The Development of Romance Clitic Pronouns: From Latin to Old Romance [Reprint 2011 ed.] 9783110893069, 9783110108477

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The Development of Romance Clitic Pronouns

Empirical Approaches to Language Typology 3 Editors Georg Bossong Bernard Comrie

Mouton de Gruyter Berlin · New York · Amsterdam

The Development of Romance Clitic Pronouns From Latin to Old Romance

by Dieter Wanner

Mouton de Gruyter Berlin · New York · Amsterdam

1987

Mouton de Gruyter (formerly Mouton, The Hague) is a Division of Walter de Gruyter & Co., Berlin.

Library of Congress Cataloging in Publication Data

Wanner, Dieter, 1 9 4 3 The development of Romance clitic pronouns. (Empirical approaches to language typology : 3) Bibliography: p. Includes index. 1. Romance languages—Clitics. 2. Romance languages—Pronoun. 3. Latin language—Clitics. 4. Latin language—Pronoun. 5. Romance languages—Latin elements. 6. Latin language—Influence on Romance. I. Title. II. Series. PC141.W36 1987 440 87-21076 ISBN 0-89925-160-9 (alk. paper)

CIP-Kur^titelaufnahme der Deutseben Bibliothek

Wanner, Dieter: The development of Romance clitic pronouns : from Latin to old Romance / by Dieter Wanner. — Berlin ; New York ; Amsterdam : Mouton de Gruyter, 1987. (Empirical approaches to language typology ; 3) ISBN 3-11-010847-X NE: G T

Printed on acid free paper.

© Copyright 1987 by Walter de Gruyter & Co., Berlin. All rights reserved, including those of translation into foreign languages. No part of this book may be reproduced in any form — by photoprint, microfilm, or any other means — nor transmitted, nor translated into a machine language without written permission from Mouton de Gruyter, a Division of Walter de Gruyter & Co., Berlin. Printing: Druckerei Gerike GmbH, Berlin. — Binding: Dieter Mikolai, Berlin. Printed in Germany.

for

Brigitte

Acknowledgments

This book has profited from the efforts and insights of many. The long period of its preparation must have strained their patience; the views adopted in this study may disappoint them; in spite of all their endeavors, the volume may not succeed in tying together the many loose ends which all the (involuntary) contributors helped me to hold. At this point, I can only thank them all, named or unnamed, for their encouragement, help, advice, and patience. On the institutional side, I wish to acknowledge a Fellowship for Independent Study and Research awarded by the National Endowment for the Humanities (1983-84), which I was able to combine with a sabbatical leave from the University of Illinois at Urbana-Champaign. These two sources provided me with a year of privileged leisure to compose the manuscript in its first version. The Research Board of the Graduate College of the University of Illinois repeatedly approved funding for research assistants, released time for Humanities faculty (1985-86), and other costs, while the School of Humanities (of this same institution) and my Department of Spanish, Italian, and Portuguese supplied the computer equipment for printing the volume. I appreciate all this help for finishing the task. I am indebted for essential linguistic contributions and stimulating discussions to Thomas D. Cravens (Loyola College, Baltimore), Elizabeth I-I. Pearce (La Trobe University, Melbourne), and Habibullah Tegey (Voice of America, Washington, D.C.). Virginia K. McClanahan and Audrey M. Cermak (Department of Linguistics, University of Illinois) did a fine job in creating computer files from a difficult manuscript. I would like to thank Chin-Chuan Cheng and Atsushi Fukada (Language Learning Laboratory), as well as David A. Bantz, Pamela Patton, and Robert G. Wengert (School of Humanities), for their assistance in solving the problems conjured up by the unhappy liaison between a certain word processing program and the specific laser printer, problems which were exacerbated by my inexperience with such devices. The index is the creation of Robert M. Burger (Slavic and East European Library).

viii

Acknowledgments

It is my pleasure to give very special thanks to the five central pillars of support and consolation in this endeavor. My wife Brigitte did not only hold me company through better and worse stretches in the preparation of this study; she also read various versions of this product pleading for a reduction in its baroque complexity of thought and expression. Brigitte helped me in every way to transform this research project into a finished, perhaps even comprehensible, book. Tom Cravens worked heroically and far beyond the call of duty on the improvement of my use of English syntax. If any portions of this work can pass muster as samples of approachable linguistic discourse in acceptable English, Tom should receive the credit, together with my colleagues Bill YanPatten and James Lee. Through the interest and highly constructive criticisms of Georg Bossong (University of Munich) in his function as editor of the monograph series Empirical Approaches to Language Typology, the book acquired an enhanced interest for typological concerns and broader linguistic directions. Without the sincere encouragement of Habib Tegey in a difficult moment at the beginning of this investigation, the entire study might not have been conceived at all. With a healthy dose of impatience my parents observed the slow progress of this enterprise during the many summer months which we pleasantly spent at their home in Kilchberg. It is all the more saddening that my father died before he could see the completed volume in print. It would not be possible to list fairly, equitably, and exhaustively all the colleagues who shared with me their reactions to portions of this work on the occasion of countless meetings, f r o m the Linguistic Symposia on Romance Languages to the meetings of the Linguistic Society of America, from the International Conferences on Historical Linguistics to the Congres Internationaux de Linguistique et Philologie Romanes, and to lectures at various universities in Italy and Switzerland. Their observations, approval, and criticisms have been registered and utilized with gratitude even though not all of them may have found their way into this final version. The participants in seminars and lecture courses at the University of Illinois had their share of clitic problems exposed in many forms, and each time I profited from their discussions.

Acknowledgments

ix

Thanks are finally due to the known and unknown reviewers of many portions of this work who helped me find a path through the thicket with their eloquent or concise, positive or negative evaluations. Here is the product of this complex process which is my sole responsibility in its shortcomings, and which belongs to all in its insights and contributions. As its author, I can now only stand back, observe the book's fate, and make good on the promise of the second complementary part of this study. October 1986 D.W.

Table of contents

List of tables Introduction List of symbolizations

xxiii xxv xxix

Chapter 1: The problem 1. Setting 1.1 Romance concordance 1.2 Latin situation 1.3 Transition 1.4 Space of this study and fragility of the task 1.5 Good documentation in Romance 1.6 Synchrony = diachrony 1.7 General interest in clitics 2. The present study 2.1 Organization: Background chapters 1 to 3 2.2 Original contributions: Chapters 4 to 9 2.3 Data and theory 2.4 Theoretical stance of this study 2.5 Componential clitic analysis 2.6 Diachronic principles 2.7 Weakened theoretical claims through diachronic considerations 2.8 Synchronic weakening as a consequence 2.9 Exclusions from this study 2.10 General contributions Notes

13 15 16 17 18

Chapter 2: Clitic elements 1. Terminology 1.1 Cliticness in linguistics 1.2 Cliticness in philology 1.3 Greek origin 1.4 Romance clitic studies 1.5 Clitics in transformational grammar 1.6 Recent investigative concentrations 2. Italian special clitics 2.1 Clitic features 2.2 Specialness 2.3 Clitics are not purely morphological

23 23 24 24 25 26 27 28 28 30 31

1 1 2 3 3 4 5 6 6 6 7 9 9 11 11

xii 2.4 2.5 2.6 2.7 3. 3.1 3.2 3.3 3.4 3.5 3.6 4. 4.1 4.2 4.3 4.4 4.5 4.6 4.7 4.8 4.9 5. 5.1 5.2 5.3 5.4 5.5 5.6

Table of contents Clitics are not purely syntactic Clitics are not purely phonological Similar clitics in other Romance languages Componentiality Other clitic types Special clitics in Italian vs. simple clitics in English Simple clitics in German Verbal simple clitics Variable clitic status for special clitics Subtypes of special clitics: It. loro, Pashto Walbiri, Somali Peripheral clitic elements Articles Spanish reinforced article Prepositions Complementizers Verbal particles Preposizione articolata Serbo-Croatian negative auxiliary verbs Word character of clitics Separation from derivational morphology Towards a framework for clitics Cliticness Primary component parameters Secondary component parameters Tasks and problems General operational properties of the system Latin to Romance transition: General characterization Notes

Chapter 3: Clitics in Latin 1. Background 1.1 Latin and Romance clitics 1.2 Different Latin phases: Evolution 1.3 Origin of clitic movement 1.4 Definite article 1.5 Typology and continuity 1.6 Exclusions 2. Special enclitics of Latin 2.1 Enclitics and stress adjustments 2.2 Second position (2P) = Wackernagel's law (W)

32 32 33 34 35 35 37 38 39 41 42 43 43 46 46 47 47 48 49 50 51 52 52 53 54 55 56 57 58 67 67 68 69 70 70 70 71 71 72

Table of contents 2.3 3. 3.1 3.2 3.3 3.4 4. 4.1 4.2 4.3 4.4 5. 5.1 5.2 5.3 6. 6.1 6.2 7. 7.1 7.2 7.3 7.4 7.5 7.6 8. 8.1 8.2 8.3 8.4 8.5 8.6 8.7 9. 9.1 9.2

Enclitic alternations Pronouns as clitics Forms for I, II, and III reflexive Forms of III Other Latin clitics and clitic-like elements Prosodic summary Indo-European background Pronouns in PIE, Greek, and Sanskrit Pronoun prosody W is not a rhythmical, but a syntactic principle Second position Evolution of pronoun forms from Latin to Romance Third person forms Case syncretism Formal tendencies Demonstratives from Latin to Romance: Outline Determinative confusions Clitic pronoun vs. definite article Latin demonstratives Overlapping Three-step to two-step system Formal restrictions and insufficiencies Numerical considerations Discussion of frequency tables Summary Article development in Late Latin Origin and setting of article Article in IE Article use and regularity Gelenkspartikel Greek influence Article linearization ille vs. ipse Demonstratives developing into clitics Romance = Latin; lack of bridging documentation Special clitics as a stable endpoint of evolution Notes

xiii 73 74 74 75 76 78 79 79 81 82 83 85 85 86 87 88 88 90 91 91 91 92 95 96 101 101 101 103 105 106 107 107 109 110 110 112 112

xiv

Table of contents

Chapter 4: The new analysis 1. The previous analysis of proto-Romance pronouns: Ramsden 1963 123 1.1 Ramsden's central role 123 1.2 The thirteen categories of Ramsden 1963 124 1.3 Late Latin evolution according to Ramsden 1963 126 1.4 Ramsden's theory of cliticization 127 1.5 Critique of cliticization theory 129 1.6 Needed improvements 130 2. The logic of the new analysis 131 2.1 General hypothesis; Latin to Romance transition 131 2.2 Quantification and non-categorical status 132 2.3 Forms 133 2.4 Prosodic downgrading 133 2.5 ille as a proto-clitic 134 3. Syntactic classification of the data 135 3.1 Placement classes 135 3.2 Left context 136 3.3 Special arrangements for non-finite verbs 137 3.4 Classificatory grid 139 4. Text selection 139 4.1 Criteria for text inclusion 139 4.2 Text classes 141 4.3 Characterization of text classes CL, TN, VG, CX, BX, and HL 142 4.4 Text class supersedes chronology 147 Notes 148 Chapter 5: Clitic placement and linearization 1. Old Romance norms 1.1 Old Romance unity 1.2 Clitic placement 1.3 Clitic linearization: TM classes I-V for enclisis 1.4 Clitic linearization: TM class VI far proclisis 1.5 No ideal solution 1.6 Idealized categorical structure 2. Latin conditions 2.1 Context options grid 2.2 Clause delimitation 2.3 Definition of 'second position'

155 155 155 156 160 162 163 165 165 166 168

Table of contents 2.4 2.5 2.6 2.7 3. 3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 3.12 3.13 3.14 3.15 4. 4.1 4.2 4.3 4.4 5. 5.1 5.2 5.3 6. 6.1 6.2 6.3 7. 7.1 7.2 7.3

Syntactic conception of 2P String analysis illustrations for 2P String definition of VB and 2ND hypotheses Sample sentences for string analysis Data analysis Data description Text class behavior for VB and 2ND Text class behavior for PRO Text class behavior for separation General characteristics Categorial context formulae for Latin and Romance Scaling procedures Single parameter approximations Discussion of 2ND Discussion of VB Discussion of PRO Combined contextual parameters Best proto-Romance approximations Importance of Greek influence Internal Latin origin of proto-Romance features Style level considerations Chronology and text group connections Special character of Biblical language Biblical pronoun syntax as a Hebraism Augustinus: Internal style level changes Origin of enclisis after et (TM class II) Data from supplementary investigation Proclisis after cj, rel, and et Latin prefiguration of TM II The function of neutral placement cases Correlations between the main parameters VB, 2ND, and PRO Transition from 2ND to VB through neutral placement Passive approximation of verb to pronoun Transition from Latin pronoun placement to Old Romance norms. A synthesis Pronoun weakening, verb juxtaposition, and cliticization Typological explanations Intersection of 2ND and VB

χν 170 171 174 176 177 177 178 178 182 183 184 187 191 191 196 200 205 207 209 211 213 213 218 221 222 226 226 227 229 231 231 233 235 236 236 237 240

xvi 7.4 7.5 7.6 7.7 7.8

Table of

contents

YB extensions over 2ND Early proto-Romance approximations Submerged linguistic features Gradual surface change vs. abstract discontinuities Emergence of Romance attestations Notes

241 243 244 245 246 247

Chapter 6: Nonfinite host verbs 1. Differences between finite and nonfinite host verbs 1.1 Narrow scope for nonfinite analysis 1.2 Romance nonfinite form use: Auxiliated constructions 1.3 Romance absolute constructions 1.4 Old Italian advanced linearization 1.5 Old Spanish linearization conditions 1.6 Auxiliated nonfinite forms in Latin 1.7 Latin absolute constructions 1.8 Continuity from Latin to Romance 2. Data discussion 2.1 Description of data appendices 2.2 VB, 2ND, and PRO parameters for participial forms 2.3 VB, 2ND, and PRO parameters for infinitival host verb forms 3. Imperatives as host verbs 3.1 Old Italian imperative-plus-clitic structures 3.2 Evolutionary constants Notes

275 276 276 278 279

Chapter 7: Clitic movement 1. Clitic movement in modern Romance 1.1 Description of clitic movement in Italian 1.2 Structural approaches 1.3 Semantic approach 1.4 Essential properties of CM 2. Clitic movement in Old Romance 2.1 Preponderance of +CM in Old Italian 2.2 Old Italian CM predicates 2.3 Extension to Old Romance 2.4 Structural limits of CM 2.5 Old Romance norm

283 283 284 286 288 290 290 293 296 298 299

263 263 264 265 266 267 270 271 272 273 273 273

Table of contents 2.6 2.7 3. 3.1 3.2 3.3 3.4 3.5 3.6 3.7 4. 4.1 4.2 4.3 4.4 4.5 4.6 4.7 5. 5.1 5.2 5.3 5.4 5.5 5.6 5.7 5.8 5.9 5.10 6. 6.1 6.2 6.3 6.4 6.5 6.6 6.7 6.8 6.9 7. 7.1

CM f r o m Old to modern Romance Late Latin prefiguration of CM: A hypothesis Latin infinitival constructions CM is not defined in Latin Latin infinitive types a.c.i. constructions n.c.i. and passive of a.c.i. a.c.i. and pure infinitives Omission of subject accusative in a.c.i. An attempt at integrating Latin infinitives Analytical categories General organization Pronoun classes String types Derivation types and rules Clause level distinction Proto-Romance CM classification Rule application and typical strings Analysis of new data Organization of structural tables String analysis: S level sequence Frequency tables Direct transition hypothesis: ob.inf behavior Latin CM prefiguration: Pronoun functions Latin CM prefiguration: Derivation types VG as proto-Romance Restructuring function Split Latin - Romance InvCM pronoun functions and prefiguration Interpretation of Late Latin CM prefiguration Contiguity / I c/: Accidental extraposition result Implications: Pronoun class differences Contiguity / c 1/: Clause dissolution through restructuring Implications of dissolution hypothesis Effective Late Latin prefiguration of CM V j class composition for major classes su.aci- = su.aci+ Two pronouns in a string: Same function Two pronouns in a string: Unlike functions Transition of Latin into Romance CM patterns The group / 1 c / , / c 1/ specific to a.c.i.

xvii 299 300 301 301 302 304 305 308 308 309 312 312 313 314 315 317 319 320 322 322 325 326 327 330 332 333 334 335 335 337 337 338 340 343 345 346 348 350 351 353 353

xviii

Table of

contents

7.2 7.3 7.4 7.5

a.c.i. survivals in Romance The group / I 2/ characteristic of Romance CM depends on TM placement/linearization Necessary lack of transition documentation Notes

Chapter 8: Verb position 1. Received opinions on Latin verb position 1.1 Verb position as a determinant of clitic placement 1.2 Typological problems with Latin word order 1.3 Descriptions of Latin verb position 1.4 Verb shifts in Late Latin 1.5 Initial and medial verb position 1.6 Functional constituent order 1.7 Text class differences 1.8 Summary of typological analyses 1.9 The new analysis 2. Old Romance verb position 2.1 Initial verb 2.2 Verb in second position 3. Parameters of the new investigation 3.1 Three verb positions: Final, initial, medial 3.2 The corpus 3.3 Latin/Romance intersection of verb and clitic place 3.4 Tabulation of frequencies 3.5 Scaling algorithms 3.6 Summary tabulation 4. Data analysis 4.1 Dominant string types: U derivations 4.2 Dominant string types: +/+ configurations 4.3 General trends of Late Latin verb and clitic placement 4.4 Approximations to Romance 4.5 Internal structure of U, F, and D string clauses 4.6 D derivations as a functional constant component 4.7 F derivations increase heavily in more spontaneous registers 4.8 U derivations as consistent main stay 4.9 Importance of U+/+: Short clauses

355 357 358 359 360

377 377 378 380 381 381 384 387 388 392 393 393 394 397 397 399 400 403 404 405 406 406 407 408 411 412 414 417 420 420

Table of contents 4.10 4.11 4.12

Three factors of proto-Romance verb and clitic place evolution Reconstructed transition from SOV to SVO typology Concluding summary on verb placement Notes

xix

423 425 428 430

Chapter 9: Implications 1. Proto-clitics in Late Latin 1.1 The proto-clitic hypothesis 1.2 Late Latin level differences 1.3 Transition to Romance 1.4 Greek catalytic influence 2. Derivation path from Latin to Romance 2.1 Restatement of chapter conclusions 2.2 Active vs. adaptive changes 2.3 Chronological considerations 2.4 Derivation of TM conditions 2.5 Other clitic aspects 2.6 Continuity vs. innovation 3. Conception of clitic space 3.1 Componential clitic description 3.2 Multiple subcomponents for clitic syntax 3.3 Demarcation to non-clitics 3.4 Clitic syntax as extended normal syntax 3.5 Clitic development 3.6 Clitic attachment: Prosody vs. syntax 4. Wider consequences for linguistic conceptualization 4.1 Regularity 4.2 Quantification 4.3 Relativization of grammatical status 4.4 Considerations for another diachronic framework 4.5 Clitic development in a new light 4.6 Final remarks Notes

488 492 494 495

Appendices 1 Italian object and adverbial clitic forms 1-a Elision and gliding 1-b Other phonetic adjustments 1-c Special restrictions

503 503 504 505

441 441 443 445 447 449 449 451 454 456 459 460 462 462 463 468 471 471 473 479 479 482 485

xx 1--d 1--e 2 2--a 2--b 2--c 2--d 3 4 4--a 4--b 4--c 4--d 4--e 4--f 5 5-•a 5--b 6 6--a 6--b 6--c 7 7--a 7--b 7--c 8 9

Table of contents Linearization with imperatives Clitic movement Text lists for (Late) Latin corpus Text list according to class/identification number Alphabetical list of abbreviatory symbols for text identification Main list of text sources Selected bibliographical materials for individual texts Frequency count for placement/linearization corpus Conformity with hypotheses VB, 2ND, PRO for finite verbs Percentage of conformity with VB in given context Percentage of conformity with 2ND in given context Percentage of conformity with PRO in given context Summary of scaled class averages X Summary of realized class average scalings Summary of scaling marks for VB, 2ND, and PRO per text Data tables for et effect (context 2: [ s — ) Base data tabulation for secondary investigation of context 2 = [ c Percentages for subclasses of context 2 = [ c - concerning PRO and separation Conformity to VB, 2ND, PRO for participles Selected texts from corpus in App. 3 Additional PR texts Summary of class averages (participles vs. finite verbs) Conformity to VB, 2ND, PRO for infinitives Selected texts from corpus in App. 3 Placement and linearization parameters VB, 2ND, and PRO for objects of infinitives Summary of class averages (infinitives vs. finite verbs) Data for clitic movement Clitic movement corpus rearranged by pronoun function

507 507 509 509 510 512 516 519 544 544 546 547 548 549 550 551 551 554 555 555 557 558 559 559 560 561 562 579

Table of contents 10 11 12 12-a 12-b 12-c

Percentages of CM derivation types by pronoun function Predicates V j admitting CM Verb position typology: Frequencies and percentages Percentage figures for verb position per text class Table vi: Summary per text class (scaling marks and variation span) Summary per text class (percentage of realized scaling marks

Bibliography Index of linguistic terms Index of names

xxi 584 589 600 601 606 607 609 641 657

List of tables T3--i T4--i T4--ii T5-•i T5-•ii T5--iii T5--iv T5--V T5--vi T5-•vii T5--viii T5--ix T5--X T5--xi T5--xii T5--xiii T5-•xiv T7--i T7--ii T7--iii T7-•iv T7-•V T8-•i T8-•ii T8-•iii T8-•iv T8-•V T8-•vi T8-•vii T8-•viii T9-•i T9-•ii

Frequencies of Latin demonstratives Sample data grid: VG-4 Peregrinatio ad I oca sancta Approximately chronological list of texts Placement hypotheses Sample clauses for string analysis Chronological plotting of A, B, C curves Text class averages for VB, 2ND, and free placement Text class averages for proclisis Text class averages for separation VB scale gradient (chronological) 2ND scale gradient (chronological) PRO scale gradient (chronological) List of VB:2ND:PRO combinations Relatively best proto-Romance samples Approximation χ chronology for placement hypotheses Comparison of three BX and three CX texts Comparison of selections by Augustinus CM occurrences in three 13th century texts Clitic movement string types Inverse clitic movement string types Summary table of CM class averages by pronoun function Summary table of CM class averages by text class Example clauses for verb position classification String forms for simple clause domain [ s ] Percentages of realized scaling marks +RomVb and +RomCl percentage values for individual texts Percentage distribution for strings D Percentage distribution for strings F Percentage distribution for strings U Component distribution for strings in U derivations Clitic parameter specifications Clitic domain in parameter settings of T9-i

97 138 140-1 174 175 179 180 180 181 188-9 190 192-3 206 208 214 220 224 291 323 324 328 329 402 403 407 410 416 419 421 422 463 465

Introduction The existence of evident clitic phenomena and elements in many languages has attracted the attention of several generations of linguists and philologists. Their aims have been divergent. They may have collected the striking data since clitic elements demonstrate deviant behavior in terms of a normal syntax, even at the surface level: Morphologically, clitics are characterized by extreme concision; functionally, they suffer considerable restrictions like no other part of speech. Alternatively, the goal may have been an attempt to explain clitic elements in their behavior, nature, domain, and dispersion. Finally, a more ambitious plan may envisage the formulation of an appropriate component of linguistic theory to accommodate clitic phenomena systematically in their widest frame. Through these efforts, much knowledge has accumulated about these pivotal elements of sentence structure, from a wide range of observational and analytical angles. While certain properties turn out to be vital for the recognition and description of clitics, no good common ground has been found on which a secure descriptive, typological, or even explanatory edifice could be erected. The observations remain largely isolated and fragmentary — differing from language to language, from phenomenon to phenomenon — and frequently they are contradictory or at best inconclusive. It is telling that in the last fifteen years, 1 a period in which clitics have enjoyed an intense renewed interest, especially within transformational grammar, very few book length studies have been devoted to this question in a broader context, except for various valuable contributions in the form of monographic doctoral theses. 2 On the other hand, shorter contributions such as conference papers and regular journal articles abound. The task of collecting and sorting the accumulated knowledge to arrive at a well documented overview providing deeper insights into clitic phenomena can be undertaken at this point with good prospects for the incorporation of such knowledge in a coherent linguistic tradition. In the narrower discipline of Romance linguistics, the clitic elements — represented prototypically by unstressed object pronouns — have a history of intense data analysis and heated debate about their evolution. The exemplary

xxvi

Introduction

path from Latin, characterized by the absence of such object clitics, to the medieval and modern Romance languages, all possessing fully developed, yet not necessarily identical, object clitic systems, can be followed in principle through the existing critical literature, with not too many areas left uncharted. But again, an overview of the state of the art collating the dispersed knowledge could prove to be an essential step forward in understanding some of the unresolved issues. It is the double aim of the present study to provide these overviews for theoretical and Romance purposes, to combine the two currents, and to establish a framework for clitic description valid at least for Romance, and pointing beyond to the goal of a universal conceptualization of clitic elements. The complete study will comprise two volumes, each organized around concrete descriptive problems. In this first volume, the origin of Romance object clitics will be investigated in the light of what is known about clitic elements in general. The second volume will concentrate on the history of Romance proper from the earliest attestations to the modern Romance languages and dialects, including a synchronic description of the modern clitic systems of each language. On the basis of the ensuing insights, a network of essential notions for clitic description, typology, and explanation will be formulated as the crucial contribution of this study to Romance and general linguistics. In order to overcome the compartmentalization which presently blocks further progress in this field, historical and comparative aspects must be emphasized. Even though this effort is set up in the specific area of cliticness, its conclusions will show that the only defensible approach to this phenomenon is through a comprehensive linguistic embedding of its properties, in a contextualization which in the end dissolves the very notion of a unified clitic domain in linguistic theory. The data, newly collected as well as taken from previous literature, will show with clarity how wide the manifest domain of clitic elements and their behavior must be staked out in order to be comprehensive even for a rather homogeneous and typologically narrow language family such as the Romance dialects. The facts of Romance suggest that independently required principles of symbolic encoding and pragmatic expressivity are the real parameters

Introduction

xxvii

of concern for a natural conception of so-called elements in diachrony as well as in synchrony.

clitic

Notes 1.

As exceptions or near exceptions to this statement one may recall large portions of Kayne 1975 for French, and Lo Cascio 1970 for Italian.

2.

Cf. Strozer 1976, Rivas 1977 for Spanish; Tegey 1977 for Pashto; more limited in scope, but centrally dealing with clitics are Jaeggli 1980,1982, Zubizarreta 1982, and Borer 1984. An important place belongs to Klavans 1982 (= 1980 as a Ph.D. thesis, condensed in Klavans 1985) for the attempt at systematizing a wide range of clitic phenomena across languages and language types, leading to a competing (and in part converging) account of clitics. The pattern of AUX studies (e.g. Steele 1978, Steele et al. 1981) remains closer to a research report than a definitive study, though these add considerable insights to the question. Kaisse 1985 addresses the many phonological problems of special clitics in a wider perspective of the phonology-syntax interface. Kok 1985 concentrates on the general diachronic picture of the transition from Old French to the modern language.

List of symbolizations

1.

Alphabetical list

xxix

2.

General use

xxxii

2.1

Text internal reference

xxxii

2.2

Source text designations

xxxii

2.3

Linguistic elements and structures

xxxii

2.4

Other symbolizations

3.

Specific symbolizations

xxxiv

3.1

Ch. 2, 9: Parameters

xxxiv

3.2

Ch. 3: Latin configurations

xxxiv

3.3

Ch. 4 to 6: Placement and linearization

xxxiv

3.4

Ch. 7: Clitic movement

3.5

Ch. 8: Verb position

1.

Alphabetical

list

A

proclitic string cl V

abl

ablative

acc

accusative

a.c. i.

accusativus cum inifinitivo

App.

appendix

Asp

aspectual verb

aux

auxiliary (verb)

AUX

auxiliary constituent

Β

enclitic string V cl (Ch. 4,5)

Β

basic a.c.i. arrangement (Ch. 7)

BX

Biblical text group

C

separation string cl Χ V

C

conjunction (Ch. 4,5)

c

clitic (Ch. 7)

Caus

causative verb

cj CL

Classical Latin text group

cl

clitic

conjunction

CM

clitic movement

comp

complementizer

ctxt

context

CX

Christian Latin text group

D

definalized verb arrangement

dat

dative

d.c. i

dativus cum infinitivo

xxxiii

xxxv xxxvi

xxx

List of

symbolizations

DO

direct object

Ε

extraposed a.c.i. string

Enc

enclisis

ESR

enclitic stress rule

F

fronted verb arrangement

f

feminine

fin

finite verb

Foe

focus

FR

free clitic placement

gen

genitive

ger

gerund

Gm

German

HL

historical and legal text group

IE

Indo-European

inf

infinitive

10

indirect object

InvCM

inverse clitic movement

Lat loc

Latin locative

LS

long sentence

LSR

Latin stress rule

m

masculine

MLEX

morpholexical clitic parameter

Hod

modal verb

Ν

neutral placement case

η

neuter

n.c.i.

nominativus cum infinitive

neg

negative element

nf

nonfinite verb

Nit

Northern Italian

nom

nominative

0 ob.aci

object

ob1=su2

object pronoun controlling a subject of a.c.i.

ob1.aci

object of main clause verb governing an a.c.i.

obj

object

object pronoun in a.c.i.

obi

oblique

OCS

Old Church Slavonic

OFr

Old French

Olt

Old Italian

ORom

Old Romance

OSp

Old Spanish

Oth

remnant class of clitic movement verbs

List of symbolizations pass Perc PHON PIE pi ppt PR PRO •PRO1 PROS prpl R R R(x) RB RE refl REGL rel Rh RomCl RomVb Rp S S S sg Sit su.aci Subj subj SYNT Τ Th TM TN Top Tp U V VB V(cm) VG

passive perception verb phonological clitic parameter Proto-Indo-European plural (past) participle proto-Romance text group proclitic linearization hypothesis unspecified human subject prosodic clitic parameter present participle Ramsden context class (Ch. 4-6) restructured string arrangement (Ch. 7) rule(x) basic and restructured string extraposed and restructured string reflexive regularity (clitic) parameter relative element rheme compatibility with Romance clitic position compatibility wtih Romance verb position rheme proper sentence (in formulae) subject (Ch. 8) strong scaling mark (in tables; Ch. 5) singular Southern Italian subject pronoun of a.c.i. subject embedding verb subject syntactic clitic parameter table (with chapter and order number) theme Tobler-Mussafia law technical Latin text group topic theme proper underlying verb final arrangement verb verb based clitic placement hypothesis verb admitting clitic movement Vulgar Latin text group

xxxi

xxxii U W,X,Y,Z w 2ND 2P

List of

symbolizations

Wackernagel 's law string variables (in formulae) weak scaling mark (in tables) second position clitic placement hypothesis second position

2. General use 2.1 (34) 3.5 5:3.5 App.4-b T5-iii (5:)n17 2.2 CL TN VG CX HL BX PR VG

etc.

VG~ etc. CL-3a

Text internal reference reference to numbered example within same chapter reference within same chapter, to section 3, (numbered) paragraph 5 reference (across chapters) to Chapter 5, section 3, para graph 5 reference to Appendix 4, subdivision (b) reference to Table/graph iii in Ch. 5 reference to Chapter Five, footnote 17 Source texts (cf. text list/identification in App. 2) Classical Latin as group; e.g., CL-3: individual text, Cie. Att.; etc. Technical Latin as group; e.g., TN-2 Varro, De agr., etc. Vulgar Latin as group; e.g., VG-4 Mulo. Chir., etc. Christian (non-Biblical) Latin as group; e.g., CX-18 Wandreg., etc. Historical and legal Latin as group; e.g., HL-2 Greg. Tur., etc. Biblical and para-Biblical Latin as group; e.g., BX-3 Vulg., Samu., etc. optimal proto-Romance approximations as group subgroup of best proto-Romance approximations (texts belonging to text classes VG, CX, HL, or BX) complements of VG + , etc. Cie., Att., selection parallel, but different from CL-3, used for the secondary investigation on et (cf. 5:5)

2.3 Linguistic elements N(oun), V(erb), A(djective), adv(erb) negative particle) relative particle or pronoun) ref Kexive pronoun) inf(initive) füj(ite verb) n(on-)f(inite verb)

List

of symbolizations

xxxiii

ger(und) auxiliary verb) AUX(iliary constituent) f(eminine), m(asculine), n(euter), §a = singular, £jl.(ural) nom(inative), gen(itive). dat(ive). acc(usative), abl(ative) U>c(ative), obUigue) I/I I/I 11 or 1st/2nd/5rd ps (person) pass(ive) comp(lementizer) subi(ect) (also S in typological formulae of Ch. 8) obi(ect) (also 0 in typological formulae of Ch. 8) cl, (c)

clitic (c used only in string formulae of Ch. 7)

cj, (c)

conjunction, complementizer, weak adverb (c used only in Ch. 4 to 6 for context formulae 2, 3 of string types A,B,C, e.g. A2 = [ g c cl V

ppl

past participle/participle

prpl

present participle

DO

direct object

10

indirect object

•PRO1

unspecified human subject

[ ]

delimitation of relevant constituent characterization at variable level

[s, C

initial bracket of relevant clause level (may be used alone)

ς], ]

final bracket of relevant clause level (may be used alone)

2.4

Other symbolizations

., w, S

absent, weak, strong scaling mark in a given measurement dimension (according to local numerical definition)

=, +

absent, weak, strong scaling mark in numerical tables

ave.

average

0

unstressed vowel/syllable

xxx

in examples: relevant element (usually clitic)

-II, +1

century indication in tables (2nd century BC, first century AD)

IE

Indoeuropean

PIE

Proto-Indoeuropean

Lat

Latin

ORom

Old Romance

Olt

Old Italian

Nit

Northern Italian

Sit

Southern Italian

xxxiv

3.

List

Specific

of

symbolizations

symbolizations

according

to

chapters

3.1

Ch. 2 and 9: Parameters

PROS

prosody parameter for clitic definition

SYNT

syntactic dimension for clitic definition

SYNT-const

constituent level parameter

SYNT-funct

functionality parameter

SYNT-place

placement parameter

SYNT-1 in

linearization parameter

PHON

phonology parameter for clitic definition

MLEX

lexical and morphological parameter for clitic defini-

MLEX-infl

parameter of inflectional marking

MLEX-pair

parameter of lexical pairing

REGL

regularity dimension

3.2

Ch. 3: Latin configurations

a.c.i.

accusativus cum infinitive

n.c.i.

nominativus cum infinitive

d.c.i.

dativus cum infinitivo

2P

second position (in clause), according to Wackernagel 's

U

Wackernagel 's law

tion

law LSR

Latin stress rule

ESR

Latin enclitic stress rule

3.3

Ch. 4 to 6: Placement and linearization

A = cl V

clitic Ieft-contiguous with verb (proclitic)

Β = V cl

clitic right contiguous with verb (enclitic)

C = cl Χ V

left clitic separated from verb

C = V X cl

right clitic separated from verb

A/B/C 1-6

left context type A, B, C with finer distinctions (1-5 for A, B, 1-6 for C) preceding V with associated clitic (e.g. A3, B4, C6)

ctxt

context (only used in tables)

cl-V

clitic attachment to a host element (unspecified)

cl+V

clitic attachment to a host element (syntactic only)

cl&V

clitic attachment to a host element (phonological only)

clav

clitic attachment on phonological and syntactic levels

TM

Tobler-Mussafia law (cases I-VI)

jointly R

Ramsden's linearization determination for Old Romance (cases I-XIII)

VB

verb based clitic placement

List of symbolizations 2ND

second position based clitic placement

Ν

neutral clitic placement (both VB and 2ND compatible)

VB*

exclusive VB cases

2ND*

exclusive 2ND cases

FR

free clitic placement (neither VB nor 2ND)

PRO

proclisis as a linearization hypothesis

3.4

Ch. 7; Clitic movement

CM

clitic movement

InvCM

inverse clitic movement

+/±/-CM

compatible/ambiguous/incompatible with CM (InvCM) in

+/±/-InvCM

Romance terms

xxxv

&CM, &InvCM comprising compatible and ambiguous cases of CM, InvCM (i.e. +CM and ±CM, +InvCM and U n v C M ) Β Ε

basic Latin string arrangement of XYV type extraposed Latin arrangement (subordinate clause to right of main verb)

R

restructured Latin arrangement (main and subordinate clause interwoven)

RB

restructured Latin string of Β type

RE

restructured Latin string of Ε type

RS

restructured Latin string fully dissolving the clause level distinction all combined with +/±/~ valuation of Romance CM/InvCM dimension: RS» = RS string with full Romance CM compatibility

R(extrap)

extraposition rule producing Ε string

R(restruct) restructuring rule producing R string R(enclit)

encliticization rule

su.aci-

subject pronoun of a.c.i. construction where V^ does not

su.aci+

subject pronoun of a.c.i. construction where V^ admits

admit an object of its own object of its own ob.aci-

object pronoun in a.c.i. construction where V^ does not

ob.aci+

object pronoun in a.c.i. construction where V^ admits

ob1=su2

object of V.j controls subject of Vg

admit an object of its own object of its own obl.aci

object of V^ on which depends an a.c.i. construction

V(cm)

verb admitting CM (clitic movement), specifically: Mod(al). Asß(ectual), Subi(ect embedding), Caus(ative), Perc(eption), Oth(er) verb classification

V 1 f V2» Vj

verb of highest/embedded/doubly embedded clause

xxxvi

List

1, 2, (3) xv

x

3

3.5 U F D LS SOV, SVO, VSO Th and Tp Rh and Rp Top Foe -/•RomCl -/•RomVb

of

symbolizations

same as V^ etc. in context of CM analysis and schematic string representation embedding level indices in general Ch. 8; Verb position underlying verb position (clause final) fronted verb position (clause initial) definalized verb position (second from last position) long sentence (containing more than V, cl., plus one constituent in simple clause) string and language typology (also expressed with neutral string constituency XYV, XVY, VXY for near-to-surface characterizations) theme and theme proper rheme and rheme proper topic focus in/compatible with clitic placement according to Old Romance norm in/compatible with verb placement according to Old Romance norm

CHAPTER 1 THE PROBLEM

1. Setting 1.1 Romance concordance The linguistic difference between clitic phenomena from Imperial Latin to the early medieval Romance languages is considerable, particularly in view of the fact that the two linguistic stages represent two points of a historical continuum. The difference between the Old Romance situation and the modern derivations — taking into consideration the single languages or the entirety of their domain — is comparatively minor. Old and modern Romance languages have at least some clitic object pronouns exhibiting a number of specialized properties compared to related structures (nominal object constituents or 'strong/accented' object pronouns). Consider three modern standard versions in (1) to (4). (1)

I t . La s t o r i o g r a f i a s i ricordera di questo f a t t o . Sp. La h i s t o r i o g r a f f a se acordarä de este acontecimiento. Fr. L'Historiographie se souviendra de cet evenement.

(2)

I t . Portategli qualcosa da bere! Sp. jTräiganle algo que tomar! Fr. Donnez-lui que Ique chose ä boire!

(3)

I t . Non tj. sei stufato ancora di s c r i v e r ] ^ ogni giorno? Sp. cNo te cansaste aCin de e s c r i b i H e cada dia? Fr. Ne vous etes-vous pas encore lasse de lui ecrire tous les jours?

(4)

I t . Lo lasceranno perdere. Sp. Lo dejarän caer. Fr. l i s J^ laisseront tomber.

