abhikrudhyate sung gegeben hatte. ⫺ Die Vrøtti zu C I 2 99
“Er zürnt Devadatta” erklärt werden. Pānø ini macht den offenbar originalen Vorschlag,
hatte genau angegeben, wenn das Verbum als daß die Richtungsakkusative normalen Ob-
transitiv zu betrachten und mit dem Akkusa- jektsakkusativen gleichwertig seien (Oberlies
tiv an Stelle des Dativs zu konstruieren ist; 1995: 14). Zu Candragomins Grammatik ge-
Candragomin überläßt die Entscheidung dem hören außer der Vrøtti (und mehreren Sub-
Sprachgefühl: der Dativ, außer wenn das Ver- kommentaren) eine Wurzelliste, Unø ādi-sūtras
bum transitiv ist ⫺ ohne daß er uns nun sagt, für unregelmäßige Wortbildungen, Varnø a-sū-
wann dies der Fall ist. Der Grund für diese tras über Phonetik und eine Liste von 86 Me-
Vermeidung der kārakas ⫺ und praktisch taregeln. Die Grammatik war lange verloren
aller Termini überhaupt ⫺ liegt wahrschein- geglaubt und wurde im wesentlichen erst von
lich weniger in der Grammatik, obwohl ein B. Liebich auf Grund nepalesischer Hand-
Grammatiker wie Whitney (1893: 171) die schriften wieder zugänglich gemacht.
Einführung der kāraka in Pānø inis Gramma-
tik als eine “schwierige und gefährliche Me-
thode” bedauert hatte, als in der Philosophie. 3. Jinistische Sanskrit Grammatiker
Buddhistische Philosophen lehrten, daß es
z. B. keinen ‘Wagen’ gebe, sondern nur eine Wie bei den Buddhisten, ist auch bei den An-
Summe von Teilen, denen man dann den Na- hängern Mahāvı̄ras ein großer Teil des reli-
men ‘Wagen’ gibt (Milindapañha II, 1.1); alle giösen Schrifttums in den nachchristlichen
Termini sind daher in Frage gestellt. ⫺ Eine Jahrhunderten in Sanskrit abgefaßt, und es
geistreiche Neuformulierung findet sich im ergab sich ein Bedürfnis nach eigenen Gram-
folgenden. P VIII 4 1f. lehrt die Ersetzung matiken.
des dentalen /n/ durch das retroflexe /nø / nach
einem /r,sø/ im selben Wort, auch wenn ein Vo- 3.1. Das Jainendra-vyākaranø a des Deva-nan-
kal, /y,v,h/, ein Guttural, ein Labial, die Prä- din Pūjyapāda existiert in einer älteren nörd-
position ā oder das Augment dazwischen tre- lichen Rezension mit 3063 sūtras (und dem
ten (also: karanø am ø , nrøpenø a, usw.). C VI 4 101 Kommentar Mahavrøtti des Abhaya-nandin)
lehrt dieselbe Ersetzung, verbietet sie aber (C und einer jüngeren südlichen Rezension mit
VI 4 132), wenn ein Palatal, Retroflex, Den- 3708 sūtras (und dem Kommentar Śabdârnø a-
tal, /l,ś,sø,s/ dazwischen treten; d. h. er ersetzt va-candrikā des Somadeva). Wahrscheinlich
Pānø inis positiv einengende Zusatzregel durch ist das Jainendra-vyākaranø a etwas älter als
eine einfachere Ausnahmeregel. Die Autoren das Cāndra-vyākaranø a, aber auf jeden Fall
unserer Sanskritlehrbücher folgen im allge- gehört es in den gleichen Zeitraum, die Mitte
18. Die Entwicklung der Sprachwissenschaft in Indien nach Pānø ini 133

des 5. Jh. n. Chr. Devanandins größter An- 3.3. Hemacandras Grammatik (12. Jh.
spruch auf Originalität liegt in der extremen n. Chr.) ist sicher die beste der von Jainas ge-
Kürze seiner Regeln und der großen Zahl schriebenen Grammatiken. Fast ein Viertel
technischer Sigla. Von dem Wort vibhakti der ca. 4500 Regeln, das ganze achte Buch,
“Kasusendung” oder vielmehr einer künstli- befaßt sich mit den Prakritsprachen (siehe
chen Variante davon, nämlich vibhaktı̄, iso- 4.2.).
liert Devanandin die sieben Laute v-i-bh-a-k-
t-ı̄ und fügt /ā/ an die Konsonanten und /p/
an die Vokale als Sigla für die sieben Kasus: 4. Grammatiken der mittelindischen
vā ist dann der Nominativ, ip der Akkusativ Dialekte
usw. (J I 2 157f.). Kātyāyanas Regel über die
Kongruenz von Nominativ und Verbum tiṅ- 4.1. Die “gewöhnlichen” (prākrøta) Sprachen
samānâdhikaranø e [prathamā] (vārtt. 6 zu P (vgl. Pisani 1957: 185⫺189) waren für die or-
II 3 46) wird so reduziert zu J I 4 54 miṅaı̂kâr- thodoxen Brahmanen nur Abweichungen
the vāhø . Devanandin folgt einem Vorschlag (apabhram ø śa), ihre Formen “barbarisch”
Kātyāyanas (vārtt. 29 zu P I 2 64), daß der (mleccha), im Prinzip nicht verschieden von
ekaśesøa-Prozeß zur Bildung der Dual- und den grammatischen Fehlern, die in vedischen
Pluralformen der Nomina (siehe 1.2. Ende) Legenden ihre Sprecher ins Verderben führ-
unnötig sei, und bildet diese Formen direkt ten (TS II, 4.12, 1; ŚB III, 2.1.23; zitiert in
durch Anfügung der Kasusendungen an den Mbh. I, 2.7⫺13). Solche Fehler waren eben-
sowenig “permanent, ewig” (nitya) wie die
Stamm. Unter allen Sanskritgrammatikern
künstlichen Termini Pānø inis oder Pingalas
ist er der einzige, der die Reihenfolge der Per-
(Mbh. I, 394.11⫺13; Scharfe 1971: 1⫺3). Da-
sonalendungen umtauscht: statt Pānø inis utta-
mit konnte ein historisches Element in die
ma/madhyama/prathama (für unsere dritte/
Ableitung der Prakritsprachen aus dem Sans-
zweite/erste Person: P I 4 105⫺108; vgl. P
krit eintreten (Deshpande 1993: 74). Für an-
III 4 78 tip…mahiṅ) lehrt er J I 2 152 miṅas
dere jedoch, u. a. die Jainas, waren prākrøta
triśo ’smad-yusømad-anyāhø “Die Suffixe von
Formen Ableitungen von der Basis (prakrøti)
mip bis JHaṅ [heißen] ‘wir’, ‘ihr’, [und] ‘ande- oder gar in der Basis enthalten (Kahrs
re’.” Am nächsten kommt ihm darin die Ta- 1992: 225⫺249); die Basis war für einige das
milgrammatik Tolkāppiyam (J Art. 28), die Sanskrit, für Namisādhu, den Jaina Kom-
in Colatikāram 203⫺224 zuerst die Personal- mentator von Rudratøas Kāvyālam ø kāra II, 12,
endungen der ersten Person aufführt, dann die “natürliche Sprache”, nämlich das Prakrit
die der dritten, und zuletzt die der zweiten (welches für ihn das Sanskrit als Sonderform
Person. Die allererste Regel (J I 1 1 siddhir einschloß). Es war daher nur natürlich, daß
anekāntāt “Erreichung [der korrekten For- alle diese Grammatiker die Prakritdialekte
men] ergibt sich [auch] aus mehrdeutiger [An- nicht als eigene grammatische Strukturen
weisung]”) beruft sich auf den Sprachge- lehrten, sondern als Übertragungen aus dem
brauch und das Sprachverständnis der Hö- Sanskrit durch Substitutionen einzelner Ele-
rer; diese Regel gilt für die ganze Grammatik. mente (transfer grammar). In der Tat lassen
Devanandin ist damit noch radikaler als sich die mittelindischen Dialekte nicht so wie
Candragomin, der sich oft auf seine Regel C das Sanskrit aus den Elementen ‘ausformen’,
I 1 103 bahulam “oft” verläßt, die die Gültig- da sie durch phonetische Entwicklungen die
keit seiner Regeln relativiert (wogegen Pānø ini einzigartige Durchsichtigkeit des Sanskrit
den Gebrauch von bahulam fast ausschließ- verloren hatten. Die Prakritgrammatiker un-
lich auf die vedischen Sprachregeln be- terscheiden drei Klassen von Worten: tat-
schränkt hatte). sama Worte, die den entsprechenden Worten
im Sanskrit gleich sind (gegebenenfalls mit
3.2. Im 9. Jh. n. Chr. verfaßte ein Jaina Ausnahme der Endungen), tad-bhava Worte,
Mönch Pālyakı̄rti das Śākatøāyana-vyākaranø a die entweder von den entsprechenden Sans-
(so genannt zu Ehren des Grammatikers Śā- kritworten abstammen (taj-ja) oder in ihnen
katøāyana, der von Pānø ini und Yāska erwähnt enthalten sind (tatra bhavam) und durch Sub-
wird). Diese Grammatik ist eine Kompila- stitutionsregeln gewonnen werden, und
tion, die in der Anordnung nach grammati- schließlich deśı̄ Worte regionalen Ursprungs,
schen Gebieten Anregungen des Kātantra ohne deutliche Beziehung zu gleichwertigen
folgt und ihrerseits Modell für mehrere späte- Sanskritworten. Im Laufe der Zeit gewannen
re Grammatiken war. diese Dialekte ein gewisses Ansehen und ihr
134 V. The Establishment of Sanskrit Linguistics