The forms (e.g. It. si, gli, ti, le, lo) are special in themselves and do not regularly correspond to referentially identical 'strong' pronominal expressions (which would be se, a lui, te, a lei, lui respectively). A clitic pronoun is always placed next to a verb (exx. 1-3), linearized with it either by preposing the clitic, i.e. proclisis in (1), (3), or

2

Chapter 1: The problem

by postposing the pronoun, i.e. enclisis in (2). Occasionally, the clitic is moved away from its verb to another one (4). Furthermore, clitics cannot receive contrastive or emphatic stress (5); and they will always form a phonetic unit with the contiguous verb, as the oral rendition of any of the example sentences will reveal without fail. (Capitalization represents contrastive emphatic stress.) (5)

It. *Va a seccarLO con questa storia, e lasciaMI, in pace! Sp. *jVete a molestarLO con este asunto y ctejaME en paz! Fr. *Va LE embeter avec cette histoire et laisse-MCM en paix!

This contrasts with English where exactly the same procedure of prosodic prominence yields a natural result: (6)

a.

Go bother HIM with this story and leave ME alone!

b.

Leave me alone!

(unstressed counterpart)

Modern Romance clitics depend for their description on factors such as — placement: In connection with what element/constituent in the sentence does the clitic occur? — linearization: Does the clitic precede or follow this placement anchor (or host)? — placement deviation or clitic movement: When is the clitic found with an unexpected placement result? — form: Does the clitic have an appropriate specialized and concise shape? Exactly the same factors also describe the earlier known stages of the Romance languages, even though the content of a specific regulation may be changed in secondary aspects, e.g. the exact linearization conditions. The clitics of Old Romance have the same functions as those of modern Romance, guaranteeing thus a crucial continuity in their evolution from the 9th century to the 20th. 1.2 Latin situation Latin does not yet exhibit this same type of clitics, even though it has others which do not find their counterpart in Romance. Formally, there is etymological continuity, but it may frequently concern a Latin full or 'strong' form (e.g. me, illam) which changes eventually into a clitic (It. mi, la), but not visibly before the advent of Romance docu-

1. Setting

3

mentation. While the questions of placement, linearization, movement, form, and prosody are meaningful for the Latin enclitics illustrated in (7), they are not commensurate with the situation pertaining to the etyma of the established Romance clitics (cf. Ch. 3:2). (7) a. eorum autem castrorum imperatorem ducemque hostium intra moenia atque adeo in senatu videmus ... molientem

(Cie. Cat. 1, 5)

b. Meministine me ante diem XII Kalendas Novembres dicere in senatu ... ?

(Cie. Cat. 1, 7)

1.3 Transition In view of the generally recognized continuity between some registers or sociolects of Latin and the Romance languages, in particular with regard to the specific Latin and Romance form pairs standing in morphophonological rapport (e.g. ME ~ me\ ILLAM ~ la), the question of how and when these elements acquired their various clitic properties of form and syntactic behavior is of major interest. Since the evolution falls into the period between Classical Latin (-100 to +100) and Early Romance (800 to 1200), the investigative situation is not very propitious in terms of obtainable documentation. The nascent Romance traits of the intervening period did not find expression in the Late Latin texts other than by some kind of error, inadvertence, or stylistic infelicity. Such negative comparisons are naturally always referred to a chimeric model of Classical Latin propagated by the omnipresent normative school tradition. 1.4 Space of this study and fragility of the task Can such far reaching syntactic deviations from the official Classical norm as are the new Romance clitic properties be identified, directly or indirectly, in the texts available for such an investigation? From the existing literature on the subject, most recently and forcefully in Ramsden 1963, there appears to be a visible strain of evolution composed of probabilistic observations afforded by such rare texts as, among others, the Peregrinatio ad loca sancta, the letters of a soldier in the Egyptian garrisons (Claudius Terentianus), and the Bible translations. On the other hand, the knowledge derived from the study of such texts still leaves much to be desired in terms of philological precision, documen-

4

Chapter 1: The problem

tary extension, and linguistic relevance, a situation due to the sheer complexity of the issue. First, it is imperative to accommodate the multiple stylistic layering of Latin written expression, in particular in the Late Latin period, whence the so-called Vulgar Latin problem. Second, one must reckon with a complex data situation, since the applicable analytical categories for Latin do not fit nicely onto Romance, and vice versa. Third, with regard to proto-clitic phenomena, there is a lack of direct testimony of what the spontaneous linguistic usage of any period may have been. Fourth, theoretical difficulties in the conceptualization of clitics are endemic beyond a certain point of intuitive, prescientific understanding. Finally, the investigation is plagued by an apparent absence of uniformity in the direction of evolution and in the categorial validity of a given observation. The non-availability of phonetic/prosodic information on past linguistic stages is a banal complaint, but in an evolution such as that of the clitic component it becomes doubly problematical: One of the first dimensions of change refers to the prosodic domain, the loss of autonomous stress on the proto-clitic element. Prosody being that one aspect which no Latinate writing system represents beyond a rudimentary form (e.g. stress in Spanish), there is an integral component of clitic history which cannot be substantiated at all. 1.5 Good documentation in Romance Yet the Latin to Old Romance period remains the best documented (perhaps even the only controlled) phase during which wholesale creation of special clitic elements of the type sketched above in (1) to (5) took place. To know anything about the origin and the detailed evolution of clitics, further attempts should be made to extract the genetic story from the camouflaged field of written Latin usage. The goal is reconstruction of a trajectory leading from the typical non-clitic full form, e.g. ILLAM, to the typical special clitic form (la) through various intermediate stages, tracing the formal and above all the syntactic adaptation of such elements to their new functions. This challenge is the motivation for the following chapters. Thereby, the historical span covered by the Romance clitic evolution known so far doubles its extension and adds as a

1. Setting

5

major aspect to the controlled facts of clitic development the passage from absence of (certain) clitics (in Latin) to presence of a full clitic system (in Old Romance). From the beginnings of this study, this earlier phase of the 'life cycle' of clitic evolution, in combination with the better known change from one clitic system to the next one (Old Romance to Modern Romance), promised right away to add considerably to the understanding of clitic nature and behavior. The potential rewards therefore far outweighed the considerable risks of irrelevance of the hypothesis or of the total opacity of the material; and the results which can be presented here after the fact, seem to justify the course upon which this investigation embarked more or less blindly. 1.6 Synchrony = diachrony The twofold approach to clitics through synchrony and diachrony concurrently not only has the practical value of feasibility in Romance, but it is chosen in the belief that language is not an atemporal, idealized formalization of an expressive code. Rather it is a historically developed conglomerate of different components and operations. It is possible to reject the dichotomy of synchrony vs. diachrony as false, if one realizes that what exists as a synchronic grammar component (such as special clitic pronouns) must be understandable as a diachronic phenomenon in essentially the same overall categories of analysis. Thus, diachronic changes are another manifestation of human linguistic capacities, their structured limitations, and the use made of them. Such studies of historical evolution complement synchronic investigations in an important way. Where synchronic antivariational analyses fail to resolve analytical ambiguities, a truly diachronic study may be in a better position for providing insight into the choice of a more adequate solution. Similar considerations advocate also the comparative approach to difficult problems, especially in an organically grown context such as the Romance languages. In view of the general interest in linguistic theory concerning clitic phenomena, the additional advantages of a multifaceted approach must weigh even more heavily in the interest of reliable data bases for future interpretation and theoretizations (Lightfoot 1979:124,141-154).

6

Chapter 1: The

problem

1.7 General interest in clitics C l i t i c e l e m e n t s are d e f i n a b l e in various dimensions simultaneously: Prosodic, phonological, morpholexical, and syntactic properties possess a very rich scale o f manifest features in varying combinations. In their phenotypical spread, clitic elements have been recognized as prime exponents o f some otherwise n o n - a p p a r e n t structural arrangements (e.g. constituent formation in clitic movement, in causative and perception verb structures; clause boundary in dislocation processes; phonological rule domain inside the special clitic plus host bond) or as typological indices, e.g. for subject position requirements (the so-called pro-drop parameter o f Government and Binding approaches). For all such more general efforts, a better factual basis from which to supply the essential data is an unconditional requirement. The combined thrust o f this study concerns a bundle o f three investigative axes: the history o f the emerging Romance languages during the heavily masked Late Latin period; the composition o f a longitudinal study on a limited, but significant topic; and a contribution to a theoretical account o f clitic phenomena, highlighting some general problems in linguistic change.

2. The present study

2.1 Organization:

Background

chapters 1 to 3

The concrete steps o f this investigation embrace both the review o f existing literature and the presentation o f new data and analyses. A f t e r the initial exposition o f the problem in Ch. 1, Chapter 2 will attempt a synthetic survey o f clitic studies in general, based on a focused discussion o f some central Italian data, expanding on the sketchy notions mentioned in the beginning paragraphs o f this chapter. T h e discussion there will be limited to a presentation o f observable facts and basic issues, without taking positions beyond those imposed by the expository requirements. No attempt will be made to exhaust the presentation o f the innumerable contexts in which clitics provide catalytic reactions f o r linguistic argumentations. Only truly clitic-centered topics will be included in this preliminary synthesis. The subsequent chapters will provide the materials on which reasoned choices in the controversial

2. The present study

7

questions of clitic nature and behavior can be based (in the final chapter of this volume). Preliminary consideration of clitic phenomena is meant to provide the instruments for a useful description of the Late Latin phenomena so that these will become interpretable in the end in linguistically meaningful terms. Chapter 3 presents the state of the art with regard to traditionally accumulated knowledge on Latin and Late Latin clitics. This composite presentation reveals a rich quarry of observations, many of which may enter here for the first time into the wider context of systematic clitic considerations. A frequent deficiency of Romance as well as Latinistic studies is to pass in discreet silence over the accumulated contributions of the 'other side', i.e. the other discipline or linguistic framework, producing a predictable loss of vision. The Latinistic survey presented in Ch. 3 should help to overcome the subsisting problems of Latin documentation through its combined Latin and Romance perspective. Rather than criticizing a very fruitful study belatedly, the ensuing review of one central work, Ramsden's 1963 book on Weak pronoun position in the early Romance languages, has the productive intention of focusing the open questions based on that model. 2.2 Original contributions: Chapters 4 to 9 The original contributions of this research will center on the syntactic dimensions of placement, linearization, and clitic movement; as a corollary and underlying unifying dimension, the position of the verb in the sentence with pronominal elements will be studied anew. The materials used for this portion come from selected passages of forty-eight representative texts from Classical to Late Latinity, chosen within the highly complex multi-layered textual situation. As one essential result, these data will show the inapplicability of a straight chronological frame for a pertinent understanding of the clitic phenomena in question. Instead, analysis reveals a surprising continuity in the micro-behavior of (Late) Latin pronouns, concerning the verb and their syntactic arrangement, with slow gradual shifts, or drift-like effects, producing over centuries the conditions characteristic of Romance. Latin and Romance represent thus only externally fixed positions on a multidimensional continuum of clitic evolution. The tendency is for a pronoun to stand to the left of its verb

8

Chapter 1: The problem

in a SOV language such as Latin, to be close to the beginning of the clause under the effects of a trend towards Second Position (=2P), excluding however initial placement (Wackernagel's law). The verb itself tends to be found further leftward than the end of the clause in spontaneous speech due to at least two distinct emphasis marking dislocations (verb to the beginning of the clause, and focused constituent to the clause end). Together with the equally natural trend towards shorter clauses in spoken language, the simple atomic parameters mentioned here have the effect of deforming selected Late Latin texts away from the Classical norms of a less expressive text situation. These same forces are sufficient to produce the major typological shift to SVO, visible since the beginning of Romance tradition, in comparison with the Latin SOV ancestral form. The presentation of the data collection, of the accompanying auxiliary hypotheses, heuristic choices, cautions and limitations, the discussion of the statistical tables and the gradual enucleation of the linguistic significance of these figures and conditions will occupy the central and major portion of this volume. Chapter organization is straightforward: Chapter 4 discusses the categories of the new analysis according to which the data will be organized; Ch. 5 analyzes the questions relating to placement and linearization of clitics with regard to a single finite verb, while Ch. 6 addresses the same questions for non-finite verb forms as host. In Ch. 7 the vexing question of clitic movement (or rather of clitic placement in the context of two pertinent verbal hosts) finds extensive discussion. Chapter 8 changes the perspective to the determination of verb position in the sentence, thereby exhausting the inherent content of the data collection. The critical conclusions and the concentrated contributions of this study find their expression in Ch. 9, where the new insights, the previously known facts, and linguistic considerations of broader scope come together for a synthetic treatment. The arguments will seek to establish the formation of clitics, and the formation of just those clitics found in Romance, as the consequence of normal forces operating within the language in such a way as to lead to a categorical switch in the new code of Old Romance, due to the crucial circumstance of an external code switch.

2. The present study

9

2.3 Data and theory Theory and data, collection and analysis or explanation are not independent phases of successful research; the two components codetermine each other to a certain extent. The entire problem of cliticness is only meaningful in the context of a general view of language which, in principle, can recognize the relevant phenomena for describing and characterizing clitics insightfully and separating them from non-clitics. The complexity of clitic behavior is uninterpretable per se; it acquires epistemological function only in conjunction with a considerably abstract framework revolving around a systematization of categories, processes, and/or other properties. These notions are abstracted from the concrete data at hand since e.g. the categories must be understood as generalized containment classes, accommodating phenomenologically rather distinct elements. In the process of projecting the abstracted classes back on reality, the notorious overestimation and underprediction of the real data range lead to adjustment of the theory by means of auxiliary constructs which are logically incapable of receiving independent evidence. They are theory-conditioned components which render the theoretical approach abstract. Between the non-empirical level of theoretical constructs and the uninterpreted realm of the observed data, the multifaceted character of clitics points to a necessary reform of common linguistic views on categorization, requiring the adoption of non-Aristotelian prototype categorization with its far-reaching consequences (cf. Brooks 1978, Rosch 1978, Coleman and Kay 1981, G. Lakoff 1982). This approach is well suited to save the investigative effort from the two misdirected extremes and to mediate between the polar options. Prototype categorization provides the basis for a necessary psychological anchoring of the linguistic description of clitics, the basis for their meaningful analysis. 2.4 Theoretical stance of this study The theoretical views which provide for the reconstruction of clitic systems promised here are compatible with the broad label of (late, evolved) transformational grammar. Taken together, the basic tenets about the relevance of the psychological reality of linguistic notions, expressed in the heavy weight attributed to the validating functions of the

10

Chapter 1: The problem

ideal native speaker, and the mathematically inspired, system-analytical concepts of rules, organizational levels, and inventories, permit the complex and variable/varying surface phenomena to be investigated (in principle) as the result of a multilayered interaction of a limited number of (more) atomic, linguistically prime, principles. Psychological anchoring and the envisaged systems coherence mark some of the linguistic criteria to be employed here. Compared to the regular instantiations of these tenets, the scope of the present stance is considerably wider, including pragmatic, sociological, and expressive concerns as a function of accurate description within the finer grid of the linguistic categories. At the same time, the specific mix of linguistic views and traits employed here is clearly less committed to the frequently categorical choices in formalized grammar. The resulting picture shares many aspects with the linguistic approach found e.g. in Givon 1984 (especially ch. 1 and 2), Lakoff 1982, or Coseriu 1974, Brettschneider and Lehmann 1982, and Seiler 1979, 1982. The central addition consists in the recognition of relevance for the more generally cognitive dimensions enveloping the core of formally characterizable grammar. This will be achieved by developing some tentative dimensions (primary procedures in the sense of the UNITYP framework) which will emerge from the complex manifestations of Romance clitics. To take sides from the very outset — e.g. for one or the other narrowly defined neo-transformational subtheory in current competition, be it Relational, Revised Extended Standard, Government and Binding, Generalized Phrase Structure grammar, or other varieties; for a specific typological approach (Greenbergian, UNITYP, or other), or for a given functionalist perspective to the exclusion of other viewpoints (Praguian, spatial grammar, etc.) — could only mean to restrict the field of factual vision inordinately, given the essential interdependence of theory and perceptible facts. Rather, most of these partially incompatible approaches provide alternative, and therefore complementary and enlightening, insights for specific questions if used conjunctively. 1 That such an eclectic approach will lack at crucial points of the investigation the explanatory potential of a formalized theoretical fragment may appear as a serious drawback only in a puristic sense. At the present state of the investigation of clitics, and of our understand-

2. The present study

11

ing of linguistic phenomena, the advantages of presenting a relatively colorless theoretical backdrop for the language specific clitic study far outweigh the lack of what appear to be premature formalizations. 2.5 Componential clitic analysis On a positive note, the insights to be gained from the Italian and Romance clitic systems will definitely be subject to careful scrutiny for their inherent and evidenceable regularities and generalizations. The picture emerging f r o m the completed study is that of a componentially defined field of clitic phenomena where cliticness as such is not an unanalyzed label, but where it represents a shorthand notation for a shifting composition of features with diverse surface manifestations grouped around a core of essential properties, i.e. the clitic parameters (as they will be defined).2 The clitic space so constituted is thus characterized by formal or cognitive, semantic or psychological, and functional or communicative dimensions which are tempered by the pragmatic and/or sociological setting of actual language use, a constellation for which there is no fully developed linguistic framework available. Such a theoretical amalgam, buttressed by relevant psycholinguistic insights, may, however, consolidate on the strength of appropriate data elaborations, consequently leading to proper formulations of general import (cf. a brief characterization of such an attempt below in Ch. 9:4.4). 2.6 Diachronic principles In addition to the exclusively synchrony oriented linguistic theoretizations of transformational grammar, the preponder preponderantly diachronic interest of this study requires a substantive upgrading of relevant assumptions. 3 Instead of the questionable construct of idealized competence characterizing the native speaker, the systematic and accidental dimensions of linguistic behavior involve a much wider array of language related operations and functions. An appropriate framework for this area of language research is the UNITYP approach (Seiler 1982, C. Lehmann 1984:1942) representing language as an operational task constrained by simple scalar parameters of functional nature. Linguistic symbolization and communication is a finely tuned compromise between expressive demands and symbolic transmission

12

Chapter 1: The problem

capacity. 4 The inscribed area of potential linguistic activity and systematization is thereby constrained in a properly universalistic net of coordinates which allows also for meaningful typological comparison of languages (hence the UNIversal + TYPological name of this approach). Within a context such as UNITYP, the notions useful for linguistic description on the level of the native speaker are necessarily embedded in the real life dimension of linguistic usage and (continual, extended) native language acquisition which are the basis of any historical evolution. From speaker to speaker, language is transmitted as a conglomerate of meaningful behavior and comments about situations without effective, or even necessary, formal instruction as to its proper handling. 5 This constellation makes language competence by the new acquisitors dependent on the actual language use of their community environment, introducing thus a first dimension of normalcy and non-rigid rule dependency. The sources of inspiration for the diachronic stance of this study are the programmatic formulations of Coseriu 1974 and Lass 1980a (cf. ch. 4, 5, in particular pp. 130-142), for which the psycholinguistic considerations of Gleitman and Wanner 1982a, Bates and MacWhinney 1982, and Hörmann 1983 provide an eventual foundation. Historical growth of the resulting surface manifestations implies the possible and natural presence of variably important irregularity. The need for such an extension of perspective will become evident from the kind of data under investigation here, opposing formal linguistic regularity to organic continuity. Language use by any speaker is not free from conscious interference at different levels of systematicity: Formal schooling in the worst case, simple conformism with regard to the dictates of the speech community in the best, work at cross purposes with the ideal speaker/hearer abstraction postulated by all transformational variants. The potentially powerful parameter of standardization (cf. some relevant discussion in Coseriu 1961:11-113 and Wanner 1980) must be observed as one prime determining force of linguistic evolution, capable of creating or obliterating differences against the logic of evolution or internal linguistic organization. Standardization varies in its effects. It may be a carefully conceived selection in the case of multiple parallel expressions (one content equals one form) by

2. The present study

13

barring or redefining the remaining newly vacuous expressions; or it may on the other hand interfere artificially, i.e. in the manner of an extra-linguistic principle, in the normal functioning of some subcomponent, by destroying a previously organic behavior pattern and creating a heterogeneous arrangement of dubious systematic interpretability. Anywhere between these extremes lies the majority of examples of active standardizing influence. Historical description must thus remain alert to the danger of non-evolutive, non-natural turns in the line of successive stages underlying the longitudinal reconstruction of a diachronic shift, e.g. Latin to Romance cliticness. 6 There will be very clearly discernible instances of such interventions by the speech community in the course of clitic evolution (e.g. in 17th century French leading to the proscription of clitic movement according to Galet 1971). Every effort is made, however, not to use this concept as an escape from untidy data situations. But beyond the inherently preferable solution in categorical terms, standardization as a creator of data confusion (on the observational level as well as in deeper analysis, for the native speaker as well as for the linguist) must be kept in mind. 2.7 Weakened theoretical claims through diachronic considerations In a second way, this study will considerably weaken the theoretical dimensions by recognizing from the very beginning the pragmatic/system-inherent variation in the observed data. Any categorical rule behavior must be seen as a minor option open in a given linguistic situation. An incomplete pattern, with major or minor deviations from perfection, can be expected much more readily. While claims derivable from such analyses are weakened (postulating a rule with a certain variability built into its operational program), it becomes possible on the other hand to use historical data in a meaningful way. Instead of the unattainable native speaker and his/her competence to judge a sentence with regard to its acceptability, the closest approximation is necessarily the observed range of behavior of the various features hypothesized as determining the grammaticality of the construction under scrutiny. 7 This means in the first place a description in terms of relative frequency counts of competing expressions. Strategically

14

Chapter

1: The

problem

chosen f r e q u e n c y distributions can guide the way to recognizing the truly grammatical (but rare) variant from the marginally grammatical (and also rare) alternant. Variability, may however, be the product of different levels of non-unique behavior. It may be a stylistic function, an individually adjusted constant within a certain group of speakers, or a discrepancy between dialects or closely spaced periods. In any of these dimensions the actual natural behavior of the native speaker could have been categorical; but on the level of passive text observation, to which the historical linguist is restricted most of the time, the only visible e f f e c t is non-categorical distribution. Instead of a constant c o n t e x t / c o n t e n t pairing with one expression χ = 100% of all instances, we find typically a situation with variable expressions f o r a given context/ content pairing by a series of χ = n%, y = m% ..., w = q% so that η + m + ... + q = 100%. Narrowing down the f a c tors which produce this 'untidy' distribution is a prime task of historical research, but frequently also an impossible one in light of available materials. The degree of numerical approximation to categorical distribution must thus be taken as an essential guidepost for guessing at the grammaticality of a given feature. Such use of frequency counts is far f r o m being a statistical approach to grammaticality. In the first place, no mathematical frequency tools of any degree of sophistication are being used in the interpretation of the figures of this study. 8 Second, the numerical results are not useful in themselves; they require interpretation based on aspects of the linguistic context described by the numerical distribution. Third, no great weight will be attributed to numerical results which do not show a massive discrepancy between competing options; otherwise, variation is accepted as a natural option in language. Such massive effects can only be achieved if the factors responsible for the variation are rather well chosen and grouped in the data display. The practical guide for recognizing these 'massive' effects and distinguishing them f r o m insignificant variations has turned out to be the method of scaling the numbers with regard to a high-pass or low-pass filter producing a derived binary grouping of rather secure handling during interpretation. The realistic effect is that such a study will not be able to produce embarrassing over-interpretations of vague data;

2. The present study

15

rather it will tend to sin in the opposite direction of modest under-interpretation, a less pernicious error than the first option. The positive motivation for the low and high pass filters is their capacity to produce perceptually relevant steps of 'important' vs. 'negligible' data categories. In the actual linguistic setting of the infant learning situation, the model character of numerically accentuated string types must be seen as standing at the base of the crucial evaluative judgments (prototypes), producing through analogical learning extensions the eventual grammatical abstractions. In the process, the abductive changes so typical of the generational transition of language are primarily the expression of overextended, analogical associations early on in the learning process. 9 As such, they also provide evidence for relevant linguistic organization into procedures and functions in hierarchical interaction. These must be seen as the true foundations of the reconstructive efforts of this study on clitic evolution, language activity, and thus language change in general. 2.8 Synchronic weakening as a consequence Frequency figures are used as the basis f o r intuitively guided and factually supported judgments of significance in a way which requires that the focused phenomenon show a clear discrepancy vis-ä-vis the expected zero hypothesis. In an essential manner, the same procedure must be applied to synchronic data in addition to the native speaker's introspective insight into the acceptability of a given utterance. A crude yes/no decision may only be adequate in a given micro-situation (style, register, place, dialect, speaker, etc.) 10 but not as an overall statement of unique validity. This becomes especially clear in dealing with a number of speakers (or with a given speaker in different situations). Their judgments do not produce unanimity except f o r major features of grammatical exclusion or inclusion. The same multiplicity is present in the usually conglomerate nature of the corpus analyzed for a diachronic problem. By deriving from the doubly controlled synchronic situation (native speaker and frequency distribution) the available insights and transposing them to the singly controlled historical configurations (frequency distribution only), a valid linguistic description can be obtained even for the less clear diachronic problems.

16

Chapter 1: The problem

Nonuniqueness of linguistic representations with regard to abstract and concrete levels, psychological anchorage of linguistic operations and functions in the individual, external interference in socially acceptable linguistic usage, variability instead of categoricalness of linguistic behavior, these are four essential tenets of the otherwise rather open and underdetermined theoretical framework in which this study will be conducted. Further general implications deriving from the results of this study will be given ex post facto in the concluding chapter (cf. Ch. 9:4). 2.9 Exclusions from this study The investigation will not broach a number of questions which would be included under different conditions. In its concentration on the Latin origin of the pronominal object clitics up to the beginning of Romance documentation, this study is limited to those evolutions which are shared by the various daughter languages and which manifest themselves in full by the beginning of the historical Romance period. This frame excludes without discussion the not universally Romance phenomena of adverbial clitics ibi, inde and compounds thereof. While present in early French, Italian, and Catalan on a regular basis, they are not fully developed in Spanish, Portuguese, and Sardinian, and subsequently disappear from some of these languages. 11 Furthermore, they are rather difficult as proto-clitic formations when a hypothetical hic/ecce ibi, ecce hie must be assumed for the desired Italian ci, and similar complications of non-attested combinations which by themselves seem to lift these long forms out of the potential Late Latin clitic domain. More importantly, the formation of subject clitics does not belong in this framework since their emergence can be studied profitably in the accessible Romance documentation. No major Romance language developed systematic subject clitics before its documentary tradition set in. Neither Old French nor the Northern Italian dialects with modern requirements for obligatory subject clitics offer an advanced protosystem in their medieval forms. 12 While the subject clitics will be taken into full consideration in the comparative Old to Modern Romance Part Two, the topic is simply excluded here. In a sense to be developed throughout the monograph, cliticization could be applied to a wide range of phenomena

2. The present study

17

beyond the present concentration on special pronominal clitics. It is a question in part of documentary difficulty for the early chronological stage of the data investigated here, in part of sheer excess volume of material and problems, as to why this f r u i t f u l broader approach has not been adopted more than sporadically in the past. The most notable exception to this exclusion will be the attention paid to the development of the definite article. In its etymological and formal identity to the third person non-reflexive accusative clitic pronouns, the ensuing parallelism of the two forms, or lack thereof, provides interesting insights into what cliticness is and how it can operate. Mainly due to an inherent difference in the construction of causative and perception verbs, i.e. the obligatory presence of the embedded subject clitic in raised position, one large chunk of structures is treated only obliquely, in the question of the origin of clitic movement. These predicates are not homogeneous with normal Romance clitic movement situations. Since they represent also a rather excessive addition in terms of work load, their special problems will only be touched upon where profitable for the understanding of the 'normal' embedded object clitic cases, i.e. in the Latin to Old Romance portion of the study. 2.10 General contributions These general exclusions represent documentary, chronological, or practical problems which would only burden the already very heavy load to be carried by the present study of the origin of clitic elements in Romance. The contribution of the maximally coherent, though narrow, subfield of object pronominal cliticizations will be more useful in its limitations than in a diffuse catch-all attitude. The closely controlled experiment will have exemplary function; its tightly knit structure of conditioning factors will produce a step forward in the understanding of cliticization and its historical precedents. On the other hand, it is evident that regardless of the precision in accuracy and variety of data, analyses and clitic system types documented for Romance, the result will not reach universal proportions. As a contribution to the typological question of clitics, the study will only provide

18

Chapter 1: The problem

carefully controlled fragments of possible clitic manifestations. The proposed enveloping parameters for prosody (PROS), morpho-lexical aspects (MLEX), syntax (SYNT), and phonology (PHON) may prove to be sufficient for universal purposes, but this must remain an open question. Due to the flexible nature of the dimensions and the richness of the Romance materials and attested types, these parameters can be assumed to express relevant insights about the integral range of cliticness. In particular, however, they will undergo some adjustments in later stages of research (e.g. under a UNITYP label) due to a broader understanding of the scalar arrangement and integration of observables. Other investigations will need to address other language families. They will then lead to the collation of the various detailed studies into an integrative product such as the one for the relative clause by C. Lehmann (1984). This volume is intended to begin the task at its base.

Notes 1.

In the specific case of the clitics, some of the basic issues dividing the narrower subtheories are crucially formulated with the help of clitic grammar.

2.

Steele 1978, 1981 and Klavans 1982, 1985 present alternative systematizations of clitic views based on different data and/or inclusions into class membership of clitic phenomena.

3.

A notable exception to the diachronic shallowness of transformational theoretizations is Lightfoot 1979 where an interesting attempt is made at maintaining both rigor of a formal grammar framework (the need for a highly restrictive linguistic theory) and realism of historical accounting, i.e., admission of considerably non-optimal grammars up to the level χ of opacity only, beyond which the Transparency Principle (121-125) intervenes to trigger generational reanalysis and grammar optimization.

4.

While it is not the aim of this study to adhere to the UNITYP framework, it is of interest to reference these

Notes

19

research efforts somewhat more broadly; cf. also Seiler 1979, Seiler and Stachnowski (eds.) 1982, and Seiler and Lehmann (eds.) 1982, in addition to the prepublication forum of akup (Arbeiten des Kölner Universalienprojekts). One of the chief accomplishments of UNITYP is its success in providing an alternative for the otherwise heavy object fixation of grammar (cf. Hörmann 1976, Knobloch 1984). In UNITYP, linguistic conceptualization is task oriented, relating to the energeia aspect of language in Humboldt's sense (1836). The basic observable elements are taken to be manifest form and/or meaning variations and correlates. These are organized into scalar linear dimensions of componential status (so-called operations). Such operations are bundled to yield functions relevant to the linguistic tasks of designation, expression, and communication. Operations and functions exist at various hierarchical levels of self-inclusion, constituting thereby composite topics such as apprehension, treated at length in Seiler and Stachnowski (eds.) 1982, and Seiler and Lehmann (eds.) 1982. In this way, it is possible in principle to investigate meaningful and universalistic correlations between the two poles of language form and function. The analytical tools contain the appropriate indeterminacy of scalar variation, bundling of differences, and variable degrees of grammaticalization of a given technique. Such an analytical framework captures linguistic phenomena as an expression of psycholinguistic functions with realistic structuring both for psychological and linguistic concerns. The dimensions operate as two-way paths for inductive-deductive alternation in the heuristic spiral characterizing the procedure of the language user/learner and of the linguist. In diachronic perspective, the linear paths provided by the component dimensions are concrete vectors of evolution which allow transition from one scalar setting to the next one in both directions. Various typological efforts can be subsumed under the UNITYP heading. Especially the discussions below on word order typology going beyond simple SOV, SVO etc. argumentation will profit greatly from this broader approach. Similar views appear outside of the narrower bounds of UNITYP, e.g. in Greenberg 1966 as a com-

20

Chapter 1: The problem monplace citation, but also Hawkins Bossong 1980a, 1982, and Comrie 1981.

5.

1979,

1980,

Cf. the typical transmission schema from output of stagej to grammar device of stage i+1 rather than from grammar to grammar or from output to output (Andersen 1973:767).

out 6.

Cf. Givön 1984:45; 1979:239-241,268-272. The line between so-called 'crazy syntax' and non-optimal grammar remains undefined since it is largely a question of degree, not of qualitative differentiation.

7.

Cf. Weinreich et al. 1968 and Romaine 1982:1-28 for arguments that sociolinguistic dimensions are to a great extent consonant with historical ones; the quantificational character of the former implies thus also its extension to the latter.

8.

The data used in this study are not always sufficiently extensive (for extrinsic reasons mostly, such as limited text length) to be subjected to existing statistical elaborations, e.g. the VARBRULE II program of Cedergren and Sankoff 1974. Cf. also the wider variety of approaches within statistical studies as presented in Sankoff and Cedergren 1981.

9.

Cf. Andersen 1973, 1974; Lakoff 1982, Lass 1980a: 119-122, 157; Lightfoot 1979:347-363. On the psycholinguistic side, one can mention Bates and MacWhinney 1982, Brooks 1978, Gleitman and Wanner 1982a, Knobloch 1984, and Rosch 1978, among others.

10.

Even in this atomic reduction the introspective judgments cannot be considered as fully safe and unalterable, as the study by Carroll et al. 1981 demonstrates through the manipulation of intuitional levels.

Notes

21

11. Cf. Badia Margarit 1947, Niculescu 1976. 12. Cf. Kuen 1957 for general Romance purposes, and Ashby 1977 for French. Hilty 1968 speculates on a possible Germanic substratum origin of this syntactic feature for (Old) French. For Italian, Boström 1972 presents the morphological aspect of the historical development for Florentine, while the recent contributions by Benincä and Vanelli 1982, Renzi and Vanelli 1982, and Brandi 1981 and Cordin 1981 depict the interesting Northern Italian and Florentine situation in modern terms. Spiess 1956 offers a less systematic treatment of the origin of these subject pronouns/clitics in Northern Italian dialects.

CHAPTER 2 CLITIC ELEMENTS

1. Terminology 1.1 Cliticness in linguistics The notion of clitics, central to this study, has so far been employed here with only preliminary characterization (cf. p. 1-2). It is the task of this section to sketch the field of this notion in its history, typology, and analytical respects. Since much of the illustrative material will be drawn from Italian, Appendix 1 assembles all the pertinent peripheral information surrounding the aspects directly presented in the text. Together these passages yield an adequate description (to be refined only in Part Two) of Italian pronominal clitics as a prime example of the type of special clitics which interest us in this context. The problem of cliticness — i.e. of one form being bound to another adjacent one in a relevant way — is typical of American linguistics since the structuralist period. Only from this moment on does one find a unified concept of the clitic element regardless of its direction of attachment, thus covering enclitics (attached to the immediately leftward/preceding element), proclitics (bound to the contiguous rightward/following item), and endoclitics (embedded in between two components of a sequence which otherwise forms a closely knit union, i.e. with attachment in both directions simultaneously; cf. Zwicky 1977:8). A check through some c u r r e n t l y used linguistic lexica (Marouzeau 1951, Stammerjohann 1975, Lewandowski 1976) confirms the absence of entries under the generic lemma clitic/cliticness/cliticization. However, already in Hamp 1957:20 a definition based on Pike 1947:165 is given of a clitic as an element intermediate between a word and an affix, bound to an adjacent word, loosely in syntax, but very tightly in its phonology. A broader treatment of the question with para-encyclopaedic intent appears in 1977 with Zwicky's paper on the topic, forcefully bringing the broader problem into the scope of transformational grammar after the structuralist

24

Chapter 2: Clitic

elements

model and approaching it with more powerful analytical tools. 1.2 Cliticness in philology If the abstracted cover category of clitics is not a current concept in the traditional philological context, the fundamental component notions of enclitic and proclitic are very well attested and widely used. So one finds e.g. in Marouzeau 1951:85 for enclitic 'mot depourvu d'accent/ton' which is leaning on a preceding word carrying accent/tone (from the Greek etymological meaning of enklisis). Together, the enclitic and the word on which it leans (the host in Zwicky's terminology 1977:9) form an accentual unit, the group. 1 The German term Tonanschluss sometimes used in this connection is significant. Similar information about proclitics appears under this heading, mutatis mutandis. The clitic notion as such is fully implied by such a tradition, even though it may not have surfaced as a necessity. 1.3 Greek origin In the Western tradition, the concept of enclisis goes back to classical Greek grammarians who used it in an approximately modern sense, prompted into this discovery by their systematic attempts at describing the accentual/tonal inflections of the koine culminating in the Alexandrian tradition of accentual orthography (Laum 1928). As a description of the Greek particles (de, gar, na, etc.) and the unstressed pronouns of first and second persons (mou, sou and related forms, etc.), the notion passed on into Latin grammar (as inclinativa in direct loan translation, as with most grammatical terms) to designate the particles -que, ve, -ne, -ce and a few other elements (Quintiiianus; cf. Schöll 1876:135-140). The obvious syntactic positioning effect characteristic of these particles — they are attached to the end of the first word of their scope domain — permitted the linguistically correct identification as clitics. The absence of a Greek-type accent writing system and tone level prosody in Latin did not let the Roman grammarians capture the generalization that some of the Latin pronouns (unstressed 1st and 2nd person) also constituted enclitics as did their Greek toneless counterparts (a broader treatment of Latin enclitics follows in Ch. 3). No relevant new ideas

1. Terminology

25

were added until the advent of the comparative IndoEuropean studies of the nineteenth century where the prosodic systems of Sanskrit, Greek, and Latin were successfully brought together as representing parallel evolutions. The turning point for clitic studies was the famous article 'Über ein Gesetz der indogermanischen Wortstellung' by Jakob Wackernagel (1892), after which the frequent or even normative second positioning in the clause of IE enclitics and other weak elements took the name of Wackernagel's law (henceforth, W). The evidence amassed from Sanskrit, Greek, and Latin, plus strong parallelisms in other IE branches, advanced the anecdotal knowledge to a well documented state after which further investigations only needed to add language specific evidence. While the notion of enclisis thus combined a prosodic with a syntactic property, the subsequent term of proclisis proved to be more a formal parallelism to the original term than a conceptual one: Proclisis lacks any open or tacit reference to a syntactic position and designates only a tonal/accentual connection to the right. The effect was perhaps a general shift away from a syntactic definition to a purely prosodic understanding of clitics (which can combine with a syntactic aspect). The modern notion of cliticness is thus achieved. 1.4 Romance clitic studies The already strong tradition of weak pronoun behavior in Romance studies, in particular with reference to their place of occurrence in the string, also produced its 'personal' law: Tobler's law for Old French derives from his review and note (1875, 1889); only in the extended form including the parallel Italian situation, elaborated by Mussafia 1886, 1898, did it amount to a generally usable concept, henceforth known as the Tobler-Mussafia law (and here referred to as TM). This principle determines pronominal clitic position in Old Romance; it is always next to the verb, and variably before or after it depending on the syntactic context, in particular prohibiting sentence initial clitic pronouns. The variable enclitic and proclitic occurrence of such forms produced considerable debate about the nature and direction of attachment in the different contexts, sparked, and for a long time dominated, by Meyer-Lübke 1897. This article concerned the general applicability of enclisis in all

26

Chapter

2: Clitic

elements

Romance cases, fully concentrating on the prosodic dimension for resolving the issue. The essential connection with W was visible a n d clearly p o i n t e d out already in Meyer-Lübke 1897, even though the pronoun was thus not necessarily in second position u n d e r the Old Romance situation relevant for Tobler, Mussafia, Meyer-Lübke and others. But the locational indeterminacy of Romance clitic placement around the verb prevented real progress towards a tentative grammar of clitics which could combine the two basic dimensions of manifest clitic behavior, collocation and prosodic union. The lack of new Romance departures continues to the recent past where e.g. Ulleland 1960 on Italian and Ramsden 1963 on Old Romance in general are more valuable as good data collections than as innovative vectors. 1.5 Clitics in transformational grammar Stimulated by the theory oriented context of American structuralist linguistics, the long-dormant clitic issue finally found an important new right to life through Perlmutter's well known 1968 MIT doctoral dissertation. It -did not propagate a theory of clitics, nor could it address many of the central questions now in the foreground, but the work showed how the clitic internal clustering problem in French and Spanish could be of interest to linguistic theory in view of its deviance f r o m normal ordering and cooccurrence patterns. Within transformational grammar special machinery is required to account for the output patterns of clitic order independently of the otherwise applicable rules of constituent ordering. Such postulates constitute a considerable challenge to the validity of the wider framework, or at least they project clitic elements into the focus of research efforts. Since then, the sweeping claims made by Perlmutter (1970 = 1971:ch.2,3) called for so many counterproposals and new approaches that an active field of specialization emerged, even though little of the original content remains. The extent of the present linguistic investment in clitic problems can be appreciated by the survey of studies f r o m the following decade contained in Zwicky 1977 and Jeffers and Zwicky 1980. In spite of all this f r u i t f u l activity, the study of clitics has not yet reached a state where the notion could be seen as secured through a delimitation or definition, allowing for a stable area of reference. This must be recognized in spite of the

1. Terminology

27

great e f f o r t s of systematization contained e.g. in Rivas 1977, Tegey 1977, Steele 1978 and 1981, Klavans 1982 and 1985, and Kaisse 1985. In contrast to the earlier phases of the discussion, a much wider range of d i f f e r e n t linguistic phenomena is considered as falling within the purview of clitic studies, all leading to a certain degree in the same direction of a clitic core n o t i o n , with increasingly ambiguous identification as the peripheral cases are considered (e.g. the concept of auxiliarity in Steele 1981). In the line of investigation using Extended Standard Theory and in the framework of Government and Binding oriented work, clitics are no longer studied for their own sake or in particular concentration, but they are nevertheless very frequently involved in essential argumentations meant to establish the proof of a syntactic theorem. In view of the extreme NP-argument focus of the Government and Binding research program, clitics as overt and especially mobile NP representatives figure prominently in the role of crucial data. Much of this oblique attention payed to clitics translates into greatly expanded knowledge of many clitic phenomena, in particular in the Romance languages, whence data are frequently drawn. 1.6 Recent investigative concentrations The main lines of investigation considered in the recent wave of clitic studies fall under these broad headings: — morphological derivation and phonological origin of clitic elements, synchronic and diachronic — order of clitic elements among each other and cooccurrence restrictions — placement of clitics in the syntactic string — mode of clitic attachment in surface structure — connection of clitics to the grammatical components responsible for normal syntax and phonology (derivation of clitics from full NP's, PP's, etc. or base generation) — function of special clitic features in the validation of specific theoretical subcomponents. These topics are in no way exhaustive of the potential relevance of clitics for general or Romance linguistics. It is evident that the topic has been found f r u i t f u l in the past for specific Romance or more general theoretical concerns, and that a considerable amount of material is available f o r interpretation in a more comprehensive setting. We will now

28

Chapter 2: Clitic

elements

turn to an initial description of a typical Romance clitic system, that of Italian, in order to give an idea of the complex interaction of the various typical clitic features.

2. Italian special clitics 2.1 Clitic features While the notion of clitics is not rigidly established, there exists no problem in describing a typical and generally agreed upon clitic system. This approach will afford the best guidance as to the factors and problems involved. The illustrations will refer to the situation of modern standard Italian. 2 Some concrete factual information assumed as known in the following is found in App. 1. This sketch will be concerned with the pronominal clitics mi, ci, ti, vi, lo, la, li, le, gli, si, ne which operate as a homogeneous class of special clitics. Concretely, they are subject to the following conditions. (a) They cannot be emphasized, either prosodically through stress insistence or situationally through deixis (la,b). If such emphasis is to be conveyed, the so-called stressed/strong/disjunctive pronoun forms must be employed (2). (1)

a. *Perch6 [mf] chiamano sempre in questa situazione?

(2)

a.

Perchö chiamano sempre ιηέ in questa situazione?

b.

Non dovrebbero chiamare U M , ma invece avvertire lei

b. *Non dovrebbero chiamar[l6], ma invece awertir[la].

(b) They alternate with strong forms of no necessary morphophonological cohesion; cf. App. 1-Forms. (c) They cannot be used in isolation (3), after a preposition (4), or otherwise separated from a verb form (5), rather they must appear in contiguity with the verb form of their clause of occurrence. (3)

a.

A chi devo darlo?

*.le. L a lei.

(4)

a. *Perch6 non venite conci? b.

(5)

Perche non venite con noi?^

a. *Adesso lo si chiaramente distingue da qui. b.

Adesso lo si distingue chiaramente da qui.

2. Italian

special

clitics

29

(d) Depending on the particular morphosyntactic form and function which the host verb assumes, the clitic pronouns are only found on the left or the right (proclisis or enclisis), but not indifferently on either side in the normal cases. Thus enclisis is characteristic of infinitive, gerund, (absolute) participle (i.e. the nonfinite forms; cf. (6)), and with the affirmative imperative of 2nd and 1st person (7). All other forms (i.e. all finite verb forms; cf. (8)) and all imperatives of the third person (polite form) show proclisis (9). (6) a. b. c. (7) d. e. (8) a. (9) a.

per mantenersi in buona forma pensandoci ancora una volta trovatala morta di terrore Pensateci ancora una volta! Andiamocene! II doganiere si awicina al vagone Non ci pensate piü!

(*per sj. mantenere (*ci pensando . . . ) (*La trovata morta (*ci pensate . . . ! ) (*ce ne andiamo!) (*awicinasi) (non pensateci·..! cf. App.1-d1) b. Mi faccia il piacere di accettare! (*facciami . . . ! ) c. Non mi dica questo! (*non dicami . . . ! )

(e) If more than one clitic cooccurs on the relative ordering of the clitics is according to principles which are not from the functional role played by the (10). (10) Ogni volta che lo vedo -f me ne *ne me

ί·

a given host verb, strictly regulated evidently derived component clitics

ricordo di nuovo.

The description of this situation by the surface structure constraint (11) is extensively discussed elsewhere (Wanner 1977).5 (11) mi - vi - ci - ti - Cgli, le> - si - ne - d o , la, li, le> Moreover, the cooccurrence conditions for multiple clitics are also determined by this same constraint so that combinations which may be justified in semantic and normal syntactic terms can be declared illicit by (11). Compare (12), and also App.l-c6,7 for further details.

30 (12)

Chapter 2: Clitic

elements

a.

Vorrei prendere alcuni dischi^ d a l l o scaffale^

b.

Vorrei prendern^ alcuni dischi

c.

Vorrei prenderne^ alcuni d a l l o s c a f f a l e

d. *Vorrei prendernene^ 2 alcuni

(f) As opposed to the observations in point (c) above, occasionally there is variation in clitic position in terms of the host verb chosen when two verbs are joined together in an infinitival construction. In principle, point (c) holds for each case (the pronoun being attached to its verb of semantic pertinence). With a restricted number of higher predicates the object clitics of the embedded infinitive are optionally f o u n d on the higher verb even though this predicate cannot sustain the expressed arguments from a semantic point of view. Thus the clitic in question appears to have been moved f r o m the natural position of (13a) and (14a); cf. A p p . l - e . (13) (14)

a.

v o g l i o andarmene ora

b.

me ne v o g l i o andare ora

a.

la fecero i n g h i o t t i r l e crude, le ostriche

b.

g l i e i e fecero i n g h i o t t i r e crude, le ostriche

(g) The clitic pronouns cal adjustments, especially before a vowel initial host segmental shape in clitic cussion in A p p . l - a , b . (15)

undergo some special phonologiwith regard to their syllabicity verb, but also concerning their clusters. Cf. the extensive dis-

c i sono molti g i o r n a l i ce ne sono molti ce n'6 uno solo

2.2 Specialness All of the above characteristics are typical and more or less exclusive of such clitic pronouns, in particular if considered in combination. Single features may be shared by other elements of the language; e.g. the syllabicity reductions of point (g) are the same for the article which shares with the third person direct object clitics also the morphophonemic form. But in general the behavioral traits of clitics are rather exceptional. Stressing a word phonetically is the

2. Italian special clitics

31

normal means of emphasizing or contrasting the referent of this item (besides the syntactic means of periphrasis or dislocation; cf. point (a) above). The fact that clitics cannot be dislocated (point (c) and ex. (3) above) does not in itself preclude the use of contrastive prosodic features for emphasis; yet this additional exclusion is exactly what is the case. In the same context of (c), the use of a strong pronoun outside of a verbal environment does not improve the referential uniqueness of the situation; clitics as well as strong pronouns may embody the same referential ambiguities in the context; the reference of an isolated pronoun does not necessarily consist of high deixis. Yet only the non-clitic form is acceptable, representing a clitic specific constraint which does not derive immediately from more general features of the language. 2.3 Clitics are not purely morphological The sequential arrangement of one item with regard to the morphosyntactic classification of a second item is also unique to clitics. If clitic behavior is likened to that of morphemes, no similar feature can be found either in syntax (constituent arrangement) or in morphology, in spite of the fact that (grammatical) morphemes might be expected to depend to a certain degree on morphosyntactic categories in a natural way. The sequence of morpheme classes is rather constant inside the word, e.g. in verb inflection, or in nominal derivation (16), or even between inflectional and derivational suffixes. 6 (16) a.

general order for i n f l e c t i o n of verbs (prefixes) - root - thematic vowel - tense - person/number con

b.

+ cep

+

i

+

r

+

ebb + ero

general order for nominal derivation (prefixes) - root iper

- derivational a f f i x ( e s ) - number/gender

+ gener +

al + izz + azion

+

e

If clitics are seen against the background of major nominal constituent sequencing, it is striking that the change of order between clitic and host in itself does not signal anything, especially that it cannot convey any emphasis shift between verb and pronoun focus. This is so because clitics are excluded from any focus related functions

32

Chapter 2: Clitic

elements

apparently by their very nature. Furthermore, they have no freedom to be dislocated so that they could shift on their own. The marginal situation that an imperative form of Italian is distinguished from its declarative counterpart only through the clitic position (ci andiamo 4 we go there' vs. andiamoci! 'let's go there!') is clearly secondary: All affirmative imperatives have enclitic pronouns regardless of their morphological identifiability (lo dici 'you say so' vs. dillol 'say so!'). 2.4 Clitics are not purely syntactic In a similar vein, the cooccurrence restrictions and clitic cluster ordering are peculiar in that they are independent of function as a whole. This is revealed by the fact that a given clitic combination is excluded while the logically parallel strong pronouns or full NP's are perfectly grammatical and semantically interpretable. The irrelevance of function in the precedence relations among clitics is striking with the groups involving 1st and 2nd person clitics, with regard to case sequence, and also in reflexive and non-reflexive linearization (17). The ordering and cooccurrence regulation of clitics is thus to a large degree divorced from semantically and functionally expressive principles of the same language (at least for Italian and the other Romance languages). (17) a.

I I > I ; refl > x; acc > dat Non t i ci puoi raccomandare con questi

b.

propositi.^

I > I I ; refl > x; dat > acc Non mi vi v o g l i o raccomandare oltre le s o l l t e considerazioni.

c.

I > I I ; χ > r e f l ; dat > acc Non mi vi volete raccomandare con questi p r o p o s i t i .

2.5 Clitics are not purely phonological Finally, segmental phonological behavior is also qualitatively different from that of regular morphophonemic or derivational alternations. In the first place it presupposes as its domain of operation a phonological phrasing of special status, neither coextensive with external sandhi (or word internal adjustment) nor conditioned by external sandhi contexts as would be normal phonological behavior. The segmental adjustments affect only the clitics (18a), not their host (18b), and they are determined by contexts limited to

2. Italian special clitics

33

the contiguous clitics and the host, pointing to a domain limitation of the clitic plus host group. In this trivial way the restriction of such adjustments to clitics is assured; cf. App.l-bl. (18) a. nii+lo misurava -> me to misurava b. premi-1 ο -> *preme-1 ο The comprehensive impression from this list of Italian clitic features is one of special behavior, rather clearly set off from the rest of comparable language specific phenomena both conjunctively and singly. On the other hand, the difference from the non-clitic forms of the language is not such that they might be considered an extraneous part of the language. On the contrary, they are quite well embedded in the phenotype of Italian, at all linguistic levels. Their phonotactics and the details of phonetic rendition stay perfectly within the bounds of Italian. 8 They are pronouns just as their strong counterparts are, with exactly parallel functions outside of the weak/strong differentiation; in spite of the general validity of point (b) above, some of the clitics resemble their strong counterparts remarkably. However, the two paired forms remain lexically split in synchronic analysis. 2.6 Similar clitics in other Romance languages Even more important for assessing the specialness of the Italian special clitics realistically is the circumstance that the comprehensive behavior as presented here is repeated, virtually without change, in a number of other languages, first of all in the immediate Romance vicinity. E.g. for Spanish, all points can be taken over with full validity (after adjustments for language specific differences such as in phonological form); for French, only point (f) on clitic movement must be restricted to perception and causative verbs; in exchange French also has some additional clitics, the subject clitics, which add to the complexity of the placement, clustering, and linearization principles. Other additions, while maintaining the Italian clitic description, would be required for a comprehensive treatment of Romanian clitics. A direct link between phonological and syntactic properties in the postposition of the one clitic ο must be observed in the string aux + past participle (am vazut-o

34

Chapter 2: Clitic

elements

for *o am vazut). Beyond Romance, there exist other languages with such clitic systems exist, e.g. Modern Greek which corresponds again to all Italian points, with the exception of point (a) about the necessary stresslessness of clitics. If the placement pattern of verb plus clitics is modified from a verb centered principle to a fixed linear position in the surface string (so-called second position), other languages become comparable objects of investigation, from Serbo-Croatian and other South Slavic languages to Pashto and Latin and others. In the latter examples, the restriction of clitics to pronominal forms is no longer valid: The set may also include auxiliary verbs (Serbo-Croatian), modal operators (Pashto), conjunctions (Latin), and sentence modifiers (Ancient Greek). 2.7 Componentiality Even among very closely resembling clitic systems there is no perfect coincidence of properties and behavior patterns. Rather, it is quite a natural assumption that such clitic ensembles be composed of a number of interacting, but individually variable properties or parameters which in their multiplicity of predicted settings easily encompass the variable manifestations of possible clitic systems. This componential approach needs to include minimally the following dimensions: — Prosodic: stresslessness, or prosodic subordination of a clitic into a larger stress pattern, as e.g. in Modern Greek — Phonological: special segmental adjustments, in particular of syllabicity — Morpholexical: frequent suppletion relation between clitic and a functionally corresponding non-clitic counterpart — Syntactic: clitics are moved to or found next to a determined host structure; clitic and host are set into a fixed linear order, as well as clitics among themselves. These parameters are not necessarily the deepest level of analysis in that there are certainly more fundamental aspects for the linearization tendencies, and that there are interconnections between two properties enumerated here as separate (e.g. stresslessness and syllabicity adjustments). In this connection, it is possible to speculate that the prominent pertinence of clitics to different components of grammar (phonology, morphology, syntax) as expressed here could be reduced in a deeper analysis to the normal

3. Other clitic types

35

situation of single component determination of a phenomenon combined with secondary, predictable repercussions in other components. In this sense, the typical destressing could be envisaged as the corollary of a change in the syntactic status of the item which then produces automatically the loss of stress in phonological representation. In such a view, clitics could essentially be confined to a syntactic nature with a corresponding simplification of their definition and operative behavior. Such claims have been made in the literature (e.g. Selkirk 1981, 1984), and they appear to be of interest. Alternatively, the syntactic properties of clitics could also be seen as nothing more than a mechanical consequence of the unstressed status of these elements. However, the following investigations will demonstrate that it is preferable to avoid reductionism here and to stay with the evident surface appearance of cross componential pertinence of clitics. As such, special clitics belong by nature to the level of surface structure where the prosodic/phonological and the syntactic domains intersect, and where morphological and lexical properties also have their anchoring point.

3. Other clitic types 3.1 Special clitics in Italian vs. simple clitics in English The most salient aspect of the Italian clitics at the surface level suggested by our compositional approach is certainly the placement effect, which can be highlighted further in these examples by comparing the placement options for clitic, strong pronoun, and NP/PP. Verb contiguity exists for non-clitics only as an accident of the basic subjectverb-object organization pattern (i.e. if nothing intervenes between V and a following constituent X), while for clitics it is obligatory. (19) a.

Marisa non ha telefonato ancora

/ at suo avvocato/a lui -

Marisa non -Γ gli

"V ha telefonato ancora

b. c.

[*gU

d.

|*al suo avvocato/a lui j

(20) a.

Scrivi questa cartolina^ a_tua_zia 2 !

(Scrivi quest a·) a Ιθΐτ!)

b.

Scrivi a tua ziap questa cartolina^! (Scrivi a lei ο questa^!

c.

Scrivigli^la^!

36

Chapter 2: Clitic

elements

d. *Scrivi.la.|le2 ! e. * S c r i v i questa cartolina^ _le2! f.

S c r i v i i a ^ a tua zian!

(accidental identity of linear NP and c l i t i c place)

It is this deviation f r o m normal constituent place which first earned the name of special clitics for such pronouns (Zwicky 1977:3-5). This positively specified syntactic property, as one of the component traits of special clitics, implies also its potential absence or at least reduction in effect. In other words, alongside the special clitics there are also simple clitics which are not characterized by the placement/linearization effect, while keeping enough of the relevant characteristics to allow their continued identification as clitics. In the absence of the placement principle which d i f f e r e n t i a t e s the place of occurrence of special clitics with regard to their corresponding strong or normal constituents, the location of a simple clitic in the string must correspond to that of the correlating non-clitic expression of the same constituent. Thus simple clitics reproduce the normal constituent arrangement patterns of the given language, and are non-special (Zwicky 1977:5-6). As a central property, they are prosodically subordinated elements in intimate contact with a contiguous item of higher stress level, the host e l e m e n t . The essential stresslessness of simple clitics brings along a necessary reduction in the segmental integrity of the clitic element, visible in variable degrees of reduction of its morphophonological substance. The relativistic concept of reduction indicates that identification of simple clitics must take place on a paradigmatic or transderivational level in order to d i f f e r e n t i a t e the reduced item f r o m its full or strong counterpart. A simple clitic is thus not a stable item of unchanging linguistic affiliation. Rather it is a productive result of stress reduction and concomitant phonological and contextual changes. The range of such clitics is very wide; some quite well known examples of pronouns as variable simple clitics can be adduced f r o m English and German; cf. (21) for English. (21) a. Eve wants to talk to HIM: [tcJhim] b. Eve wants to talk to him: [tcJhim]^

[tcJim^

[tcJ»m]-j

[tum]^

3. Other clitic types c. I can't understand THEM; td^m] d. I can't understand them; [dem]1

[ £ m] 2

37

[ 3 m] 3

The limitation of intermediate phonetic renditions may be arbitrary at this point (combined with the difficulty of rather imprecise reactions by native speakers concerning some finer distinctions of syllabicity); but the distinction between the pronunciations in (21a) and (21c) and the unstressed ones in (21b) and (21d) is major. At the same time, the neutral realizations in (bl), (dl) are distinct in type and function from the visibly reduced ones in the remaining clitic forms (b2-4,d2-4). The segmental reductions depend on the previous elimination of stress; but then they proceed in terms of regular fast speech phenomena of the language: initial Λ-deletion in unstressed syllable, vowel reduction, syllabic shift f r o m a reduced vowel to a subsisting nasal consonant. 9 Whether the neutral forms (bl, d l ) also constitute clitics remains a topic for later discussion on the basis of a more extensive study of such formal phenomena and their syntactic origin. 3.2 Simple clitics in German Similar reduction phenomena are found in German. The first series in (22) is virtually identical to the English case of (21a, b). The impossibility of the stressed version in the second series (23a) derives from the lexically determined suppletion which requires the appearance of das (a deictic element); the same situation obtains also for English it and that.10 (22) a. b. (23) a. b. c.

schreib IHM doch wieder mal!: [f:m] schreib ihm doch wieder mal!: [i (: )m] 1 [im] 2 [am]3 [m]^ «gib ES her!: * [ l s ] gib es her!: Uslj [s] 3 gib DAS her!: [das]

The segmentally full, but unstressed form is fully acceptable (23b 1), guaranteeing thus the alternation range between the full form and its highly reduced counterpart(s); but the prosodically highlighted function remains outside for reasons other than those of segmental phonetic relevance. In fact, the English it, German es are of a slightly different type than him, ihm. They cannot occur alone (as a regular

38

Chapter 2: Clitic

elements

answer to a question). Together with a third type, German man 'unspecified human subject; PRO', three subclasses can be characterized, man only occurs as a subject form, cannot be emphasized nor isolated, and does not have a stressed counterpart (for pragmatic reasons); cf. (24). es is insofar somewhat freer as it represents (as is regular for neuter forms) subject and DO functions, and that it possesses a stressed counterpart; cf. (25). Finally English it, while equally non-emphasizable as es, can even form the object of a preposition; there are however other restrictions on its freedom of occurrence which are well known in that it must be enclitic to a verb or preposition, or proclitic to a verb (as subject); cf. (26). (24) a. *Das darf MAN doch nicht tun! 1 1 b. (25) a.

Wer hat denn das behauptet? - Ich weiss nichts genaues; *MAN Es ist unglaublich, dass sie es nicht erkannt haben!

b. *Er wollte mit es zeigen, wie das Verfahren abläuft. (= damit) (26) a. b.

I'm not going for |t. Give i_t to me right now! 12

c. *Give me i_t right now!

The most open type of simple clitic is clearly the prototypical English him and German ihm. Since the differences between the polar cases (man vs. ihm) of this spectrum are already noticeable, it may be questioned whether the category of simple clitics is homogeneous. It corresponds to at least two labels used in Zwicky 1977:6-7, simple clitic and bound word (ihm vs. man), with an overall progression of successive liberation from special conditioning going from 'special clitic' to 'bound word' to 'simple clitic'. But even so, there remain the finer distinctions of the gradation man - es - it ihm/him which might in turn require terminological innovations. Such situations will be treated here as variable specifications on one or more linear parameters without specific claims of systematicity for any of the documented types. 3.3 Verbal simple clitics It is important to realize that the clitic phenomena described here are not limited to pronouns. Romance also

3. Other clitic types

39

has some verbal simple clitics of undetermined status, such as the auxiliary verbs and frequently the modals. These weak verbal forms, however, are not equivalent to the actual special clitics of Serbo-Croatian. The behavior of simple verbal clitics in Romance is marked primarily by the notorious lack of stress and emphasis (one might say even content, beyond a summary modal or auxiliary function); and by their non-occurrence outside of the complex verbal constituent, at least in their normal instantiations (27c); 13 by their (etymological or synchronic) variation with fuller segmental representations (cf. (28) for Old Italian modal verbs, preposizione articolata, and occasional article reduction). They constitute thus paradigmatic patterns like the pronominal simple clitics. But in contrast, their cliticization is not well predictable in general, i.e. they operate as clitics with much more randomness than the pronouns ((27b), for conjunction reduction). Their place in the string is determined regardless of clitic status due to their categorial nature as verbs (27a). The verbal clitics thus show a necessary connection with their nature as verbs, exactly as the pronouns are oriented to the nominal side. Simple clitics are naturally connected with their syntactic origin. Special clitics, as has been implied before, are much more questionable in this regard since they are removed further from their origin through the principles conveying them their specialness. The Old Italian data in (28) show corresponding behavior (STF refers to Schiaffini 1926). (27) a. L'agenzia di viaggi {mi rispose/mi ha risposto> subito. b. Siamo arrivati ieri e β ripartiti lo stesso giorno. c. Cosa si pub fare ora? - Non si guö {fare/*0> niente. (28) a. e de dare Simone in fiorini libre xxiiij e soldi iii (STF 2: 21.6; cf. dee, die, and deve as fuller forms) b. alora ciascuno dela Compagnia abbia da' camarlinghi uno candelotto accieso

(STF 3:38.15; cf. dai as full form)

c. fermiamo che' capitani non ricevano alcuno cacciato dela Compagnia (STF 3:36.14; cf. che i with maintained unstressed diphthong)

3.4 Variable clitic status for special clitics The progressive clitic status of the various classes of clitics found so far (special clitic — bound word — several types of simple clitics) must be expanded further. Not only does

40

Chapter 2: Clitic

elements

the category of 'simple clitic' undergo a considerable expansion; also the special clitics manifest some variations regarding the definitional trait of clitic placement. In the Old Romance stage, the Iberoromance languages tend toward intermittent special clitic status of the adverbial pronouns from ibi, inde: Sometimes one and the same item (OSp. y, end) behaves as a special clitic, occurring in the predictable place of special pronominal clitics on the verb and in regular linearization; sometimes, it is found in non-clitic position away from the verb and/or out of linearization. This variation takes place without any concurrent visible d i f f e r e n c e in terms of expressed emphasis. Their variable special status is the reason for excluding the adverbial clitics from fully proto-Romance significance henceforth. (29) a. b.

que no lo dexen γ (Berceo, Milagros 107c) tales j. a que prenden, tales j. a que non (Cantar de Mio Cid 3501)

c. 6nd: fallar t as ende bien (Alexandre 345b) d. end: todas las en tollie (Reyes 199.25) (after Ramsden 1963:40-41)

It may be assumed that the Old Spanish (and corresponding Old Portuguese) variable items y, en/end/ende represent natural transition stages from non-clitic to clitic status where we observe an intermediate evolutionary stage in particular for the placement rule. In this view, the normal outcome for this situation would be a full instantiation of clitic placement later on (an event which happened not to take place; quite the contrary, y and en(d) as clitics and as full forms became extinct altogether). The special clitic instances of y, en(d) in full form, together with the other object pronouns, represent a common target system of cliticness as far as special clitics are concerned. Fully developed and systematically behaving special clitics attracted greater attention in descriptive practice due to their predictable behavior. If the transition stage of y, en(d) as mentioned is a correct analysis, it would also imply the existence of special clitic systems with incomplete placement principles in a stable situation, or with some other disorders of an idealized single and global placement rule. Since this is actually the case, as the Italian and Pashto examples will

3. Other clitic types

41

illustrate, the label of special clitic with its attaining rigidity of interpretation (closed system, obligatory rule application, single rule per function) is not a theoretical necessity, but rather a descriptive convenience: The modern Romance clitic systems are so typical since they have achieved evolutive completion by and large. But in this trait they are not characteristic for the actual range of phenomena known or emerging from research. 3.5 Subtypes of special clitics: It. loro, Pashto In Italian itself, the pronominal clitics offer the observation of two different placement/linearization rules. While all clitics minus loro follow the exemplary rules set out above, the single element loro obeys a different principle of verb placement and constant enclitic linearization with the entire verbal group; cf. (30) and App.l-cl,2. (30) a. ]_'abbiamo s detto loro b. d i t e l o loro!

In Pashto, the large clitic class of pronominal, adverbial, and modal clitics follows a placement rule into second position (31 a,b). A second group of locative clitic pronouns is moved to the verb, a distinct position from second one in a typical SOV language such as Pashto (31c,d). 14 (31) a. [tor] me z y 2 t i Tor

zaurawi

'Tor doesn't bother me anymore1

me anymore not bother

b. [m 2] me I

na

kor

xarc

ka

house

sell

aux

me

c. za pa as

^er

na

' I sold my house'

sparega m Ί

I on horse much not ride d. zs> der

na

ße

sparegam

I much not o n - i t ride

don't ride much on the horse' (prepositional phrase)

Ί

don't ride much on i t ' (clitic)

The difference between the Italian and the Pashto cases is significant. In Pashto, each of the two clitic classes is phonologically homogeneous: xo 'indeed', ba 'will, might, must', de 'should', me Ί sg', de '2 sg', ye '3rd ps', am Ί / 2 pi' for second positioning; pe 'on it, with it', tre 'from it', ps ke 'in it' for verb collocation. 15 However, they are functionally differentiated in that the verb placed pronouns

42

Chapter 2: Clitic

elements

express verbal directional complements of motion verbs. The more easily established functional verb link for the verb placed class and the more natural clause focus of the second position clitics may indicate a relevant motivation for the differential behavior of the two clitic classes. In Italian, on the other hand, the homogeneity of the two classes exists at the functional level of verb phrase argument status: '3 pi IO non-refl' is in no way a combination which should require a distinct treatment with regard to the other Italian object/adverbial clitics; but loro is the only bisyllabic clitic. This additional phonological weight — a condition in general not very conducive f o r clitic status — seems to be a factor in not incorporating loro into the special clitic system of Italian completely. Remaining on the final periphery of the verbal constituent, loro achieves its visibility through a special position in the string like the other clitics, while keeping its d i f f e r e n c e due to a hypertrophic morphophonological representation. 3.6 Walbiri, Somali A further variation in this vein concerns cases in which special clitics are not distinguished in f o r m f r o m their non-clitic counterparts. Special clitics are also special in form compared to their non-clitic correspondences, to which they need not bear any morphophonemic resemblance (cf. App. 1-Forms); thus Italian ci vs. noi, French le vs. ς a, cela, lui etc. Simple clitics are actually or virtually derivable (depending on whether the corresponding full form exists or not). But the non-derivability of special clitics is not a definitional condition in the single case; already French nous, vous suffice to relegate this feature to the optional, perhaps preferential characteristics (elle nous a parle vs. eile α parle a nous, both / n u / ) . The embryonic special clitics y, end of Old Spanish make the same point in a prior evolutive phase. The automatic link between absence of stress and reduction of form cannot be maintained as the unique and necessary path to cliticness. The marked Romance separation between clitics and strong forms is again only an idealized borderline case, not a necessary constellation for significant clitic status. 16 In languages such as Walbiri (an Australian aboriginal language) and Somali, even more striking cases of formal identity between strong f o r m s and special clitics are

4. Peripheral

clitics

43

known. 1 7 They show that phonologically rather heavy forms (perhaps even several syllables long) may undergo special clitic placement in some contexts, while in others they behave like nominal elements with full collocational autonomy. Overall, there is a very wide field of minimally different clitic types ranging between simple and special clitics, differing from the canonical cases by some syntactic or morphological deviation. In order to organize the apparent continuum of clitic manifestations, the canonical systems, however, retain their usefulness and descriptive importance as long as they are not understood as exclusive types. Again, the preferential treatment of pronominal clitics in the above is due to the frequent presence of pronouns among clitics (as a part or as the whole), even though cliticness is in no way restricted to pronouns. A brief look at the wider range is in order at this point.

4. Peripheral clitic elements 4.1 Articles Less typical clitic elements and functions include (especially in the Romance languages) prepositions and articles, complementizers, and some of the simpler conjunctions with a stereotyped lexical meaning. Their cliticness seems to be connected with their low individualized content level, parallel to the absence of deixis or emphasis in the clitic pronouns. In both cases the principle at stake is the inexpressive character of the prospective clitic element as marked by the dominant prosodic clitic dimension. The phonological and morphological properties of articles in Italian are very close to those of the pronominal special clitics in their closed membership (/o, /', gli, la, le, i; un, uno, una, un'): their extremely reduced phonological body, their particular phonological a d j u s t m e n t rules (frequently parallel to those of the homophonous third person non-reflexive DO clitics), and their alternation with unrelated strong forms (the deictic adjectives questo, codesto, quello, etc.). They differ in the syntactic domain where no argument can establish that they undergo a placement rule in the sense of a movement from one motivated place of origin to a distinct place of occurrence. On the

44

Chapter 2: Clitic

elements

other hand, they do occur in a fixed position in the string which cannot be defined in terms of verb placement or second position; rather, this place relates to the NP as its natural domain of determination. Articles are found in NP initial position, after a preposition (32a) and after tutto (32b), but otherwise always before any NP element (32c). (32) a.

tutto [per ,1a patria]

b.

tutto I'anno

c.

j_l non troppo benevole sguardo convincente

This behavior pattern could be argued to represent one further variation on the syntactic parameter of placement options. In this view, the main difference between definite articles and clitic object pronouns is in the syntactic domain, and it is again a direct outflow of their respective functions and typical operating domains, VP vs. NP. The question of clitic vs. strong alternations is somewhat more complicated for the article than for pronominal clitics. An immediate counterpart in the non-clitic domain is a strongly deictic demonstrative, whereby the multiple options (vicinity, distance, or intermediate second person deixis questo, guello, codesto) add a new aspect: There is no emphatic article to parallel the emphatic pronoun. To the pronominal progression in deictic force la - lei questa/quella corresponds the fragmentary articulary sequence la - 0 -questa/quella where only the lexically augmented third step is available for insistence. The article is embedded in the more comprehensive determiner system, which includes at least definite and indefinite articles, demonstratives, possessives, quantifiers of adjectival status (tutto, molto, certo, nessuno, etc.) with their appropriate cooccurrence restrictions specifically regulated. The article is replaced by other determiners or combined with them depending on the determiners in question. (33) a.

iL (A) Ν

U

questo (A) Ν

questo nuovo film

*mio (A) Ν un (A) Ν *tutto (A) Ν

nuovo film

*mio nuovo film una bei la partita di calcio *tutto santo giorno

4. Peripheral

clitics

45

* i l questo nuovo f i l m 18 i l mio nuovo f i l m

b. * i I questo (A) Ν i l mio (A) Ν * i l tutto (A) Ν

* i l tutto santo giorno

tutto i l (A) Ν

tutto i l santo giorno

c. {il/un/questo> mio (A) Ν

i l mio nuovo f i l m questo mio nuovo f i l m

tutto mio

tutto i l mio sopracitato

sopracitato nuovo Ν

nuovo f i l m

In spite of the irregular distribution patterns, questo (and the other demonstratives) appear as the functionally closest substitutes for the missing strong article; cf. (33a) vs. (33b) and the alternations in (33c). There is nothing particularly article-specific about the meanings assigned to the different combined expressions, since they can be derived from the componential point of view once the distribution pattern is established. The distinction between clitic and non-clitic status for these items — is a demonstrative ever included under a defensible clitic analysis, even if unstressed? — is not a clear-cut issue, referring e.g. to the possessives. If in Italian the normal use of the article with the possessive remains opaque, the Spanish or French uses with two possessive forms distributed according to emphasis and syntactic status (adjective vs. pronoun) show a clear split of form and function reminiscent of the difference between clitic and strong pronouns. (34) a. c l i t i c b. strong

Fr. mon, ma N:

ma maison

Fr. le mien, la mienne la mienne (de ces maisons)

Sp. mi N:

mi. casa

Sp. la Ν mfa; ( l a ) mfa la mfa (de estas casas) esta casa es mfa ? l a casa mfa

The Spanish situation is a true copy of the clitic pronoun condition where the deictic force, stress pattern, segmental reductions (of a stamp confined to the possessive: mia ~ mi) and typical placement properties (proclisis vs. postposition for emphasis) are in strict accordance with that model.

46

Chapter 2: Clitic

elements

4.2 Spanish reinforced article If the article in Italian must yield to a demonstrative in cases where pronominal use is made of it (e.g. quella che ti ho presentato ieri), the continued use of the article form is possible in Spanish (la que te presente ayer), so that the article here behaves as a simple clitic in all relevant respects (reappearance of stress to reconstitute a f u l l form, 1 9 independence f r o m verb position, emphasis). From this restricted t o u r d ' h o r i z o n it is clear that the classificatory decision clitic vs. non-clitic cannot be achieved on the basis of some hard and fast rules, but that it depends on a number of factors which may in part be language specific and definitely guided by the paradigmatic context in which a prospective clitic element operates in a given language. This state of flux imperils to a certain degree even the notion of clitic as such, leading to a variable taxonomy of initially lesser interest than a general classification envisaged in principle. 4.3 Prepositions Prepositions are comparable to articles in their syntactic and phonological properties, but they are much less variable in function and form and thus do not pose the same problems as the articles do. It must be noted that they constitute an external layer attached to the beginning of a NP, i.e. prep + NP = PP, so that they precede the article and any other member of the N P without exception. While an article only exceptionally acquires independent status (as e.g. in Spanish), the preposition is more prone to become individualized, in part due to the semantically much greater content of the preposition, and in part due to the possible formal and semantic identity between a (complex) preposition and its corresponding adverb (cf. up, out, over, Italian prima (di), davanti (a), etc.). Its typical behavior pattern, however, remains the subordination of its body into the segmental string and the rhythmical phrasing of the surface utterance, where the preposition thus acts as a kind of simple clitic with f i x e d place of occurrence (due to its syntactic f u n c t i o n ) and no derivational history. Grammarians of antiquity have already recognized the clitic-like nature of simple, short, non-specific prepositions (ad, de, cum, in, etc.) in Latin. But the functionally well defined properties of prepositions kept them — and continue to do so on an

4. Peripheral

clitics

47

intuitive level — within a category of their own which must nevertheless be crosslisted with the clitic domain. 4.4 Complementizers Closely related in type to prepositions and the article are the complementizing particles (e.g. It. che, or the p r e positional complementizers for infinitival expressions a, di, per, etc.). These elements are found in fixed position at the left periphery of the clause they introduce, perhaps forming a constituent analysis level of their own. But clearly they occur in normal instances as proclitics of the first word of the introduced clause: [ s comp [ s Χ Υ Ζ ] ] (35a). In the absence of an immediate right context, che may acquire a makeshift identity as a word including some stress, or end up as an enclitic on the preceding word, the last item of the superordinate clause (the verb in the normal case (35b)). The form of such complementizers is always clitic-like; they do not convey specific information (other than the syntactic link between two constituents). In the presence of a single complementizer such as Italian che, one observes a new alternation pattern, not between weak che and a strong / k e / (35d,e), but between 'strong' / k e / and weak 0 (35c). 20 The frequent absence of the complementizer (always an optional phenomenon, never obligatory) could be seen as an ultimate effect of cliticness where the word level identity of the clitic is not required with the grammatical morpheme in fully predictable position. The range of alternation extends from strong to weak to zero in a frozen syntactic position and without any expressive correlate or lexical alternation. (35) a. b.

Non sembra g i u s t o che abbiano arrestato Manfredo. Non sembra g i u s t o che - considerando le circostanze abbiano arrestato Manfredo.

c.

Pare (che/fl> s i a venuta qui apposta.

d.

Devo dire - che - dopo di tutto - avevi ragione tu.

e.

Devo dire che - dopo di tutto - avevi ragione tu.