Gebrauch in den klassischen Dramen ist die 4.3. Die Buddhisten in der Tradition der
Regel für Personen der niederen Klassen, Theravādin verfaßten Grammatiken der
Frauen usw. Das Handbuch der Schauspiel- Sprache ihres Kanons, des Pāli, in eben dieser
kunst (Bharata-nātøya-śāstra, Kapitel 17; Sprache ohne Bezug auf Sanskrit. Die älteste
2. Jh. n. Chr.?) gibt daher einige Faustregeln, erhaltene von diesen ist die des Kaccāyana
wie ein Schauspieler einen oberflächlichen (zwischen dem 5. und 11. Jh. verfaßt). Der
Eindruck verschiedener Dialekte hervorru- Einfluß Pānø inis und des Kātantra ist deut-
fen kann. lich. Die Kasusendungen der verschiedenen
Paradigmen werden aus einer grundlegenden
4.2. Der dem Vararuci zugeschriebene Prā- Gruppe von Endungen durch Substitution
krøta-prakāśa beschreibt in ca. 420 sūtras (in gewonnen. ⫺ Wohl die beste Pāligrammatik
Sanskrit) allein die Mahārāsøtørı̄ [bhāsøā], den ist die umfängliche Saddanı̄ti des Aggavam ø sa
Dialekt der Region des heutigen Maharash- aus Burma (12. Jh.), die schnell weiten An-
tra, offenbar in Anlehnung an eine Antholo- klang fand und die Sprachform vieler der uns
gie von Gedichten wie die Sattasaı̈ (2. Jh. vorliegenden Pālihandschriften beeinflußt
n. Chr.); später wurden Kapitel über die Pai- hat (J Art. 25). Die moderne Pāliforschung
śācı̄ und Māgadhı̄ hinzugefügt, schließlich bemüht sich über diese Normalisierung der
auch eins über die Śaurasenı̄. Die Grundlage Texte hinaus zu einem älteren Pāli vorzudrin-
ist das Sanskrit im Stadium der ‘Unterwei- gen, z. B. durch die Benutzung von Hand-
sung’ der technischen Regeln, d. h. vor der schriften aus abgelegenen Traditionen, die
Ersetzung von Pānø inis technischen Elemen- dieser Normalisierung entgangen sind. Die
ten durch die endgültigen Formen der Spra- Saddanı̄ti ist vollständiger als Kaccāyanas
che: das Suffix des Nominativs Singular ist Grammatik und besteht aus drei Teilen. Der
noch su, das des Genitivs noch ṅas; sie werden erste Teil, genannt Padamālā, bietet eine
dann bei auf -a auslautenden Stämmen durch Morphologie mit Paradigmen, die interessan-
o bzw. ssa ersetzt (z. B. devo/devassa). Die terweise wie in Kramadı̄śvaras Sam ø ksøiptasāra
Substitutionen lassen sich nicht immer glatt mit dem Verbum beginnt. Die sogenannte
vollziehen, was zu übermäßigem Gebrauch Dhātumālā gibt eine Wurzelliste mit einem
von Ausdrücken wie ‘oft’ und ‘oder’ führt. Überblick über die verbalen und nominalen
Spätere Prakritgrammatiker der ‘östlichen Ableitungen (vergleichbar mit W. D. Whit-
Schule’ sind Purusøottama (12. Jh.), Mārkanø - neys Roots, Verb-forms, and Primary Deriva-
dø eya (17. Jh.?) und Rāmaśarman (17. Jh.), tives of the Sanskrit Language). Der dritte
die von den älteren Grammatikern und (oft Teil schließlich, die Suttamālā, behandelt das-
fehlerhaften) Handschriften abhängen; sie selbe Sprachmaterial noch einmal, aber dies-
kannten kein gesprochenes Prakrit mehr und mal mit Beschreibung der grammatischen
ihr Wert für die Textkritik der alten Prakrit- Prozesse, Substitutionen usw. in Nachfolge
literatur ist recht zweifelhaft. Der Jaina- Kaccāyanas. Moggalāna in seinem Māga-
mönch Hemacandra (12. Jh.) lehrte die Pra- dham Sadda-lakkhanam “Grammatik der
kritdialekte im achten und letzten Buch sei- Sprache von Magadha” (12. Jh.) zeigt den
ner Sanskritgrammatik. Originelle Beiträge Einfluß von Candragomins Sanskritgramma-
sind seine Hinweise auf die Ardhamāgadhı̄ tik z. B. in der Vermeidung mehrerer techni-
(die Sprache des Jainakanons), und eine scher Ausdrücke.
Form von Apabhram ø śa, nämlich einen Vor-
läufer von frühem Gujerati, mit sorgfältiger
Belegung. In seinem Werk finden wir auch 5. Werke in der Tradition der
die erste Formulierung der offensichtlichen Pānø inı̄yas
Regel, daß bei der Übertragung vom Sanskrit
zum Prakrit ein langer Vokal vor einer Kon- 5.1. Der große zeitliche Abstand zwischen
sonantengruppe gekürzt wird (H VIII 1 84 Patañjali und seinem frühesten bezeugten
hrasvahø sam ø yoge, z. B. sūtra ⬎ sutta). Kra- Kommentator Bhartrøhari (ca. 450⫺510
madı̄śvara mag ein Zeitgenosse Hemacandras n. Chr.) zeigt keinesfalls ein mangelndes In-
gewesen sein oder ein Nachfolger; auch in sei- teresse an Pānø inis Grammatik an; denn
ner Sanskritgrammatik, dem Sam ø ksøipta-sāra, Bhartrøhari weist sowohl in seinem Kommen-
wird Prakrit im achten Buch behandelt. Tri- tar wie auch in seinem Vākyapadı̄ya des öfte-
vikrama (13. Jh.) führt in seinem Prākrøta- ren auf andere Autoren hin, die sich um die
śabdânuśāsana neue technische Ausdrücke Interpretation von Pānø inis Werk bemüht ha-
ein. ben. Aber nicht alle dieser Autoren folgten
18. Die Entwicklung der Sprachwissenschaft in Indien nach Pānø ini 135

dem Pfad des Mahābhāsøya, dessen Tradition dhistischen Autor Purusøottama von keinem
erst durch Candragomin wieder prominent Interesse.
wurde. Bhartrøharis Kommentar, die Mahā-
bhāsøya-tøı̄kā oder Mahābhāsøya-dı̄pikā ist nur 5.3. Die wertvollere philologische Arbeit
in einer einzigen, noch dazu unvollständigen liegt wohl in den Kommentaren und Sub-
und verderbten Handschrift erhalten. Am kommentaren zum Mahābhāsøya. Dem Frag-
Anfang fehlt vielleicht ein Blatt, und die ment von Bhartrøharis Kommentar folgt eine
Handschrift bricht mit dem Kommentar zu P ganze Kette von solchen Werken, beginnend
I 1 55 ab, obwohl der Kommentar ursprüng- mit dem Mahābhāsøya-pradı̄pa des Kaschmi-
lich wenigstens bis zum Ende des dritten pāda rers Kaiyatøa (spätestens 11. Jh.), zu dem der
reichte. Es ist ein sehr gelehrter Kommentar; Mahratte Nāgojı̄bhatøtøa (gest. 1755 in Bena-
auffallend sind die häufigen Verweise auf res) den bedeutenden Mahābhāsøya-pradı̄pôd-
Handschriften und Schriftzeichen, ein Zei- dyota verfaßte; mehrere andere Kommentare
chen, daß das Studium der Grammatik über zu Kaiyatøas Werk sind bekannt. Die Autoren
die rein mündliche Tradition hinaus (die ge- streben, dem Vorbild Patañjalis folgend, nach
wiß weiter existierte!) auch ein Bücherstudi- einer widerspruchsfreien Interpretation von
um geworden war. Pānø inis Regeln und interpretieren Patañjalis
Erklärungen mit großer philologischer Schär-
5.2. Mündlicher Unterricht, der Pānø inis sū- fe ⫺ mit gutem Verständnis für die gramma-
tras in verständliche Sätze “wendet” (vartay- tischen Probleme, aber doch nicht eigentlich
ati), ist ein unabläßlicher Bestandteil der Tra- als Linguisten. Ihre intime Kenntnis der Tex-
dition, aber keine solche alte vrøtti ist uns be- te und ihre lebenslange Beschäftigung mit ih-
kannt. Der älteste Text dieser Art ist die Kāśi- ren Problemen machen sie auch dem moder-
kā Vrøtti “vrøtti aus Benares”; Jayāditya gilt als nen Interpreten wertvoll. Thieme (1980)
der Verfasser der Bücher 1⫺5, und nach sei- konnte zeigen, daß Kaiyatøas (und Bhatøtøojidı̄k-
nem Tode im Jahr 661 n. Chr. soll Vāmana søitas) Erklärung von P I 4 51 [49 karma] aka-
das Werk (Bücher 6⫺8) vollendet haben. Dis- thitam ø ca “Ein Handlungsfaktor, der unbe-
krepanzen zwischen diesen beiden Teilen richtet bleibt, heißt ebenfalls ‘Objekt’ [und er-
stützen diese Zuschreibungen, es finden sich hält dementsprechend eine Akkusativen-
aber auch solche Widersprüche innerhalb der dung]” genau das Richtige trifft. Damit er-
Teile, die dem einem oder dem anderen der klärt sich der Akkusativ von gām “Kuh” in
beiden Autoren zugeschrieben werden (Oji- gāmø dogdhi payahø “Er milcht die Kuh
hara 1961⫺1964). Trotz des bescheidenen Ti- Milch”, wo die Milch das eigentliche Ziel der
tels hat die Kāśikā ein höheres Ziel: ein Kom- Handlung ist, die Kuh deren Quelle. Der Ab-
pendium der Grammatik in Pānø inis Tradition lativ ist angezeigt, wenn diese eigentliche Rol-
zu sein, und sie hat sich als solches großer le der Kuh als Quelle ausgedrückt werden
Beliebtheit erfreut. Die anscheinende Ein- soll: gor dogdhi payahø “Er milcht die Milch
fachheit ist oft trügerisch, indem die volle Be- aus der Kuh”; wenn sie als unwesentlich un-
deutung der Erklärungen sich nur dem er- ausgedrückt bleiben soll, ist die Kuh ein se-
schließt, der die Diskussionen im Mahābhā- kundäres ‘Objekt’ und erscheint im Akkusa-
søya studiert hat. Die Kāśikā hat Candrago- tiv. Moderne Interpreten der letzten hundert
mins Grammatik und die Mahāvrøtti zum Jai- Jahre scheiterten in ihren Versuchen, der Re-
nendra-vyākaranø a benutzt, ohne sie jedoch gel P I 4 51 einen Sinn abzugewinnen, ver-
namentlich zu erwähnen (Oberlies 1995). Die suchten sogar, die Regel als Einschub zu
Kāśikā folgt dem Vulgatatext von Pānø inis athetieren.
Grammatik, der sich vermutlich vor Deva-
nandin und Candragomin herausgebildet 5.4. Auch in der Tradition der Pānø inı̄yas
hatte (Oberlies 1995: 47f.) und in dem viele wurde die Anordnung der Regeln zu einem
Änderungsvorschläge des Mahābhāsøya ak- Unterrichtsproblem. Es ist wohl kein Zufall,
zeptiert sind. Der Kommentar Nyāsa dazu (8. daß die erste Neufassung von Pānø inis Gram-
oder 9. Jh.) versucht im Gegensatz zu zeigen, matik von den Buddhisten ausging, die schon
daß Katyāyanas Änderungsvorschläge unnö- früher Schulgrammatiken mit thematischen
tig seien; im 13. Jh. faßt die Padamañjari die Arrangements verfaßt hatten (siehe 2.1.).
Kāśikāphilologie ihrer Zeit zusammen (Shar- Dharmakı̄rti, ein Buddhist aus Ceylon
ma 1985). Die Bhāsøāvrøtti (12. Jh.) ist noch (10. Jh. n. Chr.?) verfaßte den Rūpâvatāra,
einfacher als die Kāśikā und verzichtet auf der Pānø inis Regeln in einer Reihenfolge an-
die vedischen Regeln: sie waren für den bud- bietet, die dem Kātantra verpflichtet ist, oft
136 V. The Establishment of Sanskrit Linguistics