21

4.5 Verbal particles The verbal particles of English should be mentioned as a special subcategory of prepositions. They come to stand half way between prepositions and adverbs with partial place-

48

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elements

ment characteristics (immediately postverbal if unstressed (36a,b), but clause final otherwise and separated from the semantically central verb (36c)). (36) a.

she looked at the mural at great length

b.

t h i s mural should be looked at with more interest

c.

they wanted to look i t a l l ug

The English phenomenon of stranded prepositions may still be another variation on the same theme in that the isolated preposition carries a necessary secondary stress, normally lower than that of the preceding lexical item, but definitely present (37a). On the other hand, the verbal particles in the same clause-final position end up with a main stress higher in level than that of the preceding element (even of the verb of this constellation (37b)). In both cases, the clitic conditions are not met openly even though the stranded preposition occurs under stress subordination. But both kinds of elements alternate with truly unstressed, simple clitic instances of preposition/particle as presented above so that a differentiation in their clitic classification is required. 22 (37) a. What proofs was she thinking öf? b. Why don't you look the name ύρ?

stranded preposition ( * 6 f ) f i n a l verbal p a r t i c l e (*üp)

Acquisition of the respective stress levels for verbal particles (and for German separable prefixes) versus stranded prepositions must depend in some way on their distinct syntactic constituency, for the stranded preposition not unrelated to the fact that what follows is a deletion site [ p p prep [ N p 0 ] ]. Very much in line with the nature of simple clitics, the stress levels correlate with the extent of segmental reductions in that a stranded of should normally appear as [ Λ ν] and rarely as [av] (never as *[3]) as would be normal for the preposition. The only questionable aspect is the acquisition of any stress level at all by the stranded preposition given the basic stresslessness of prepositions. 4.6 Preposiziorte articolata An equally intriguing problem is presented by the Italian condition of the preposiziorte articolata, i.e. the phonological amalgamation of preposition plus article into a single,

4. Peripheral frequently bisyllabic secondary stress.

word

with

( 3 8 ) di + l o , l a , l e , g l

-> d e l l o / a / e ,

da + l o , l a , l e , g l

-> d a l l o / a / e ,

a + lo,la,le,gl

-> a l l o / a / e ,

in + l o , l a , l e , g l

-> n e l l o / a / e ,

con + l o , l a , l e , g l per + l o , l a , l e , g l su + l o , l a , l e , g l

variable

49

realization

of

degli

di + i l , i

-> d e l , dei

dagli

da + i l , i

-> d a l , dai

agli negli

->

collo/a/e,(cogli)

->

(pello/a/e,pegli)

-> s u l l o / a / e ,

clitics

sugli

a + il,i

-> a l ,

in + i l , i

-> n e l ,

ai nei 23

con + i l , i

-> c o l , ( c o i )

per + i l , i

-> ( p e l ,

su + i l , i

-> s u l ,

pei) sui

The juxtaposition of two simple clitic forms produces a new item which belongs to a prosodically higher level than the parts which compose it. While no stress need be realized on these combinations, they can carry at least a secondary phrase stress, secondary only because from a semantic point of view the word in question does not allow for emphatic status. It should be clear that these formations are not just accidental orthographical caprices of Italian; the consonantal effect of the phonetically long liquid in the bisyllabic forms (even for degli, etc. where it is not marked in writing) and some assimilations plus vowel lowering reveal the more systematic character of the combinations. These indications point to the historically developed and synchronically anchored status of the forms. 2 4 At the same time, there is also no doubt that the content aspect does not motivate the appearance of the potential secondary word stress. The restriction of this stress to the bisyllabic forms (lefthand column of (38)) shows the accidental nature of this stress: It is due to the syllabic accretion from two independent monosyllables with clitic tendencies to a weightier bisyllabic item with para-word appearance, among other things able to carry some stress in a highly rhythmical language such as Italian. Clitic clustering in this way may lead to non-clitic results. Still, the syntactic property of the amalgam is its essential limitation to the actual place of occurrence of each of the components, i.e. at the left periphery of the prepositional phrase. Here the secondary word character is fictitious. 4.7 Serbo-Croatian negative auxiliary verbs Serbo-Croatian negative auxiliary verbs exhibit syntactic freedom of a new combination. They

similar require

50

Chapter

2: Clitic

elements

an important modification of an otherwise comparable phenomenon. The components, the negative element and the respective auxiliaries, 2 5 are confirmed special clitic elements each in their own right, all requiring second position placement if they are not amalgamated, as is also the case with all other Serbo-Croatian clitics (39). The amalgam is not only found in preverbal position as is natural for a negative auxiliary (and at the final periphery of the second position clitic string if there are other clitics around), but also in different non-canonical positions for clitic elements (40). The implied difference in emphasis between the expected preverbal and the other positions does obtain predictably, so that the alternate word order patterns are not just value free variants but motivated options relating to individual meaningful items. The sum of two clitics proves here to constitute a new full item with a full syntactic range of autonomy. (39) a.

John Je

juce

u

b i b l i o t e c i uHio

John aux yest. in l i b r a r y

studied

b. *John juce je u b i b l i o t e c i ucio (40) a.

John ni je ju6e u b i b l i o t e c i ucio

b.

John juce ni je u b i b l i o t e c i ucio

'John studied yesterday in the library 1 ' i d . 1 (je outside of 2P) 'John d i d n ' t study in the library yesterday'^

4.8 Word character of clitics Finally, the question of the relationship between clitics in their many varieties sketched here and other partially free morphemes of a language must be addressed. Clitics so far have proven to be a small set of lexically flat elements, the blandest notions being the most appropriate ones f o r cliticization. In this trait, they are distinct f r o m regular lexical items. With regard to inflectional elements, clitics are much more independent and varied in their meaning; they do not just represent a single morphosyntactic category, rather they combine such a function with that of anaphoricness, or they incorporate a true verbal content such as a modality, etc. The syntax of clitics is open at the surface structure where they keep a certain measure of word identity at least optionally (the difference between full and reduced morphophonological representations), whereas normal (inflectional) morphemes may undergo extensive reductions (frequently to zero) with automatic regularity. Morphemes do not have the option to vary

4. Peripheral

clitics

51

between a full and a reduced form in the same context. Herein lies one constant difference between clitics and morphemes. Another difference is in the inability of morphemes to command the placement of an insistence stress based on the normal semantic criteria of focus/ emphasis/contrast; such a stress is assigned to a word in its phrasal context, but not to a morpheme/syllable within the bonded word domain. The decision of full vs. reduced status of a (potential, simple) clitic is located at the actual phrase level involving principles of surface syntax and contextual-pragmatic embedding of the entire utterance. 4.9 Separation from derivational morphology Due to the absence of clearly identifiable semantic content of their own, derivational affixes must also be placed out side and below the clitic domain. Historically analyzable compositions such as perturbazione, convenienza, deduzione, etc. are no longer per-turbazione, con-venienza, de-duzione, even though the elements per, con, de/di have otherwise independent existence as prepositions (thus finding themselves in the range of cliticness). The compound nouns (or verbs, etc.) clearly do not stem from a productive clitic placement of the preposition/prefix to a given syntactically independent stem. Such an approach would be amiss semantically as well as syntactically since no separation of the two elements can be motivated synchronically. What is wrong here is the attempt to analyze sub-word level elements as clitics, whereas a clear requirement for cliticness appears now to be word status in syntactic and semantic terms. 2 7 Clitic elements vary thus within the range between a full surface structure item (a word) with no highlighted content, reference, or function and a grammaticalized particle of simple morphosyntactic or semantic feature content. This element maintains its word level independence only marginally through its one-to-one relationship of function and form anchored in a given position in the string. As a word of its own, even though its status may be precarious, a clitic is essentially characterized as a productive item which does not only occur in a highly limited and obliquely cut out segment of environments. In this sense, it should be possible to distinguish between components of the clitic category and other linguistic phenomena of non-syntactic relevance.

52

Chapter 2: Clitic

elements

The basic importance of stress for the initial constitution of any kind of clitic remains as a condition sine qua non, bringing about the possibility of segmental reductions. Ultimately, the special syntactic behavior patterns are induced by the destressed, reduced item which is no longer functional for making important syntactic and/or semantic contributions. The next section will give a provisional systematization of the clitic space elaborated so far in order to be able to examine Latin and Late Latin armed with the appropriate concepts.

5. Towards a framework for clitics 5.1 Cliticness The relevance of the notion of clitics has been taken for granted in the foregoing discussion. An enumeration of the component features (prosodic, phonological, morphological, and syntactic dimensions) and of the manifestation types (special clitics, simple clitics, and many intermediate categories) leaves open the question of what constitutes the necessary content of the clitic classification which must be covered by an adequate description and explanation. Not all comprehensive category notions used in linguistics are thereby necessarily fully defined. Concepts such as Ν, V et sim. remain prescientific with a generally agreed upon core portion, multiply reinforced across the many languages treated in this way, but a properly controlled definition remains elusive. Such categories, however, are then not commonly used in derivative theorems beyond what can be shown to follow directly from the phenotypical reality of a single language. Thus the relative consistency within a language, or language type, is more or less guaranteed. The concept's foundation (even though without definitional anchoring) in clearly discernible behavioral traits — e.g. reference potential, modification patterns, movement potential, semantic span, etc. — makes it a useful notion or even a theoretical necessity, especially if a category label such as Ν, V is viewed as a bundle of subcategorial feature specifications (a 'complex symbol') with meaningful intersections and exclusions of their respective domains (e.g. V = [-A, +V], A = [+A, +V], etc.). It remains to be seen where the notion of clitics belongs realistically, whether to

5. Towards

a framework

53

the definable categories, to the meaningful prescientific notions, or to the pile of empty convenience labels. 5.2 Primary component parameters In general, the clitic phenomena described so far (plus others contained in the literature) form an ensemble which is heterogeneous overall and non-congruous with regard to its members. The clitic class constitutes only a loose grouping of local, not global, affinity. There is nothing more precise than a general reference to word status and a vague notion of low semantic, deictic, and prosodic prominence which unites all the cases. But these conditions are evidently not the exclusive property of what has been presented as clitics and thus cannot serve as a unifying common ground. Instead of a monolithic notion, it is necessary to look for a componential characterization of clitics, as has been done in the preceding paragraphs. The parameters set down at the observational level (in 2.7 above) are a useful approximation to the coordinates for clitic identification. Each single parameter, i.e. PROS, SYNT, PHON, and MLEX below, forms a dimension of normal linguistic behavior shared by the clitics with many different types of surface items. Each parameter can assume its individual setting between V and producing a dense network of multiple parameter intersections, with each bundle of intersections corresponding to an observable word type. Whether such a type determination belongs to what one would like to call the clitic domain is a secondary question which can be debated after the accumulation of much more relevant material than is available at this point. 28 The natural connection between the definitional parameters and normal linguistic phenomena guarantees a meaningful definition in the terms of these properties, regardless of where the cut-off points for cliticness will be located on these parameters. PROS (Prosody): full independent word behavior (proper word level stress, emphasizable) + no stress property (not emphasizable; no stress of its own) SYNT (Syntax): full collocational autonomy (regular place of its constituent function within the patterns valid for the

54

Chapter 2: Clitic

elements

language; full range of special displacements — WH movement, dislocation, extraction, etc.; gapping, conjunction reduction, etc. — at best semantic/pragmatic coocurrence restrictions with other elements of its type) + total collocational control by a placement principle different from regular constituent arrangement; coocurrence restrictions of formal nature; lack of expressive dislocational potential. The prosodic and syntactic dimensions must present some significant deviation f r o m the most extensive freedom contained in the descriptions before a clitic claim could be maintained seriously. Some stress subordination with regard to a host item must exist, and some loss of collocational freedom is essentially a precondition of cliticness. But from there on, the actual degree of deviation from an upper norm of restricted freedom is again freely variable for each parameter. Together, these two minimal specifications (left open at this point) are those responsible for producing the univerbation aspect of clitic plus host into the group. This phenomenon depends on rhythmical and placement incorporation into a mini-phrase, and on placement contiguity of surface position. The syntactic dimension is naturally much richer, as the descriptions above indicate: Subparameters of placement, linearization, cooccurrence restrictions and internal ordering statements, and clitic-specific displacement processes (clitic movement) must be recognized and are thus susceptible to variation, each in its own right, further complicating the cluttered typology of such elements. 5.3 Secondary component parameters Secondary aspects, with complete variational freedom, are to be added for finer tuning of clitic properties. PHON (Phonology): only rules applicable which are categorially free or not restricted to the envisaged clitic element + some rules of general import are not applicable to the group; some special rules applicable only to the group are added to phonology. The group boundaries constitute a phonological domain limitation, reinforcing the unit character of the group. 29 MLEX (Morphology/Lexicon): lexical identity of all word manifestations of the item;

5. Towards

a framework

55

open-ended set of items; normal morphological marking procedures for morphosyntactic categories + lexical disintegration of concept into clitic and non-clitic types; closed set of relevant items; special morphological marking procedures (or absence of any). All of these variables available for individual clitic creation are to be understood as referring not to the single clitic item, but to the minimal system in which such an item participates. As pointed out above with regard to lexical identity and derivability of simple clitic elements, the determination and description are necessarily transderivational and paradigmatic. An evident requirement for true clitics is the postulation of a last parameter of systematicity which assures the more than anecdotal status of any meaningful clitic diagnosis. REGL (Regularity): Any parameter setting must occur with manifest regularity for perceptual identification (between preferential and categorical). The task of clitic research is thus among other things the determination of the threshold values for each individually controllable variable, to detect any necessary or preferential correlations between different parameter settings, and to constitute thereby a demarcation line between what can be considered a meaningful clitic element and a non-clitic counterpart. 5.4 Tasks and problems The clitic framework established with the various multiple parameters of PROS, SYNT (placement, linearization, cooccurrence, order, clitic movement), PHON, and M L E X constitutes above all an open invitation for research aimed at filling the informational holes across the languages of the world. As such, with its internal lack of necessity (all intersections are open in principle), it is nothing more than a heuristic stance of potentially fertile implications. The absence at this point of a well defined clitic notion is, however, not as serious as might appear at first sight. The general preoccupation with an explanatory level of scientific linguistic endeavors has overaccentuated the degree of failure of a prescientific approach to a broad empirical phenomenon. The rigid definitional approach becomes fruitful only at the point where the comprehensive account

56

Chapter 2: Clitic

elements

of an existing amount of research becomes unavoidable. On the other hand, in a case such as clitic studies, where the uncertainties about clitic behavior, function, and meaning still are overwhelming, the risks contained in the vague clitic notion propagated here may be far outweighed by the gains achieved through an open research orientation which is not constrained artificially into recognizing only situations conforming to the theory. A subsequent stage of reinterpretation of the accumulated knowledge will demonstrate the degree of viability of the prescientific notion after systematization. It is evident that any serious clitic theory cannot precede the stage where the phenomenon as such can be characterized sufficiently. In the meantime, the more extensively elaborated reference points of a special and a simple clitic syndrome retain their usefulness as guiding and measuring patterns. This view does not endow them yet with any systematic force beyond a certain degree of intuitive naturalness as expressed in the categoricalness of the essential parameter settings. This conception requires as inevitable the extensive treatment of phenomena which do not achieve categoricalness, in that they are variably manifested at the surface. Frequency of occurrence becomes thus an essential tool in judging the status of a given phenomenon or a given variant. Clitics in their more general description do not necessarily conform to categorically defined elements even in synchronic terms, as staking out the boundaries for a coherent field of research has shown. 5.5 General operational properties of the system In a second sense, the frequential considerations mentioned in the first chapter become important, i.e. for the historical evolution which is the aim of the present study. The synchronic stages present a rather dissolute picture of minor differentiations with variable outcomes within the special and the simple clitics, e.g. concerning placement, or clitic movement, or actual simple cliticization in a manifest sense. The evolution of such clitic systems, starting out from another clitic system stage or from the non-clitic zero position, must yield in their transitory phases — i.e., before (if ever) reaching maturity — highly non-categorical phenomena of interest in clearing up the question of what clitic elements are, what they can be, and how they behave

5. Towards

a framework

57

in a comprehensive environment. The atomically conceived single dimensions of potential clitic interest will provide important paths along which clitic evolution can be described. 30 The questions to be investigated concretely in charting the evolution from Latin to Late Latin to Romance concern among others the ways in which the major dimensions (prosodic, syntactic, phonological) are activated and in what precedence relationships they stand with respect to each other. In principle, it is a previous reduction of the prosodic independence of an item which will trigger the cliticization process, prosodic downgrading depending mainly on the lack of deictic function and overspecific semantic content. The syntactic dimension of placement depends basically on typological d r i f t and accidental forces, according to the results to be elaborated here: drift from SOV to SVO, connected with characteristic, but accidental juxtaposition of host and proto-clitic. The other dimensions follow suit as secondary aspects which by themselves cannot produce a change in clitic status, but which eventually will reinforce the appropriate appearance of the concerned clitic elements. The much debated question of gradual or holistic change receives a clear answer regarding the surface dimension (which is the only viable approach in the given research): The onset of change is necessarily gradual since it consists of an increase of changed instances which together become recognizable as a sizable phenomenon over time. Evolution takes place through variation combined at the far end of the path with a last push towards completion, the latter a sudden switch which may achieve categoricalness out of a non-discrete situation of variable realizations. Since all historical transition stages must by logical necessity also be functional linguistic codes, the synchronic forces of variation and the historical gradual changes are one and the same phenomenon bridging the dichotomy of diachrony vs. synchrony. The dynamic aspect of clitic origin poses the question as to what internal combinations of different parameters at a given point of evolution are possible or attested. 5.6 Latin to Romance transition: General characterization The concrete transition areas to be studied here under the heading of Latin to Old Romance clitic development con-

58

Chapter 2: Clitic

elements

cern four basic constellations, using in part overlapping changes with reference to their syntactic dimensions: — Latin simple clitics to Romance special clitics (e.g. me —> mi)\ or, acquisition of a placement principle — Latin full forms, to Late Latin simple clitics, to Old Romance special clitics (e.g. illam —> la)\ or loss of prosodic identity, formal reduction, and acquisition of a placement principle — Latin full form to Old Romance definite article (an intermediate simple/special clitic as discussed, e.g. illam —> la; or, loss of prosodic identity, formal reduction, and acquisition of a fixed place — Latin absence of a special placement rule to Old Romance presence of a clitic movement rule/effect; or, acquisition of a clitic specific dislocation principle. Many other possible topics for historical study are hereby left out; outside of the pronominal domain only the article will be considered, mainly due to its formal identity with some 3rd person special clitics. But the concentration on the syntactic dimension, and therefore on special and related clitics should prove productive for rather secure and precise results.

Notes 1.

Cf. Garde 1968:71-74 on clitics and stress; the clitic, while not bringing into the string a word accent of its own, can still carry a surface stress from its host domain, yielding a 'stressed clitic' as in Neapolitan.

2.

Cf. for general treatments Battaglia-Pernicone 1978: 149-158, Fornaciari 1946:57-59, 144-146, 220-222, Regula-Jernej 1975:140-149. More concerned with one or another specific topic are Lo Cascio 1970, Napoli 1981, Rizzi 1978, Saltarelli 1978, Van Tiel-di Maio 1978, Wanner 1977, to quote only a few centrally concerned writings. For the historical perspective, the general treatments are Meyer-Lübke 1890:208-213, Rohlfs 1966-69.2:131-182, Tekavcic 1980.2:181-201; with more detailed concerns Mussafia 1886, 1898, Melander 1929, Lombard 1934, 1935, Castellani 1952.1:

Notes

59

79-105, Sorrento 1951:139-201, Ulleland 1960, Santangelo and Vennemann 1976, Wanner 1974, 1981, again without any claim to exhaustiveness of the available resources. The later chapters dealing with detailed questions contain richer bibliographical references. 3.

Example (2b) would be more natural with verb gapping; but such a structure condemns the crucial ( l b ) to ungrammaticality already by dint of the clitic's separation from the verb, regardless of emphasis.

4.

There are isolated, almost lexicalized cases of preposition plus clitic which appear in a certain style (spoken or written narrative, fully archaizing): ??Ecco che corre il lad.ro ... β dietrogli le vittime arrabbiate. But the phenomenon is not of any importance overall.

5.

The question of how such clitic strings must be described in their internal ordering is at the beginning of the transformational interest in clitics with Perlmutter's fundamental study (1970). There, a surface structure constraint is postulated as a language specific solution (as given in (11)) for the universally regulated clitic ordering mechanism. The debate for and against such a drastic solution, creation of a piece of theoretical machinery without inherent explanatory power, has been considerable. While the surface structure constraint approach has been shown to be insufficient on factual grounds (even for Spanish, for which it was conceived) and undesirable on theoretical principles, no better solution for the concrete descriptive problem has been advanced. Cf. Dinnsen 1972, Bastida 1976, Hetzron 1977, Wanner 1974, 1977, among others. The presentation of the SSC (11) in the text has mainly expository motivation; no stance on its linguistic justification is thereby taken. The notation must be understood as setting a single linear order between the eight slots; only one representative from any slot may occur in one given cluster; any implied combination, regardless of the number of items involved, should be grammatical, and no other one. In practice, more than three clitics in a row are very rare or cannot be processed.

60

Chapter

2: Clitic

6.

Zwicky 1977:26 refers to Stevens 1971 who describes an example f r o m Madurese involving alternating morpheme sequence in productive formations. The rarity of such examples brought to light so far implies that morpheme order is constant with each basic pattern defined.

7.

The grammaticality of these examples is not guaranteed for all speakers. The combination of first and second person pronouns in a cluster is at best awkward, the preferred solution being (even for speakers who accept utterances such as (17)) the replacement of the 10 clitic with a strong pronoun: Non ti puoi raccomandare a noi con questi propositi. Under all circumstances, the inverse orderings f r o m the ones given in (17) are judged as ungrammatical.

8.

While some forms of grammaticalized status (negative non, prepositions in, con, per, articles il, un) constitute the only natively derived items of Italian with final consonant, no such exception to phonotactic patterns exists among the clitics. Note in particular that the f o r m corresponding to the article il, the DO clitic lo, represents the only point of f o r m a l divergence between article and third person DO clitics, a d i f f e r ence which eliminates the final consonant. In Old Italian, the distribution was regulated in a different way, however.

9.

Deletion of [d] is less clearly a normal fast speech phenomenon than Λ-deletion, but it is not restricted to the pure clitic domain seen here or even to the single item them.

10. Cf. give THAT

elements

to him vs. give {that/it) to him : [gtv { £ / 9 ) t:m]

11. As a matter of fact, the concept of emphasized unspecified subject is a contradiction in terms, as a direct reading evidences clearly, hence *MAN. In Swiss German, with the same situation for m? 'unspecified human subject', a corresponding strong form [ m a ] can be produced by the simple addition of stress, with a meaning of 'anyone belonging to a specific group χ

Notes

61

me or it can be removed from the verb for different reasons. Colloquially, (26c) is however common (gimme it!), while an analogical give us it, give her it, etc. are much more difficult still. There is no way to form clitic clusters freely based on simple component clitics. In British English, however, the spontaneous order tends to prefer the banned give it me (T. D. Cravens, personal communication). The question needs to be studied systematically. 13. Typically, such a para-auxiliary verb used in isolation acquires a different identity through a full meaning, e.g. It. dovere 'must' ~ 'owe'; sapere 'know how to, be able' ~ 'have knowledge, know'; etc. 14. The data and the analysis come from Tegey 1976:636; cf. also 1975a,b. For fuller details, cf. Tegey 1977. 15. The pronominal clitics are treated in Tegey 1975a:571; the adverbial ones stem from Tegey 1976:636-637. The formal difference between the pure prepositions p a , trs , ρ 3 k 9 and the clitics pe, tre, ρ 9 ke are the result of the phonological incorporation of a 3rd person pronoun ye 'it', so pz + ye —> pe. For much fuller details, cf. Tegey 1977 in various relevant sections. 16. As illustrates the Old Sardinian non-reduction in form of 3rd person clitics compared to their etyma (Blasco Ferrer 1984:94-97). 17. Walbiri is treated in Hale 1973; the Somali information is found in Moreno 1955:39-42, 47-48, 91, 124, and C. W. Kisseberth (p.c.). While Walbiri uses destressed strong pronouns as clitics in second position (a procedure which may have characterized also Late Latin with ill-), in Somali the clitic can correspond to a full nominal PP simply shifted into second clitic position. Compared to other special clitic systems, here the set of such expressions is not clearly delimited (without being really open-ended either). 18. The article is not used in normative Italian with singular possessive expressions for closer members of

62

Chapter 2: Clitic

elements

W. Kisseberth (p.c.)· While Walbiri uses destressed strong pronouns as clitics in second position (a procedure which may have characterized also Late Latin with ill-), in Somali the clitic can correspond to a full nominal PP simply shifted into second clitic position. Compared to other special clitic systems, here the set of such expressions is not clearly delimited (without being really open-ended either). 18. The article is not used in normative Italian with singular possessive expressions for closer members of the family: *il mio padre — mio padre, mio babbo, il mio babbo — i miei genitori (*miei genitori). Such a distribution is due to the internal logic of the definite article, plus some external regulation. In Old Romance, the art + poss + Ν construction was much more widespread, e.g. also in Old Spanish. 19. Note also that the full form of the article/demonstrative in this construction is simple la with possible stress and not the etymological fuller form ella which has by now only functions of a strong pronominal variant. The link la/ella is thus external, suppletive even for the pronoun, as the previous description stated. 20. For che deletion, cf. Nilsson-Ehle 1947, Pearce 1985a, Wanner 1981b. 21. The stress on che in this example is affected and may be rather a means of rhetorically bridging the hesitation pause and establishing continuous attention; (b) and (e) are more normal with enclitic attachment of che in the context of a pause. — (35b) has an alternate version with proclitic che and the intercalated phrase occurring between main and subordinate clause: (b') Νon sembra giusto — considerando le circostanze — che abbiano arrest at ο Μanfredo. 22. The stress levels are marked by acute 1 for full, grave 1 for secondary stress. 23. The forms in parentheses are somewhat (cogli, coi) or very much {pel-) antiquated.

Notes

63

24. The connection between - / / - and the (potentially) stressed vowel is essential: From unstressed di/de and la in sequence only delä should result. The doubling of the consonant corresponds to an etymological geminate (de ilia)·, synchronically, only the preposizione articolata retains it, but certainly not in a productively derivable form. The historically reliquary geminate in della invites secondarily the recognition of stress on that preceding vowel. 25. hdcu Ί want' (full form), cu 'id.' (clitic), ne 'negation': nedu Ί don't want'; jesam (full), sam (clitic) Ί am': nisu Ί am not'. Note the accented status of the negative verbs. Serbo-Croatian clitics are in 2P after the first full word. 26. The examples are from Tegey (p.c.). for Serbo-Croatian clitics in 1958-1959:381 also a f f i r m s the placement of these negative auxiliary up of two clitic elements.

Cf. Browne 1974 general. Reiter possible initial compounds made

27. The separability of morphological ingredients in the Old Spanish (and still in the modern European Portuguese) future and conditional tense forms is a d i f f e r e n t matter. The clitic remains as a clitic, becoming only endoclitic: (Iο dexare) — dexar-lo-he — (dexare-lo). The host word finds itself decomposed into an infinitival portion and an ending. Given the highly restricted environment of this ending, close to a special morphological phenomenon, there is no strong suspicion of clitic status for he, etc. 28. The fundamental content of the parameters is shared by the different approaches to a more comprehensive clitic framework, even though the details of segmentation and similar aspects may differ. Cf. in this sense Zwicky 1977, Steele 1978, 1981, Rivas 1977, Strozer 1976, Klavans 1982, 1985, Tegey 1977. Furthermore, the syntactic-prosodic interface is treated in an interesting way in Selkirk 1981, setting the two aspects into direct relation on a formal level; while Selkirk claims priority for the syntactic cliticization process

64

Chapter 2: Clitic

elements

(word boundary erasure which in turn allows new prosodic patterning), Tegey 1977 sets up prosodies as the essential first step towards cliticness. Here, the priority of prosodic over syntactic cliticization is maintained for general and specific reasons; but the componential approach removes the question from the urgent list. 29. The domain in which a phonological rule may apply in a clitic-specific way does not necessarily coincide fully with the syntactic clitic-plus-host domain. This is the case e.g. in the typical Old Romance situation where the pronominal clitic undergoes apocope or apheresis in preverbal proclitic position due to the lefthand context of a particle which does not form part of the cliticplus-host group; cf. Old It. e si Ί pongha a dormire (Schiaffini 1926 = STF 8; 190.1) compared to e poi il pongha a dormire (STF 8; 190.2) for the alternation il/l. The juxtaposition to si, the reason for the loss of vowel in il, is merely fortuitous; the clitic is in its place due to the proclitic verb placement to pongha. This phonological adjustment of clitic and other prosodically low elements in the surface string is due to the same processes which underlie true cliticization, i.e. essential prosodic lowering. But in this case, it leads only to a surface constrained, derivationally final and revocable cliticization. This same phenomenon also produces the Latin string types of proclitic nature consisting of a conjunction and/or preposition preceding a lexical element in clause/phrase initial position; cf. below in Ch. 3:3.3 and 9:3.1,2 for general discussion. 30. This is the sense in which this investigation resembles the UNITYP position, in spite of the external, terminological, and extensional differences: The constitutive clitic dimensions are conceived as scalar operational dimensions which define mini-types of linguistic form/function/behavior correlated with a concrete linguistic foundation (e.g. the prosodic parameter). The adjacency of two steps — e.g. 'variably unstressed' ~ 'always unstressed' — also defines a potential step in the development towards clitics. The psycholinguistically relevant dimension is operative in synchrony and by necessity also in diachrony; cf. discussion in Seiler 1979

Notes

65

and C. Lehmann 1984:19-42. The entire complex of relevant clitic dimensions will be taken up again in the last chapter, where a number of revisions will be applied to the parameters presented here and their interaction (cf. Ch. 9:3).

CHAPTER 3 CLITICS IN LATIN

1. Background 1.1 Latin and Romance clitics As an Indo-European language Latin, participates in the major patterns presumably inherited from the parent language: weak vs. strong pronoun functions/forms (with considerable latitude of innovation and derivation with regard to the expected norm), and a placement tendency into second position (= 2P, Wackernagel's law), though in no way as an exclusive realization. Pronouns in a traditional sense exist only for the functions of first person, second person, and third person reflexive (I, II, III refl); the others are in the range of demonstratives of varying force and reference. The true pronouns are potential clitics; those of III acquire this property only later in the evolution. The traditional special enclitics of Latin are all non-pronominal, and as true enclitics follow the 2P = W placement tendency strictly. 1 Other non-pronominal elements conform to this trend in a manner similar to the weak potential clitic pronouns, i.e. only preferentially. The consideration of stress (and emphasis) levels is crucial for a delimitation of the clitic status (simple or even special) of all such elements (except for the secure special enclitics -que, etc.). The Latin stress rule is known to react differentially to the presence of clitics by prestressing true special enclitics; the occasional (pronominal) enclitics may optionally be treated in this way as well. The morphology of the forms turning eventually into Romance clitics does not offer particular problems. Nor is there anything systematically important in the segmental phonology of these pronouns/demonstratives. Rather remarkably, Classical Latin tends to avoid using pronouns wherever possible, especially by turning to the strategies of repeating with a near homonymous full NP, or by relying on extended use of zero anaphora. This trend produces a rather formal language, partly due to stylistic choice, and partly to the pragmatic conditions surrounding the Classical documents studied here. Plautus, in his vivid

68

Chapter 3: Clitics in Latin

(preclassical) dialogues, even though metrically affected, uses very many pronouns. The Classical reticence against free pronoun use produces also a lack of occurrences of clustered pronouns. 1.2 Different Latin phases: Evolution The large time span comprised under Latin (from the second century before to the eighth after the beginning of our era) falls into different evolutionary stages during which time a number of features take a crucial turn from a previous Latin condition to a typically Romance one. The main purpose of this Latin Part One of the comprehensive clitic study is to clear up the transition from Latin to Romance. The salient concern of this phase is the formal reduction of the Latin occasional clitics (or non-clitics) to special clitics, with a peculiar phonological evolution due to stresslessness and some other diacritic property, finally resulting in true cliticness. Given the prosodic nature of this change and the referential implications of prosody, the result of weakened pronouns derived from strong demonstratives is comprehensible. The process took a long time to manifest itself unambiguously (probably less so for actual phonetic implementation on a variable basis). Only in the eighth century is the first definite article/3rd person pronoun attested with apheresis: lo, la in the Parody of the Lex Salica. With the forms other than those from illthe formal criterion is not easily established. The interesting phonetic trajectory belongs to the history of individual languages (and will thus be treated in Part Two) since the phonetic changes are securely manifested only there. Syntactically there is first the loss of Latin special enclitics due to dysfunctionality of their phonetic body and the availability of less involved analytical variants for the same functions (e.g. et for -que with regular syntax and prosody). The original non-clitic pronouns change their non-placement to erratic adherence to second position placement (2ND), then to increased conformity with Romance verb based placement (VB), and finally to strict adherence to VB. Nowhere in any Latin text or style level is there full adherence to either one of the two systems (2ND or VB), not even to the two placement modes combined, without some non-negligible remainder. Tracing the slow, circuituous and incomplete shift into a systematic

1. Background

69

pattern in new languages, i.e. Old Romance, requires extensive text research across the ten centuries within the scope of this evolution. The crux turns out to be the non-linear stylistic dependency of transparent manifestations of low-register speech, in addition to possible foreign influences, which may distort the natural state of affairs of (Vulgar/Spoken) Late Latin. Under such an interpretation it becomes visible that the change f r o m 2ND to VB (as finally seen in the Old Romance Tobler-Mussafia pronoun distribution TM) is produced by concomitant changes in the language which incidentally lead the pronoun into a new association with the verb. The catalyst in this evolution is verb fronting, which acted as an emphatic process throughout all of Latin, but which for evident reasons came to the fore in the text classes and stylistic registers of increased emotive character considered here, showing more of what the spontaneous spoken language was like at the moment of transition, at the end of Antiquity and the beginning of the Middle Ages. The result is a huge increase of cases with double compatibility for the old order of 2ND and the new VB. At this point the perceived association of the pronoun may cease to be with the clause (in second position), and switch to the verb without any visible dislocation; this is the case for Old Romance. What is a major typological shift from 2ND and free placement to VB in the metachronic dimension is in chronological continuity a very gradual inching towards a new solution with persistent old and incomplete placement choices. This led to a new state of affairs (TM = VB) only at the point of the accomplished (sociolinguistic) switch from Latin to Romance, observed here in the written dimension. 1.3 Origin of clitic movement The second major problem is the origin of clitic movement (CM). The same text investigation that was used for the placement/linearization question also yields excellent insight into the origin and nature of this controversial syntactic phenomenon. It proves to be a Latin feature deriving from the syntax of subordinate infinitival clauses (a.c.i. = accusativus cum infinitivo) with expressed embedded subject. This subject pronoun came into frequent contact with the higher verb due to the application either of extraposition of the infinitival clause to the right of the

70

Chapter 3: Clitics in Latin

higher verb (thus /V 1 [subj 2 ... inf 2 ]/), or of 'free word order' restructuring (resulting in /...subj 2 V x inf 2 .../), both deriving from a basic SOV pattern (/[ S 2 subj 2 ... inf 2 ] V x /). Among these subject pronouns there were object pronouns of the infinitive and the higher verb, all following the same placement options with varying degrees of regularity. In the transition to single pronoun VB placement, the contiguity of V x with subj 2 or obj 2 becomes reinterpreted as a direct dependency on V v It is this new identification which stands at the origin of CM for Old Romance, where CM had more extensive applicability across higher predicates, and more frequent application per allowed higher predicate than in modern Romance (e.g. Italian as sketched in Ch. 2:2.2). Here again, two independent processes, extraposition and restructuring or free word order rearrangement, create a categorical phenomenon in the later language once the evolutionary ties are disconnected from the preceding language phases. 1.4 Definite article Finally, the development of a definite article is the result of a meaning shift of the demonstratives caused by stress reduction, concomitant phonetic reductions, the pragmatic vicinity of third person distance deixis and definite identification in the discourse, and the general tendency to cliticize any regularly unstressed form into a motivated position. 1.5 Typology and continuity Regarding typological questions, a much more complex picture of historical change and innovation emerges. The basic continuity across multiple language stages, of very specific features and details, sometimes even of relatively superficial standing, forces one to place great emphasis on the conservative tendencies in language, rather than focussing primarily on the arbitrary forces of reinterpretation and rapid categorical change implied as predominant in generational models of language transmission. 1.6 Exclusions The geographical dimension has been neglected in this longitudinal study so that the evolution is shown as artificially unitary and singularized on the multiple axes

2. Special

enclitics

71

leading from Latin to a specific Romance language. The lack of good evidence beyond the eighth century, due to the Carolingian reform and the appearance of more classically traditional Latin in many places (cf. Wright 1982) made the dialectal extension impractical for the present study. The major findings thus concern the origin and development of the Tobler-Mussafia conditions (TM) and of clitic movement (CM) per se. The other aspects, assembled in this chapter, are rather a recapitulation and systematization of previously known facts, gathered for the purpose of providing a more coherent picture of the entire proto-clitic question within a reorganized context. 2. Special enclitics of Latin 2.1 Enclitics and stress adjustment There are at least two different subclasses of such enclitics which must be distinguished in their syntactic behavior. The set of true enclitics in (1) is a closed group, while the enumeration of forms in (2) is open-ended. 2 (1) a. -que 'conjunction; and'; -ve 'disjunction; or'; -ne 'interrogation (neutral)'; -ce 'deixis' b. asyllabic versions: ^c, MJ, MJ, ^C (varying productivity) (2) a. enim 'actually'; autem 'but'; quidem 'namely, actually'; tamen 'but, nevertheless'; vero 'truly 1 ; igitur 'therefore', etc. b. quis 'who, he, anyone'; quisque 'every one', etc. Only the forms in (1) are categorically enclitic to a preceding element as bound forms. The forms in (2) on the other hand are not necessarily categorial special clitics; they show instances of simple cliticness, i.e. they do not conform to W as they should if listed under (1). Instead of being pronominal, these truly special forms have connective and attitudinal functions, the first two (-que, -ve) with constituent scope, the latter (-ne) with clause scope. 3 Formally, they are all of the type -C(V)#. They have a peculiar effect on stress placement in the group of host + enclitic. Whereas Latin word stress is otherwise fully predictable in segmental terms (Leumann 1977:253-254, Wanner 1979:3-8), these enclitics require stress to fall on the syllable immediately preceding them, regardless of the

72

Chapter 3: Clitics in Latin

syllabic constituency of the string. Crucial are the cases Musa-que, arma-que, commoda-que commented on by ancient authors (Schöll 1876:79-86) which would be expected to appear instead as *Miisä-que, *ärmä-que, *commödä-que or even *c0mmÖdtC-que.A The two responsible rules, Latin Stress Rule' (LSR) and Enclitic Stress Rule (ESR), are respectively: ( 3 ) a. LSR b. ESR

V —>

[+str] / - ( C Q ( V c j

V — > [+str] / - C Q #

(L))V)C0#

[+enclitic]

The two rules are arranged in such a way that ESR will override the product of LSR in the enclitic environment, imposing its morphosyntactically determined stress place. The two elements, host plus enclitic, are clearly fused into a single unit: only one stress, and a stress place different from where it should be in the absence of the enclitic (Wanner 1979:9-10). This special stress phenomenon seems to be extending to some enclitics in (2a), specifically quando, inde (thus siquando, exinde, etc.) where LSR is disregarded in the other direction of the heavy penultimate syllable constraint (Schöll 1876:190-192, Leumann 1977:140). This same accentual shift from LSR to ESR is not reported for the other forms in (2a,b) so that their enclitic status might be seen as different from that of the forms in (1) and (2a): These latter constitute fixed combinations with the host, whereas the former are still independent items, with considerably lowered stress to make them cliticizable, but on a phrasal level, not on the word level as before. 5 Thus Latin has an enclitic specific prosodic adjustment (ESR) which refers regularly to the forms of (1). The latterday Romance clitics do not show any productive trace of this prosodic regulation, Quite to the contrary of the faithful preservation of LSR (cf. Wanner 1979:8-10). In fact, ESR ceases to operate already within Latin due to the loss from the lexicon of the relevant enclitics in (1), -que, -ve, -ne, -ce. 2.2 Second position (2P) = WackernageVs law (W) Syntactically, the forms in (1) follow the law of second position W in one or another variable interpretation, as do

2. Special

enclitics

73

the items in (2). This positional effect explains their enclisis. The different forms have varying scope in the clause, -que is not used for clause conjunction, only for phrase and lower constituent levels (Hofmann and Szantyr 1972:473), while -ve can also connect two entire sentences (503; Gildersleeve 1894:300-301,309). -ne refers however to the sentence level by definition; sometimes it may be found displaced from a natural second position according to W due to an overriding scope concern: Pit. et heri cenavistine? (apud Hofmann and Szantyr 1972:461; cf. Ernout-Thomas 1953:453-454, Woodcock 1959:128-129). This clitic -ne would have passed in preliterary times from a full stressed form to the literary enclitic (Hofmann and Szantyr 1972: 461, Gildersleeve 1894:291-292). -ce appears only in a fossilized, fragmentary distribution attached to demonstratives, reinforcing their deictic power (Lindsay 1894: 432-433). 2.3 Enclitic alternations Except for -ce, each of the true enclitics -que, -ve, -ne has an alternate full form of non-clitic status: et, ac, atque for simple -que; aut, vel for -ve; nonne, num, 0 for -ne (indicating positive, negative, neutral expectation for the answer (Hofmann and Szantyr 1972:461-462). These free alternations reduce the exclusive functionality of the enclitics considerably. The final vowel of the enclitic tends to be deleted before a vowel initial word, resulting then in not very well marked surface forms (cf. (lb)) consisting only of single final consonants (Lindsay 1894:203-204). 6 The nonfunctional status of e.g. -que/-c is visible in its occasional pleonastic use, in the two forms of x-que = 'x', et x-que = 'et χ' (Allen 1973:101). -que is also attached lexically to some conjunctions, e.g. ideoque = 'ideo' (Norberg 1944:92-96). Full use of -que in all instances is a preliterary idealization since already Plautus uses more et than -que·, from the more spontaneous texts (Peregrinatio ad loca sancta, Cena Trimalchionis) enclitic coordination seems to be almost totally absent, implying for -que a higher style level or archaizing flavor compared to et, etc. (Hofmann and Szantyr 1972:474, Janson 1981: 90-119). Also in the lexically fixed position, neque yields its place to nec from the time of Horace (Richmond 1965). Similarly non-popular and early reduced in usage is -ve (Hofmann

74

Chapter 3: Clitics in Latin

and Szantyr 1972:503), perhaps affected by its particular phonetic weakness (with final [w]). Absence of clear prosodic support in many situations, and the availability of more flexible analytical variants doom -ve, -que, -ne early on. Their final dissolution takes place in Middle Latin where e.g. -que even acquires an equivalency to et and may be used in p r e - X position like et (Dressler 1965, Hofmann and Szantyr 1972:476). Romance confirms the loss of these particles f u l l y , except f o r fossilized and synchronically unrecognizable cases such as illic (It. It), seu (Rm. säu) (Väänänen 1974:270). As a general consensus, the enclitics of (1) are no longer characteristic of the spoken language starting with the early Imperial period. 7

3. Pronouns as clitics 3.1 Forms for I, II, and III reflexive The real Latin pronouns of I, II, and III reflexive take the standard and variant forms shown in (4); cf. Gildersleeve 1894:55-57.® (4) nom 1sg ego

gen meT (mTs)

2 3

tuT CtTs) suT

tu -

1pl nSs 2 vös 3

-

nos t run/-T vestrum/-T vostrum/-T suT (suom)

dat mihT, mT (mihe, mihei) tibT (tibe, tibei) sib* (sibei)

acc abl me (med, meme) (acc=abl)

nöbTs (riöbeis) vobTs

nos vos

nöbTs vöbTs

sibT (sibei)

se" (sese)

se (sese)

te (ted, tete) (acc=abl) se (sese) (acc=abl)

While the subject forms are frequently and normally contrastive/emphatic in a text, the non-subject forms have the potential to be enclitics from IE times (Hofmann and Szantyr 1972:173-174). This is naturally quite relevant for the later Romance evolution to regular presence of special object clitics, as opposed to the absence of subject clitics. The forms in (5) are those which were exclusively preserved in Romance (cf. Väänänen 1974:214-215).

3. Pronouns as clitics dat

(5) 1sg 2 3sg/pl

acc

( m i h i - ) mi

me

dat pi

acc

(nöbTs)

nCs

tT

te

(vobTs)

vös

( s i b i ~ ) sT

se

Csibi)

se

tibi-

75

The surviving forms are dative and accusative (ablative) from the formal point of view; the Romance reflexes, however, do not necessarily continue their etymological case function. In the majority of instances the two old case forms are fused or one of them is dropped from usage altogether, producing even some crossed forms such as mibi (Old Sit. meve, Mozarabic mibi, etc.). 3.2 Forms of III For the third person, various demonstratives are available with originally strictly separated functions, which however tend to be conflated in certain semantic areas, is is a flat anaphoric item. According to its etymology, it originally expresses first person deixis which, however, has never been exclusively present in the documented stages of Latin (Hofmann and Szantyr 1972:186). hie carries regular first person, iste second person, and ille third person deixis. ipse is the expression of emphatic and/or identity deixis, while idem identifies strongly its referent, is, as the deictically weakest term, is used as the otherwise nonexistent third person flat reference pronoun. 9 In later Latin evolution, the great number of pronouns and case forms were considerably rearranged in their functions and streamlined in their forms. As one result of these changes, they eventually yielded the special clitics of Romance (through stress loss) or the new demonstratives (through recomposition) and strong pronouns (through stress maintenance). In principle, is died out, except in relics such as It. desso < id ipsum (Väänänen 1974:216). idem disappeared completely, as well as hie, which is only continued in Cat., Prov. ho, oc (ibid.). ipse acquired the emphatic identity function, and in a stressless variant thereof it started to express a simple anaphoric reference yielding the third person pronoun and the article in part of Romania (normally supplanted later on by ille). Witnesses are e.g. the Sardinian and Catalan 'salat' articles (es, sa, su).10 iste shifted from second to first person deixis (Sp. este, It. questo, OFr. cist), ille became the simple anaphor of the third person, representing the

76

Chapter 3: Clitics in Latin

newer choice across Romania; in addition, it formed the base for the article, like the earlier ipse. In general, the surviving demonstratives only preserve a few nominatives, but regularly the accusative and dative case forms as the etymological basis of Romance pronouns, with a minor addition from the genitive in dative function (illorum > loro = It. loro, OSp. lur, Fr. leur, etc.). The surviving forms are schematically listed in (6). 11 (6) a. nom sg

acc/dat

nom pi

acc/dat

ILL-:

ilie -> el

ilium -> lo

illi -> li

illos

-> los,les

(ilia -> la)

illam -> la

illas

-> las.les

illis

-> lis/les

illi

-> li/le

iIlorum ->

illui -> lui

loro

illei -> lei b. nom sg IPS-:

acc/dat

nom pi

acc/dat

ipse -> es

ipsum -> so

i psos

-> sos

(ipsa -> sa)

ipsam -> sa

ipsas

-> sas/ses

The crucial evolutive step is the loss of the first syllable (or, less revolutionary, of the last one for nominative derivations of ille, ipse). All of these aphereses depend on lack of stress and incorporation of the pronoun into a phonetic phrase. The detailed developments will be studied under the single language headings of Part Two. From the point of view of Classical Latin, it is essential to realize that the pronominal forms of (5) are only simple clitics at that point in time: They have a single form (manifest in the documents) with varying stress level; only occasionally do they undergo a placement process conforming to W, thus keeping their full range of clitic/non-clitic appearances. The deictic terms for the third person in (6) develop the same variable simple clitic status only much later. Before being able to undergo the progressive weakening leading to effective cliticness, they needed first to drop from their strong status to simple reference function. 3.3 Other Latin clitics and clitic-like elements The inventory of Latin forms susceptible to cliticization — to a degree usually lower than that of the true pronouns, but higher than that of the demonstratives, i.e. the

3. Pronouns

as clitics

77

intermediate f o r m s of d i f f i c u l t clitic classification — includes a wide array of interesting phenomena (best presented in Lindsay 1894:165-170; cf. also L e u m a n n 1977:240-242): — enclitics -que, -ve, -ne, -ce; — some forms of esse, fieri, chiefly es, est (amatu's, amatu'st in Plautus; cf. Allen 1973:149; Scherer 1975:222; Wackernagel 1892:428-429); — personal pronouns of (5); — demonstratives in anaphoric weak function in anticipation of Romance; — indefinite and relative pronouns; e.g. quando-tot as a single word unit with one stress, as stated by the grammarians; — prepositions, normally weakly stressed, but orthotonic as adverbs (süpra habitat vs. supra-moenia)·, — sentence initial conjunctions; — auxiliary verbs fusing into a lexical unit with the main verbal stem (volo-scire, coctum-dabo as single words in terms of accent placement); — certain nouns combining with other items into a group (quomodo, quotidie, ubiloco). As clitics or para-clitics, these forms represent variations on the parameters of syntactic freedom of placement, and they exploit the stress level options extensively. The evidence for these cliticization claims derives f r o m the direct testimony of grammarians or f r o m accentual observations and orthographic observations (word conflations). The accentual behavior is complex and not always fully clarified through the sources. However, the simple/ variable clitic status of the true pronouns is directly attested in Priscian (11.141.15 apud Lindsay 1894:167) since he equates in accentual behavior and overall function the Latin expressions videt me, videt me, ilium autem non with Gk. eidenmen, eiden emi, oük ekemon. Thereby, he distinguishes the conjunctive f r o m the disjunctive forms (the latter contrastive in combination with the verb, and ambiguous f o r strength in the absolute construction) since the Greek equivalents distinguish the two f u n c t i o n s formally. A question remains as to the actual prosodic realization of a Lat. videt me: should it be videt me as predicted by LSR compositionally? Or is it rather videt me as suggested by the Greek clitic prestressing arrangement

78

Chapter 3: Clitics in Latin

and possible in Latin through ESR (or indifferently through LSR in this case) if the two items are taken as a true clitic group? From the testimony of lexically fixed compositions with non-pronominal clitics, there is some evidence that a single word unit with global application of LSR to the compound may be the correct description: quömödo, postridie,

missumfacit

(vs. cavefäcYas),

aspicedum

(and

not

*aspice-dum according to ESR) in Plautus under ictus. More cases in this category of single accentual word domain formation have to do with proclitic arrangement rather than with enclisis: supra moenia and, more interestingly, the lexically fixed compositions where the word accent strikes the preposition due to the LSR conditions: öbviam, äffätim, denüo\ in quämvis, sis < sivis, si quis also with conjunctions. 12 3.4 Prosodic summary Cliticization thus has three stress realizations: First, ESR is applicable for special enclitics (-que, etc.). Second, univerbation of host plus clitic occurs under LSR with (simple) enclitics and proclitics in phrasal clause bond. Third, simple loss of accent takes place under pragmatic phrase conditions of variable nature (perhaps already affecting the nonessential demonstrative usages?). The first and third categories seem quite organic, where the first class (systematic enclitics) is a special syntactic trait, grammaticalized beyond its original function; the lack of accent on the clitic does not motivate a mechanical condition of prestressing. The third grouping of pragmatic destressing is an automatic option for linguistic expression applicable anywhere beyond the single word level in the phrasal or clausal organization of expressive prosodies. The middle group (univerbation) appears more peculiar, signaling a more than fortuitous contact between the two elements bonded by an extended application of the normal lexical prosodic principle in a non-lexical context. In this same category are also found some secondary constitutions of full prosodic elements composed of two weak elements (as discussed in Ch. 2:4. 6-7) each tending towards cliticization in appropriate contact with a host: ad me instead of an expected ad me with normal lexical stress on the (potentially) strong pronoun; inter se under ictus in Plautus; also the univerbation atque from at + que (Lindsay 1894:167).

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In general, the discussion of confirmed and suspected clitic situations in Latin produces a few certain cases, and many ambiguous candidates. The main stumbling block for the analysis is the absence of reliable prosodic information, or in those cases in which the grammarians are clear on that point, the absence of a reliable embedding of the observation in a linguistically interpretable context. A general scale of cliticizability, from high to low, extends over the phases: true pronoun — anaphoric expression — intermediate forms (prepositions, conjunctions, particles, etc.) — deictic elements. This arrangement implies at any point the actual availability of an unstressed, pragmatically non-prominent instance of the listed item. In addition, the unchanging enclitics of (1) form the top of the clitic hierarchy. The choice made by Romance from among these clitics and potential clitics is not a homogeneous slice: While the intermediate category of prepositions, etc., continued for reasons of syntactic necessity more or less unchanged into the newer linguistic strata, the polar extremes of true pronouns and strong deictics became united into a single special clitic class, and the fully formed special clitics of Latin fell out of consideration early on. Romance cliticness continues and reforms Latin cliticness radically, especially by constituting a coherent pronominal class under the heading of special cliticness.

4. Indo-European background 4.1 Pronouns in PIE, Greek, and Sanskrit The interesting aspect in the context of this study is the analysis of the origin of personal pronouns and their potential behavior across various classical languages with the aim of illuminating, if possible, some of the less clear aspects of their Latin cliticness. The placement hypothesis 2ND, i.e. Wackernagel's law, plays an essential role. The detailed history of special enclitics, or even of pronominal elements in their morphophonological aspects does not bring to light much new outside of the central placement hypothesis connection. The best source of clarification is a comparative look at Latin-Greek-Sanskrit parallelisms and divergences, where secure documentation is abundant.

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The personal pronouns are enclitics from IE times, either in etymological identity or in functional equivalence in the oblique cases (Hofmann and Szantyr 1972:174, Krahe 1962-1963.1:50). For Greek and Sanskrit, the two series of stressed vs. unstressed (clitic) pronouns are formally differentiated very clearly. 13 (7) a. Greek b. Sanskrit

emof

em6

mähyam

mim vs.

vs.

moi

me

mS

ma

This same differentiation pertains also to later phases of the same languages, as e.g. illustrates the Modern Greek discrepancy of (e)mena vs. mou, me (cf. Moser-Philtsou 1962:45-47) and the Pali pairing of maya vs. -me 'ablative' (cf. Mayrhofer 1951:118) for the stressed vs. clitic series. The strong pronouns are usually reformed in the single idiom on the basis of language particular materials, while the clitic forms represent the older language etymologically (Burrow 1973:264-265; Hirt 1927-1937.4:154). For Sanskrit, the items of direct IE descent are these: (8)

ma (acc)

me (dat)

me (gen)

nau

nas ( a c c / d a t / g e n ) ^

tVä"

te

te

väm

vas

The enclitic forms in Greek, Sanskrit, and Old Church Slavonic are directly derived from a PIE base *me~; *te~, *gs-, \e(Krahe 1962-1963.2:39-42), while the strong forms in the same languages vary more widely, so that a reconstructed base for PIE cannot be obtained and their formal explanation is language specific. The crucial aspect is that Latin me, te, nös, vös derive from the same PIE clitic sources as the corresponding Sanskrit and Greek pronouns. For the Latin datives, other elements intervene with case endings and other additions. Etymologically, the Latin accusative/ablative pronouns derive from special clitics. In this capacity, they should be expected to behave rather naturally as minimally simple clitics in Latin. The plausibility of a clitic diagnosis for such cases is supported significantly wherever the formal second position conditions are fulfilled (the narrow correspondence to the PIE enclitics) or where at least surface destressing seems to hold (outside of second position). But the Latin situation

4. Indo-European

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81

announces unmistakably the further evolution from clitic to non-clitic status: The segmental and functional identity of me/me beyond the prosodic difference and the clitic origin of the form characterize me as a secondarily orthotonized pronoun representing a historically atonic strain (Hirt 1927-1937.6:156). For the record of general clitic observations, the transition from clitic to full form under lack of segmental reinforcement and with pure addition of stress — i.e. without any inverse changes like those characterizing progressive cliticization, e.g. English him ~ ψ — is a possible evolution. The vacillation between clitic and non-clitic can be further extended to three stages: PIE */« —> Lat. tu —> Fr. [tü] (subject clitic), while the strong PIE *tue yielded Greek se, but is not represented in Latin documentation. 15 4.2 Pronoun prosody Purely within Latin, the recognition of these forms as clitic or strong based on morphological or phonological material alone is possible at best ambiguously, or even not at all, while historically, Greek and Sanskrit accentuation is indicative of their status. In Sanskrit, an accent may fall by chance on enclitic pronouns; the graphic clues and grammatical comments are clear for secure recognition of these cases (Kurytowicz 1968.2:100-101). In Greek, all enclitics lose their own stress (if they ever had any) by throwing it back to the last syllable of the host (Meillet and Vendryes 1953:127), a phenomenon comparable to Latin prestressing of clitics. Since accents entered the standard graphic representations of Greek in Alexandrian times, and since the language preserved the strong/weak distinction more or less in its etymological form, the accumulated knowledge about this aspect is considerable and qualitatively much superior to what is possible for Latin. 1 6 But in this perspective, the Latin fragments of clitic features and manifestations with accent-retraction/prestressing and productive conditions for cliticization fit rather well into the overall framework of the classical languages. Such clitic remnants can thus be accepted as a linguistically motivated component of Latin, in spite of the reconstructive difficulties which the material presents.

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4.3 W is not a rhythmical, but a syntactic principle On the syntactic side, Wackernagel's law (W) is a true condition of the three languages considered here, even though in Latin this principle may be less consistently followed than in Greek and Sanskrit. W was established as relevant for all of IE (Wackernagel 1892), including Latin (already similarly in Delbrück 1888:22). In the first place, enclisis of -que, etc. is inherited (Leumann 1977:240; Meillet and Vendryes 1953:629-630; Schwyzer and Debrunner 1975.2:388); it characterizes all three languages in the same absolute form. The -que placement pattern cannot be interpreted as second position in any direct sense at the clause level (Delbrück 1900.3:49); but, as implied above, in a localistic sense, -que is clearly in second position to the item it connects with the preceding material: arma virumque ... is not just [ s Χ Y + que Ζ ] with arbitrary occurrence of the particle somewhere in the clause, rather it must be seen as: [ s ... [ c [ c l X] [ c2 Y + que] ] ... ], where X = arma, Y - virum, and where [ c2 ] represents the minimum constituent permitting meaningful second positioning. The cx and c 2 constituents are parallel conjuncts, and [ c ] marks the enveloping domain of the same type. 1 7 The pronominal and other weak or clitic elements fall into second position much more readily in Sanskrit and Greek than in Latin. Not all affected forms are pronouns, so no pronoun specific explanation will be acceptable (Wackernagel 1892:367). Normally W is claimed to be a non-syntactic, rhythmical rule or principle since this placement frequently signals the separation of syntactically coherent material, e.g. as [ s [ c X + enclit Y ]...]. First position in S is said to be strong, an intonational peak, so that it creates a following 'Wellental' or rhythmic void where unstressed elements (by their nature or accident) are attracted; this is the common view on the origin, motivation and functioning of Wackernagel's law. 18 While the rhythmical dimension cannot be denied completely, as implied by the nature of enclisis with stress adjustments outside of phonological or prosodic necessity, there remains a clearer portion of syntactic justification in the many known cases. First, in Latin the true enclitics -que, etc. are fully dependent for placement on their respective scope. They are in second position with regard to their respective immediate scope element (9a). Rhythm is established once the scope has been determined.

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83

Second, the accumulation of unstressed words in 2P is typical of all the languages concerned, but this circumstance does not at all support a rhythmical notion: The syllabic addition of other unstressed items creates unrhythmical, amassed sequences of stressless words (9b). At best, such a string of weak syllables is able to acquire a secondary stress prominence as in Greek which can create an 'unstressed rhythm' of its own, but again a rhythm depending secondarily on syntactic constitution of the string. Third, the same stringing up of unstressed words frequently follows strict patterns (much less so in Latin than in Greek). For Greek, the order has been established as particle — indefinite — pronoun, with no numerical limit on cooccurring items as in (9c). (9) a. ob vos sacro

(Wackernagel 1892:406)

tmesis, survival of older

conditions, also typical e.g. for Homeric Greek b. quid me tibi adesse opus est

(Pit. Bacch. 989; apud Meillet 19 and Vendryes 1953:581) pronoun accumulation

c. oud ära po: hos epekrafaine kronfo:n (Homeric, B419; apud Meillet and Vendryes 1953:581)

Sanskrit offers conditions similar to those of Greek. With the evident coincidence between Sanskrit, Greek, and Latin, W can be established as relevant also to Latin, even though here it appears in a less well preserved version than in the other two languages. Furthermore, other IE languages (Slavic: OCS, Czech, Serbo-Croatian, Macedonian, Bulgarian, etc.) offer regular conditions of 2P, as well. In this wider perspective, two issues involved in W are recognizable which are not always kept very clearly separate: There is a second position phenomenon for real (en)clitics; and there is a second position phenomenon relating to words which, even though possibly hightoned, e.g. in Greek, end up in a forced position, i.e. second position (Hirt 1927-1937.7:229). In this way, syntactic and rhythmical aspects are even more intimately mixed in the constitution of what goes under the complex notion of Wackernagel's law. 20 4.4 Second position To summarize this discussion, second position under the operational guidance of Wackernagel's law is intimately connected with enclisis; or better stated, enclitics are in

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Chapter 3: Clitics in Latin

second position by nature. The level of 2P determination may vary with the type and discourse function of the clitic, which must above all remain functional to express its scope appropriately. 2P is defined most naturally and frequently on the sentence level. Into this pivotal weak position many otherwise not automatically clitic elements are attracted by their characteristic of having sentence scope (autem, igitur, enim, quis). The same sentence-modifying second position reinforces any preexisting tendency for pronouns to appear there since they, too, are clause oriented. 21 Given that some of these pronouns are basic enclitics anyway {me, te, etc., derived from the IE clitic etyma), other less clitic-prone pronouns/anaphors enter their sphere of influence, i.e. they undergo analogical attraction into 2P from items already exhibiting the minimal adjustment of pragmatically unnecessary and prosodically absent prominence. The confluence of normal and exceptional clitic forms in 2P may lead to an internal particle ordering principle, as e.g. in Greek and Sanskrit. But in Latin, with its less systematic accumulation of elements in 2P, no fixed ordering principle needs to emerge. The actual ordering mechanism is language particular and can employ different dimensions connected with clitics (morphophonology, phoneme string constitution, function, etc.). In the same sense, the range of items comprised in 2P is language particular; while Sanskrit places the verb there with a certain regularity, in Latin only the shallowest auxiliary forms of esse, fieri follow this trend sluggishly, with more faithful adherence observed only for intercalated predicates of the type inquit.22 Latin thus has an important inheritance in 2ND = W for pronouns of the me and is type, but preserves it only in an optional form. The actual extent of its validity for pronouns must be investigated here to assess the importance of 2P for further pronoun placement evolution to verb based placement (cf. Ch. 5). Since the Latin tendency is clearly somewhat weak, only sufficiently unobtrusive non-clitic forms would be expected to enter 2P, i.e. those which do not retain any trace of a stress of their own; the non-contrastive weak anaphoric pronouns/ demonstratives which yielded the later Romance clitic pronouns are ideally suited to be taken up in this progressive cliticization. The scale of syntactic loss of independence, from full form to unstressed form, to simple clitic, and to

5. Evolution of pronoun forms

85

placed special clitic, is available in an evident way. Yet the predicted result on the basis of IE and Latin tendencies is a Romance clitic pronoun system in second position, regulated by Wackernagel's law, rather than the actual outcome of verb based clitic placement.

5. Evolution of pronoun forms from Latin to Romance 5.7 Third person forms While the detailed history of phonological and morphological evolution will be traced under the single language headings in Part Two, this section gives an idea of the forms encountered in Late Latin texts which could shed some light on single language evolutions. Frequently, a distinction between a true evolutive change and a substitution or confusion of two forms cannot be established with certainty. This is especially true for case syntax (accusative vs. dative). In its relatively arbitrary order, the present section sketches summarily the emerging formal diversity of Romance. The form type (illui) illaei (It. lui, lei, etc.) is attested in essence much earlier than was generally thought: It appears around the year 115 AD in the letters from Karanis, illei five times and illaei once, all in dative function (Calderini 1951:258). While the forms may be influenced by the graphic equivalence ei = /if typically found in the Graecist area (e.g. Egypt f r o m where these papyrus documents come), Adams 1977 sees these attestations as firsts for the Romance oriented deformation and explains them as a hypercharacterization (45-46). The parallel masculine form *illui is however still relegated to the sixth century for a first attestation. Accordingly, it is questionable whether it may have served as the basis on which illaei was shaped analogically (as has generally been claimed). Adams proposes another chain of motivating analogies: illius induces a marked feminine form illaeius (cf. in the Defix. Tab. iIleus as gen f ) which in turns motivates the hypercharacterized masculine illuius, so that now two gender-marked genitives are available. In the dative domain this leads to the parallel illaei and illui based on the pattern of illuius/illaeius (cf. the single-gender model eius — ei, cuius — cui). illaeius thus precedes illuius properly,

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Chapter 3: Clitics in Latin

and similarly for the datives based on the respective genitives (Adams 1977:46 - 47). 23 But Greek spelling influence should not be dismissed lightly: i =/!/ = ei in Greek tendency; e = ae in Latin generally; thus aei can express simple / = [ϊ]! The absence of illui (even though it cannot be proven given the scarcity of original and trustworthy documents from the early Imperial spontaneous registers) adds somewhat to the attraction of the banal spelling variant hypothesis. As a consequence, the traditional chain of analogies would have to be maintained where Uli as non-gender dative is replaced by the marked illo/ae (as in Pompei, Väänänen 1959:86; or preclassical). Under the influence of cui and cuius, illui and illuius could originate, which then end up in a gender marked form illei for the feminine dative singular (Tekaviic 1980.2:185-186). The form illui must have come into existence anyway, and the influencing set of surrounding forms is clearly delineated. 24 The general confusion of genitive and dative in the pronouns (as well as in the nominal morphology/syntax) produces inversely the plural forms illorum for illTs in the dative (attested since the 7th century: hoc illorum dictum est apud Tekav6i6 1980.2:186). Such analogical and metaplastic forms are, however, not fully generalized; they depend on local evolutions (at least for their further survival) so that e.g. in the Spain of the 9th and 10th century the otherwise rather low-level Cartulario de San Vicente de Oviedo contains Uli extensively, illorum as a dative only once (Jennings 1940:134).25 But in the much earlier Formulae Marculfi (7/8th century, Gaul) illius notario expresses a clear dative, and lui, lei are found as such in this document (Uddholm 1953:69-71). The attestations of the analogical nominative Uli (for ille) are rather late, from the 6th century on (Väänänen 1974:219).26 5.2 Case syncretism The use of dative pro accusative and accusative pro dative for I, II is frequently documented. In general, case insecurities or oscillations are observed throughout the inscriptional material before the sixth century; after this date, documents are full of 'wrong' case form uses (B. Löfstedt 1961:251-253, Politzer and Politzer 1953, Väänänen 1974:202,211). Consider e.g. a me instead of mihi in the Defixionum tabellae. Jeanneret (1918:78) wonders whether

5. Evolution of pronoun forms

87

it is accusative pro dative or actually me from an archaic mehe as the usual mi from mihi (Calderini 1951:257). The later confusions consist of mihi and similar pro me, etc., with few inverse substitutions (Beszard 1910:30-31 for the Formulae senonenses); mihi, nobis instead of me, nos, etc. are found in the Vita Wandregiseli (Müller-Marquardt 1912: 203), but again both directions of substitution appear in the Formulae andecavenses (Uddholm 1953:69-70). The confusion seems to work both ways, perhaps with individual preferences as to which direction is preponderant (acc to dat or dat to acc). With all likelihood, the case distinction was no longer functional for the pronouns either, presenting thus a full parallelism to the nominal morphosyntax where the cases were collapsed effectively. The Romance formal derivation of pronouns should thus never depend on preserved distinctions mi(hi), ti(bi), si(bi) vs. me, te, se, etc. as an etymological base for the stressed vs. unstressed/clitic forms. If there are two series of Romance pronominal forms (It. mi, etc. vs. mi, etc.), they are differentiated on a basis other than that of a dative vs. accusative etymological derivation. The pervasive confusions of the case forms in 7th and 8th century eliminate any such continued differentiation. Generally, however, the same confusion did not take place for the 3rd person non-reflexives. Even Iberoromance levelling is a single language phenomenon (leismo and related deviations in Spanish) which really developed only in the advanced Romance period. 5.3 Formal tendencies In summary, the main tendencies of formal evolution of proto-clitics are the following: — illus/illi nom sg m (late) — gen, dat in syncretism; sometimes with heavily marked endings (m vs. f; typical codas - u i / e i ( u s ) ) — mi, ti, si conflate with me, te, se — nos, vos absorb normally nobis, vobis — dative and accusative, where formally still kept separate, tend to lose their syntactic differentiation. The I, II and III refl forms lead without any break into the Romance clitic expressions; any one of them is able to represent a special or simple clitic or non-clitic form in early Later Latin. But the third person non-reflexives (ill-, ips-) are preserved in the texts in their full, bisyllabic

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Chapter 3: Clitics in Latin

form for a long time (at least in writing), so that they appear only in the eighth century in consciously 'vulgar' texts with typical apheresis (Tekav5is iuva (Laudes Regiae) c. ipsius lui ob hoc dando responsum (Formulae Marculfi)

6. Demonstratives from Latin to Romance: Outline 6.1 Determinative confusions The most obvious shift among the Latin demonstratives (hie, iste, ille; ipse, idem; is) concerns the demotion of ille from strong and emphatic deictic of the third person 'that one yonder' to a weak anaphoric pronoun of the third person 'he/she/it', incapable of expressing contrast or emphasis or even of being separated from a defined host structure. The overall path of evolution is uncontested: 1. strong deictic 2. anaphoric, stressed ~ strong deictic 27 3. strong anaphor ~ weak anaphor ( ~ strong deictic) 4. weak anaphor = simple clitic ~ (strong) anaphor 5. weak, placed (segmentally reduced) unstressed anaphor = special clitic (alternating with normally unrelated strong forms for high deixis) The functional reduction in deictic force is the essential starting point (steps 1 —> 3), extending over various phases and degrees of reduction. The external signs would be the reduction of stress level (or variability of stress depending on pragmatic/contextual need). Stress variation/suppression is the other dimension which lets these forms develop into special clitics (steps 3 —> 5) over several intermediate steps of formal dependence. The formal reduction (loss of one syllable, and in particular loss of the originally stressed syllable: illam —> la) presupposes a low-key ilia (stage 3) so that th£ lost syllable will be the one without functional value (except in m sg ille > el). Step 5 presents the conditions valid for not later than the eighth century (cf. the mentioned Parody of the Lex salica, Formulae regiae senonenses). At this point, the separation in form, function, and syntax between the 3rd person non-subject clitics land the strong forms ell- is complete on the level of

6. Demonstratives:

Outline

89

synchronic grammar. Starting with step 3, clitic condition could occur in specific cases by juxtaposition first and by design later on (= placement rule). Such a principle would become categorical after passing a threshold of perceptible regularity. Schematically: (11) Change:

lowered deixis

lowered stress

loss of independence and formal

Stage(s) Chronology

1 -II/+I

-> 3 ->

2 +1

-> 4 ->

3 III

integrity

-> 5 -> VIII

The optional nature of deictic/accentual reduction in the earlier stages is important, since for most of the time the low and high deictic instances lived side by side. They were based on productive prosodic/pragmatic changes or adjustments once the implications of exclusive strength for stage 1 had been overcome, and before the separation into two evolutive strains locked the special clitics into categoricalness in stage 5 (documented since the earliest truly Romance samples from the eighth century). Steps 4 and 5 are mainly syntactically relevant. Actual pronominal form evolutions fall under the single language headings; the stress reduction phases (especially initially) are naturally not directly documented. Nevertheless, the first series of deixis reduction (1 to 2) finds an indirect expression in the well documented and intensively researched question of meaning shifts or affected usage of Latin demonstratives. The confusions between hie, iste, ille, ipse, idem, and is are not clitic relevant per se; but their dance of musical chairs implies considerable shifts in usage that include the weakening of ille (and ipse) to simple anaphorics (and articles). Another crucial dimension concerns the reconstruction of the Late Latin/proto-Romance demonstrative system, i.e. the constitution of the eccu-illu type of reinforced expressions. This is a long drawn out process since some reinforced forms appear already in preclassical Latin (Plautus) and throughout all of 'vulgar' Latinity with at least occasional attestations. The reinforcement process was always available; it may have been used productively for pragmatically conditioned situations of added emphasis. Since it existed alongside the tendency of weakened deixis in the trajectory from ill- to /-, its more systematic entry into function after heavy reductions in the simple demon-

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Chapter 3: Clitics in Latin

strative-become-anaphoric is natural and expected. 28 Even where the stronger forms may not have given Romance reflexes (or may have been lost later on, e.g. OSp. aquese to ModSp. ese\ or simple Sit. isso, isto), they are presupposed as essential in the maintenance of the strong development of such forms. It was certainly not the case that the reinforced forms came into being because the normal demonstratives had ceased to be functional earlier due to deictic reduction; the long and short demonstrative forms predated this evolution and coexisted perhaps to a degree not suspected from the literary tradition. 6.2 Clitic pronoun vs. definite article The double evolution of demonstrative deictic reduction to object clitics and definite article is formally only a question of the context: ill- with a verb yields a pronoun, ill- with a noun an article. The formal reductions during the historical process can be assumed to be the same, as they are essentially identical in their ultimate Romance result. The five stages identified above are directly applicable to the proto-article, where 4 identifies the stage of the articloid (Aebischer 1948), i.e. of optional actualization, and 5 refers to its normal actualization (according to Old Romance article usage). The placement issue is of little interest since the simple juxtaposition to the nominal head is more easily the case than the more radical adduction required for pronoun and verb. The more important dimension is regularity in article usage before the articloid stage can be considered to be overcome effectively. The formal and also basically referential identity of pronominal and articular evolutions indicate that the two lines can represent grosso modo one and the same process. They will be treated here separately only for ease of exposition and due to the bibliographical tradition of separating them. But their parallelism will also be addressed in the single language treatments of Part Two, instituting this comparison as an important proving ground for the relevance of the entire analysis.

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91

7. Latin demonstratives 7.1 Overlapping The single demonstratives must be investigated in their longitudinal evolution and in their lateral relation to the other productive demonstratives of their synchronic system. 29 In principle, is loses out on account of its shortness, and first hie, later on rather ille take over its place, hie itself is replaced by iste while the deictic ille becomes simply anaphoric, parallel to the same debasement of ipse. Thus iste, ille, and ipse occupy partially overlapping functions, idem is overtaken by ipse (e.g. hie ipse 'idem'; cf. Yäänänen 1974:217, Tekaviid 1980.2: 151-153). While this scenario is succinct, it remains rather vague in its details. A better picture can be obtained f r o m the studies which originally concentrated on the question and which stand at the basis of this general summary taken from standard sources. 30 None of them yield a really clear picture overall, but they represent the complexity of the issue through dense detailed information. The single author/text studies usually cannot set the proper perspective; frequently they are not fully compatible one with the other, so that an enumeration of their observations would not lead to a coherent second hand account either, as is demonstrated very convincingly in B. Löfstedt (1961:254-270). Especially the observations on single demonstrative fail to take into consideration the structural bonds between the various terms of the deictic system; these, however, must be taken as the basis for any serious reconstruction. It is in works such as B. Löfstedt 1961, Kurzovä-JedliÖkovä 1963, Abel 1973, and also Trager 1932 where one finds rather successful syntheses based on the typically deficient material for this kind of study: They must try to solve the almost intractable problem of the hidden prosodic and deictic characteristics present in each passage which has been transmitted only in the inappropriate written format. Furthermore, the discourse setting is by nature multiply ambiguous in its references as seen from the outside, for a text user as well as for a direct interlocutor. 7.2 Three-step to two-step system The Latin three term demonstrative system frequently tends towards a two term system: hie - iste - ille —> iste - ille

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in principle (Kurzovä 1963:121). This change — which is consonant with the situation for French, Provengal, and much of Italy; but not for Iberoromania and much of Tuscany — must have taken place with greater insistence between the fourth and sixth centuries (122); but earlier demonstrative changes should be expected. The Latin system itself was not perfect either with the original 1st person connection of is and the rudimentary appearance of the old so- demonstrative (sum, sam, sos in Ennius; Ernout and Thomas 1953:226; Sommer 1914:433) and the previous IE two-stage system. The reduction from three to two steps and the redistribution of demonstrative forms and functions are clearly connected, even though not necessarily in causation (from reduction to shift, or vice versa). The overall change could begin elsewhere than in the three-term deixis, perhaps in the intrusion of an external term into the deictic system or the shift of a deictic term into another subsystem (always as optional, variable, and thus at first reconstructible changes). The internal confusions affecting hic/iste/ille are not a very likely starting point since such three-term systems are stable by themselves. But they may appear as unstable due to the external observational oscillation of second person deixis (i.e. iste pro hie, iste pro ille and vice versa). This external indeterminacy does not affect the user's system, nor the listener's in a deictically anchored conversation. For the exclusively written tradition analyzed in such studies, it may actually be the case that the material does not sufficiently illustrate the second person deixis since the requisite pragmatic conditions to produce the occurrence of these more difficult pronouns are lacking; as a matter of fact, the rare occurrence of iste is frequently mentioned, underlining the perceptual difficulty, especially when a change in use sets in under such circumstances. 31 7.3 Formal restrictions and insufficiencies Not all forms of is are equally alive; usually only the bisyllabic ones appear, except for id.32 Thus some forms must enter the vacuum to fill the monosyllabic gaps. In addition, is is rather rare as an adjective, but frequent as a pronoun (Kurzovä 1963:140,143; Abel 1973:128-139,171174). There is a need for an anaphoric pronoun in some functions, and for a weakly deictic adjective in general.