mit vollen Paradigmen illustriert. Mehrere 1962: 34f.). Der Paribhāsøêndu-śekhara ist ver-
solche Texte wurden in den folgenden Jahr- mutlich eins seiner letzten Werke (Bronk-
hunderten in Indien verfaßt, von denen die horst 1986: 173⫺176).
Siddhānta-kaumudı̄ von Bhatøtøojidı̄ksøita (frü-
hes 17. Jh.) den größten Einfluß hatte und oft
kommentiert wurde. Obwohl dieses Schul- 6. Sanskrit Grammatik an den
buch für ungezählte Studenten praktisch Pā- Fürstenhöfen
nø inis Grammatik ersetzte, war eine genaue
Interpretation seiner Regeln, z. B. Fragen der 6.1. Zwischen dem 11. und 13. Jh. wurden
Ergänzung von Worten aus vorausgehenden von Höflingen mehrere originelle Grammati-
Regeln, von der Kenntnis ihrer Reihenfolge ken verfaßt. Bhojas Sarasvatı̄-kanø tøābharanø a
in Pānø inis Original abhängig. Diese Neufas- komprimiert das gesamte Material, ein-
sungen unterscheiden sich von den freien schließlich der Anhänge, in die über 6000 Re-
Schöpfungen Devanandins und Candrogo- geln; zu Hemacandra siehe oben 3.3.; Kra-
mins dadurch, daß sie keine neuen Regeln madı̄śvaras Sam ø ksøiptasāra behandelt eben-
formulieren, sondern lediglich Pānø inis Re- falls im achten Buch die Prakritdialekte; Vo-
geln, in ihrem originalen Wortlaut, in einer padevas Mugdhabodha übertrifft an algebrai-
neuen Reihenfolge vorführen. Diese Werke scher Kürze alle Vorgänger; das Sārasvata-
belebten wieder das Studium von Pānø inis vyākaranø a war in seiner Einfachheit bei den
Werk auf Kosten der verschiedenen Neu- Fürsten beliebt. Ein ungewöhnliches Werk ist
schöpfungen der vorausgegangenen Periode Damodaras Ukti-vyakti-prakaranø a, das Sans-
(siehe 6.1.). krit durch Umsetzung aus der Umgangsspra-
che von Benares im 12. Jh. lehrt ⫺ und uns
5.5. Es gibt darüber hinaus eine Reihe von damit unbeabsichtigt einen grammatischen
thematisch bestimmten Werken, von denen Abriß der Umgangssprache seiner Zeit gibt.
das bedeutendste, Bhartrøharis Vākyapadı̄ya, Unter Akbars Regie verfaßte Krsønø adāsa
gesondert gewürdigt wird (J Art. 20). Eine eine Grammatik des Persischen als transfer
Gruppe von Texten ist dem Studium der Me- grammar auf der Basis des Sanskrit, den
taregeln gewidmet. Die Vyādø i zugeschriebene Pārası̄-prakāśa; dieser folgt thematisch dem
Paribhāsøā-vrøtti ist nach dem letzten Heraus- Sārasvata-vyākaranø a (Slaje 1992) und bringt
geber (Wujastyk 1986a, 1986b) vielleicht so- die Hofsprache in Beziehung zur heiligen
gar älter als Bhartrøhari; für das Alter könnte Sprache der Hindus. ⫺ Konversationsgram-
die geringere Zahl der 87 Metaregeln spre- matiken wie Varada-rājas Gı̄rvānø a-pada-mañ-
chen (Nur das Cāndra-vyākaranø a hat mit 83 jarı̄ (17. Jh.) lehrten das umgangssprachliche
noch weniger) verglichen mit bis zu 140 sol- Sanskrit ihrer Zeit (Deshpande 1993: 33⫺51);
Wezler 1996: 327⫺346.
cher Regeln in anderen Werken. Es stimmt
einen andererseits bedenklich, daß es keine si-
cheren alten Verweise auf diesen Text gibt. 7. Bibliographie
Die Laghu-paribhāsøā-vrøtti des Purusøottama-
deva (12. Jh.), die Brøhad-paribhāsøā-vrøtti des 7.1. Primärliteratur
Sı̄radeva (12. Jh.) und der Paribhāsøā-bhāskara Pānø ini, Asøtøādhyāyı̄ ⫽ Pānø ini’s Grammatik. Hg. von
des Haribhāskara Agnihotrin (17. Jh.) wur- Otto Böhtlingk. Leipzig, 1887. [Nachdr., Hildes-
den von Nāgojı̄bhatøtøas Paribhāsøêndu-śekhara heim: Olms, 1964.]
(18. Jh.) in den Schatten gestellt. Hierin weist Patañjali, Vyākaranø a-Mahābhāsøya ⫽ The Vyākara-
der Autor viele der vorgeschlagenen Metare- nø a-Mahābhāsøya. Hg. von F. Kielhorn. Bombay
geln zurück und erkennt nur diejenigen an, 1880⫺85. (3. Aufl., K. V. Abhyankar. Poona:
die im Mahābhāsøya gelehrt sind und entweder BORI, 1962⫺1972.)
auf ‘zwingenden Hinweisen’ Pānø inis oder all- Candragomin, Cāndravyākaranø a ⫽ Cāndravyāka-
gemeinen logischen Prinzipien beruhen. Die ranø a of Candragomin. Hg. von K. C. Chatterji.
Interpretation von Pānø inis Werk in den letz- Poona: Deccan College, 1953⫺1961.
ten zwei Jahrhunderten ist wesentlich durch Devanandin, Jainendravyākaranø a. Hg. von Śam-
Nāgojı̄bhatøtøa geprägt. Dieser selbst steht in bhunāth Tripātøhi. Benares: Bhāratı̄ya Jñānapı̄tøh,
einer langen Traditionskette: Bhatøtøojidı̄ksøita, 1956.
dessen Enkel Haridı̄ksøita (sein direkter Leh- Hemacandra, Śabdānuśāsana ⫽ Śrı̄siddhahemacan-
rer) und eine lange Reihe von Schülern, die dra Śabdānuśāsanam. Hg. von Vijayalāvanø ya Sūri.
bis in die Gegenwart reicht (Abhyankar Bombay, 1960.
19. Indian theories on phonetics 137

7.2. Sekundärliteratur Pisani, Vittore. 1957. “On the Origin of Prākrøtam


Abhyankar, K. V. 1962. The Paribhāsøenduśekhara and Pāli as Language-Designations”. Felicitation
Volume presented to Professor Sripad Krishna Bel-
of Nāgojı̄bhatøtøa edited critically. Poona: BORI.
valkar, 185⫺191. Banaras: Motilal.
Belvalkar, Shripad Krishna. 1915. An Account of
Scharfe, Hartmut. 1971. Pānø ini’s Metalanguage.
the Different Existing Systems of Sanskrit Gram-
(⫽ Memoirs of the American Philosophical Society,
mar. Poona: The Author.
89.) Philadelphia: American Philosophic Society.
Bronkhorst, Johannes. 1986. Tradition and Argu-
⫺. 1977. Grammatical Literature. Wiesbaden: Har-
ment in Classical Indian Linguistics. Dordrecht:
rassowitz.
D. Reidel.
Sharma, Peri Sarveswara. 1985. “Haradatta’s Pa-
Deshpande, Madhav. 1978. “Pānø inian Grammari- damañjarı̄: An Analysis”. Aligarh Journal of Orien-
ans on Dialectal Variation”. The Adyar Library tal Studies 2.75⫺94.
Bulletin (Brahmavidyâ) 42.61⫺114.
Slaje, Walter. 1992. “Der Pārası̄prakāśa”. Akten
⫺. 1980. Evolution of Syntactic Theory in Sanskrit des Melzer Symposiums 1991, 243⫺273. Graz: Ley-
Grammar. Ann Arbor: Karoma. kam.
⫺. 1985. Ellipsis and Syntactic Overlapping. Poo- Thieme, Paul. 1980. “Mißverstandener Pānø ini”.
na: BORI. Zeitschrift der deutschen morgenländischen Gesell-
⫺. 1993. Sanskrit & Prakrit. Delhi: Motilal. schaft Supplement V, 280⫺288.
Geiger, Wilhelm. 1923. Elementarbuch des Sans- ⫺. 1982. “Meaning and the Form of ‘Grammar’
krit. 3. Aufl. Berlin: de Gruyter. of Pānø ini”. Studien zur Indologie und Iranistik 8/9.
3⫺34.
Glinz, Hans. 1962. Die innere Form des Deutschen.
3. Aufl. Bern: Francke. Wezler, Albrecht. 1996. “Do you speak Sanskrit?”.
Ideology and Status of Sanskrit ed. by Jan E. M.
Kahrs, Eivind G. 1992. “What is a tadbhava Houben, 327⫺346. Leiden: Brill.
Word?” Indo-Iranian Journal 35.225⫺249.
Whitney, William D. 1885. The Roots, Verb-forms
Kielhorn, Franz. 1876. Kâtyâyana and Patañjali. and Primary Derivatives of the Sanskrit Language.
Bombay. Leipzig: Breitkopf & Härtel.
Kiparsky, Paul. 1982. Some Theoretical Problems ⫺. 1893. “On Recent Studies in Hindu Grammar”.
in Pānø ini’s Grammar. Poona: BORI. American Journal of Philology 14.171⫺197.
Oberlies, Thomas. 1989. Studie zum Cāndravyāka- Wujastyk, Dominik. 1986a. “An Introduction to
ranø a. Stuttgart: Steiner. the Paribhāsøāvrøtti of Vyādø i”. Oxford University Pa-
⫺. 1995. “Das zeitliche und ideengeschichtliche pers on India, vol. I, 1. Delhi: Oxford Univ. Press.
Verhältnis der Cāndra-Vrøtti zu anderen V(ai)yāka- ⫺. 1986b. Metarules of Pānø inian Grammar: The
ranø as”. Studien zur Indologie und Iranistik 20.1⫺ Vyādı̄yaparibhāsøāvrøtti. Groningen: Forsten.
55. Yudhisthir Mı̄mām ø saka. 1973. Sam ø skrøt Vyākaranø a-
Ojihara, Yutaka. 1961⫺64. “Causerie Vyākara- śāstra kā Itihās, vol. I (3. Aufl.), vol. II (2. Aufl.).
nø ique (III)”. Journal of Indian and Buddhist Studies Bahālgadø h: Ramlal Kapur Trust.
9:2 (1961) 753⫺749; 10:2 (1962) 776⫺766; 12:2
(1964) 847⫺845. Hartmut Scharfe, Los Angeles (USA)