7. Latin demonstratives

93

This breach opens the way for some other deictic form to add to its functions. In principle, the reduction in force of any of the demonstratives produces the desired anaphoric term (cf. the usual stress-emphasis connection). According to B. Löfstedt (1961:264), ille is the most frequent replacement for the anaphoric pronoun and adjective, indicating already a certain parallelism between the fates of pronoun and article (cf. also Kurzovä 1963:129 on this point). 33 Some idem appear for monosyllabic is (Svennung 1935:301-305) which are in turn replaced by ipse in this function. Thus, idem as a cognate form to is is weakened to fill the gap as predicted; then it is also replaced by its original functional contact, even overlap, with ipse, which in turn goes one step lower on the emphasis scale (Löfstedt 1961:262-263). On the basis of the alternations of is, idem, ipse, ille, the final demise of is finds enough potential function carriers to take over; two of them — the only important ones after the fourth century, ille and ipse — are actually the required base of proto-Romance forms. This must be correct to the extent that the emphatic (identity) function in Romance is expressed by new forms normally not even directly derived from ipse, idem: metipsimus, metipsu; medipse CIL 11,276; cf. Rom. medesimo, mismo, meme, etc.; medeis, mateix; even It. desso, stesso use ipsin composition, idipsu, istipsu (cf. Tekavöid 1980.2:1263, 160-161). hie remains quite vital throughout written Latinity, 34 and it is definitely more frequent in the texts than iste which could not have replaced hie early. Even though it did replace it eventually, it can be found in its new function of I-deixis occasionally. In spite of the temporal lag in the completion of the preordained change, hie is the true point of instability of the system since it dies out formally. For actual proto-Romance, the form of II-deixis takes over the function of I-deixis (iste = 4 hic') while the function of II-deixis is lost most of the time or replaced by a new composition (eccu-te-ipsu > codesto/cotesto in Tuscan) or a new functional shift (Sp. ese from ipse). The secure f u n c t ions are I and III person and Ill-anaphoric with little formal variation in their expression: iste - ille ille/ipse; on the other hand, ΊΙ-deixis' and 'identity function 1 show wide fluctuations in their actual expression. In its final

94

Chapter 3: Clitics in Latin

Romance disposition, the overall system thus tended towards a two-term shape by accident or intent. The morphophonological reasons for form elimination may have played some determining part in these developments. The peculiarity of idem with internal inflection must certainly be taken into account. On the other hand, old ipse from *i(s)-pse had internal inflection, eapse or even doubly inflected eapsa; eumpse, eumpsum is found in Plautus and occasionally down to Cicero, but already early on ipsus, etc. appears with exclusively external inflection (Sommer 1914:431-432). If archaizing internal inflection was successfully eliminated and replaced with an external declension type, the same could have happened with idem in order to rescue it formally instead of letting it go into demise. The fact that this did not take place can be attributed to the advanced stage of Late Latin when such a complex morphological rescue operation should have materialized, i.e. after the 2nd century. Arbitrarily, some forms belong to the productively maintained linguistic patrimony, others not. 35 Here the distinction must be a reflection on the viability of declension systems at two different moments in Latin. As the further evolution shows, declensions were considerably weakened after the 2nd century until the point of their abandonment. A single case form (idem -> (i)de —> de) was premature before a period of immediate preRomance; a morphological reconstitution was no longer feasible after preclassical Latin. Similarly hie — unique due to a secondarily fixed distribution of -c(e) in some forms and not in others 36 — did not retain a consonantal skeleton with final -c and initial h- and thus lost morphological expressivity through phonological evolution. In the written texts the weakness of hie does not appear clearly even in the closer pre-Romance phase and in lower stylistic levels; the spoken reality may nevertheless have contained a much earlier reduction (and loss) of hie compared to the written documents. As a general scenario, functional proximity (e.g. in the deictic system) allows for intrusion of form χ (iste) into function y ('1st person'); formal insufficiency of form ζ (hie) lets form χ (iste) take over function y ('1st person'). This formal/functional double shift takes place over a considerable stretch of time with extensive situations of overlap and externally perceived 'transition periods'.

7. Latin demonstratives

95

The surviving, expanding, and functional forms are those that have heavier content load at the beginning: iste, even though it may be textually rare for stylistic and pragmatic reasons (Löfstedt 1961:257, Kurzovä 1963:130-134), was phonologically and deictically predestined to survive. Similar comments apply to ipse, ille, all forms with a good consonantal skeleton, minimally bisyllabic on the surface, and externally inflected. The deictically weaker functions (such as unstressed pronoun, 2nd person anaphoric) could be expressed very well by these 'strong' deictics in a prosodically weak situation; the emphatic instances could (at least for a while in the early evolution) take the same form as these 'strong' deictics with prosodic heightening; later on, recomposed, heavier forms would be needed when the weak instances already started losing phonological ground. 7.4 Numerical considerations There are some studies which present numerical data relating to the relative position of the various deictic elements in Late Latin texts and which compare them to Classical usage. In the context of the rather opaque treatment of this question here and elsewhere, it may be worthwhile to spend some time on these figures in order to see whether they can add any concrete information leading to the detection of a path of evolution from Latin to Late Latin and Old Romance. It is important that the pronominal figures be separated from the adjectival ones. The numbers in T3-i are taken from Trager 1932, Kurzovä 1963, and Abel 1973. They consider texts falling under the heading of Classical and literary (CL later on), Biblical (BX), Vulgar or spontaneous (VG), Christian non-Biblical (CX), and historical or legal (HL) language. Since these studies were done independently, they contain some useful duplication for a cross check of reliability, or at least compatibility of collection methods. The raw frequency figures are elaborated here for percentual comparison since the text length varies from selection to selection; the only dimension of interest is the relationship between the various components. These are the text groupings under comparison: (12) CL(T)

Trager

1932

selections from Caesar, De bello gallico; Bel I urn Africum; Tacitus, Annales

96

Chapter 3: Clitics in Latin CL(A)

Abel

1973

short selections from Cato, Sal lustius, Caesar, Cicero, Varro, Vitruvius, Petronius, Seneca, Plinius Secundus, Tacitus, Suetonius, Celsus, QuintiIianus, Apuleius (adjectival uses only)

Cena

Trager

1932

Petronius, Cena Trimalchionis (dialog por-

Per.

Trager

1932

Peregrinatio ad loca sancta

tions only) Per(IC) ICurzovä 1963

Peregrinatio ad loca sancta (selection)

CX

Christian authors (Tertullianus, Ambrosius,

Träger

1932

Hieronymus; Augustinus: Confessiones, Civitas Dei, Sermones; selections) VX

Kurzova 1963

Vulgar and Christian texts (Mulomedicina Chironis, Marcellus Empiricus, Anthimus, Antoninus Placentinus)

Greg.

Trager

1932

Gregorius Turonensis (Libri historiae Francorum. Liber miraculorum)

BX(T)

Trager

1932

BX(A)

Abel

1973

Biblical texts (Vetus Latina and Vulgata, both Genesis and Exodus) Biblical texts (from Old and New Testament; adjectival uses only)

7.5 Discussion of frequency tables The meaning of the figures in T3-i (p. 97) is not immediately evident given the multiple dimensions which they measure. One type of indication is not taken into consideration, the function of the forms; any determination of evolutive direction will thus rely on numerical shifts within the system, not on the content level. Considering first the reproducibility of the results, the two adjectival counts on Biblical texts (which did not use the same excerpts) match very well. The two Peregr. counts do not really diverge in the pronominal figures, and they converge quite well for the adjectival aspect (but cf. n38). However, the two adjectival representations of CL are a clear mismatch with the heavy emphasis on is for Träger's Classical selection CL(T), while Abel's CL(A) seems to prefer hie. Note that the CL(T) coincidence between pronouns and adjectives is quite good, the only text selection where this horizontal similarity holds. The divergence between CL(T) and CL(A) may very well be due to the particular text selections internal to the group: Of three samples contained in CL(T), two are by Caesar or his staff. As will become clearer later

7. Latin

C MI (M CM ml

tm ^- roο

97

demonstratives

L.

Ο O 0> (Μ C M τ - «CO-l τ-\ Ο st| CMCM i r o l >1-1 cm

Μ

σι

OJ .c 4-»

Kl w ο-ί οι Ν

snsi

ίο

Ο >M 0C Kl CM M ΟCM CM C M CM C

CM Ο ΙΛ ΓΟ

α •j-

Ο ΚΙ >ί Ν >J -t

C

ι—*

κι κι g

Φ J3 Ε

c s V-cL X

obligatory

For Ramsden (1963:100-102) this case is category XIII with obligatory enclisis. In present terminology, the strings Al and B1 are relevant with their open frequency of enclisis (Bl). Some examples are found in (2). 2 (2)

a.

Ebeil Albizo

b.

TielU) credenza a me

(Schiaffini 1926:12) (Nov. 55;841)

c.

Deone dare da I'ano innanzi

(Castellan) 1952.2:518)

TM II. After the coordinating conjunctions et, magis (but not aut or others), enclisis is (near-)obligatory (Mussafia 1886:259; Sorrento 1951:143-144; Ulleland 1960:54). (3)

et cl. V X

—>

et V-cl X

obligatory

This case represents Ramsden's category XII (1963:95-99) with clearly dominating (but not univocal) enclisis across Romance. According to Meriz (1978:305-306), in Old Provencal there is a marked difference between the occurrences of enclisis if the conjunction is between sentences (mostly enclisis) or between VP's (less enclisis). Sentence conjunction thus approaches the behavior of TM class I with a sentence initial verb-plus-clitic group and normal enclisis. 3 In the present framework, the applicable categories are A2 and B2; however, the lefthand context element c includes beyond et and magis an entire series of weak elements with coordinating, subordinating, or other introductory function. Given this heterogeneity in class membership, TM II could not be derived directly from this investigation. In order to correct any potential loss of information which might have been caused due to the conflation of categories, a secondary check for the preexistence of TM II in Late Latin was conducted, with interesting results. 4 Cf. some illustration in (4). (4) a. e dene pagare (Schiaffini 1926:6)

158

Chapter 5: Clitic

placement

b. ke Dio mantegna la nostra compagnia e avanzi.l_a (Castellani 1952.2:663) c. Ma dicotj. che non ci sono se non io e la fante mia (Nov. 26; 877)

TM III. Enclisis may take place optionally with a preceding subordinate clause (Mussafia 1886:259-60; Sorrento 1951:144; Ulleland 1960:54). This clause-like element can be finite or non-finite. (5)

ts t s

] cl. V X

—>

[g C s

] V-cl X

optional

The categories XI, and by extension also VII, IX, X, of Ramsden 1963:91-92 belong here to the extent that such strings are finite or absolute expressions with verbal centering (participial, gerundial, infinitival expressions). They all show different degrees of enclitic preference. In the new analysis proposed here, these structures are not distinguished from absolute sentence initial verb position. Since every clause is treated as independent, the categorization of these strings under A/Bl is inevitable. 5 Cf. (6) for a typical alternation of clitic linearization. (6) a. Papirio [veggendo la voluntä delta madre], sj. pensö una bella bugia (Nov. 67;856) b. La gente [rallegrandosi] abatt4JJ. la ventaglia dinanzi dal viso (Nov. 64;851)

Old Italian does not really allow any generalizations about the relative preference for enclisis or proclisis with a more narrowly defined grid for data categorization (Wanner 1981:338; Ulleland 1960:56-58). In Old Provencal (Meriz 1978:293-294) the type of preceding subordinate clause seems to codetermine the choice of clitic linearization, so that after an adverbial or relative clause enclisis is more frequent, while after a subject or object complement clause proclisis comes to the fore. 6 The cause of fluctuation between enclisis and proclisis, under the indifferent Italian as well as under the seemingly more profiled Old Provengal conditions, is evidently the double interpretability of these structures as containing an initial position (thus enclisis under TM I) or an internal one (thus proclisis under TM VI below). It is not clear, however, whether the greater or

1. Old Romance norms

159

lesser extent of enclisis with a given clause type could be set into meaningful connection with differential degrees of clause separation, i.e. different degrees of integration of subordinate clauses into the main clause. TM IV. Asyndetic clause connection on the same level (a series of main or subordinate clauses) leads to preferential enclisis, on the recommendation of principle TM I (Mussafia 1886:260; Sorrento 1951:144-145; Ulleland 1960:54). (7)

C...CS1 ] [ s 2 cl-V...]... --> [...Is1 ] [ s 2 V-cl...]...

For Ramsden XIII seems to applies in this are treated on clauses in (8). (8)

no separate category is available since his take over this subclass; the same reduction study for a stronger reason, since all clauses the same level. Cf. an illustrative series of

II re entrö dentro:

[ s Vide la damigella e l'arnese ].

aprire la borsa ]. [§ Trovaro quelle lettera ]. leggere ].

optional

[g Ε dicea cos! ]: (Nov.

[ s Fe'

[g Feeela

82;869)

The renewed conflict of initial vs. internal position is noted in Meriz 1978:154-155 for some Old Proven

I s X V-ci Y

optional

As the remnant class for TM contradicting the causal interpretation of encliticization, this category is not represented either in Ramsden 1963 or in Wanner 1981. The f r e quential specification of the more narrowly defined component contexts includes such exceptions and problems under the appropriate string type (I to X for Ramsden, A/B 3-5 here). This is the class of greatest and most unpredictable differentiation among the languages treated here. 7

160

Chapter 5: Clitic

placement

(10) a. Ε pur alzasi. e mostrolli il culo b. Certe credotelLo

(Nov. 35; 828)

(Dionisotti and Grayson 1949:14)

1.4 Clitic linearization: TM class VI for proclisis Here finally appear all the strings with basic proclisis and those for which no encliticization criteria (TM I-IV) or accidental encliticization (TM V) can apply. No contexts are distinguished since their typology would lead far afield. For Ramsden, however, quite a number of finer subdivisions apply through the class constitution of I to X (cf. below Ch. 4:1 for relevant illustrations). Most of the ten categories are normatively proclitic, as in (11a), only those in ( l i b ) show some degree of enclisis. (11) Class a. R I

Preceding element

Linearization

relative marker (Ramsden 1963:55)

proclisis only

R II

subordinate conjunction (57-60)

proclisis only

R III

question/exclamation word (61)

proclisis only

R IV

non-finite portion of double verb

proclisis only

construction (62) R V

predicate complement (63)

proclisis only

R VI

negative element (64-65)

proclisis only

R X

non-dislocated preceding DO/IO (83-88)

proclisis only

any other adverb (66-69)

proclisis regular

b. R VII

rare enclisis R VIII

adverbial/prepositional phrase (70-76)

proclisis regular

R IX

subject pronoun or NP (77-82)

proclisis fre-

some encIi s i s quent; enclisis may be considerable'8

For some considerations relevant to this categorization, recall the discussion in Ch 4:1. Compared to this fine subdivision, the classification grid utilized here is very summary, similar to the wholesale grouping of TM VI. The differentiations introduced here concern the internal or extra-sentential status of a lefthand element, and with the stress conditions of a preceding intra-sentential element. The distribution of the string types from 2 to 5 (/c - / , /(c) X - / , / Χ Y - / ) in the A and Β arrangements thus takes this shape:

1. Old Romance norms

161

(12) Left context comparison Ramsden

II

Proposed (clause position and prosodic status) inside.weak

inside.strong

A/B2

A/B4

A/B2

A/B4

III

A/B4 (3,5)

IV

A/B4 (3,5) A/B4 (3,5)

V VI

A/B2

A/B4 (3,5)

VII

A/B4 (3,5)

VIII

A/B4 (3,5)

IX

X

outside

A/B1

A/B4 (3,5)

A/B1 A/B1 A/B1

A/B4 (3,5)

The common context denominator is 4 (a single constituent/lexical item preceding). In the categories R I, II, VI, VII, IX where there may be a significant stress level difference for the left context (or more clearly a considerable word body difference, e.g. between a relative che vs. il quale), context 2 is applicable for the weak elements (= c). Instead of the standard single constituent preceding, the options of 3 or 5 must be considered, excluding, however, the more specialized cases of R I and II: A particle c (= context 3) or one other, or more, full constituent(s) (= context 5) could be added to the string. 9 In the three categories R VII, VIII, IX, the distinction between extracted and simply left-shifted constituents is important so that in addition clause initial context (type 1) comes into play. The differences between Ramsden and the present approach stem from the different goals of the two analyses. While Ramsden seeks to decribe only the Romance reality, the present grouping derives from the requirements of describing Latin sentence structure as well. The comparisons of (12) and the other collations established here do not show an evident meaningful intersection of the two systems; they are intertranslatable, but at the cost of considerable loss of information in both directions. The much better correlation with the six TM categories indicates the close relationship between this traditional description and the relevant categories of Latin pronoun behavior according to which the categorizations of the present analysis have been chosen. For the purpose of describing the interface between Latin and Romance, this orientation is thus preferable over

162

Chapter 5: Clitic

placement

the Ramsden approach regardless of internal to Old Romance. 10

other

considerations

1.5 No ideal solution None of these descriptive approaches can achieve a good and consistent categorical segmentation pattern yielding simple 0 or 1 predictions for proclisis per classification option, nor can one speak of genuine free variation between enclisis and proclisis given the impressionistic frequency indications under TM and Ramsden's headings. These same descriptions imply also that it will be very difficult, if at all possible, to produce purely categorial factors determining clitic linearization in Old Romance. While the TM categories produce a chain of progressively more enclisis-prone groupings (TM VI > V > IV > III > II > I, ranging from none to all enclitic arrangements), the syntactic characterization of this progression, overall and in its components, does not always seem very secure (especially TM IV and V). The new system tried here is too summary to produce a fully convincing detailed description for Old Romance even though the syntactic choices are rather well defined. Since Ramsden's is an attempt to improve linearization prediction over the older TM analysis, it is significant that it does not improve in its categories VIII, IX, XI, XII over the previous state of the art. In fact, the further development in Meriz 1978 demonstrates unequivocally that Ramsden's attempt to concentrate the entire analysis on the linearly preceding element must remain insufficient since structural and non-linear conditions intervene. 11 Nevertheless, as an observational sketch, these more detailed subdivisions can be quantified rather easily and meaningfully as in (13). (13) Ramsden

Enclisis 12

% procL.

TH class(es)

none

100

VI

(V)

VII

rare

90

VI

(V)

VIII

some

80

VI

(V)

IX, X I 1 3

free v a r i a t i o n

50

III

XII

much

20

II

XIII, X b

exclusive

I - VI, X a

0

I (IV)

The estimated approximate frequency figures for proclisis refer to the total number of occurrences of a given

1. Old Romance

norms

163

string/structure of Ramsden's typology. The same dimension of relative proclisis will be employed in the present study for examining the Late Latin conditions. The percentage figures should not be taken too literally, either for a single Romance language or for Old Romance as a whole, since there is some divergence of actual conditions in these categories from language to language, especially with regard to R XII (enclisis after et, magis) and R IX (enclisis after a subject expression). They do succeed, however, in expressing a gradation of normalcy for proclisis. 1.6 Idealized categorical structure For the aim of providing a valid delimitation of the Old Romance norm, a somewhat less detailed circumscription of enclisis frequency may be useful, concentrating on the process character of encliticization and its productive potential of variability. This set of conditions is not far removed from the TM analysis and should thus be widely applicable to the Old Romance data and to their Late Latin predecessor structures. The encliticizing factors are those of (14). ==> V - cl a. is cl - V X ] ==> V - cl b. Is X [ s cl - V Y ]] c. Is (X) Cs . . . ] cl - V Y ] ==> V -cl ==> V - cl d. et cl - V X e. is X cl - V i ] ==> *V - cl

TM I.IV I III II V, VI

Context 1 1 1 1.2 2,3,4,5

The first case (14a) refers to the classical clause-initial encliticization due to a principle of second positioning = W; this condition is valid for all of Old Romance to the end of the 13th century, after which a language particular dissolution of this process may set in. (14b,c) are extensions of the much more general (14a); (14b) describes the extraction string with a clause external constituent (NP, PP, adverb/adverbial phrase). 1 4 The differentiation between (14b) and (14e), i.e. between clause-external and clause-internal position of such a constituent, is given by the linguistic reality, even though it may not be uniquely determined from the angle of analysis which is necessarily limited to an insufficient surface inspection. (14c) represents the string consisting of a preceding subordinate clause,

164

Chapter 5: Clitic

placement

including absolute participial and gerundial expressions, regardless of a previous indication of topic. The optional X to the left would normally be the subject expression of the subordinate clause, which in turn tends to be identical in reference to the subject of the main clause. At this juncture, though, the string analysis is ambiguous between the intuitively correct clause initial solution indicated by context 1, and the non-structural multiple constituent solution indicated by the context class 5. The reality of Old Italian and of the other Romance languages indicates that the double solution must be available since both enclisis and proclisis are found in this class. 15 The cover symbol et of (14d) contains the lexically marked items e, ma or equivalents in other languages, possibly also additional such items, which require encliticization uniformly. They cannot be understood as deriving from a syntactic effect in synchrony since both clause and verb conjunction are treated in the same way: The clause initial encliticization effect of (14a) thus cannot be invoked, even though it appears reasonable to assume that the absolute encliticizing force of class et derives from the categorical extension of a normal and frequent situation of clause initial position for the /cl — V/ group. In this way, the encliticizing factors of (14a) to (14d) all operate with categorical frequency of 100%, the proclisis/enclisis alternation patterns deriving then from alternative structural analyses of certain surface string types. The final structure of (14e), on the other hand, does not admit encliticization. In the spirit of TM class V, however, it must be possible for individual cases to acquire enclisis under this heading, i.e. without necessary motivation for encliticization. Overall, the Romance norm becomes thus a rather simple pattern (15) in keeping with this investigation of Late Latin: (15)

context

A/B 1 A/B 2

Proclisis

0% 0% with et-effect 100% without et-effect

A/B 3,4,5

100%

This numerical simplicity imposes multiple string analyses for certain structures (those of (14b,c) in competition with (14e)). Furthermore, the categorical unacceptability of encliticization in A/B 3-5 is subject to possible modification

2. Latin conditions

165

(under not fully determined conditions) in single languages (e.g. Old Portuguese and Old Spanish). Such exceptional encliticization could be understood as a reaction against the underdetermined clause-initial status of certain strings A / B 3,4,5. On an actual, pragmatic level, such strings are composed of hierarchically quite distant structures, e.g. leftward extraction of a constituent vs. simple preverbal appearance of a topic element. Such equivalence will eventually lead to progressive dissolution of the Old Romance TM linearization system. In view of the protoRomance enucleation of this TM system, the reformulation in terms of the context classes A/B 1-5, together with the expected norm behavior, permits the description of any Late Latin approximation to this complex situation numerically and absolutely in the 48 texts of the placement/linearization corpus. It is this double characterization of the data as Latin and Romance components which requires the f o r mulation of the contexts in the way chosen here.

2. Latin conditions 2.1 Context options grid In spite of the efforts reviewed in a preceding chapter (cf. Ch. 3:3), there is no narrowly definable Latin norm available comparable to the Old Romance comprehensive description of clitic placement and linearization. The principle of 2ND (or W) identifies an important tendency for Latin weak object pronouns to appear in second clause position (2ND). Since this is not, however, an obligatory placement/linearization choice, the complementary classification is free placement in the clause (FR) for the instances which do not conform to 2ND. This means in effect that Latin pronouns, whether weak or strong, have f u l l NP status at least as long as they are not clearly pulled into second position (2P); they come to stand in 2P as a result of categorial lowering on the lexical parameter from NP to clitic. Within the remainder class of 'free' collocations, the proto-Romance option of VB is nowhere mentioned as relevant for Classical Latin, so that any V-plus-cl contiguities must be viewed as accidental. Within the classification system of the new data collection, both options of 2ND and VB, in addition to free collocation, are easily identified.

166

Chapter 5: Clitic

placement

The contexts constituting VB are all of the string forms in A (= proclisis) and Β (= enclisis) of the grid presented in Ch. 4:3.4 (p. 138) and schematically repeated here for ease of reference. C (cl,

A (cl-V)

Β (V-cl)

VB

VB

2

tS c -

VB

VB

-

3

C

S c X 's X

VB

VB

-

VB

VB

-

VB

VB

-

////////

////////

1

4 5 6

Is X y X V Y -

-

-

2.2 Clause delimitation The definition of 2ND presents two important aspects for discussion. The second position of the clause can only be determined if the left periphery of the clause is neatly defined. Also, the concept of second position offers the option of a wide or a narrow definition. As stated above (cf. Ch. 4:3.1), the relevant domain is the surface clause of unitary structure, and not the entire sentence which may be quite diffuse in its extension. A main clause will be treated in the same way as a subordinate clause, each as an isolable unit, marked off here by clause brackets. 16 (17) a.

main clause

[et ibi eum suscipis]

b.

subordinate

[ubi ei occurrit mulier]

c.

both

[sed mittens in Hierosolyma] [adduxit i U i s tunicas tricenas]

d.

(Itin. 19) (Itin. 3)

(Itin. 34)

[ut mihi [quid doleas] sapienter exponas] (Greg. 25)

e.

[omnia [quae tu vis]] [ea cupio]

(Pit. 766)

While (17a,b) are clear cases, the embedded clause in (17c) is not considered to be an integral element of the main clause; thus adduxit will be treated as a clause initial verb. In (17d) the larger clause necessarily contains the embedded expression. The more complex (17e) shows three clauselike structures, the relative clause with / N P S/ (omnia quae tu vis) forming a separate constituent outside of the main clause (ea cupio)·, the pronominal repetition with ea imposes this analysis directly. 17 In the case of a.c.i. and other

2. Latin conditions

167

complementizing infinitive structures where both the higher verb and the infinitive define a clause of their own in principle, only one clause has been recognized due to the frequent inextricability of the surface string with regard to the clause level origin of the elements. (18) a.

[die [me illam amare multum]]

(Pit. 311)

b.

[ire decet me]

(Pit. 181)

c.

[sed ego te maI ο tarnen eumpse adire]

(Pit. 601-602)

(18b) contains the ambiguous me which can be the subject of ire and/or the object of decet. In (18a) the two constituent clauses can still be recognized, but no longer in (18c) — perhaps also (18b) — as the rewritten forms (19) show with subscripts, identifying clause level. (19) a. b.

ire2 decet.) me^ 2

or

lre

2 decet^ meo

sed^ ego.| t ^ malo^ tamer^ eumpse2 adire2

As a consequence, a.c.i. clauses are treated as constituents of the clause in which they occur (where the a.c.i. is still intact linearly); the higher clause will always be seen as containing the a.c.i. (or other infinitival expression). Where no higher frame clause exists, the a.c.i. will form its self-containing unit as in (20). (20) (no higher clause immediately available) [initio questurae suae earn provinciam ex omnibus provinciis peculiarem sibi constituisse] (Caes. 42.1)

A complex clause level arrangement is shown in (21) with the intercalated quotative verb inquit (with clause level indexation). (21) [fingite2 m§3 [inquit^] mortuum^ esse3]

(Cena 78.5)

Simple participial structures are viewed as separable and thus as defining a clause of their own; this is e.g. the case in the above example (17c.).18 The major consideration here is the presumed rhythmical separability of the components, leaving intact the unit of meaning as the basic correlate of syntactic unity. The well known reality of Latin sentence construction (in the written form) with very long overall

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placement

sentences, but with well balanced constituent portions (the periods) recommends this procedure further. Not all cases can thereby be solved with satisfactory clarity, but the remaining grey area is significantly reduced. The minor discrepancy between a purely syntactic analysis and the pragmatic, surface-oriented approach practiced here can be illustrated in (22) with the two bracketing solutions for a conjoined a.c.i. construction. (22) a. syntactic [ut [ [et me suscipere]

[et hos in fide tua confirmare] ]

digneris] (Mart. 5.5) b. pragmatic/rhythmical [ut [et me suscipere]

[et hos in fide tua confirmare digne-

ris] ]

The first a.c.i. conjunct may well be seen as unified and separate from the second conjunct and from the main verb, but in the more realistic analysis (22b), the second a.c.i. conjunct includes the main clause portion exclusively, without the syntactically motivated boundary between the clause levels. In principle then, the smallest available clause is the relevant string context for the pronoun. This enables a realistic determination of a position relative to the verb, to the beginning of the clause, and to its end. Since a clause is defined by its verb, the small clause is quite naturally the relevant unit for pronoun placement. 2.3 Definition of second position The second area in need of clarification is the delimitation of second position (2P). A narrow definition identifies as second position the place following the first surface element of the clause. This procedure would yield a class of strings consisting of [ s c cl... and [ s X cl... or concretely the strings of type A2, A4, Bl, C2, and C4 (as long as X represents exactly one single lexical item). Some examples follow. (23) a.

A2

[ubi ei occurrit mulier]

(Itin. 3)

b.

A4

[monunentum sibi fecit]

(Itin. 29)

c.

B1

[tenuit eum]

(cf. (17c);Itin. 22)

2. Latin conditions d.

C2

[qui mihi dotem promittebat paradysus]

(Greg. 25)

e.

C4

[cuius me causa christianum dico]

(I tin- 34)

169

For other languages (e.g. Pashto), it is known that 2P is not necessarily identifiable only with the distance f r o m the lefthand clause boundary created by a single item. Rather, a variety of context ranges is admitted as long as the material to the left of 2P is defined at some level of derivation as a single constituent/element. In other words, the element X of A4, C4 could also be a constituent of more than single element length. In view of the essential surface clitic status of c elements which undergo procliticization to a following stronger element in surface structure, their addition to the initial constituent of A4, C4 does not change the 2P status of this lexical element significantly. Thus the contexts A3, C3 and B2 with the [ c X - left context can be subsumed under a broad interpretation of 2P; cf. (24). Finally, the contrast in function of c between the A2 vs. C2 and A3 vs. C3 strings should be noted: In A3 and C3, c disappears as a cliticizable element ([ X cl...); in A2 and C2, it counts as the necessary protective item separating the cl and V group from clause initial position ([ c cl...). For a broad interpretation of 2P, the following contexts (with illustrations) must be added to those of (23). 19 (24) a. A3

[et ipsae nobis dixerunt de virtutis Mariae ...] (Jtin. 34)

b. B2

[et introduxerunt nos in vallem ...]

c. C3

ita [ut filiam sibi Augustus imperator in matrimonium

(Itin. 37)

sociaret] (Greg. 53)

Definitely excluded from second position are the context types A l , A5, C l , C5, B3, B4, B5, and C6, where no alternative constituent analysis could establish a 2P interpretation. It remains to be seen how useful this concept of 2P will be in the actual analysis of texts. At any rate, only a heavy preference for this 2P arrangement of pronouns will indicate anything meaningful about a 2ND hypothesis. The concept now encompasses a maximal left context of [ c [ x p ] - so that a considerable number of strings may fall under this provision.

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2.4 Syntactic conception of 2P The extended concept of 2P leaves behind the idea of an exclusively rhythmical understanding of this position in the clause. Since the length of the intervening X as a constituent is unlimited, the strong/weak alternation principle at the basis of the rhythmical interpretation of 2P cannot be maintained without considerable adjustments. There is actually good evidence that a rhythmical interpretation is anachronistic for the attested phases of Latin. As stated above (cf. Ch. 3:3.3), constituent-initial occurrences of prepositions, or clause-initial placement of conjunctions (both subsumable under the c element of context 2) undergo proclitic integration into the following constituent, even if there is more than one such element: / c c X / —> [ x c - c - X ]. In this way, it is quite normal to find prosodically weak elements in constituent initial, or also clause initial position, indicating that it is permissible to have some weak elements in first position where they will ultimately enter into a proclitic bond. The question surfaces, therefore, of why a weak pronominal element, otherwise rhythmically comparable to the c items, should not be tolerated in first position under some form of surface procliticization. A purely rhythmical understanding of 2P cannot answer this. A syntactic interpretation, however, does not encounter this problem since the principle of choosing 2P is now a placement hypothesis, 2ND. The relevance of this hypothesis to a given class of items must be overtly specified in the absence of a natural, e.g. rhythmical, motivation for the behavior observed. A second argument for the non-rhythmical nature of 2P (and thus also 2ND) derives from the possible accumulation of clitics in 2P (cf. above Ch. 3:4.3). A number of prosodically weak elements cannot occupy 2P, in the sense of following the prosodically strong first element, unless these 2P clitics form a coherent string. Such a chain must be syntagmatically constituted (a constituent perhaps) and cannot only be a linear prosodic alternation of weak vs. strong. In this context, the broad interpretation of 2P extending the intervening first position to include single item, single constituent, and prosodic phrase unit or word unit (i.e. the / c X/ string) is natural and nearly inevitable. The further subdivision into the string types A 2,3,4, C 2,3,4 and Β 1,2, all representing 2P for the proto-clitic element is

2. Latin conditions

171

maintained in order to keep some control over the internal constitution of the cases subject to 2ND placement. But on the level of synthetic comprehension of Late Latin pronoun collocation, the class of strings conforming to 2ND can be regarded as a unit. 2.5 String analysis illustrations for 2P The multiple choices implicit for actual string analysis in this approach can best be illustrated with a number of typical situations. First, a hypothetical example of varying pronoun position is based on the real example (25a) from Greg.3.25. The applied string analysis is indicated immediately below. 20 (25) a.

[si nutricium mihi dulcium oscula in funere fuissent expense] c I

X

I cl

I

Y

I

V

b. &tsf nutricium dulcium mihi oscula in funere fuissent expense] c I

X

I cl

I

Υ

I

V

c. &[si nutricium dulcium oscula mihi in funere fuissent expensa] c I

X

I cl

I

Y

I

V

In (25a), the formulation actually found, context class C3 is applicable: a / c X / string precedes the pronoun cl, and the pronoun is separated from the verb. The same analysis would, however, also apply to the manipulated versions (25b,c), where the X portion has been increased to constituent length. Such examples do occur, even though they are not common. Cf. (26) for a NP length X and an overall analysis of C4 (there is no initial c). (26) [Probus indignatus eum fustibus caedi praecepit] X

I cL)

Υ

I

V

(Mart. 4.3) = C4 21

The actual alternation between the two options is observed for a compound verbal expression necesse est: (27) a. [necesse f u i t eos statim reverti ad sua] V

| cl|

Y

b. [necesse nos f u i t denuo et ibi denuo resumere] X

| cl|

V |

(Peregr. 19.3) = B1

Y

(Peregr. 6.4) = A4

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Some constituents cannot be broken up. Thus the strings (28b,c), with a discontinuous constituent, are not possible alternative versions of (28a), presumably due to the proclitic status of the preposition and the relative element. Similarly, in place of (29a), only (29b), but not (29c), with the broken constituent, is acceptable and actually occurs in the materials. (28) a.

[in quo loco eum trans ire deberet] paenitus ignorabat X

b.

I clI

Υ

I

V

= C4

cI clI Υ I V c. *?[in quo eum loco transire deberet] X (29) a.

(Greg. 37/70)

*[in eum quo loco transire deberet]

I clI

Υ

I

= C2

V

= C4

[ubi cum lenone me videbis conloqui] c I

X

|cl|

V

I

= C2

b.

SCubi me cun lenone videbis conloqui]

c.

*[ubi cum me lenone videbis conloqui]

c |cl I c

X

I c |clI

I X

I

V

I

V

I

(Pit. 728)

Y Y

= C2

Y

= C2 (?)

This inseparability does not apply to normal full constituents of a larger arrangement, so that the AdjP from within the larger NP in (30) can act on its own. (30) [et sane violentem me negotium meum agere exhortavit mathematicus] c I

X

I c 11

Υ

I

V

I

Ζ

= C3 (Cena 76.10)

The strings of type iam pridem in (31) could be either a / c X / or a simple X representative (adverbial phrase or adverb modified by an adverbial particle); the resulting 2P diagnosis for the clitic is not affected by this difference; this appears to be a correct outcome. (31) [iam pridem se auctorem constituens] X

|cl|

Y

|

V

(Cypr. 27.1.1) = C4

The negative particle non constitutes somewhat more of a problem since semantically it is clearly central, thus = X (e.g. in (32)), but it could also occupy an unstressed function and pass as a c. Taking the semantic aspect as

2. Latin conditions

173

primary, such a negation has been treated here as a full lexical element of status X unless it is the negative conjunction ne in clause connecting position (cf. (33)). (32) [ut non me putarem aliquando alteriores vidisse]

(Peregr. 3.8)

c I X |cl|

V

I

Y

= A3

(c I c |cl|

V

I

Υ

= A2/4 (??)

(33) [ne sibi me credat supplicem fore] c I cl |cl|

V

I

Υ

(Pit. 270) = A2

On the other hand, clearly weak, i.e. clitic, are the items of type enim, autem in the examples (34a,b) and in general, with corresponding categorization (cf. above Ch. 3:4.4). (34) a.

[melius enim tibi fuerat mori] X

b.

I c

I cl I

V

I Υ

[illud autem vos volo scire, dominae] X

I c

I cl|

V I

Y

(Greg. 42/74) = A3/4 2 2 (Peregr. 3.8) = C3/4

A subject pronoun as in (35) will be regarded as full, thus of X status, in general due to the normal emphatic potential of such pronouns and the typical zero pronominalization option for weak subject pronouns. (35) [quod ego eum interfecere veil im] c

I X I cl|

Υ

I

V

(Greg. 40/73) = C3

The variety of fillers for first position under the provisions of the present analysis is considerable, including combinations of weak elements c; at the same time, 2P allows an entire series of cl to appear. This kind of situation is expected in the present context of a syntactic conception of second position which utilizes freely the productive potential of a synchronic set of principles. From the practical point of view, the prime consideration is whether a single constituent analysis can be obtained in a given case; where this is possible, the classification proceeds accordingly within the limits of the anterior clause boundary limitation.

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placement

T5-i Placement hypotheses A = proclisis 1

VB*:

ci V

Β = enclisis

C = separation

N:

V cl

FR:

ci Χ V

2

N:

c cl V

N:

c V cl

2ND*:

c d

3

N:

cX

VB*:

c Χ V cl.

2ND*:

c X cl Υ V

4

N:

X cl. V

VB*:

X V cl

2ND*:

X ci Υ V

5

VB*:

Χ Y cl V

VB*:

Χ Υ V ci

FR:

Χ Y cl. W V

6

//////////////

FR:

(X) V Y ci

cl V

//////////////

VB*

exclusive VB

= A1, 5; B3-5

2ND*

exclusive 2ND

= C2-4

Ν

neutral (both VB and 2ND) = A2-4; B1-2

FR

free (neither VB nor 2ND) = C1,5,6

VB

total VB

= A1-5, B1-5

2ND

total 2ND

= A2-4, B1-2, C2-4

XV

2.6 String definition of VB and 2ND hypotheses The questions of clause boundaries (cf. in 2.2) and of second position definition (cf. in 2.3-5) having been solved, the comprehensive situation for the three placement options VB, 2ND, and FR identified above becomes transparent in reference to the string classification grid (16). Superimposing the domains of VB and of 2ND, four options are defined as shown in T5-i. In general, the parameters of interest for each one of the 48 texts investigated here will be the values of VB (comprehensive), 2ND (comprehensive), Ν (the neutral overlap between VB and 2ND), and finally the irreducible remainder FR, which does not form part of either placement hypothesis. For the secondary question of clitic linearization, somewhat more complicated measures must be formulated based on the values of the single context slots for any text and text class. For the placement parameters VB, 2ND, N, and FR, a numerical approximation to the simplest zero

Symbolization for T5-ii

(opposite):

exigamy

verb of the simple clause

mihi

potential proto-clitic

[

]

boundaries of simple clause considered

{

>

preceding constituent/item

2. Latin conditions T5-ii

175

Sample clauses for string analysis

A1a omnia quae tu vis [ea cupiOy] (Pit. 766) A1b [eas vobis habeoy grates atque ago] quia (Pit. 755) A2a et [{dum} earn recitavity] abstinentur ipsae terrae C11in. 7) A2b [{ubi} ei occurrity mulier] (Itin. 3) A3a [{et} {ibi} eum suscipisy] (Itin. 19) A3b [{et} {ipsae} nobis dixerunty de virtutis Hariae ...] (Itin. 34) A4 a [{monumentum} sibi fecity] (Itin. 29) A4b [{tanta} iIiis esty execratio utriusque] (Itin. 8) A5a [{Traians Imperator Romanus} {signum hoc} nobis dimisity (Itin. 35) A5b [{satin} {Athenae} tibi sunty visae fortunatae atque opiparae?] (Pit. 549) B1a [tenuity eum] et posuit in angulum (Itin. 22) B1b Sed mittens in Hierusolima [adduxity it lis tunicas tricenas] (Itin. 34) B2b [{et} introduxerunty nos in vallem...] (Itin. 37) B3a et videamus hoc verbum ... [{quod} {Dominus} ostendity nobis] (Vulg. Luc. 2.15) B3b [{et} {ipse} accepity eum in ulnas suas] (Vulg. Luc. 2.28) B4a et secretum ... [{quemadodum} dediy vobis] custodite (Anthrop. 32) B4b [{sero autem} purificanty se in aqua] (Itin. 8) B5a et facta oblatione ordine suo [{hac} {sic} communicabitury nobis] (Pit. 316) B5b [{et} {ecce} {dominus} apparuity ei dicens] (Anthrop. 35) C1a Si ... [mihi quoque emptasty] (Pit. 584-5) C1b [mihi quidem tu iam eraSy mortuos] (Pit. 20) C2a [{ut} mihi quid doleas sapienter exponasy] (Greg. 25) C2b [{qui} mihi dotem promittebaty paradysus] (Greg. 25) C3a ita [{ut} {filiam} sibi Augustus imperator in matrimonium sociarety] (Greg. 53) C3b [{si} {nutricium} mihi dulcium oscula in funere fuissenty expensa] (Greg. 25) C4a [{cuius} me causa christianum dicoy] (Itin. 34) C4b sed eccum parasitum [{quoius} mi auxilio esty opus] (Pit. 83) C5a [{iniuriosus ...} {cum magnis opibus} {similem} sibi in coniugio C5b

puellam expetity] (Greg. 25) [{eloquiis his} {aeterna} mihi vita tamquam magnum iubar inlu-

C6a C6b

xity] (Greg. 25) [uritury cor πη] (Pit. 801) [exigamy hercle ego te ex hac decuria]

(Pit. 143).

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placement

hypothesis (no applicable placement pattern) is the summation of the flat average frequency for each option given the sixteen context classes. In this way, one predicts an arbitrary percentage of 10:16 = 62% for VB, 8:16 = 50% for 2ND, 5:16 = 31% for N, and 3:16 = 19% for FR. It is immediately clear that this situation cannot exist as such in real Latin texts given the tendencies identified so far. 2ND is expected to extend beyond its average value if this property operates at all in Latin; a smaller than 50% incidence of 2ND would damage any claim to relevance of this placement mode, especially given the wide scope of 2ND adopted here. On the other hand, VB is certainly overestimated, since it includes the entire context class Β in its 62%. Given the uncontested basic verb final constitution of Latin, the natural pronoun place is before the verb, thus leading to proclisis in contact with the verbal element and not to enclisis which Β describes exclusively. If the 'free word order' pattern of Latin within its fundamental SOV typology is correct, the contribution of FR can also be expected to be higher. 23 These predictions are in any case very rough, and can serve only as a starting point for evaluating the numerical picture presented by the different texts in their single and collective dimensions. 2.7 Sample sentences for string analysis The preceding table T5-ii (p. 175) contains a coherent list of simple verb clauses for all of the different string forms recognized in the classification grid (16). This central reference table also contains minimal indications of the applied syntactic analysis by marking the containing clause delimiting clitic placement by brackets [ ... ], and by enclosing definitional preceding constituents in parentheses { ... }, as the case requires. The pronoun under discussion is underlined, and the verb of clausal function is marked by a subscript, e.g. cupioy. In each category, clause final verb position is distinguished from clause internal arrangement (thus instead of Al the two examples Ala, Alb).

3. Data analysis

177

3. Data analysis 3.1 Data description The relevant data of the corpus (described in Ch. 4) are found in Appendix 3. Since they are all in absolute figures, from texts of greatly varying length, they must be elaborated further for any meaningful observation to be drawn from them. The question under investigation here is the combined problem of the emergence of Old Romance clitic placement-cum-linearization conditions, specified in the preceding sections as the well-known TM complex, and ultimately reduced to the string conditions and quantifications (14) and (15) above. From the entire discussion so far, it is evident that a simple listing of frequency figures for the unsophisticated dimensions A, B, C (or proclisis, enclisis, separation) will not yield any profound insights With the data at hand from the present corpus of 48 texts, the curves connecting the single measures chronologically (one curve for each parameter A, B, or C) describe a considerable confusion of trends cancelling each other out in an average zone of indifferent variation. The most striking impression is the apparent lack of any interpretable chronological development towards Romance or in any other direction (cf. T5-iii, p. 179). But even the reformulation of the questions directed at the data in terms of the linguistically significant placement and linearization hypotheses (VB, 2ND, PRO, 2 4 or others) remains cumbersome for the amount of information conveyed and for the manifest lack of internal organization of each parameter. Application of scaling procedures is clearly required in order to bring the inherent profile of these measurements to the fore. The method of concentrating on the class averages according to the text grouping CL, TN, VG, CX, HL, and BX is helpful (cf. Ch. 4:4.2), but in this way much important information is lost about the characteristics of the individual texts which may transcend a constituted class average or norm. Even accepting these shortcomings, the graphic clarity of the result is questionable once the various conglomerate measures are put together. The class average approach will be followed here at first in order to bring some immediate organization into the matter; single text scaling will be applied successively for further deepening of the analysis.

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3.2 Text class behavior for VB and 2ND Of immediate interest is the question of the behavior of the six text classes with regard to the two competing placement hypotheses, Latin 2ND plus FR and Romance VB. Graph T5-iv combines the percentage measures for the six classes, indicating four curves corresponding to the parameters N, 2ND, VB, and FR as indicated. 25 A fifth measure is derivable from the values given, namely the union of VB and 2ND, in the form of the complement to 100% of curve (d) for FR. It is evident that the percentage of proto-clitic pronoun placements not reducible to one or the other of the two options VB or 2ND is small, between 3 and 12% of all proto-clitic occurrences. On the other hand, neither one of the two hypotheses by itself reaches extremely high proportions, with the possible exceptions of the 2ND value for the Vulgar text class VG and the VB value for the Biblical selections BX, both at about 90%. The neutral component value N, compared with both VB and 2ND in general, forms the basis of a relatively constant proportion binding the three measures, with the evident exception of Biblical language BX, where 2ND and VB show an inverse pattern. The high point of VB in class BX seems to indicate a very close approximation to Romance conditions. Yet even the texts VG, in spite of the primary presence of 2ND, include such a large portion of neutral Ν values that the Romance compatible VB strings are very high, while only a small amount of 2ND exclusive forms and a minimal component of FR residue remain. CX appears as an undecided class, while Classical and late historical texts CL and HL are farthest removed from Romance VB; they represent typical Latin with 2ND and FR, together with the group of technical writings TN. The overall evolution does not become visible as linear or directional. The most conspicuous result is the peak position of 2ND in what might be seen as the most evident protoRomance group, VG, and the apparent Romance prefiguration of VB in BX. 3.3 Text class behavior for PRO The same six groups show a surprising turn in the evolution of the essential proclisis contexts presented in graph T5-v. The three curves delimit the amount of proclisis (measured as a percentage of all cases compatible with VB

180

Chapter

T5-iv

T5-v

Δ • ο

placement

Text class averages for VB, 2 N D , and 'free' (FR) placement

CL

ts ο • a

5: Clitic

Δ ο · a

TN

ΜG

CX

BX

HL

Neutral (VB and 2ND concomitantly f u l f i l l e d ) 2ND exclusively f u l f i l l e d VB exclusively f u l f i l l e d free pronoun place (neither VB nor 2ND f u l f i l l e d )

Text class averages for proclisis

Δ P r o c l i s i s type (a) (ctxt 1) · P r o c l i s i s type (b) (ctxts 2-4) -ο P r o c l i s i s type (c) (ctxt 5)

3. Data analysis T5-vi

181

Text class averages for separation

Δ

Δ

•

·

Separation type (a) (ctxt 1)

ο

ο Separation type ( c ) (ctxt 5)

•

• Separation type (d) (ctxt 6)

Separation type (b) ( c t x t s 2-4)

in a given context) in the string types Α / Β 1 (clause initial), A/B 2-4 (second position), and A / B 5 (clause internal/final verb). The Romance norm expectation of 0% proclisis for (a), and 100% proclisis for (b) and (c) is added at the end of the graph (cf. (15) above). The clause initial context (curve (a)) shows a close-to-zero distribution in all classes. The Romance condition of TM I enclisis is a constant situation inherited from Latin, which in turn received it from older IE strata; in other words, TM I is the Romance form of W, i.e. Wackernagel's law. The other two curves, (b) for 2P and (c) for non-initial verb position, are virtually parallel. They show little evolution apart from a slight diminution of proclisis f r o m Classical CL to Christian CX with intermediate technical TN, 'vulgar' VG, and historical/legal HL. The amount of proclisis is generally high in all five classes, however, while the Biblical class BX, in spite of its excellent VB approximation above, has a completely anti-Romance reduction of proclisis to absolutely low levels. On this count, BX must be eliminated as a very close contender for proto-Romance status, while the

182

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5: Clitic

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near-spontaneous code of VG acquires a reasonably good position on this scale with credible approximations under placement and under linearization. The development of linearization does not appear to parallel that of placement in any significant way. The two aspects of single verb pronoun attachment must be at least in part independent, since it is Classical CL which manifests the highest percentage of proclitic linearization, while this same class is far removed f r o m proto-Romance standing with regard to placement. One should also note a considerable parallelism between CL and HL in both dimensions of the question. Rather than suggesting circular development, the particular condition of HL as a style with clearly avowed classicist aspirations takes the form of a conscious imitation of the Classical norms which, on the testimony of the more naturally embedded CL class, diverges considerably from expected Romance norms. 3.4 Text class behavior for separation A third aspect of proto-Romance approximation (or lack thereof) is found in the necessary disappearance of pronoun separation f r o m the verb (the C contexts). Four subparameters are represented in the relevant graph T5-vi. The first three are parallel to the three proclisis groupings ((a) = C I , (b) = C2-4, (c) = C5). The fourth represents the rare arrangement of a rightward spaced clitic ((d) = C6). 26 For a hypothetical Old Romance norm, all of these values are zero (added on the right of the graph). BX is once again exceptional in that it approaches Romance conditions with near-zero values f o r (a), (b), (c), while the stranger (d) jumps to a very high figure, alone for all six classes and Romance. CL has rather high separation values, being the text class with appropriate Classical credentials. VG, as the best remaining proto-Romance text class, eliminates nearly all separation, with the exception of measure (b), corresponding to a clitic placement compatible with second position4 placement hypothesis 2ND. CX has an intermediate position of lacking any clear positive characterization, and HL and TN resemble the Classical pattern of CL. These figures suggest a clear reduction in pronoun-verb separation; greater resistance to elimination characterizes the values for C 2-4 (curve (b)), strongly supported through the placement mode 2ND. The usual non-chronological, non-

3. Data analysis

183

linear development appears in this graph T5-vi where BX is once again close to Romance at times, but in other respects diametrically removed from it (measurement (d)). 3.5 General characteristics Overall, the trends discernible from the class averages are interesting, and at some variance with what might be expected. They comprise: — irrelevance of chronology: late historical/legal HL conforming best with clearly Classical CL; contemporaneous Christian CX and Biblical BX differing at times sharply; — partial relevance of text classification according to stylistic/sociolinguistic criteria (only partial since there is significant overlap between different classes, e.g. Christian CX and Vulgar VG; — overall best approximation to Romance conditions in Vulgar VG, but not a very close match; — near-Romance patterns in Biblical BX for placement, but very large discrepancy for linearization; — absence in all classes of large components of pronoun placements which cannot be reduced to VB and/or 2ND; — no single text approaching Romance in absolute terms; all remaining Latin and retaining non-categorical pronoun syntax. The net result is failure to establish an uncontroversial link between Late Latin pronoun syntax and progressive Romance approximation even though there are unquestionable prefigurations of later Romance tendencies, most of all in the rather early VG texts (between the 1st and 5th centuries in the corpus). A frequently voiced hypothesis (and in other respects also a well documented fact) of important Christian anticipation of Romance developments cannot be supported on the basis of the class average figures: CX appears as an undecided class farther away from Romance than VG, less classical than CL, and in no way as extreme in the defining BX traits as the expressive Biblical code. The simultaneous close resemblance of BX to Romance, and its sharp divergence in other features, removes this most concentrated Christian style f r o m immediate proto-Romance relevance, too (cf. below Ch. 5:4.2,3). Closer study of the single texts in their various dimensions is necessary to arrive at an answer for some of these questions.

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placement

3.6 Categorial context formulae for Latin and Romance As a perceptual aid for dealing efficiently with multiple measurements of 48 different texts, the different parameter values, expressed in percentages, must be marked for degrees of deviation from the expected norm given a null hypothesis. The parameters of interest are naturally the three placement modes, VB, 2ND, and 'free' FR; internal to the VB placement portion, the linearization question of PRO acquires secondary relevance. No such specifications are necessary for the 2ND contingent which solves placement and linearization simultaneously due to the nature of second positioning as enclisis to a 'first' element. The major organization through placement and linearization hypotheses must be detailed further with the aid of more specific contexts, distinguishing between the left string context groupings 1 to 5. Per text and per text class, the identification pattern consists of the slots shown in (36). (36)

1 FR

1 VB

1 2ND

1 PRO

2 FR

2 VB

2 2ND

2 PRO

3 FR

3 VB

3 2ND

3 PRO

4 FR

4 VB

4 2ND

4 PRO

5 FR

5 VB

5 PRO

6 FR

Not all of these measurements have actual importance for the definition of the Latin or the Romance norm. For Romance, only VB counts in principle; thus, the entire series of FR contexts can be relegated to low status and eliminated from the list. On the matter of 2ND, it turns out that Romance VB coincides ideally with 2ND in the first four contexts, while 2ND has no meaning for context 5. This is so because (Old) Romance does not admit any separation (= C strings). In context 1 where enclisis is obligatory due to Wackernagel's law (= B1 and *A1), the entire normative component is also compatible with 2ND. Similarly for contexts 3 and 4: Here the Romance norm is proclisis (= A 3,4) which is also congruent with 2ND in the absence of separation between pronoun and verb. Finally, for context 2 both A and Β are canonical for Romance, and both are contained in 2ND. The schema in (37a) illustrates this argumentation graphically.

3. Data analysis a. Romance VB patterns A

Β

C

VB

*

b. Latin 2ND patterns A

Β

1

-

2ND 2ND

1

-

2

VB

*

2

2ND

3

VB

*

3

2ND

4

VB

*

4

2ND

5

VB

•

5

(VB)

•

6

6

(VB)

185

C 2ND 2ND 2ND

-

For Romance, the linearization profile prescribes categorical proclisis for contexts 3 to 5 ([ (c) X (Y) - ), non-PRO (or enclisis) for 1 ([ s - ) , and in terms of 'natural 1 syntax also PRO for 2 ([ s c - ), eliminating for the moment the special case of TM II with et, magis from consideration. 27 For purposes of simplification, the anti-PRO mark of context 1 must express high enclisis due to W. This value will be indicated inversely, i.e. by marking it as PRO in (38), with the convention that marked/scaled PRO 1 means 100% enclisis, while for the other contexts the translation is the expected 100% proclisis. The pattern of normative categorical scales for Romance is thus as shown in (38). The parenthesized scaling locations of 2ND indicate that this placement mode is not primary and of determining importance, but only of secondary relevance deriving from forced choices due to the primary weight of VB. (38)

Romance categorical choices (at idealized 100% each): 1 VB

(1 2ND)

1 PRO

2 VB

(2 2ND)

2 PRO

3 VB

(3 2ND)

3 PRO

4 VB

(4 2ND)

4 PRO

5 VB

5 PRO

In (37b), 2ND is given as basic. This supplies the foundation for application to Latin of the same pattern determination which obtains for Old Romance. The markings of (37b) should not be understood as setting up a categorical adherence to 2ND, but as expressing a preference, as the larger context of the Latin discussion has brought to the fore. For position 1, the Romance arguments carry over with no change (including the inverted PRO scaling mark which expresses required enclisis; cf. (39)). 2ND remains

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central for the contexts 2 to 4, but the VB implication is no longer applicable due to the free and frequent occurrence of separation between pronoun and verb. But where the VB arrangement obtains, the linearization choice is evidently for A, thus the 2ND scales on proclitic A 2,3,4. This represents a marking of the PRO contexts for string types 2-4; cf. (39). Since PRO is secondary to a previous establishment of VB, it is clear that the actual importance of these PRO scaling marks is minor. For 5, the impossibility of 2ND leaves the pronoun free in principle. A more motivated constituent order would associate the pronoun with the verb rather than stranding it without further motivation in the middle of the clause; hence the two marks VB 5 and PRO 5, of which VB 5 is somewhat tentative. 28 The complete Latin marking schema parallel to (38) for Romance appears in (39): (39)

L a t i n c a t e g o r i c a l c h o i c e s ( a t i d e a l i z e d 100% each) (1 VB)

5 VB

1 2ND

1 PRO

2 2ND

2 PRO

3 2ND

3 PRO

4 2ND

4 PRO 5 PRO

Inspection of the field of tension defined between the two chronological poles (39) and (38) for Latin and Old Romance reveals rather quickly that the discrepancy between the two languages is not so extreme once the necessary interpretations in linguistic terms have been applied. The real changes concern the elimination from Latin of the truly free pronominal occurrences FR and of the exclusively 2ND compatible ones (C strings with separation). For the remainder, Old Romance continues the Latin conditions faithfully if the schematic approach of (38, 39) is accepted as valid in principle. TM I (clause initial enclisis) and TM VI (normal proclisis) are explained as continuations of W and Latin SOV word order respectively (cf. Ch. 5:1.3,4). TM V (capricious enclisis) as a residue category does not have genuine status; TM III and IV (enclisis with different leftward extracted elements) originate from interpretive difficulties inherent in the data and in the TM constitution. Only TM II (enclisis after et, magis)

3. Data analysis

187

remains as a controversial provision of uncertain origin (to be investigated below in Ch. 5:5). As the discussion of the class average results for the relevant parameters reveals, this way of organizing the data and of asking questions of it can be quite f r u i t f u l on the generalized level; it will be even more relevant for the consideration of individual texts. 3.7 Scaling procedures The adjustment needed f o r addressing the reality of the 48 texts intermediate between the categorical scaling profiles of idealized Latin and nearly realistic Old Romance is just the lowering of such scaling values f r o m 100% to figures of approximation. It has been established above (cf. Ch. 5:2.6 and n23) that the frequency expectations under the null hypothesis should be 50% for VB in each single context and overall sum, 50% also for each single 2ND context and for the sum, and again 50% for PRO singly and collectively. The definition of two scaling steps, a weak and a strong one (w vs. S) will produce prominent profiles of interpretable nature. The values employed are given in (40). (40) null hypothesis

< 50%

(for each slot of VB 1-5, 2ND 1-4,

weak scale:

w = 67 -

strong scale:

S = 80 - 100%

PRO 1-5) 79%

either w or S: X = 67 - 100%

On the basis of the raw figures from the tables in App. 3, the scaling patterns f o r each text plus a derived class average scaling can be produced; these figures are contained in App. 4. The texts with the highest number of appropriate strong scaling marks pointing in the direction of an idealized Old Romance norm (38) can then be considered the closest approximations, the true precursors of Romance. But since the scaling value is not a clear cut 100%, the approximation is only sketchy and imperfect; the result of this triage is a collection of embryonic prefigurations of the new linguistic code without its actual materialization. The leading approximations are expected to be found in the more appropriate classes of 'vulgar' texts VG, perhaps also the Christian collection CX, and definitely Biblical BX if the PRO parameter is disregarded.

188

Chapter 5: Clitic

T5-vii

placement

VB scale gradient in approximate chronology 5 χ VB

4 X VB

3 χ VB

6 χ CL

-

-

CL-5 Hisp.(-2,4)

6 χ TN

-

TN-3 Vitr.(-I)

5 χ VG

VG-3 Karan.

VG-4 Hulo.(-3)

VG-2 Fawakh.(-3,4) VG-5 Ravenn.(-3,4)

4 χ BX

BX-1 Itala BX-2 Vulg. Luc. BX-3 Samu. BX-4 Anthrop.

18 χ CX

CX-8 Conf.

CX-4 Peregr.(-3)

CX-12 Simo.

CX-9 Catech.'(-2)

CX-14 Mart.(-4,5)

CX-13 Didasc.

CX-10 Catech."(-2)

CX-15 Bened.(-3,4)

CX·17 Itin.

CX-11 Serm.(-3)

CX-18 Wandreg.(-2,4)

-I to V

-I to VII

9 χ Hl

HL-4 Franc.

cent.

11.to VII

CX-1 Tert. VB 5 > VB 2: VB 1 is due to W, VB 5 rather to absence of 2ND; VB 2 is fully compatible with 2ND which does not imply any violation of principles of Latin pronominal syntax. VB 3 and 4 are least likely to pick up the newer arrangement behavior early on. This general composite picture derived from VG finds its confirmation in the Christian Latin CX data. The nature of CX, dependent on spontaneous stylemes, Biblical BX influences through its content matter, and on Classical rhetorical tradition, produces results of considerable indeterminacy and variability from text to text. In the specific case of VB adherence, the trend follows the VG pattern, with major concentration on VB 1 and 5, categorical in the first instance, relevant in the second. On a purely numerical basis, the class averages for VB 2 and 3 are also scalable (67% and 70% respectively), that of VB 4 being only marginally lower (60%). This elevated toll of VB conformism is also revealed in the single text scalings

3. Data analysis

199

where the contexts 2 to 4 appear similarly composed. 32 Of more importance, however, is the existence of individual texts with complete scaling match compared to Old Romance, of which two, CX-8, Confessiones by Augustinus and CX-12, Acts of Petrus with Simon Magus, are numerically relevant: All five contexts VB 1 to 5 come close to Romance conditions. In addition, the somewhat weaker approximations C X - 4 , Peregrinatio ad loca sancta, and CX-11, Sermones by Augustinus, have full force as representative samples in all their context classes. 33 This same class also contains, however, samples of purely classicistic pronoun usage; the epistolary style of Cyprianus (CX-2) and of Hieronymus (CX-5), the treatise style of Ambrosius (CX-6), probably also the language of Benedictus in his Regula (CX-15) as well as the stylized expressive code of the old Vita Wandregiseli (CX-18), are spirited instantiations of Latin norms. The good proto-Romance and the good classicistic samples cover virtually the entire chronological span of the Christian texts CX, so that early and late chronological place do not predetermine closeness to one or the other of the poles. The specific orientation depends on the author's choice and on the constraints of the circumstances, in addition to the normally prevalent preoccupation with the degree of schooling of the writer. The last class to be discussed is the reoriented, classicistic historical and legal grouping HL. In fact, there is only one text of proto-Romance features, H L - 4 , the anonymous Liber historiae Francorum of known 'vulgar' linguistic stamp. 34 Here the proto-Romance trend is markedly visible in the VB choices, as in any other text of good VB approximation. No other text in HL comes close to the pattern of HL-4 Franc., no context other than the expected VB 1 shows a class relevant scaling value for HL (cf. App. 4-a). It should be noted in particular that the language of a much maligned (and self accusing) author such as Gregorius Turonensis (selection HL-2) is clearly classicistic in relegating the near-Romance VB instances to pure accidental status. The Classical model is being followed rather faithfully in the specific aspect studied here. The artificiality of the language used by the HL author — due to the temporal distance from Classical Latin and a potential slope of achieved stylistic mastery in normative literary Latin — may produce rather irregular highlighting

200

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patterns (e.g. in HL-3, the Pseudo-Fredegarius, or HL-9, the Chronicon salernitanum). The overall chronological arch arrives thus at the point of departure in the given corpus, since HL is close to CL; but the presence of protoRomance samples in a dominant sense extends over the long time span from the 2nd to the 7th century. Again, as in other aspects before and later in this study, the Romance and the Latin trends coexist and correspond to divergent choices, not to inexorable chronological developments engulfing the entire linguistic spectrum of written and probably also spoken Latin. 3.11 Discussion of PRO For the final major parameter PRO (table T5-ix, p. 192-3, and App. 4-c), the immediate but unacceptable conclusion is that the best Romance approximations are identical with the least proto-Romance classes CL and HL. The scaling marks for CL (all strong S, plus PRO 1 as weak w) indicate a significant amount of proclitic arrangements for Classical texts, but only to the extent that proclisis is allowed by the primary condition of achieved VB. The correct conclusion thus is not to see in these values a proto-Romance trend, but to identify proclisis in CL as the normal mode of pronoun and verb linearization if the two elements come to stand in contact in a SOV language. In view of the general dependence of HL on the consciously imitated style form of CL, the parallel, even though weaker, concentration on proclisis in HL is fully explained. The discontinuous identity in type between the two chronologically peripheral text groups is a consistent feature of pronominal syntax as explored so far. The class percentage figures and the scaling marks in Biblical style (BX) manifest for PRO a peculiar absence of proclisis in any context class. By converting the PRO 1 mark into its actual meaning of extensive enclisis, BX turns out to be the class of exclusively enclitic verb plus pronoun arrangements. Contrary to the CL situation where VB represents only a minor portion of the items considered, the concomitant VB scalings for BX make this enclitic preference a heavy surface phenomenon. TN suffers as usual from its low frequency of actual occurrences per text so that the two S marks in PRO 4 and 5 are erratic rather than systematic. The more interesting

3. Data analysis

201

classes in proto-Romance perspective, VG and CX, behave more moderately. In VG, the lack of any scaling mark on PRO 2 is noteworthy; CX has an aspect parallel to VG, only somewhat weaker. As for BX, the fact that the primary VB hypothesis appears with heavy incidence in these classes brings the PRO distribution to manifest importance. The texts in these two classes are predominantly proclitic with regard to verb and pronoun linearization, in context PRO 1 evidently with requisite enclitic inversion. The high amount of proclisis for VG in the contexts which later on in Old Romance will require proclisis (TM VI), the correct presence of enclisis in clause initial context where Old Romance will also impose enclisis (TM I), combined with the absolute weight to be attributed to VB in these classes, induces the conclusion that this averaged class behavior of VG is the relevant predecessor of Old Romance conditions. Even though PRO is a parameter of secondary importance to VB, it is exactly this trait which allows us to distinguish the Biblical linguistic code from truly proto-Romance tendencies. The heavily prevalent enclisis of BX does not lead to an explanation of the Old Romance basic proclitic arrangement. On the other hand, the infrequent but syntactically necessary proclisis of CL, continued in the predominance of proclisis in appropriate contexts of VG and CX texts, points directly to the Old Romance norm as established at the beginning of this chapter (cf. above Ch. 5:1). The compilation of best to worst conforming texts in T5-ix indicates one further important aspect. The best individual texts in anticipating Romance conditions through five PRO scalings are not those which appeared as best approximations in terms of the placement hypotheses VB and 2ND. This is evident for the CL texts (CL-2 Catil., CL-3 Att. by Cicero, CL-6 Apuleius, Metamorphoses). But in the VG class the texts with five scale marks are VG-1, Cena Trimalchionis and VG-5, papyrus texts from Ravenna, both of which have the weakest Romance prefigurations regarding VB. Similarly for CX, the samples CX-7, De civitate Dei and CX-9, De catechizandis rudibus, part 1, by Augustinus are not the epitome of nascent Romance. In HL, text HL-8, Lex salica and HL-9, Chronicon salernitanum represent two of the most classicistic texts in terms of pronoun placements patterned after the CL model. The

202

Chapter 5: Clitic

placement

truly proto-Romance texts appear only further down the gradation of PRO scaling marks; cf. VG-4, Mulo. under 4 χ PRO, VG-2 Fawäkh., CX-11 Serm., CX-12 Simo., HL-4 Franc, under 3 χ PRO, etc. in T5-ix. Surveying the specific contexts, PRO 2 lacks a scaling mark most frequently, followed at a distance by 4 and 5. This reticence with regard to PRO 2 does not, however, include the oldest text layer, CL, nor the 1st century VG-1 Cena. Similarly, HL is less sensitive to this special feature in probable imitation of CL. The texts without a PRO 2 scaling include the best proto-Romance samples identified so far. This suggests a relation with the Old Romance condition of TM II, or what has been termed the et effect: enclisis after certain lexically marked conjunctions. If this condition is being anticipated in the texts under discussion, one would expect a lower frequency of proclisis. Since the actual PRO 2 context ([ s c - ) includes, beyond the suspected predecessors et, sed, magis of the Romance ^/-effect, a majority of other c elements (subordinating conjunctions, relative pronouns, connective adverbs, etc.), the original analytical procedure of operating with a unified context 2 must mask the true situation by superimposing the characteristic enclitic ^/-effect over the other c-elements which typically induce proclisis. A second round of investigation for this specific hypothesis becomes unavoidable (cf. below Ch. 5:5). The tentative identification of a prefigured ^/-effect amounts to the description of a chronological differentiation in that the earlier texts (CL, some TN) do not participate in this trend, but the later samples do. Inversely, the absence of a PRO 1 scaling on the same earlier texts contrasts with its general presence later on. But the discussion of context 2ND 1 (in 3.9) has demonstrated that this is only an apparent problem for the IE descendance of W. The case of PRO 1 is identical in principle. Comments on the BX class will be very short at this point, since a more specialized discussion of these texts and similar ones will follow below (cf. Ch. 5:4). From the scaling profile, the class appears united in its particular character of heavily favoring enclitic arrangements between verb and pronoun in all five contexts PRO 1-5. The numerical situation shows amounts of considerable enclisis for 2, 3 and 4, and overwhelming enclitic preference for 5, with

3. Data analysis

203

a gradation of most enclisis in BX-3 Vulgata, Samuhel, vs. least in BX-4 apocryphal Acts of the Apostles. The more or less categorical enclisis of pronouns in BX is at odds with the widely confirmed proclisis of Latin based on its SOV typology. The composition of class BX is heterogeneous since the last text, BX-4 Anthrop., differs considerably from the three Bible selections in its percentage values. The distinction of Biblical vs. apocryphal provenience may thus be of importance. On the other hand, however, even BX-4 Anthrop. in its higher proclisis ratings does not yet overlap with any of the other texts or text classes; it remains quantitatively inside the circle of the BX class, to which it belongs by inspiration and expression. It seems safe to assume that the proto-Romance preference as expressed in most of the VG and some CX texts consists of insistence on PRO 1 (near-categorical enclisis in context [ s - ), some importance for PRO 3 ([ s c X - ), and intermittent scaling of PRO 4 and 5 (after one or more constituents). For PRO 2 on the other hand, the scaling would not be appropriate as an expression of approximation to Romance (cf. below Ch. 5:5). But even where the percentage of proclitic arrangements does not enter into the scalable domain, the major component for each category of contexts in VG and CX belongs to proclisis. The norm is proclisis, the exception is enclisis, be it in Classical Latin and its derivatives, or in more spontaneously oriented Latin of the 'vulgar' and Christian affiliation. Within these bounds, there is no clear chronological evolution visible. An early CX selection may resemble a late one very strongly (e.g. CX-1 Tert. apolog. 2nd cent., and CX-15 Bened. reg. monach. 6th cent.); or the contrasts between two texts of one and the same author may be considerable (e.g. the two portions of CX-9,10 De catechizandis rudibus by Augustinus). If the parameter VB identifies a group of evidently proto-Romance texts (plus some others which are only apparently subsumed), the PRO measurements fail to yield a decisive organization into visibly proto-Romance vs. non-Romance pronominal behavior patterns which would coincide with the previous dimension. VB approximation to Romance is thus primary, and PRO crystallization in the historically known format (cf. the TM reconstruction argued above in Ch. 5:1.6) as secondary and as chronologically later.

204

Chapter 5: Clitic

placement

The claim thus is that placement of clitics chronologically preceded linearization of clitic and host. This same precedence is an evident postulate for the synchronic abstract-to-surface derivation. Its historical appropriateness is not given a priori, however, but appears from the quantitative picture as seen so far. While the synchronic sequencing/logical precedence is absolute, the historical one is relative: The foregoing discussion brought out the dependence of Romance proclisis on preexistent, and predetermining, Latin proclisis, so that the change could be a simple extension of frequency from Latin to Romance. Indirect arrival at this Romance proclisis through phases of apparent ambivalence (with proclisis still prevalent) in the attested VG and CX modes of pronominal syntax indicates the transitional nature of this statistical weakness found in the data: While the pronoun had reached the verb and began to constitute a unit with it, a rigid crystallization of linear ordering between the two elements had not yet taken place. The processes responsible for linearization were the traditional leftward position of the non-verbal elements with regard to the verb, and the possible postposition of the pronoun, especially in its clitic function, to the immediate right of the verb/host. This repeats the well observed disposition of host plus enclitic of the -que type, or, more likely, it continues in this encliticization the normal enclitic orientation of an unstressed pronoun in second position, i.e. Wackernagel's law. This choice is supported by the surface manifest verb plus enclitic pronoun group of the clause initial type. In this sense, the indeterminacy of clitic linearization can be understood as a natural state of pre-organization of more advanced aspects of proto-clitic syntax. The normal forces of collocation antedating the advent of increased clitic placement according to VB assure a vacillating, but relatively stable, distribution of enclisis/proclisis, maintaining thereby the traditional force of basic pronominal precedence over the verb. The Old Romance fixation of the diverse categories of linearization thus builds on the old Latin foundation of SOV constituent arrangement and on the individual functionalization of enclitic vectors which were also multiply present in Latin. The not yet finalized process of functionalization of clitic linearization becomes visible in the VG and CX values for PRO 2 to 5. The contrast of these

3. Data analysis

205

values in relation to the much more decisive CL patterns is expected in the general scenario described here. Lowering of proclisis correlates with a considerable expansion of the basic string arrangement of contiguous verb and pronoun. In Chapter 8, evolution of verb position will be shown to have contributed to the increase in enclisis, due to a major augmentation in verb initial clauses requiring pronominal enclisis. This force can be added to the factors already described here which yielded the ambiguous tension field between proclitic and enclitic linearization with regard to the newly found verbal host. 3.12 Combined contextual parameters After this investigation of the significance of single parameters, it is essential to address the question of the combination of these three parameters. This should produce an approximation of the defined Old Romance standard as closely and extensively as possible, given the raw materials. The ideal Romance pattern is, as will be recalled, the formula 5xVB, 4x2ND, 5xPRO. It should also be remembered that no single text achieves this result completely. The approximations, even in the domain of the strong scaling marks (which still leave a variability span of 80% to 100%), will thus really be only incomplete sketches of the eventual categorical solution which emerges with Old Romance. The resumptive table T5-x shows all occurring combinations in the formula VB:2ND:PRO, so as to give an idea of the density of proximate results to Old Romance. Since the table takes the form of a coordinate system with VB on the horizontal axis and 2ND on the vertical one, the location of a text in this plane reveals its degree of proto-Romance approximation: The further up and the more to the left it is found, the closer the text is to the Old Romance formula (cf. the inscribed field). This two-dimensional pattern refers only to clitic placement properties; the subordinate linearization parameter PRO is expressed internally to each slot from high to low correspondence with the Old Romance norm. The evident (left to right, high to low) continuum of decreasing similarity with Romance for the text selections contained in the corpus can be subjected to a division into acceptable and unacceptable (because too far removed) approximations to a system of Romance pronominal syntax. The ideal formula

206

Chapter 5: Clitic

T5-x

placement

List of VB:2ND:PRO combinations for text samples 5xVB

4x2ND:PRO

4xVB

3xVB

2xVB

IxVB

OxVB

5 CX-9

5 VG-5

5 VG-1

5 CL-2

5 -

4 HL-5

4 HL-2

4 -

3 -

3 -

CL-6 CX-7 HL-8 HL-9 4 -

4 VG-4

4 CX-1

3 CX-12

3 CX-10

3 CX-14

3 CX-5

CX-17

CX-11

CX-15

CX-6

CX-18

2 -

2 -

2

-

2 CX-2

2

-

2

-

1 -

1

1

-

1

1

-

1

-

-

3x2ND:PRO 5 4 -

-

5 -

5 -

5 -

5 CL-3

4 CL-5

4 CL-1

4 CL-4

4 -

HL-1 HL-3 3 HL-4

3 TN-3

3 VG-2

3 CX-3

3 TN-6

CX-16 HL-6 HL-7 2 CX-8

2 CX-4

2

-

2 -

2 -

VG-3 1 -

1

-

1

-

2x2ND:PRO 5 -

5 -

5 -

S -

4 -

4 -

4 -

4 -

5 4 -

3 -

3 -

3 -

3 -

3 -

2 CX-13

2 -

2 -

2 TN-4

2 TN -1 TN-5

1 BX-1

1-

1

-

1 -

1

-

BX-2 BX-3 BX-4 1x2ND:PRO 5 -

5 -

4 -

4 -

5 -

5 -

4 -

4 -

3 -

3 -

3 -

3 -

2

-

2

-

2

-

2 -

1

-

1

-

1

-

1

TN-2

2

-

3. Data analysis

207

includes as relevant the placement values 5xVB or 4xVB, and 4x2ND or 3x2ND. Of the 48 text samples, eleven are thereby recognized as specifically proto-Romance. None come from CL, as expected, or rather required; TN offers a single specimen, TN-3, Vitruvius, De architectura. VG enters two of its five texts, VG-3, the letters of Claudius Terentianus, and VG-4, the Mulomedicina Chironis. Fully seven of the eighteen CX specimens belong to this group: CX-4, Peregrinatio ad loca sancta; C X - 8 , Augustinus, Confessiones\ CX-9,10, first and second part of Augustinus, De catechizandis rudibus; CX-12, Actus Petri cum Simone; CX-17, Itinerarium hierosolymitanum). HL contributes only the one text, H L - 4 Liber historiae Francorum of an anonymous author, while BX contains no relevant text for present purposes. The eleven samples vary in their faithfulness to Old Romance linearization, between a meager 2xPRO and a full 5xPRO (e.g. VG-3 Karan. with 2xPRO vs. CX-9 Catech.' with 5xPRO). The following tabulation T5-xi (p. 208) gives a resume of the essential data on these eleven best approximations to Old Romance clitic placement and linearization by displaying the applicable scaling marks and the percentage values on which they are based. In addition, the table specifies the total number of pronouns per text, parenthesizing those component values which are based on a total number η < 6. In this way, the value of the various texts should be quite openly visible. 3.13 Best proto-Romance approximations The limitation of good specimens to those with a maximum of one point deviation from the ideal value of each of the two parameters VB and 2ND is a necessary restriction. A cumulative possible distance of 2 points from the ideal formula must be distributed over the two parameters; combining this same distance measure of two points on only one parameter would result in the inclusion of rather disparate specimens no longer representing a clear protoRomance orientation, either in actual numbers or in the general character of the language sample. Inclusion of 2x2ND texts would eliminate the 2ND parameter totally from relevance given its basic fixation on an automatic value of 2x2ND (due to W in context 1 and context 2 with its comprehensive 2ND status). The lowering of VB to possible 3xVB, even while maintaining 2ND at its maximum

208

Chapter 5: Clitic

placement

/-ν -ο ο ο Ο ο ο Νst• Ο ο κ ο ο ο ο ο U"! οο CO ο -J * ' •JZ (Λ 2 ΙΛ CO (Ο • CO (Ο ^ Λ Νο 1 ο ο Ο ο ο ο ο ο *— ο Ο- ο CO ο ο ο co SV ο w Χ * ' ΙΟ ΙΛ (Λ co (Λ ΙΛ CO (Ο CO

00 κι h- οο ιη in 00 Ν'

CO 3

ο ο ο Ο ιη οο ο in •

CO CO

•

Λ /•Ν r\i ο ο Ο ο ο Ν- ο ο ο ο Ον 1— οο 00 Ο Ο ο ο ο ο ο Ι*-ο hιη *— χ U (Ο (Ο ΙΛ (Λ (Ο (Ο CO 3 3 ΙΟ 3 CO τ— οο INJ 00 χ υ (/> ι/ι

CO

V

α 6 ea CO V υ

a a

aο

Dh I ο «-» οι*

α

co

ro ο — CJ I> · •· in ro S- 1—1 > -ί m ro ο in «ί -ί

>

ο ro »• N. •J· Νί

>

in oo ro ·· -j· S»

>

00 κ fM ο- ο Γ^ 00 fM ο> ο in Ο in >ο Ό οδ «ο οδ >0 00 ο ιη hw • χο (Ο Χ ΙΛ 3 3 ΙΟ