19. Indian theories on phonetics

1. Preformal phonetic conceptions in Vedic 9. Other levels of distinctiveness


India 10. Gradual decline of the tradition of Sanskrit
2. Possible beginnings of a Sanskrit alphabet in phonetics
the Atharvaveda 11. Bibliography
3. Phonetic categories in the late Vedic
literature
4. Beginnings of a formal tradition 1. Preformal phonetic conceptions in
5. Prātiśākhyas and Śiksøās
6. The Sanskrit alphabet Vedic India
7. Articulatory processes and phonetic
distinctiveness The formal treatment of phonetics begins in
8. Levels of distinctiveness and phonological ancient India in texts called Prātiśākhyas and
rules Śiksøās. These texts, at least in the form in
138 V. The Establishment of Sanskrit Linguistics

which they have come down to us, belong to language, everything ultimately rests in the
a post-Vedic period. In the period of the Ve- divine syllable, which is in the highest heaven,
dic literature (1500⫺500 BC), the sacred or, perhaps, which is the highest heaven.
scriptures of the Hindus, there was no formal Rø gveda (1.164.24) is crucial to our under-
treatment of phonetics, and yet one must standing of the early notions of ‘linguistic
seek the origins of the formal systems of pho- units’: “With the Gāyatrı̄ foot, he [i. e., the
netics in the preformal speculations concern- Vedic seer] measures the Arka; with the Arka
ing sounds in particular, and language in the Sāman; with the Trisøtøubh foot the Vāka;
general, which are found throughout the with the two-foot and four-foot Vāka the rec-
Vedic period. Very few of the technical terms itation; with the syllable the seven voices.” It
found in the later treatises on Sanskrit pho- seems that the attention of the ancient Vedic
netics, i. e., Prātiśākhyas and Śiksøās, go back poet-thinkers was focused primarily on those
to the period represented by the R ø gveda, the linguistic units which were numerically fixed
oldest of the Vedic texts (1500⫺1000 BC). in some sense. Thus, the smallest countable
Similarly, while looking at these preformal unit is a syllable. For example, there are eight
speculations, one needs to keep in mind that syllables in a Gāyatrı̄ foot. However, these
conceptions relating to language and linguis- eight syllables may contain any number of in-
tic units are part of a larger set of religious, dividual sounds, and hence the number of
magical, and philosophical conceptions. sounds was not a countable number. Simi-
Among these very old preformal concep- larly, one should keep in mind the possibility
tions are the notions of meters, metrical feet, that syllables, or rather the accoustic peaks
words, and syllables. The R ø gveda already re- in syllables, were noticeable and countable
fers to various different meters by name, e. g. even to the preliterate folks, while the nature
Gāyatrı̄, Brøhatı̄, and Trisøtøubh. The Vedic me- of individual sounds was not yet easily dis-
ters have two prominent features, namely a cernible, and remained subject to doubts for
fixed number of metrical feet for a verse, and a long time. Meters, defined in terms of a
a fixed number of syllables in a metrical foot. fixed number of syllables in each foot, also
The ancient word for a metrical foot is pada, probably go back to a common Indo-Euro-
which also literally means a foot. Perhaps, pean period, and hence the notion of ‘sylla-
because a typical verse has four feet, and be- ble’, though not the term aksøara, is indeed
cause the language is frequently referred to very ancient.
as a holy cow in the Vedas, the word for foot
was naturally extended to a metrical foot.
The use of the word ‘foot’ for a metrical foot 2. Possible beginnings of a Sanskrit
is found in many Indo-European languages, Alphabet in the Atharvaveda
and is, therefore, probably very old. In the An important conjecture has been advanced
Vedic language, this word, pada, occasionally concerning the beginning of the tradition of
also means a word or a name. This is, in all Sanskrit phonetics by Paul Thieme
likelihood, a somewhat later extension of the (1985: 559). He renders the first verse of the
term. However, in later Sanskrit, the word Śaunakı̄ya Atharvaveda (1.1) as: “The thrice
pada comes to refer primarily to words, and seven that go around, wearing all the shapes
a new, though related, term, pāda, comes to ⫺ let the Lord of Speech put their powers
be used for metrical foot. This change seems into my body’s [parts] today.” What does the
to have come about toward the end of the expression “thrice seven” (⫽ 21) refer to?
Vedic period, and is fully reflected in the for- Thieme examines various interpretations of-
mal literature on grammar, etymology and fered by scholars and after a detailed argu-
phonetics. mentation concludes that these twenty-one
Another term of great importance, aksøara are the twenty-one sounds of Sanskrit as con-
“syllable”, is also found right from the oldest ceived by the Vedic poets. He lists these as
period of the Vedic literature. In fact, it is follows (1985: 563⫺564):
quite significant that the common Sanskrit
term for “sound”, varnø a, is not found until aiurø eo ai au 8 vowels
the very late Vedic period, while the term for yrlv 4 semi-vowels
“syllable”, aksøara, is found from the very be- kctø tp 5 occlusives
śsø sh 4 sibilants
ginning. In the R ø gveda, one finds a belief that
a syllable is the very basic unit or measure Arguing for these as the earliest isolated
of language. In terms of Vedic mysticism of sounds of Sanskrit, he reasons backward
19. Indian theories on phonetics 139

from the developed categories of the later priest; he said ‘I know that not; but will ask Jātū-
phonetic treatises, where, for example, a karnø ya, the aged teacher of those formerly.’ Him
stands for the whole class of a sounds differ- he asked, ‘If the performer himself should note a
ing in quantity, accents and nasality, and flaw passed over or another should call attention
to it, how is that flaw to be made flawless? By repe-
where a stop like k, followed by the term var- tition of the Mantra or by an oblation?’ ‘The
ga “class”, refers to the whole class of k, kh, Mantra should be recited again,’ Jātūkarnø ya said.
g, gh, and ṅ. Thieme (1985: 563) claims that Him Alı̄kayu again asked, ‘Should one recite in full
“the sacred number ‘thrice seven’ could in- the Śastra or recitation or Nigada or offering verse
deed be taken as the number of the abstract or whatever else it be?’ ‘So much as is erroneous
forms (ākrøti-), of the types, the kinds (varnø a-) only need be repeated, a verse (røcam), or half verse
of sounds of the sacred language.” These (ardharcam), or quarter verse (pādam), or word
sounds “wear all [possible] shapes” and thus (padam), or individual sound (varnø am),’ Jātūkar-
provide the rest of the sounds of the Sanskrit nø ya replied.”
language. While Thieme’s conclusions are This is an extremely important passage which
generally acceptable, with certain reserva- provides a valid pre-grammatical rationale
tions, one could perhaps argue that this ear- for recognizing the constituents of speech
liest phase reflects a state of knowledge where units. Not only do we find there a clear dis-
certain phonetic features were perhaps tinction between a pāda “metrical foot” and
understood more than others, and that the pada “word”, we also find one of the early
number twenty-one, in all likelihood, is a re- uses of the term varnø a to refer to “sound”, in
flection of this early non-analytical phase, contrast with the older term aksøara “sylla-
rather than an allusion to ‘types’ found in the ble”. Thus, there is clear conceptual and ter-
later developed tradition of Sanskrit phonet- minological progress from metrical feet to
ics. In fact, it is possible to make a reasonable words, and from syllables to individual
case that, in this earliest phase, vowels were sounds. Another interesting feature of the
distinguished from consonants, though it is above passage is the order in which the suc-
not clear whether semi-vowels were clearly cessively smaller segmentations are listed: a
differentiated from vowels. It seems that the verse (røcam), half verse (ardharcam), quarter
phonetic feature of point of articulation was verse (pādam), word (padam), individual
also implicitly understood. This explains the sound (varnø am). This would seem to imply
distinctions between a, i, u etc., or between k, the sequence of segmentation into successive-
c, tø, t, and p. Distinctions of voicing, aspira- ly smaller units.
tion etc. were probably not yet analytically While Thieme’s interpretation of the initial
understood. This may have happened at a verse of the Atharvaveda will always remain
later date. conjectural, the Śām
ø khāyana-Brāhmanø a clear-
ly shows the movement of early analysis from
syllables to individual sounds. It also shows
3. Phonetic categories in the late the emergence of the term varnø a in this sense,
Vedic literature a term which only refers to colors and social
classes in the earlier literature. As we move
As we move to the later Vedic literature, i. e., into the late Vedic period, we see further
Brāhmanø a, Āranø yaka, and Upanisøad texts, we advances into our phonetic understanding
find a gradual unfolding of conceptual cate- of Sanskrit sounds. The Aitareya-Āranø yaka
gories. A full spectrum of linguistic units is (2.2.4) says:
seen in the Śām ø khāyana-Brāhmanø a (26.5). “Thus, this [collection of] a thousand Brøhatı̄ verses
This passage is particularly significant in our comes into existence. Of that collection, the conso-
understanding of how the notion of various nants (vyañjana) are the body, the voice (ghosøa
segments may have arisen and how it may “vowels”) is its soul, and the sibilants (ūsøman) are
have formed a part of the recitational and its vital breath.”
ritual practice: In Chāndogya-Upanisøad (2.22.5), we have the
“Daivodāsi Pratardana having gone to a sacrificial following prescriptive passage:
season of the Naimisøı̄yas and having glided up “All vowels (svara) should be pronounced with res-
asked a question on this point of doubt, ‘If the onance (ghosøa) and force. All sibilants (ūsøman, lit.
priest in the Sadas should call attention to a flaw “aspiration-sounds”) should be pronounced open,
passed over or any one of the priests should note and not constricted or spitted out. All stops (spar-
it, how would you remove the flaw?’ They were śa, lit. “contact sounds”) should be pronounced as
silent; Alı̄kayu Vācaspatya was their Brahman slightly incomplete.”
140 V. The Establishment of Sanskrit Linguistics

In these two important passages, one gets a year, after creating creatures, burst. He put himself
reflection of the pre-systematic beginnings of together by means of the meters, therefore it is the
the science of phonetics iin ancient India. The samø hitā. Of that sam ø hitā, the sound nø is the
vowels are distinguished from consonants, strength, the sound sø the breath, the self. He who
knows the sam ø hitā and the sounds nø and sø, he
and among consonants, a distinction is made knows the sam ø hitā with its breath and its strength.
between stops, i. e. ‘contact’ sounds, and sibi- […] If he is in doubt whether to say it with an nø or
lants, i. e. ‘aspiration’ sounds. The notions of without an nø , let him say it with an nø . If he is in
“resonance” (ghosøa), openness in the pronun- doubt whether to say it with an sø or without an sø,
ciation of sibilants, and contact in the pro- let him say it with an sø. Hrasva Mānø dø ūkeya says:
nunciation of stops have also emerged. How- “If we repeat the verses according to the Sam ø hitā,
ever, it is important to note that these passag- and if we recite according to the teaching of the
es do not mention the conception of a semi- Mānø dūkeya, then the sounds nø and sø are obtained
vowel. Similarly, while the passage mentions for us.” Sthavira Śākalya says: “If we repeat the
verses according to the Sam ø hitā, and if we recite
the term ghosøa “resonance”, it is clearly con-
according to the teaching of the Mānø dø ūkeya, then
nected exclusively with vowels, and not with the sounds nø and sø are obtained for us.”
consonants. Hence, the distinctions between
voiced vs voiceless consonants and aspirated
stops vs unaspirated stops have not yet 4. Beginnings of a formal tradition
emerged.
The Aitareya-Āranø yaka (3.2.1) dating from Sometime around 700 BC, it seems that there
the 7/6th century BC, provides the clearest occurred a process of linguistic standardiza-
evidence for the emergence of the notion of tion of the orally received Vedic literature in
“semi-vowel” (antasthā / antahø sthā), and that north India. For instance, the R ø gveda, which
initially it was not universally accepted. This was composed in the northwestern dialect of
text quotes the opinion of a scholar named Indo-Aryan, in which all IE *l were reduced
Hrasva Mānø dø ūkeya: to r, was later preserved in a different dialec-
“ ‘Of this self the truth is like the sibilants (ūsøman), tal region of Northeastern India, where both
the bones the mutes (sparśa), the marrow the vow- r and l are found. By this time, a standard-
els (svara), and flesh and blood, the fourth part, ized Sanskrit alphabet has come into exis-
the semi-vowels (antahø sthā),’ so says Hrasva Mānø - tence and has a specific name: aksøara-samām-
dø ūkeya.” nāya. This is a very important term and it
After this passage comes a quick rejection: continues to be used in the later formal
works like Mahābhāsøya, which is Patañjali’s
“We have, however, heard that the number was “Great Commentary” on the famous San-
only three.” skrit grammar of Pānø ini. The term aksøara-
This passage provides the clearest evidence samāmnāya is important also because it
that it was the tradition of Hrasva Mānø dø ū- shows a connection with the past. The term
keya that proposed the category of semi- aksøara, which refers to syllables, has been
vowels as an addition to the three previously used here to refer to individual sounds. This
accepted categories, i. e. vowels, stops and extension of the term aksøara from “syllable”
sibilants, and it is obvious that the author of to “sound” is analogous to the extension of
the Aitareya-Āranø yaka was not about to ac- the term pada from a “metrical foot” to a
cept this new proposal. There is evidence that “word”. Thus, alongside the emerging use of
the Mānø dø ūkeya tradition of the Rø gveda came the term varnø a, extended from color and so-
from the Northeastern region of Magadha, cial group to sound, the old term aksøara is
and represents an innovative tradition, which also occasionally extended to mean an indi-
among other things admitted more retroflex- vidual sound. The word samāmnāya is used
ion into the texts of the R ø gveda, as compared to refer to a “cumulative recitation,” an oral
to other more conservative traditions. A dis- catalogue of sounds. This is an alphabet, but
cussion found in the Aitareya-Āranø yaka re- not of written letters. The ordered form of
garding some specific sounds in the recitation this catalogue, which is known to us from the
of the Rø gveda among these early scholars is later formal texts, is indeed an effort at stan-
very instructive about the level of attention dardization. This standardization was neces-
paid to phonetic details. The Aitareya-Āranø - sitated, among other things, by an increasing
yanka (3.2.6) reports: diglossic gap between the orally preserved
“Now Krøsønø ahārı̄ta proclaims this secret doctrine, ancient Vedic texts and the current form of
as it were, regarding speech to him. Prajāpati, the Sanskrit as well as the vernacular languages.
19. Indian theories on phonetics 141

As the vernaculars lost ancient accents, it the compiler of the existing version of the
became increasingly difficult to properly pre- Rø gveda, and to Hrasva Mānø dø ūkeya and Śūra-
dict accents in Sanskrit. Already in the period vı̄ra Mānø dø ūkeya, who are representatives of
of late Vedic texts, this increasing loss of the Mānø dø ūkeya tradition of the R ø gveda,
the ability to pronounce Sanskrit properly which predated Śākalya’s R ø gveda-version.
was becoming manifest. The following story Besides the R ø gvedaprātiśākhya, some of the
is quoted from the Śatapatha-Brāhmanø a important texts in this category are the Tait-
(1.6.3.8). Tvasøtør wanted to have a son who tirı̄yaprātiśākhya, the Vājasaneyiprātiśākhya,
would kill god Indra. For this purpose he re- the R ø ktantra, and the Śaunakı̄ya Caturā-
cites a mantra: svāhā ı́ndraśatrur vardhasva. dhyāyikā. The Prātiśākhyas, as indicated by
He wanted to say: “May you, the killer of the etymology of the name from prati “each”
Indra, prosper.” However, he pronounced ⫹ śākhā “branch”, are sectarian texts in that
the word ı́ndraśatru wrongly with accent on each of them relates to a particular Vedic
the first syllable, and then the expression branch and is primarily concerned with de-
came to mean: “May you, having Indra for scribing the phonetic and euphonic peculiari-
your killer, prosper.” Had the compound ties of a particular Vedic text.
been pronounced with accent on the last syl- The other class of phonetic treatises is re-
lable, it would have meant “the killer of In- ferred to by the general term Śiksøā. The word
dra”. This story is later repeated by the San- śiksøā refers to training in general, and pho-
skrit grammarians and phoneticians to show netic or recitational training in particular. It
the importance of learning grammar and appears in the Taittirı̄ya-Upanisøad (1.2)
phonetics. The Aitareya-Āranø yaka (3.1.5; which refers specifically to six types of train-
3.2.6), discussed earlier, shows debates con- ing involved in phonetic education, i. e. varnø a
cerning sandhis in Vedic texts and whether “sounds”, svara “accents”, mātrā “quantity”,
the Vedic texts should be pronounced with or bala “force”, sāma “even articulation”, and
without the retroflexes sø and nø . The process santāna “continuity in recitation”. In later
of standardization was meant to put an end times, over a hundred texts called Śiksøās were
to such doubts. The development of the tech- produced by different authorities. Most of
nical apparatus of Sanskrit phonetics seems the surviving Śiksøā texts are of a relatively
to have come about to put an effective end to late period. The most well known among
this perception of chaos. The Sanskrit gram- these Śiksøās is the Pānø inı̄ya-śiksøā attributed
marians, in fact, claim that, in the ancient by the tradition to the famous Sanskrit gram-
golden age of Vedic studies, the priests first marian Pānø ini. Other important Śiksøās in-
learned grammar, including phonetics, and clude the Vyāsa-śiksøā, the Āpiśali-śiksøā, the
then they were taught the words of the Vedic Yājñavalkya-śiksøā, and the Nārada-śiksøā. A
scriptures. However, in the later degenerate few of these Śiksøā texts, such as the Pānø inı̄ya-
times, so the grammarians claimed, the śiksøā and the Āpiśali-śiksøā, are non-sectarian
priests stopped studying grammar and pho- in the sense that they do not attach them-
netics before studying the Vedas, and this led selves to a particular Vedic school, and deal
to a deplorable state of Vedic recitation. with the Sanskrit language in a generic way.
However, most Śiksøā texts are sectarian.
They are attached to particular Vedic
5. Prātiśākhyas and Śiksøās schools, and deal with the recitation of par-
ticular Vedic texts. They often provide the
The next phase of Sanskrit phonetics is repre-
most minute details of the recitational prac-
sented in formal treatises called Prātiśākhyas
tice.
and Śiksøās. Of these, the Prātiśākhyas, as a
class, are older than the Śiksøās. In their cur-
rently available versions, most of these texts 6. The Sanskrit alphabet
contain late revisions, though it is safe to say
that the tradition represented by the Prāti- However, besides such specific details which
śākhyas is, in its essence, older than Pānø ini’s may be restricted to a particular Vedic text,
grammar (⫾500 BC). There is also a clear the Prātiśākhyas and Śiksøās share a general
linkage between the Prātiśākhya tradition description of Sanskrit sounds, the formation
and the authorities mentioned in late Vedic of a Sanskrit alphabet and details of articula-
texts such as the Aitareya-Āranø yaka. The tory descriptions and formation of sandhi
Rø gvedaprātiśākhya directly refers to Śākalya, rules. The description of articulatory features
142 V. The Establishment of Sanskrit Linguistics

Tab. 19.1.: Generalized Sanskrit alphabet found in the Prātiśākhyas and Śiksøās.

Vowels (svara)
Simple (samāna) a ā i ı̄ u ū rø rr̄ø jl
Compound (sandhyaksøara) e o ai au [or e ai o au]
Stops (sparśa)
-voice -voice ⫹voice ⫹voice ⫹voice
-asp ⫹asp -asp ⫹asp -asp
-nas -nas -nas -nas ⫹nas
Velar (kanø tøhya) k kh g kh ṅ
Palatal (tālavya) tc ch j jh ñ
Cerebral (mūrdhanya) tø tøh dø dø h nø
Dental (dantya) t th d dh n
Labial (osøtøhya) p ph b bh m
Semi-vowels (antahø sthā) y r l v [or y v r l]
Aspirations (ūsøman) ś sø s h

of sounds and the formation of an ordered k. Finally, the nasal ṅ is derived by adding
alphabet are directly related to each other. the primitive voiced nasal m ø to k. The same
The ordered alphabet of Sanskrit reflects the general logic holds true in all the five series
consideration of articulatory features of San- of stops.
skrit sounds. For a generalized Sanskrit al-
phabet found in the Prātiśākhyas and Śiksøās,
without going into details of individual dif- 7. Articulatory process and phonetic
ferences see table 19.1. distinctiveness
Other sounds included in the alphabetical
The sounds which are listed in the alphabet
listings, with differing placement, are hø (visar-
are generally called varnø as. How did the San-
ga), mø (anusvāra), hß (jihvāmūlı̄ya, guttural as-
skrit phoneticians arrive at this listing? What
piration), h̊ (upadhmānı̄ya, labial aspiration),
is it that distinguishes one varnø a from an-
and øl (duhø sprøsøtøa, retroflex l). The alphabet as
other? An answer to this question is provided
presented above is indeed based explicitly
in the following verse from the well known
upon a deep understanding of the articulato-
Pānø inı̄yaśiksøā:
ry processes and features. There are several
principles manifest in the order of the “[The varnø as are distinguished from each other] on
sounds. The sounds, in each group, such as the basis of svara “accent”, kāla “time, duration”,
the three pairs a, ā, i, ı̄, u, and ū are listed sthāna “point of articulation”, prayatna “manner”,
from the back of the oral cavity, i. e. the and anupradāna “phonation”.”
throat, to the front of the oral cavity, i. e. the If two sounds differ in any of these listed fea-
lips. The same principle is seen in the order- tures, then those two sounds represent dif-
ing of the five series of stops beginning with ferent varnø as. Thus, for instance, the sounds
k, c, tø, t, and p. Within each series, there is a a and i differ in their point of articulation
consistent logic. The Prātiśākhyas and Śiksøās (sthāna) and, therefore, are two different var-
offer various theories concerning the rela- nø as. Similarly, the sounds a and ā differ in
tionships between these sounds. For instance, duration (kāla), and, therefore, are two dif-
a theory mentioned in the R ø gvedaprātiśākhya ferent varnø as. The sounds k and kh differ in
and a Śiksøā cited in a commentary on the the speed of phonation (śı̄ghratara-anupradā-
Śaunakı̄ya Caturādhyāyikā explains the rela- na or mahāprānø a, i. e., aspiration), while the
tionship of the five stops in each series. It sounds k and g also differ in their phonation
claims that the first stop, e. g. k, is the only (anupradāna, i. e. voiceless breath vs. voic-
primitive sound. The stop kh is derived by ing). The sounds i and c differ in their man-
combining k with a guttural aspiration, i. e. hß ner (prayatna). This, in general, illustrates the
(jihvāmūlı̄ya). The stop g is derived by adding principle of distinctiveness used in the forma-
the primitive voicing (ghosøa) represented by tion of Sanskrit alphabet. One category not
the vowel a to k. The voiced aspirate gh is listed in this verse is that of karanø a or the
derived by adding the voiced aspiration h to moving organ in the oral cavity which comes
19. Indian theories on phonetics 143

into contact with or approaches different ever, for the Sanskrit grammarians, they are
points of articulation. These features are, in separate varnø as, partly because one cannot
general, as follows: interchange them in the recitation of the Ve-
das, and partly because, they complete the al-
svara “accents”, i. e. different pitch-levels
udātta “high”, anudātta “low”, svarita “rising- phabetic matrix in a way parallel to nø , n, and
falling” m. There is also an additional likely reason
kāla “vowel length”, i. e. duration for treating sounds like ṅ and ñ as separate
hrasva “short”, dı̄rgha “long”, pluta “prolated” varnø as. At least the Pānø ı̄niya-Śiksøā (verse 2,
sthāna “point of articulation”, along the oral cavity prākrøte sam
ø skrøte cāpi) says that the listing of
kanø tøha “throat”, jihvāmūla “tongue-root”, tālu sixty-three or sixty-four varnø as is made with
“hard-palate”, mūrdhan “cerebrum”, dantamūla reference to Prakrit and Sanskrit. If this is
“alveolar ridge”, danta “teeth”, osøtøha “lips”, the case, one can find contrastive minimal
nāsikā “nose”
pairs for these sounds in Prakrit languages.
karanø a “moving organ”, generally referring to dif-
ferent parts of the tongue, but sometimes to In general, however, the determination
teeth, the lower lip, and the nose. that a sound was a distinct varnø a was not
prayatna “manner”, i. e. the way the moving organ necessarily based on the notion of finding
(karanø a) relates to sthāna minimal contrastive pairs in Sanskrit, as is
sparśa “contact” versus asprøsøtøa “non-contact”, done in modern linguistics, but on the as-
and different degrees of contact sumption that if one were to replace a given
upasam ø hāra “approximation, approaching” varnø a, it may either produce another word,
vivrøta “open”, and degrees of openness such as or a totally wrong sequence in that language.
ı̄søadvivrøta “slightly open”, vivrøtatara “more
The concern was with the proper pronuncia-
open”, and vivrøtatama “most open”.
sam ø vrøta “close” tion of language, and hence the modern dis-
anupradāna phonation, quality of air passing tinction of phoneme versus allophone is quite
through the glottal aperture irrelevant to this ancient concern. For in-
śvāsa “voiceless air” with open (vivrøta) glottal stance, Patañjali says that if we mispro-
chords (kha; lit. “hole or aperture of the nounce sounds, then the word śaśa “rabbit”
throat”) might be mispronounced as søasøa, the word
nāda “resonating air” with close (sam ø vrøta) glot- palāśa “a specific tree” might be mispro-
tal chords nounced as palāsøa, and the word mañcaka
hakāra combination of śvāsa and nāda with
glottal chords partially open
“couch” might be mispronounced as mañja-
ka. None of the resulting mispronunciations
There are certain ambiguities in these tradi- are lexical items of Sanskrit. Yet, Patañjali
tional conceptions. While svara “accent” is says that such mispronunciations should be
listed as a feature distinguishing one varnø a avoided. The same point is illustrated with
from another, varieties of vowels differing in the story concerning the expression indraśat-
accents are not generally listed in the alpha- ru discussed earlier. Such problems would be
bet as different varnø as. Similarly a feature there, in the view of the Sanskrit grammari-
like nasality has a certain ambiguous status. ans and phoneticians, irrespective of whether
While the sounds d and n, which differ in na- a given sound was a phoneme or an allo-
sality, are listed as separate varnø as, the phone. This makes us aware of the fact that
sounds a and ã, which also differ in nasality, the ancient Indian notion of distinctiveness
are not listed as separate varnø as. Generally, of varnø as is quite different from the notions
different varnø as of the Sanskrit phoneticians of phonetic versus phonemic features in mod-
constitute different phonemes, i. e., we can ern descriptive terminology.
find contrastive minimal pairs such as kūpa /
sūpa / yūpa, where the change of one sound
makes a difference in meaning. However, for 8. Levels of distinctiveness and
several sounds listed as varnø as by the San- phonological rules
skrit phoneticians, it is not easy to find con-
trastive minimal pairs. Thus, for instance, the So far we have seen only one level of distinc-
varnø as ṅ and ñ cannot be demonstrated to be tiveness in Sanskrit phonetics, i. e., the notion
phonemes in Sanskrit through minimal con- that certain features distinguish varnø as from
trastive pairs. Considering the fact that these each other. However, there are several dif-
sounds generally occur in the environment of ferent levels of distinctiveness and non-dis-
velar and palatal consonants, respectively, tinctiveness in Sanskrit phonetics and gram-
they are allophones of n in Sanskrit. How- mar. To begin with, the terms -varnø a and
144 V. The Establishment of Sanskrit Linguistics

-kāra are affixed to individual sounds to pro- of duration, accents and nasality remain non-
vide a terminological difference. For instance, distinctive. In Rule 2, on the other hand, it is
the term a-varnø a refers not just to the sound necessary that the sound before hø be a short
a, but to the whole class of a sounds: a, ā, a. If the sound before hø were a long ā, this
ā3, á, ă, ă3, à, ā, ā3, ã, āã, āã3, ãá, āãá, āãá3, ãà, particular sandhi rule will not apply. Thus, in
āãà, and āãà3. Patañjali uses the term avarnø akula this particular rule, the feature of duration
“family of a-sounds” to refer to this class. becomes distinctive, in addition to the fea-
Generally speaking, this affixation of -varnø a tures of point of articulation and manner.
to a simple short vowel indicates the whole
class of vowels which share the same point of 9. Other levels of distinctiveness
articulation (sthāna) and manner (prayatna),
but which may differ in their accents, dura- At a very different level, there is another pho-
tions and nasality. With three possible ac- netic feature, i. e. the speed of delivery (vrøtti).
We are told that there are three speeds of
cents, three possible durations, and nasal/
pronouncing the mantras, i. e. fast (druta),
non-nasal distinctions, there can be eighteen
medium (madhyama), and slow (vilambita).
different kinds of a sounds included in the Of these, the fast speed is supposed to be
class represented by the term a-varnø a. In con- used when a student is reciting the mantras
trast with this a-varnø a, the term a-kāra stands for his own study. In the ritual use of the
for only those a sounds which have the same mantras, one is supposed to use the medium
duration as the sound a in the term a-kāra, speed. A teacher is supposed to use the slow
namely a, á, à, ã, ãá, and ãà, and ā-kāra stands speed to recite the mantras while teaching his
for all long ā varieties, namely ā, ă, ā, āã, āãá, students. Using an inappropriate speed at the
and āãà. Similarly, while the term ka-varga wrong occasion creates unacceptable situa-
stands for the whole class of velar stops and tions, and in this sense, the speed is a distinc-
nasal, i. e., k, kh, g, gh, and ṅ, the terms ka- tive feature at this level. However, for the
kāra, kha-kāra, ga-kāra, gha-kāra, and ṅa- purposes of euphonic and grammatical phe-
kāra stand for just the individual sounds k, nomena, the feature of speed is not distinc-
kh, g, gh, and ṅ. Thus, while the affixation of tive.
the terms -varnø a and -varga seems to focus In the work of Bhartrøhari, a grammarian-
exclusively on classes of sounds that share a philosopher of ⫾ 400 AD, there is a notion
given point of articulation and a given man- (Vākyapadı̄ya I, 77⫺79) that there are onto-
ner of articulation; the affixation of the term logically eternal true sounds (sphotøa, varnø a)
-kāra helps focus on a class of sounds which, which are manifested by the physical sounds
in addition to the point of articulation and (dhvani) of two kinds, original physical
manner, also share the same duration, voic- sounds (prākrøta-dhvani) and subsequent
ing, aspiration etc. It still leaves, for vowels, modified sounds (vaikrøta-dhvani). For our
the differences of accents and nasality out of present purpose, it may suffice to note that
the level of sphotøa “true sound”, in general,
focus. Thus, the term a-kāra refers to the
seems to reflect only the phonetic features of
class of six a sounds which have the same du-
point of articulation, manner, voicing, aspi-
ration, but which may differ in accents and ration, etc., but not duration or speed. The
nasality. primary manifesting sounds have the feature
These two levels of distinctiveness ad- of duration. The subsequent modified sounds
dressed by the affixation of -varnø a and -kāra reveal the features of speed. While Bhartrøha-
are again quite unlike the modern distinction ri’s notions about the production and mani-
of ‘phonetic’ versus ‘phonemic’. These two festation of sound may not be acceptable to-
levels are used in the formulation of sandhi day, his diagrammatic perception of various
rules in the Sanskrit phonetic and grammati- phonetic features as concentric circles mov-
cal treatises. Consider, for instance, the ing outwards in terms of diminishing distinc-
following rules: tive values offers an interesting representa-
tion of the various levels of distinctiveness.
Rule 1: avarnø a ⫹ avarnø a ⇒ ā
Rule 2: akāra⫹hø ⇒ o / —Voiced C
10. Gradual decline of the tradition of
The first rule comes to mean that any variety
of a combined with any other variety of a
Sanskrit phonetics
results in a long ā. For the purpose of this In the course of time, the independent branch
rule, the features of point of articulation and of Sanskrit phonetics essentially died out,
manner remain distinctive, while the features and survived only as a tiny part of the widely
19. Indian theories on phonetics 145

studied tradition of Pānø ini’s Sanskrit gram- Atharva-Prātiśākhya. Ed. and transl. by Surya
mar (→ Art. 17, 21). In this manner, phonetic Kanta. Lahore: Mehar Chand Lachman Das, 1939.
understanding of sounds was preserved more (Repr., Delhi: Mehar Chand Lachman Das, 1968.)
in the form of standardizing catalogues of Atharvaveda (Śaunakı̄ya), with the Padapātøha and
features, rather than as a vibrant indepen- the commentary by Sāyanø a. Ed. by Vishva Banu-
dent study of sounds. Among the different dha. 5 parts. (⫽ Vishveshvarananda Indological
Series, 13⫺17.) 1960⫺1964.
phonetic features, certain phonetic features
were better preserved and understood, than Bhartrøhari, Vākyapadı̄ya. Ed. by Wilhelm Rau.
others. The features of point of articulation Wiesbaden: Steiner, 1977.
(sthāna) and manner (prayatna) were relevant Chāndogya-Upanisøad. See: Asøtøādaśa-Upanisøadahø .
to the notion of homogeneity of sounds as Pānø inı̄ya-Śiksøā. Critical ed. of all its five recensions
defined by Pānø ini (rule 1.1.9). Similarly, the by Manmohan Ghosh. Calcutta: Univ. of Calcut-
feature of point of articulation was consid- ta, 1938.
ered to be most critical in choosing a substi- Patañjali, Mahābhāsøya. Ed. by Franz Kielhorn.
tute for a given sound. Thus, the feature of 3 vols. 1880⫺1885. (3rd revised ed. by K. V. Abhy-
manner was divided between internal and ex- ankar. Pune: Bhandarkar Oriental Research Insti-
ternal efforts, the internal being relevant for tute, 1962⫺1972.)
the notion of homogeneity. The features of R ø gveda-Prātiśākhya. Ed. by Mangal Deva Shastri.
voicing, aspiration, and accents were relegat- Vol. I. Critical text of RPR. Banaras: Vaidika
ed to the category of external efforts. The un- Svadhyaya Mandira, 1959. Vol. II. RPR with Uva-
tøa’s commentary. Allahabad: The Indian Press,
derstanding of some of these features finally
1931. Vol. III. RPR in English transl. Lahore,
reached almost a point of extinction, so much 1937.
that we often find utterly erroneous state-
Rø ktantra, a Prātiśākhya of the Sāmaveda. Ed. by
ments in some of the recent grammatical Surya Kanta. Lahore, 1939. (Repr., Delhi: Meher-
works by Sanskrit pundits. There was also a chand Lachmandas, 1971.)
general reluctance to actively look at the
Śāmø khāyana-Brāhmanø a (⫽ Kausøı̄taki-Brāhmanø a).
phonetics of the contemporary pronunciation Ed. by Gulabrao Vajeshankar. 2nd ed. Pune: Anan-
of Sanskrit, let alone that of the vernaculars. dashram.
The pundits would rather simply repeat the Śatapatha-Brāhmanø a. Ed. by Albrecht Weber. Ber-
traditional classifications which they had lin, 1849. (Repr., Chowkhamba Sanskrit Series, 96.
memorized. For example, a Sanskrit pundit Banaras, 1964.)
from Bengal would pronounce all three sibi- Śaunakı̄yā Caturādhyāyikā. Critical ed. with three
lants, i. e. ś, sø, and s, in an identical way, i. e. commentaries. Ed., transl. and annot. by Madhav
as ś. However, he would still speak of a cere- M. Deshpande. (⫽ Harvard Oriental Series, 52.)
bral ś, a palatal ś, and a dental ś. A Sanskrit Cambridge, Mass.: Harvard Univ. Press, 1997.
pundit from Bihar was just as likely to speak Śiksøāsūtrānø i (by Āpiśali, Pānø ini, and Candrago-
of a cerebral s, palatal s, and a dental s. No min). Ed. by Yudhisthir Mimamsak. Ajmer, Sam-
one realized that the pronunciation of hø (vi- vat 2024.
sarga) was no longer voiceless, and that no Taittirı̄ya-Upanisøad. See: Asøtøādaśa-Upanisøadahø .
one could distinguish between ru or ri and Taittirı̄ya-Prātiśākhya, with the commentary Tri-
what was supposed to be the vowel rø. The bhāsøyaratna. Ed. and transl. by W. D. Whitney.
understanding of accents was almost com- New Haven, 1868.
pletely lost. The loss of this phonetic tradi- Vājasaneyi-Prātiśākhya, with commentaries by
tion, in view of the relatively continued Uvatøa and Anantabhatøtøa. Madras: Univ. of Ma-
strength of the grammatical tradition, is dras, 1934.
most intriguing. Yāska, Nirukta, with the commentary of Durga.
2 vols. Pune: Ānandāśrama, 1921, 1926.

11. Bibliography 11.2. Secondary sources


Allen, W. S. 1953. Phonetics in Ancient India. Lon-
11.1. Primary sources don: Oxford Univ. Press.
Aitareya-Āranø yaka, with parts of the Śām
ø khāyana- Bare, James. 1976. Phonetics and Phonology in
Āranø yaka. Ed. and transl. by Arthur B. Keith. Pānø ini. Ann Arbor: Phonetics Library, Univ. of
London: Oxford Univ. Press, 1909. Michigan.
Asøtøadaśa-Upanisøadahø . Ed. by V. P. Limaye & R. D. Cardona, George. 1969. Studies in Indian Gram-
Wadekar. Pune: Vaidika Sam ø śodhana Manø dø ala, marians I: The Method of Description Reflected in
1958. the Śivasūtras. (Transactions of the American Philo-
146 V. The Establishment of Sanskrit Linguistics

sophical Society, New Series) Philadelphia: Ameri- of Sanskrit Linguistics.” Journal of the American
can Philosophical Society. Oriental Society 105.559⫺565.
Deshpande, Madhav M. 1975. Critical Studies in Varma, Siddheshwar. 1929. The Phonetic Observa-
Indian Grammarians I: The theory of homogeneity tions of Indian Grammarians. London, 1929. (Indi-
[Sāvarnø ya]. Ann Arbor: Center for South and
an Reprint Edition, Delhi. 1961.)
Southeast Asian Studies, The Univ. of Michigan.
Thieme, Paul. 1985. “The First Verse of the Trisøap-
tı̄yam (AV, Ś 1.1 ⬇ AV, P 1.6) and the Beginnings Madhav M. Deshpande, Ann Arbor (USA)

20. Language and thought in the Sanskrit tradition

1. Introduction based on, say, perception; cf. Matilal & Cha-


2. Buddhist Abhidharma and Sarvāstivāda krabarti 1994)? What is the relation between
3. Meditative experience as a source of relevant language and the process of thinking in gene-
data ral, or of logical thought in particular (cf.
4. Perceptive knowledge and language
5. Bhartrøhari on language and thought
Staal 1960 [1988: 59⫺79])? A basic issue rele-
6. Diṅnāga on perception and language vant to all these questions is: are thought,
7. Other reactions on Bhartrøhari thinking, understanding always connected
8. Mı̄māṁsā: Kumārila and Manø dø ana Miśra with language ⫺ not just at the level of dis-
9. Nyāya: Jayanta Bhatøtøa and Gaṅgeśa cursive thinking which seems clearly lan-
10. Analysis of ‘knowledge derived from words’ guage-related, but also at the level of vaguer
or ‘cognition based on language’ thoughts and ideas; or are there ‘cognitive
11. Further research episodes’ which are entirely ‘free from lan-
12. Bibliography guage’? It is this basic issue which was of cru-
cial importance in philosophical and linguis-
1. Introduction tic discussions in the Sanskrit tradition. It is
on this basic issue, already evoked by the cit-
According to a statement in the Upanisøads ed Upanisøadic statement, that the present ar-
“the one who knows the bliss of Brahman, ticle will focus.
from which words and mind revert without At the background of the problems of the
having reached it, does not fear anything” relation between language and thought there
(yato vāco nivartante aprāpya manasā saha 兩 is a larger problematic set of notions, namely
ānandaṁ brahmanø o vidvān na bibheti kutaś language, thought and reality. Problems con-
cana 储 Taittirı̄ya Upanisøad 2.9). Like several cerning language and thought and their rela-
other texts and passages in Vedic literature tion are always inextricably bound up with
this statement shows that an intimate relation ontological questions (‘what is real?’), apart
was accepted between language (words) and from linguistic and epistemological ones.
thought (mind). What is remarkable, how- Thus, in the statement cited above, it is pre-
ever, is that it is here at the same time recog- supposed that the ‘bliss of Brahman’ is a real-
nized that there is something beyond both ity ⫺ even a knowable reality, and even a re-
language and thought, and even that it is ality basic to the entire universe according to
possible to know this something ⫺ the ‘bliss Brahminical belief ⫺ although it cannot be
of Brahman’. The philosophical problems in- grasped in language or thinking.
volved in this statement play a role in the lin-
guistic and philosophical literature of the
Sanskrit tradition throughout its long his- 2. Buddhist Abhidharma and
tory. Sarvāstivāda: Language and
There are numerous problematic aspects thought, and the basic constituents
to the relation between thought and lan- of the universe
guage, for instance: How is language (spoken
or written) perceived and understood? How Some of the earliest traceable attempts at a
is a message or idea ‘encoded’ in language? systematic (rather than poetic or intuitive)
What truth-claims can be upheld for knowl- treatment of the problem of language and
edge based on language (vis-à-vis knowledge thought are found in Buddhist Abhidharma-
20. Language and thought in the Sanskrit tradition 147

texts, which start to be composed in ca. the were dravyasat “substantially existent”. All
2nd century BCE, some two centuries after other things (persons, chariots, huts, etc.),
the death of Gautama, the Buddha (cf. Frau- whatever their tenacity in daily discourse, are
wallner 1995). composite objects which are only prajñaptisat
The Abhidharma-texts started as lists of “nominally or conceptually existing”, and
basic doctrinal elements (dharmas) in the they persist on account of language (Williams
Buddha’s teaching, plus their explanations. 1980; Bronkhorst 1996).
Now, already at an early stage the followers
of the Buddha, the fully ‘awakened’ one, con-
sidered him to be ‘all-knowing’: cf. the Sutta 3. Meditative experience as a source
Nipāta, v. 1133: “they call him Buddha, the of relevant data
Enlightened, […] with total vision, knowing The sources of relevant data accepted in dis-
the world to its ends” (transl. Saddhatissa cussions concerning language and thought
1994: 131; on the passage cf. Vetter 1990). include, as may be expected in traditions cen-
Hence, it is not strange that the basic ele- tered around sacred texts, authoritative state-
ments in his teaching came to be looked upon ments from these texts and from their sacred
as the basic elements of reality as well (cf. authors and propounders. Together with this,
further Bronkhorst 1985). A sincere concern simple introspection and logical reasoning
with the ontological question ‘what is real?’ play roles which may vary in relative impor-
seems to have been common to Buddhist and tance with different schools of thought. In
Jaina thinkers, as well as to emerging Brah- addition, there is a source which usually
minical philosophies such as Sāṁkhya and plays no role in modern or classical Western
Vaiśesøika (Frauwallner 1995: 146). The Abhi- traditions of linguistics and philosophy of
dharma-authors answered this question with language: the meditative experiences of ascet-
the above mentioned lists of basic elements. ics, monks, holy persons etc.
These included physical elements such as Early comprehensive and well-argued dis-
earth, water, fire and air, as well as mental cussions on this source of relevant data are
elements such as faith, suffering, etc. Impor- again found with the Buddhists. Accounts of
tant discussions on the elements or dharmas the Buddha’s meditative experiences are im-
we find in the Sarvāstivāda school of Bud- portant in the earliest layers of the Pali-can-
dhism, the school according to which these on (Vetter 1988). Usually, four stages are
dharmas exist in the past, present and future. distinguished in the meditation (dhyāna) of
In addition to the physical and mental ele- the Buddha. What interests us here most is
ments, it was at an early stage felt necessary that, according to a description by Vetter
to accept a category of elements which are (1988: XXVIf.),
neither physical nor mental. This category of
cittaviprayuktas, as they are called, contained “already at the second stage of dhyāna, contempla-
elements such as birth, life, old age, and tion and reflection ⫺ one could also say every form
death; but sometimes we find here also ele- of discursive reasoning ⫺ have disappeared; one is
in a state of inner calm and oneness of heart”.
ments with a bearing on language as an in-
strument of communication: nāmakāya “set While analysis of factors leading from states
of names”, padakāya “set of phrases” and vy- with thought (savicāra) to states without (avi-
añjanakāya “set of syllables”. According to cāra) was of the highest relevance to practi-
some, among them Vasubandhu, author of tioners trying to follow the Buddha’s path,
the important work Abhidharma-Kośa-Bhā- Buddhist thinkers also plunged into the nu-
søya (4th or 5th century CE), these elements merous theoretical problems posed by the ac-
nāmakāya etc. are merely configurations of ceptance of these states. Thus, quite divergent
speech or sound, and cannot be accepted in theories were advanced to explain how
the list of basic elements in the universe. thought arises again after the subject has
Counter-arguments to the view held by Vasu- been in a state without thought for some
bandhu and a defense of the inclusion of the time. According to some, the new thought
‘signifying units’ among the basic elements arises on account of the impressions of the
were offered by Saṁghabhadra, a contempo- last thought immediately preceding the state
rary of Vasubandhu (Cox 1995: 160⫺169). without thought; according to others it arises
Whether or not these few problematic ones on account of corporeal factors; and accord-
were accepted, the basic elements or dharmas ing to still others thought is in fact not com-
were considered to be the only things that pletely extinguished if someone is in a so-
148 V. The Establishment of Sanskrit Linguistics

called ‘state without thought’ (Cox 1995: 119; chine’: the mental organ, the citta of Yoga,
cf. also Schmithausen 1987). Although these which corresponds to the buddhi “intellect”,
discussions do not focus on language, their ahaṁkāra “ego-awareness”, and manas
relevance for, and inextricable connection “mind” of classical Sāṁkhya. In other words,
with, the problem of the relation between with Descartes’ cogito ergo sum “I think,
language and thought is obvious. It is inter- therefore I am” we would still be in the
esting to note that in some further reflections sphere of materiality from a Sāṁkhya point
on his 1988 description of Buddhist medita- of view. The aim of Sāṁkhya as well as of
tion, Vetter (1991: 184f.) observed that, in or- Yoga is to isolate Purusøa or the soul from the
der to account for the element of awareness entire sphere of matter, including the mental
(“Bewußtheit”) which remains, one should organ (or intellect, ego-awareness and mind).
allow for an implicit linguistic vision (“An- One may wonder what remains for the soul if
schauung”) even in the higher meditative we subtract the intellect, ego-awareness and
states ⫺ even though the early sources do not mind. From the ancient Sāṁkhya and Yoga
mention anything of the sort and emphasize treatises it can be inferred that the soul, if it
only the absence of discursive thought. has realized its distinction from matter and
In the Brahminical Yoga and meditation the mental organ, remains a silent witness to
tradition ⫺ influenced by and intimately all material processes, including processes of
linked to the Buddhist tradition ⫺ a distinc- thinking. In accordance with this, we may in-
tion is maintained between a “state with dis- terpret Purusøa as ‘pure consciousness (with-
cursive thought” (savitarka) and a “state out thought)’, as is sometimes done. But it is
without discursive thought” (nirvitarka), and clear that we enter here a problem area which
also between a “state with musing” (savicāra) is not confined to Sāṁkhya, nor even to the
and a “state without musing” (nirvicāra). The Sanskrit tradition. We may well follow the
difference between ‘discursive thought’ and advice of Wittgenstein and remain silent
‘musing’ is that the former has gross objects about this alleged consciousness beyond
and the latter more subtle ones (Yoga-Sūtra thinking. But the challenge to make language
1.42⫺44 and Bhāsøya on these). express ⫺ or at least approach ⫺ the inex-
The theoretical framework of Brahminical pressible appears to be irresistible, in the
Yoga as we find it in Patañjali’s Yoga-Sūtra Sanskrit tradition as much as in the Western
and especially in the so-called Vyāsa-Bhāsøya tradition (cf. Katz 1978; Forman 1990).
(4th century CE?) which comments on it, In any case, both thought and speech will
may be regarded as a form of Sāṁkhya belong to the realm of ‘matter’ according to
which differs slightly from the classical Sāṁkhya and Yoga. Within matter, these two
doctrines of the Sāṁkhya-Kārikā (ca. 400 are fundamentally distinct, but nevertheless
CE?). commonly confused. Thus, Yoga-Sūtra 3.17
Sāṁkhya is one of the six Brahminical speaks of the ‘super-imposition’ of word,
philosophical systems which are orthodox in thing-meant and cognition: śabda-artha-pra-
the sense that they accept, at least nominally, tyayānām itaretara-adhyāsahø , which the
the authority of the Veda. Yoga-practitioner may overcome on his way
In its classical formulation, Sāṁkhya to the isolation of pure consciousness from
maintains a sharp distinction between (a) materiality.
Purusøa, soul or self, which is ‘pure conscious-
ness’; and (b) a universal material matrix
called Prakrøti. In the European tradition ‘du- 4. Perceptive knowledge and language
alism’ stands for a philosophical position ac-
cording to which all objects accessible to Apart from the somewhat extreme and theo-
sense-perception, including the body, belong retically highly problematic situation of a
to the sphere of matter; and all thinking, feel- meditative ‘state without thought’, there is
ing, and so on belong to the sphere of the something else that is of considerable impor-
spirit. Also Sāṁkhya is dualistic, but it ac- tance in South Asian philosophy and directly
cepted quite a different dividing line between relevant to the problem of the relation be-
spirit and matter. Matter according to Sāṁ- tween language and thought: the situation of
khya comprises not just the objects percepti- “pure perception” (pratyaksøa). All philo-
ble to the senses but also much of what a sophical systems accept pratyaksøa “percep-
European (Cartesian) dualist would consider tion” as a source of reliable knowledge; they
part of the thinking self or ‘ghost in the ma- only differ in their definition and in their ac-
20. Language and thought in the Sanskrit tradition 149

ceptance of additional sources of reliable 5. Bhartrøhari on language and


knowledge, such as inference and verbal testi- thought
mony. Some thinkers have put forward argu-
ments according to which perception includes Thus, in numerous philosophical schools (not
both the process and the knowledge originat- only Buddhist, but also Jaina and Brahmini-
ing from it; although other thinkers did not cal), problems concerning language and
agree and insisted on a sharp distinction be- thought posed themselves, but the first exten-
tween the process and the result, the two sive treatise in which language and its rela-
problem areas of perception and of knowl- tion with thought is not a side issue but a
edge and thought remained inseparably inter- major one, can be found not earlier than in
twined throughout the history of South the Vākyapadı̄ya, the mature and comprehen-
Asian philosophical discussion. And in the sive work on semantics, linguistics, and phi-
usual Sanskrit philosophical terminology, the losophy of language, of the Brahminical
term for perception, pratyaksøa, includes the grammarian-philosopher Bhartrøhari (5th
result of the process of perception, namely century CE).
the perceptual cognition or knowledge Bhartrøhari’s work can be seen as a system-
(though the latter is properly called pramiti). atic investigation of the presuppositions and
To illustrate the issue we may start with basic notions and categories of the grammar
the uncomplicated definition of perception as composed by Pānø ini (ca. 4th century BCE)
it is found in an early, largely lost Sāṁkhya and amended and annotated by later gram-
text, the Sø asøtøitantra (early centuries CE): marians, notably Patañjali (ca. 2nd century
“perception is the functioning of the faculty BCE). In his investigation, Bhartrøhari takes
of hearing, etc.” (śrotrādivrø