«ί (Μ β ο> 03 χ ο (Ο ΙΟ

Ο ro ο CO to ΙΟ (Μ ο CO Γ-- (Μ in Ό ro ΙΛ 00 CO ο ο Νί· «— ΙΛ ΙΟ (Ο ΙΛ 3 • CO • 3 • β

fM fM o> ·· ro

>

ο ο ο ο ο •4· ο ο CO ΙΟ CM 00 ο Κ ο> ο ο ο- Κro 00 ι^ Νο Μ 3 • ΙΟ CO ΙΟ ΙΛ 3 ΙΟ • CO 3 3 Λ ΙΛ . oο o - o ao -Κo rΤ.^ oο o οc oο>i nιη ο CO S. Ο Ο ο ο ITt -ο 00 ο ο χ W s> ο (Ο • 2 V) Μ ΙΟ

•

3 3 • • Λ ο St ro ο ψ— t— «— Ο ο ο- ο- S.S Ο Ο CνM ΙΟ ΙΛ CO to • ΙΟ (0 • Λ r Λ Ο ο ro ο ο — ο P. Ρ. ο ο 00 00 ν*» ΙΟ ΙΟ CO CO CO 3 3 CO

«

l A w u i x i e u n

c*

Λ Ο Ο I v^ • CO

Ο Ο 1— v^ CO

X ι

τ- fM ro

Η

CO >

Λ Ο ο τ—

Λ Ο Ο τ*

>»

m

Λ Λ ο Ο Ο ο r- Ο ο ro I ι— I ro vO ΙΛ ΙΛ • CO 3 ΙΟ . • 3 ΙΟ ο ζ

ο ο "α c 31 V Ο ο (υ (Ό 4J χ ο 1.3 ο ο II Μ 10 41 (ΟΙ Ο ΙΛ ιβ —· υ —> ΙΑ ν L. U Ο 01 (β C Η- 3 ο > — ζ ι_ ο 2 % οι S. c χ Ο *j Ο 41 L. C *-> 41 ΙΛ ΙΛ 8. 2 II II II

3. Data analysis

209

of four scaling marks, draws in the disparate set of one VG text (VG-5, papyrus texts from Ravenna), and four CX samples (CX-1, Apologetica by Terentius, CX-14, Acts of Christian martyrs, CX-15, the Regula monachorum by Benedictus, and CX-18, the old Vita Wandregiseli). Of these, the four CX samples are known to be rather classicistically oriented. This is not an unexpected outcome of the instantiation of formula 3xVB:4x2ND, since the reduced VB presence under maintenance of 2ND is exactly what defines the classical language of CL. The given limitation of 5/4xVB plus 4/3x2ND is necessary in order to keep the 'best' group in the forced neighborhood of proto-Romance and of eventual Old Romance. 3.14 Importance of Greek influence The listing of the eleven texts in T5-xi turns out to be not only in order of text groupings, but also in actual chronological sequence, as the century indications in the table make clear. The time span of -I to VIII for good proto-Romance approximations to proto-clitic placement is surprising for its early date, -I; but this sample TN-3 Vitr. cannot be taken seriously due to the overall scarcity of pronouns employed in the text. Judging from their literarycultural embedding, the other cases included seem to be genuine in their proto-Romance direction, with the possible exception of VG-3 Pap. Karan. (CI. Terent.) The main deterrent for taking this text at its full face value is its early date (beginning of second century) and its provenience from Egypt, where Latin was not the only nor the most important language, especially on the spontaneous level. The presence of a considerable number of Greek speaking groups (the Claudius Terentianus letters are in their larger part in Greek, only a few Latin ones accompany them) and the contemporaneous strong subsistence of Egyptian for everyday expression, indicates a polyglossic situation where certain deviant traits of Egyptian Latin compared to metropolitan expression could be due to language contact. The particular isolated position of the Egyptian papyrus documents VG-2 Fawäkh. and VG-3 Karan. in the evolution of Latin makes it difficult to give a secure judgment on the function of the linguistic divergence diagnosed here: bi/trilingual overlay or genuine spontaneous language evolution taking place in a surround-

210

Chapter 5: Clitic

placement

ing of considerably reduced normative pressure on language use due to the weak presence of official Latin culture in the multicultural mix? 3 5 Even if this early text of proto-Romance appearance should be discarded from consideration in the historical path from Latin to Romance, there remains the somewhat later and at least as convincingly proto-Romance scaling pattern of VG-4, the Mulomedicina Chironis of the 4th century. Here the Greek influence is evidently present as well, since the treatise is an indirect elaboration of a Greek original (or better, of a Greek original tradition). But the genuine Latin, even though not Classical, character of this text is otherwise also fully affirmed, in contrast to some opinions about the Egyptian papyrus samples. 36 For the CX texts, the Greek question is also present due to the general Hellenistic basis of Christian culture, or at least its Greek transmission to Latin speaking population groups. The affirmation of specifically new Latin features in CX oriented texts has commonly been taken to indicate at least possible bilingual causation of such evolutions. In this view, the subsequent establishment of what can be considered a speech-group-specific code of Christian Latin apart from actual tendencies of normative spoken and written Latin initiates a process which leads to the gradual extension of this group style to a wide segment of the speech community at large. This expansion is due to the heavy social upheaval of later phases of Antiquity and of the early Middle Ages. The Christian code, in its restricted origin, would have become the normative form of the restructured society, losing thereby its specifically Christian connotations and instead becoming an all purpose code eventually surfacing and crystallizing in Old Romance. 37 A bilingual transmission is essential for the implantation of Greek features in the Latin base code; this bilingualism has been affirmed repeatedly as a fundamental aspect of Late Latin sociolinguistic conditions and is claimed to have left many visible lexical traces in Late Latin and Romance. Further propagation of the feature once implanted can take place even in the subsequent monolingual Latin environments which must be assumed as more typical of society after the 2nd century. 38 The situation is thus an undecided stand-off: On the one hand, one finds secured Greek/Latin bilingualism during the 1st and 2nd centuries for sizable

3. Data

analysis

211

strata of the speech c o m m u n i t y representing the most evolved spontaneous language. On the other h a n d , one confronts considerable difficulty in deriving the claimed adstratum effect — in the specific case the instantiation of VB relevance — independently within the influencing code of spoken koine Greek. While Modern Greek offers a clitic pronoun system only minimally d i f f e r e n t in its syntactic dimensions f r o m the Romance types, this is as much a result of evolution f r o m Ancient Greek conditions as is the Latin/Romance situation. 3 9 The minimal observation is that of an extensive parallelism in the evolution of the two languages, starting f r o m similar points and arriving at very comparable goals, perhaps within a commensurate if not totally congruent time span. The question of polygenesis or organic influence will not be decided here, since a valid answer would presuppose an equally extensive parallel study of the Greek situation, establishing the modalities of change and a rather precise chronology. To set the two evolutions side by side would yield the decisive comparison which alone can settle the otherwise rather idle question of Greek influence on proto-Romance clitic placement. 4 0 3.15 Internal Latin origin of proto-Romance features Referring concretely to the best Romance approximations under discussion, the Greek influence can be seen as relevant f o r the earliest samples ( V G - 3 Karan., V G - 4 Mulo.), but it is already questionable, in its direct imposition, for the CX tests C X - 4 , Peregrinatio and the Augustinus selections ( C X - 8 Conf., C X - 9 Catech.', C X - 1 1 Serm.). For CX-12, Acts of Peter with Simon Magus, a Greek source is not excluded for some syntactic modeling even though the text does not exceed the bonds of altered Latin pronominal syntax set by the contemporaneous CX-17, Ant. Placent. itin. hieros., of very unlikely Greek dependence. Finally, a text such as H L - 4 , Liber historiae Francorum, can have benefitted f r o m Greek influence only in the most indirect way, i.e. through previous generalization of a Greek induced feature in the common language from which the compilator of H L - 4 Hist. Franc, took the syntactic behavior of these pronouns. In other words, given the generalized scenario of Greek influence on spontaneous Latin of Late Antiquity, any and all of the text samples will be tainted by the suspicion of not presenting authentic

212

Chapter 5: Clitic

placement

Latin results of pronoun syntax (or whatever other such feature of Greek parallelism), whether the presumed adstratal overlay is adjudged as direct or indirect. As a consequence, the entire range of the ten relevant texts in T5-xi returns to the same level of demonstrative relevance: Starting with the 2nd century (text VG-3 Pap. Karan.), good Romance proto-clitic placement 'imitations' are possible, and a number of privileged texts with the same or even stronger propensities can be found between the 4th and 8th century in the corpus examined here. Two only partially independent reasons are responsible for the absence of later examples: The corpus contains very few later samples (two in the 8th and one in the 10th cent.), thus lowering the chance of finding an appropriate proto-Romance text in the few representatives. But the low number of such late selections is caused by their general irrelevance for this study, as those included under HL already demonstrate quite clearly: The linguistic code of written expression has reverted to more standard Latin conditions in the wake of the Carolingian reform of around 800, thereby reducing the likelihood of the percolation of spontaneous speech features into the written expressions on which the previous centuries depended for the manifestation of proto-Romance traits. The 8th century signals the end of the submerged Romance prefigurations and the advent of some direct Romance attestations (Parody of the Lex salica, cf. Beckmann 1963; Laudes Regiae of Soissons, cf. Zumthor 1959), presupposing thus a certain amount of written code differentiation between Latin and Romance. The very advanced early documentation in Northern French territory is exceptional within the entire picture of nascent Old Romance. In other areas, the beginning of actual documents falls into the tenth century, e.g. the Placiti of Southern Italy from 960 on. A considerable gap exists between the end of massive Romance prefiguration in the texts, including pronominal syntax, and the actual documentation of the Romance result. But the geographical dispersion of the texts included here in the list of best approximations — only HL-4 Franc, is of Northern French origin — indicates that the proto-Romance deformation of the pronominal syntax component is not geographically limited to a territory which is an outpost in many other respects. The close imitation/prefiguration of later Romance conditions by the sixth

4. Style

levels

213

century (CX-12 Simo. and CX-17 Itin.) stands to demonstrate the early availability of proto-Romance syntax in this regard. This is only further confirmed by the fact that already a 2nd century text VG-3 Karan. offers the same pattern of organically derived, but circumstantially accentuated, peculiar Latin options of pronoun placement. The series of ten texts between the 2nd and 8th century documents thus a rather open-ended Latin predisposition for constituting specialized pronoun placements and linearizations which in a given point of linguistic code transition — from conscious Latin to conscious Romance — may crystallize into a new system. This system no longer diverges from Classical Latin norms by a numerical factor of frequency, but by a qualitative change in organization, switching from a 2ND and free pronoun placement to the newer VB dependence. This is the general trend with regard to the ten best proto-Romance approximations. There are, however, still various points which need closer attention in order to arrive at the concluding delineation of the Latin to Romance changes.

4. Style level considerations

4.1 Chronology and text group connections The first additional concern refers to the intersection of chronology and text group distribution. This will lead to a discussion of the special status of the BX class in this framework. Following this more d i f f u s e discussion, the question of linkage among the three parameters VB, 2ND, and PRO requires a longer digression on the Latin predecessor conditions which permitted Romance TM II, the e/-effect, to originate (cf. Ch. 5:5 below). At that point, the moment will have come for a final coherent statement on the derivation of Latin to Romance clitic placement and linearization, context subclass by context subclass (sections 6 and 7 below). The listing of the ten best approximations to Romance in the preceding table T5-xi may be supplemented by the following graph T5-xii in which the time axis is horizontal and the distance factor from idealized Old Romance norm is vertical. For the closest approximation values, the source of divergence is kept separate. Distinctive height represents

214

Chapter

5: Clitic

ω σι ο

—>

υ

placement

Ο ο C (0 Ε ο Ο +-»

eo χ

£ω ο

α >.

ιλ in ο . Τ > Χ Χ U U

Λ

m Νί Τ χ Χ CD U

a

4)

6

>9

CX-10

CX:-ii

CX-12

1

S 100

S 100

S 100

s 100

S 100

S 100

2

61

50

.

50

w

69

3

57

50

s 100

s

86

50

33

w

80

57

w

s 100

s 100

59

.

53

s

82

s

Μ

67

w

69

.

64

s 100

67

s

80

w

72

s 100

73

w

78

s 100

S 100

S

90

s 100

s 100

S 100

s 100

s 100

s 100

S 100

s 100

s 100

57

s

83

s

94

s

82

w

70

78

s

80

s

93

s

82

u

67

4

44

5

S 100

S

2ND 1

s 100

s 100

s 100

S

86

2

s 100

s 100

s 100

S 100

3

s

s 100

w

75

.

4

s 100

s

S 100

w

PRO 1

s

0

s

s

2

.

64

3

u

75

4

s 100

5

•

86

60

Formula 2:4:5 Total #

53

.

90

•

0

s

0

12

w

71 75

0

s

0

s

0

s

0

S

0

45

s

91

.

41

.

27

.

50

50

w

75

s

91

w

72

w

70

75

s

91

Μ

78

S 100

-

20

•

44

•

s 100

w

s

80

s 100

w

67

w

•

38

u

•

62

s 100

75

84

0

2:4:3

2:4:5

5:3:2

4:4:5

4:4:3

4:4:3

5:4:3

50

39

83

38

69

150

47

S f w, . = strong, weak, no scaling mark (S = 100%, w = 68-79%) numbers represent percent of relevant instances compared to total of subc I ass i f i ca t i on .·

4. Style

levels

225

parallelism to spontaneous speech can well be expected. 47 The differences between the two parts of Catech. are actually minimal, since they concern mainly the PRO parameter. The minor discrepancies between CX-9 Catech.' and CX-10 Catech." in pronominal syntax may or may not be of marginal relevance in the sense of the differentiation postulated by Mohrmann for this other learned/popular feature of a.c.i. vs. quod + verbum finitum, but there is evidently no question of a major gap and a complete ensuing change in syntax. This description concerns the split between CX-7 Civ. vs. CX-8 Conf./CX-9 Catech.'/ CX-11 Serm.: Here, the communicative intention of the author may be seen as the decisive factor in the style selection. The Civitas Dei is a relatively dispassionate exposition of doctrine directed at a literate Latin speaking non-Christian audience. Its high level destination is manifested in the use of an appropriately non-spontaneous, non-emotive Latinate code, congruent with the literary expectations of the targeted reader group. The other writings imply thus a previous acceptance of the less Classical, more spontaneous style which Augustinus apparently sees as appropriate for more community internal writings. The choice of language or style is a conscious phenomenon of code switching. The mechanism for converting the classicistic pronominal placement pattern into a proto-Romance one — or in contemporaneous terms, into a spontaneous or near-spoken form — is a reduction in pronoun separation from the verb (context C), letting the pre/post-verbal occurrence of the pronoun take its natural course. The procedure is simple and lies definitely within the stylistic options of a prolific writer such as Augustinus. The product of this act of writing is never a truly Classical nor truly spontaneous language, nor is it a consistent and unique linguistic code. There is e.g. no necessary and unchanging link between style level choices for pronoun syntax and subordination form. The texts are all genuine Latin expressions of their period of origin, the 4th to 5th century, with microscopic dispersion across the generally available style span in macroscopic adaptation to the intended effect. 4 8 An understanding of the diversity and its limitations depends on the Latin pronominal conditions themselves rather than on external considerations.

226

Chapter 5: Clitic

placement

5. Origin of enclisis after et (TM class II) 5.1 Data from supplementary investigation The considerations of the above section Ch. 5:3.11 pointed to the possible relevance of the eventual et effect — i.e., TM II or enclisis after et, magis — in all but the earliest layer of proto-Romance text samples. This hypothesis could help to explain the rather low PRO values in context class 2. Since the original data collection did not distinguish between the relevant subcontexts (especially subordinating conjunction vs. coordinating particles), a second round of investigation is required. For practical reasons, a new corpus was formed with proto-Romance dimensions commensurate to the original data collection. Many of the less useful texts were consequently eliminated from consideration since the interest lies in identification of an e/-precursor effect in good proto-Romance approximations. 4 9 The categories of c which find separate classification are the wide list in (45), while the finally functional grouping for analytical purposes appears in the righthand column (46). (45) Wide List

(46) Narrow l i s t

subordinating conjunction ( c j )

"J· weak subordinating p a r t i c l e ( c j )

adverbial conjunction (adv c j )

J

relative particle/pronoun ( r e l )

weak r e l a t i v e particle/pron.

(rel)

weak adverb unemphatic negation (non/nec/neque) unemphatic negation (neg) et, aut

et, aut

sed

sed

magis -que, -ve -ne other (atque)

The categories eliminated from the shorter list failed to amount to representative frequency, and thus did not point securely in any direction. Even the categories of negation and sed do not provide the expected insights, so that the three types of actual relevance are the typical c representatives cj, rel, and et, of comparable phonological weight, but of quite distinct syntactic function. This narrowest grouping of representative breadth contains thus both the ancestor forms of the Old Romance et enclisis

5. Enclisis after et

227

and, opposing these, the precursors of Old Romance subordinate clause/complementizer proclisis. Even in the absence of the more specific surrounding elements (magis, sed, aut; non, weak adverbs; presentative/affirming sic; etc.), the nucleus of the e/-class is well represented, and the result can be interpreted confidently. The disappointing text grouping TN was not considered at all, given its failure to offer positive materials for the placement/linearization question. The discounted foreign BX class and the precritical CL grouping show up only in the form of a single selection each, so as to give a basis for comparison with the central VG, CX, and HL texts. The fifteen sample counts are found in App. 5 in double form of raw counts (App.5-a) and of percentages of proclisis and separation per context (App.5-b). The additional measure of separation percentage between pronoun and verb (C context) indicates the degree of strength associated with the VB hypothesis for the given text and in the specific context class 2 (i.e. [ s c -). In view of the generally accentuated protoRomance character of the texts considered here, this index assumes rather low values. 50 Even with the reduction in distinct lefthand context types in (46) and App. 5-a, the two entities neg and sed remain no more than anecdotal. The crucial classes are clearly the three categorizations cj, rel, and et, of which the last should show a pre-Romance encliticizing ^/-effect for concrete prefiguration. The separation percentages (App. 5-b) reveal an insistent vacillation for cj and rel which can only in part be associated with the degree of protoRomance characteristics of a text. As in the general placement situation, the presence of separation between pronoun and verb does tend to indicate a classicistic stamp of the linguistic sample. A third string with initial et shows almost regular absence of separation in good proto-Romance samples (texts marked by *, e.g. CX-4 Peregr., H L - 4 Franc.). 5.2 Proclisis after cj, rel, and et The general picture yields high PRO for cj, para-categorical PRO for rel, and categorical enclisis for et contexts. This trend of evolution appears in its best numerical form by taking the average of the 'best approximations' VG-3 Karan., CX-4 Peregr., CX-8 Conf., CX-9 Catech', CX-10

228

Chapter 5: Clitic

placement

Catech.", C X - 1 1 Serm., C X - 1 2 Simo., and H L - 4 Franc, for the five context types distinguished in App. 5 - b , as shown in (47). (47)

proto-Romance approximation pattern:

cj

60%

PRO

reI

84%

PRO

(29% Sep)

neg 100%

PRO

(27% Sep)

et sed

(33% Sep)

0%

PRO

( 7% Sep)

60%

PRO

(17% Sep)

The amount of actual separation between pronoun and verb is not a functional dimension, but the proclitic pronoun tendency for rel and neg is very heavy, while the enclitic trend after et is fully confirmed. The sed context remains inconclusive (due to its numerical scarcity?). In other words, the left elements cj, rel, and neg do constitute a second position context on which the pronoun can rely for avoiding clause initial collocation, et, however, does not constitute such an initial protective element and thus induces the operation of Wackernagel's law by pushing the pronoun after the verb. Taking the best Classical texts C L - 3 Att., V G - 1 Cena, H L - 1 Vales., and C X - 1 4 Mart, together, the same profile yields a similar picture; cf. (48). (48)

classically oriented texts

cj

94% PRO

(62% Sep)

rel 100% PRO

(44% Sep)

neg 100% PRO

(38% Sep)

et

(21% Sep) 51

46% PRO

The near categorical results f o r c j , rel, and neg fully c o n f i r m the fact that these elements can occupy first position in the clause in their own right so that a pronoun of eventual proto-clitic status may follow them. But et had a dubious status already f o r p u r e r Latin phases. The figures for separation manifest a certain randomness of this arrangement, yet the low value for et cannot be accidental. The et examples for separation and proclisis typically d i f f e r f r o m the expected enclitic strings in that they represent VP c o n j u n c t i o n , p r e f e r a b l y in a subordinate clause; cf. the Cicero example in (49). (49) cura ut valeas et nos ames et tibi persuadeas te a me fraterne amari (CL-3 Att. 5.8)

5. Enclisis after et

229

The emphatic structure of string (50) from the Cena Trimalchionis is most likely such that me is a strong pronoun, in which case the counter-Romance trend would not exist here either. (50)

et me non f a c i a s ringantem amasiuncula (VG-1 Cena

75.6)

An adequate interpretation makes the claim that the coordinating conjunctions for Latin should show a differential effect on the position of the following pronoun, distinguishing between clause internal conjunction as in (49), without incurrence of a W effect, and clause level conjunction such as in (51), which undergoes the filtering effect of W so that the pronoun will not follow the conjunction. The relevant left context stands outside of the clause connnected with et in (51), but inside in (49). (51)

et extollunt se adversum me

(CX-8 Conf. 2.6.14)

This is the basic situation which should be available at the Latin pole of evolution towards the Old Romance ^/-effect (TM II). In the new Romance condition, the simple presence of a relevant item — et, magis, or rather their single language representations — triggers encliticization of any weak pronoun regardless of the constituent level of coordination, clauses or subclausal units, in main or subordinate clause position. 5.3 Latin prefiguration of ΤΜ II The complementary investigation of the context grouping 2 establishes thus that the collation of the various subgroups of (45) including et prevented recognition of how Latin prefigured this important Old Romance principle. The change from Latin to Romance consists in the categorical completion of enclisis to the verb. This amounts to a syntactic defunctionalization of the pattern which thus turns into a lexically marked automatism concerning et and magis. There is a true differentiation between main and subordinate clause occurrence of an introductory particle c. But the simple contrast of whether a pronoun is in second position in a subordinate or in a governing clause is not at stake alone. The difference refers to the clause inclusion of the c element of context 2: a subordinating complementizer

230

Chapter 5: Clitic

placement

(ut, ne, si) and a relative pronoun (qui, quam, cuius) have similar standing, 6 2 as has clause internal negation (non, nec).53 It is the presence of such a complementizing, connecting particle which makes the subordinate clause show more regular PRO and 2ND than other context classes, not its syntactic, abstract status as a lower level clause. Such extensive convergence of two independent principles — subordinate clause and clause internal complementizer/first element — may change its determining axis easily and pass from one interpretation to the other. The potentially crucial, but rare environment with an optionally absent subordinating complementizer is not telling, since such an omitted complementizer retains its abstract position on which pronoun placement may regulate itself. 5 4 The subordinating conjunction has an essential connecting function between the two clause levels, guaranteeing a syntactic construction and thus counting as first element in its clause. In the main clause, the syntactic motivation for an introductory particle (et, magis = 'sed, at') does not exist, so that these connectors remain outside the clause boundaries. A following element will thus constitute the first position of the main clause. Within the validity of W, a pronoun must become enclitic to this first element following et. The difference between main and subordinate clause behavior of proto-clitics is attributable to manifest properties of the respective string forms, which are syntactically componential and pragmatically functional. Condition TM II, the e i - e f f e c t of lexically controlled enclisis, is a generalized solution which originates in normal syntactic ways in Latin on the basis of the fundamental condition TM I, i.e. clause initial encliticization obeying second positioning according to Wackernagel's law. The observational problem consists in the previous non-categorical nature of the nascent syntactic e f f e c t in Classical Latin and its derived style levels, while later phases lack true syntactic motivation for a meaningful surface organization, e.g. Old Romance attestations. Only a f e w intermediate texts affiliated with VG and CX o f f e r the correct conditions for capturing the idealized causality of the phenomenon.

6. Neutral placement

cases

231

6. The function of neutral placement cases 6.1 Correlations between the main parameters VB, 2ND, and PRO Let us now return to the main investigation left standing after section 3. A look at the three parameters VB, 2ND, and PRO in conjunction points up some more useful details for the reconstruction of the transition f r o m Latin to Romance clitic placement and linearization. The ten star selections with regard to proto-Romance prefiguration, combined in a newly formed text class PR (= Proto-Romance), produce a rather topical impression of the developing VB, 2ND, and PRO conditions. The particular Romance directionality will emerge in comparing the PR star group values in (52) to the overall conditions for VG and CX. (52) Group average percentages for context i on indicated parameter a. 10 χ PR VB

b. 6 χ VG

2ND

PRO

VB

c. 18 χ CX

2ND

PRO

VB

2ND

PRO

1

98

98

0

100

99

1

98

98

2

76

[100]

50

72

[100]

54

67

[100]

52

3

80

81

73

57

95

93

70

80

80

4

83

76

73

64

85

80

60

75

70

5

81

-

54

87

77

77

-

63

-

2

(Proto-Romance PR = VG-3 Karan., VG-4 Mulo.; CX-4 Peregr., CX-8 Conf., CX-9 C a t e c h . C X - 1 0 Catech.", CX-11 Serm., CX-12 Simo., CX-17 Itin.; HL-4 Franc.)

The three text groupings are very comparable for contexts I and 2. PR, VG, and CX all obey the 2P condition W, which, on the level of spontaneous language, will lead directly to the first condition of TM, clause initial enclisis. The unavoidable 2ND conformity of context 2 goes hand in hand with the reasonably high VB value; only a random one-fourth of cases shows separation between pronoun and verb in PR. The low PRO value masks the ^/-effect of TM II which is freely mixed in with the normal proclitic situations classified under TM VI, as has been demonstrated in the preceding section. In contexts 3 and 4, the values for VB and 2ND are rather high in the star grouping PR; this contrasts with the much lower VB of the non-Christian

232

Chapter 5: Clitic

placement

texts VG vs. their very high 2ND figures. The PR group shows equal, and equally high, conformity to the two placement hypotheses VB and 2ND in contexts 3 and 4 after heavy first element ( [ X - and [ c X -). For YG and CX it is especially the verb base conformity VB which is lower, indicating thereby a greater distance from an idealized proto-Romance status. The PRO values for PR remain within the group picture of CX, a considerable approximation without an overwhelming bias. The clearly higher results for VG express the Latin preference for pronoun position preceding the verb, as expected in SOV syntax. However, the lowered incidence of verb and pronoun contiguity nullifies this effect. PRO is still not a very good measure of proto-Romance approximation since the primary line of evolution concerns VB, placement, and not linearization. Context 4 ( [ s X - ) seems to have a slight, but consistent reduction in 2ND placements in all three classes. To the extent that this is a systematic and not an accidental phenomenon, it is due to the purely observational fact that the string type [ c X cl V..., i.e. context 3, normally contains in its heavy first position a single item to which the initial c element is proclitic, forming a coherent first element for purposes of second position determination. On the other hand, in the schematically simpler [ X cl V... of context 4, X appears frequently as a multi-element constituent to which a potential clitic may attach less easily. In other words, a remnant of organic, rhythmical interpretation of 2P could be interfering and produce the lowered 2ND value in context 4. Finally, context 5 where no 2ND conformity can exist, shows rather high VB adherence for all classes. Particularly for the more Latin oriented VG, the preference for VB over no placement hypothesis at all is convincing, including the case of high PRO adoption. The fact that PRO is, however, lower in context 5 for PR and VG than in 3 and 4 (perhaps also in CX) points to the rather exceptional nature of this context type, [ Χ Y cl V..., where the Latin pronoun-before-verb automatism is partially impeded. For PR the random precedence rate of the pronoun only shows insistence on the combination of verb and pronoun, while the status of linear arrangement is less crucial for these two items. Paradoxically, the worse the PRO correspondence to Old Romance in context 5, the closer the text group in its overall behavior to the Old

6. Neutral placement

cases

233

Romance result. But this superficial contradiction is meaningful in terms of the drift towards increased VB observance. 55 6.2 Transition from 2ND to VB through neutral placement The comparison between the placement results for PR, VG, and CX also underlines a condition already explicit in the idealized Old Romance pattern of 5xVB, 4x2ND: The essential area of transition into Romance from the Latin conditions is the contingent of neutral placement cases equally acceptable under VB and 2ND. It is exactly in this feature of even acceptability that the PR star group exceeds both VG and CX, and thus approaches Romance more closely. It will suffice to add the figures of neutral placement occurrences for the ten texts in the PR group. As a necessary horizon for comparison, the average values for the CL class indicate the Classical Latin tendency with weak presence of neutral placement results. They are complemented by the averages for the remainder classes VG" and CX" after elimination of the respective PR texts from each; cf. (53) and (54). The calculation is based on the actual examples counted within each context 1 to 4 (5 being eliminated from consideration). The applicable neutral cases are then expressed as a percentage of the available sum (A ; + B; + Cj). The fields neutral between 2ND and VB are specifically A 2,3,4; Β 1,2 (cf. Ch. 5:2.6). The results of (53) and (54) are quite clear in their departure from Latin norms. The figures for PR, VG + , and CX + have clearly much higher presence of neutral placement instances. Furthermore, the figures are high in an absolute sense since they comprise between 60% and 100% of pronoun collocations in a given context. In texts with close correspondence to the lower, more spontaneous registers of Late Latin, i.e. the PR grouping, the large majority of pronoun occurrences directly prefigures the Romance conditions. Furthermore, this massive conglomerate of cases does not distinguish between the two available placement hypotheses VB and 2ND. Compared to CL, the neutral component of all classes is higher in practically every context. The highest results belong to the VG + texts (VG-3 letters of CI. Terentianus and VG-4 Mulomedicina Chironis)', the CX + collection of six texts does not remain far behind. The combined PR average values present a realistic picture of an evolved situation with

234

5. Clitic

placement

(53)

Percentage of neutral placement cases per context for PR texts

ctxt

VG-3

VG-4

CX-4

CX-8

CX-9

CX-10

CX-11

CX-12

CX-17

HL-4

1

100

100

92

86

100

100

100

100

100

100

2

92

73

83

69

58

52

86

84

91

76

3

78

50

43

43

50

62

45

70

80

57

4

22

67

25

44

60

67

61

67

80

88

ave.

73

72

61

60

67

70

73

80

88

80

(54)

Percentage of neutral placement for selected text groupings CX +

PR

100

97

98

62

82

75

76

38

54

64

56

59

50

34

44

58

61

66

62

72

71

74

ctxt

CL

VG"

CX"

1

54

98

98

2

33

66

3

42

4

46

ave.

42

VG":

VG+

VG minus the PR selections VG-3 Karan., VG-4 Mulo.

CX':

CX minus the PR selections CX-4 Peregr., CX-8 Conf., CX-9 Catech. 1 , CX-10 Catech.", CX-11 Serm., CX-12 Simo., CX-17 Itin.

+

+

VG , CX :

the respective PR selections

regard to pronoun placement as compared to the normative Classical Latin conditions, and also as compared to the peer group within the text classification (VG" and CX"). The overwhelming majority of applicable pronoun cases f r o m typical text selections responds to a double placement hypothesis of VB and 2ND; to this core small components of even weight stemming f r o m exclusive VB or 2ND contexts can be added; there remains only a negligible amount of unaccountable cases, i.e. FR in limited environments. The transition from one to the other placement hypothesis thus is a latent condition. An original Latin 2ND hypothesis may result in a proto-Romance VB reinterpretation at any one point, following the relevant catalytic event producing the perceptual, or better, interpretive, switch. The actuation aspect of linguistic change will be probed in the concluding section of this chapter (cf. Ch. 5:7). 6.3 Passive approximation of the verb to the pronoun In the context of Latin syntactic constraints, the high rate of N=neutral placements of potential proto-clitic pronouns

6. Neutral placement

cases

235

has a special significance for the modalities of the nascent Romance pattern of clause organization. In fact, one of the ways in which the pronoun and the verb enter into contact in this scenario is through passive and accidental approximation between the two terms: The pronoun remains in a 2ND compatible position, i.e., it does not change place with regard to expected Latin norms. Actually, in the PR texts the adherence to Latin norms exceeds the classical expectations. The verb approaches the pronoun in a leftward shift from its canonical clause final position. Anticipating by simple reference the results of Chapter 8 dedicated to the evolution of verb position, the frequent leftward movement of the verb can be attributed to the heavy appearance of simple, short sentences where normative Latin syntax with final verb position and 2ND placement of a pronoun produces the accidental contiguity of pronoun and verb due to the absence of further intervening material. Schematically, the open situation of (55a) is very frequently realized as the specific string type (55b); whereas in (55a) only 2ND is a correct hypothesis, in (55b) both 2ND and VB hold in conjunction. (55) a. ( s (c) X cl ... V ] b. [ s (c) X cl V ]

place of cl. conditioned by 2ND place of cl. conditioned by 2ND and/or VB

Only secondarily does one find the marked non-final verb positioning of (56) responsible for the pronoun plus verb contact. The verb fronting of (56) is a specific process of particular frequency in the more spontaneous text samples, i.e. in the typical PR selections of the corpus. This second path of producing pronoun and verb contiguity could be characterized by its active aspect as opposed to the passive accident typical of the clause impoverishment of (55b). (56) a. [j (c) V cl ... ] b. t s

c

cl V ... ]

place of cl. conditioned by 2ND and/or VB place of cl. conditioned by 2ND and/or VB

Two conditions are identifiable as manifest correlates of the progressive concentration on the VB placement hypothesis. This is in the first place an incidental lack of intervening constituents (as in (55)), and only in the second place a meaningfully changed linguistic condition of verb fronting

236

5. Clitic

placement

(as in (56)). The high percentage of neutral instances, differentially distributed according to contexts, indicates the latency of a 2ND to VB transition for Latin syntax. What, then, are the causes of the eventual disruption of the equilibrium which led to the proto-Romance, and later, Romance situation?

7. Transition from Latin Romance norms: A synthesis

pronoun

placement

to

Old

7.1 Pronoun weakening, verb juxtaposition, and cliticization The original Classical and Late Latin pronoun placement principle is 2ND, cooccurring with ' f r e e ' arrangements which do not correspond to any placement principle. The texts closer to spontaneous speech from the 2nd century on show a marked, typical, and constant increase in cases which can only be interpreted as ambivalent between 2ND and another, probably new pronoun placement principle VB. VB attaches weak pronouns to the verb of which these pronouns are arguments. One of the reasons for the increase in frequency of such double placement correspondences is the accidental approximation of the verb to the pronoun due to a lack of intervening material, a consequence of the use of shorter sentences in more spontaneous speech (cf. Ch. 8:4). At the same time, the approximation is caused by the l e f t w a r d appearance of the verb in certain emphatic clause types characteristic of spontaneous speech: Imperatives, quotatives, presentatives, verb focus, and emotively marked utterances all have clause initial verbs. The pronoun does not change its place actively in such situations, but it remains stable in the lefthand portion of the clause, preferably in 2P. The pronoun is an unstressed, non-expressive element in the cases which interest here as proto-clitic instances. As such, the pronoun can undergo rhythmical adjustments at the surface level, becoming prosodically attached in principle to a preceding and/or following, more highly stressed lexical item. Starting from this prosodically codetermined clitic (-like) position, the pronoun can be reinterpreted as also belonging syntactically/functionally to a meaningfully related head element. In the case of our object/oblique pronouns, the obvious choice for a head element is the verb, which defines the

7. Transition

Latin to Romance

237

internal argument positions represented by the pronouns. This cliticoi'd can thus become a true clitic element with stable status, fixed placement, and fixed linearization after sufficient accumulation of potential cases to cross the threshold of catastrophistic crystallization into a new pattern, categorical VB. The quantitative development leaps over into the qualitative domain: High frequency of juxtaposition activates systematic association of cl and V from latency to the status of a syntactic principle. Prosodic weakening has been described in more detail in a preceding section (cf. Ch. 3:9). The prosodic and phonetic transition from full forms {ilia) to unstressed (ilia) and even reduced ones (la) is secured, leading to systematic clitic interpretation of such proto-clitic pronouns. The weakening process must yield the two types, enclitic and proclitic versions, due to the prevailing conditions: Enclisis characterizes most Latin weak forms with 2P preference for appearance. Yet proclisis in the relevant phonetic/prosodic sense must result from their occurrence after a c element (context 2) which cannot yield a lefthand prosodic support for the 2P weak element or pronoun (cf. Ch. 3:3.4). In this sense, proto-clitics already in their cliticoi'd form are enclitic or proclitic to the verb, not only in a prosodic, but also in a syntactic sense of preceding or following their syntactically defined host item depending on the actual constitution of the string. While the essential placement condition for these proto-clitics is typically ambiguous between the two hypotheses VB and 2ND, their linearization is variable between the two available options of proclisis and enclisis to the proto-host item V. The beginning of true clitic status for these cliticoids or proto-clitic pronouns consists in the S-curve like extension of their controlled placement and linearization appearance. Having reached (near) categorical status, an entire clitic syntax component comes into existence where the now clitic pronouns have lexically determined function and shape distinct from freely disposable strong pronouns or variable simple clitic forms. 7.2 Typological explanations The specific aspect of Romance proclitic arrangement of pronoun and verb has received considerable attention as a paradigm example for the question of continuity of ling-

238

5. Clitic placement

uistic form and grammar. The preceding paragraphs affirm a filiation between Latin SOV clause arrangement and ensuing proclisis of VB governed (proto-)clitics; i.e. Latin /(S) 0 N P V/, alternating with /(S) [ N P O p r 6 n ] V/ as well as / [ X [NP? PRONL evolves into the Romance string type /X [ v cl ob j -V ]/. Romance proclisis of object pronoun clitics is thus an archaism of earlier SOV typology applicable to debased object anaphorics. Compare this with the real typological change of productive NP syntax: Latin /(S) 0 N P V/ becomes Late Latin /(S) V O n p / alternating, where appropriate, with /(S) V [ N P O p r 6 n ]/. The clitic retention of pre verbal place for an object has given rise to the motto 'Today's morphology is yesterday's syntax' (Givön 1971, 1979:238). In terms of strict descendance, the continuity of the weakened proto-clitic as a preverbal object expression is assumed for at least some cases. The idea is intriguing, yet imprecise on factual grounds as this entire chapter makes abundantly clear. 56 Proclisis as such developed through Latin conditions, but it is not a Latin pronoun/clitic treatment of basic importance. Proclisis of object pronouns is normal in (Old) Romance, but the transition stages of Late Latin are characterized by considerable enclisis, which distinguishes the Latin SOV from the Romance SVO stages (disregarding also S-initial enclisis for TM I in Old Romance). Generalized proclisis thus is a secondary development (Wandruszka 1980:69). Proclisis of the Latin ex-NP = Romance object clitic is archaic only as a survival item of SOV typology; yet in Romance terms, the pre-determination pattern determinans > determinatum (or operator > operand, or modifier > head) is the innovative type associated typologically with SVO: A hold-over condition acquires status as a forward looking reinterpretation through the independently changed conditions, SOV having developed into SVO, and unstressed object pronouns now being cliticized and having lost NP status (cf. Bossong 1982:42). In comparison, the equally conservative linearization head > modifier which can be seen in the typical Romance subject agreement marking of verbs /V-stem + ending(s)/, continues Latin materials and arrangements. Only modern French (and a few central Romance dialects, including Florentine) developed the typologically more harmonious pattern modifier > head

7. Transition

Latin to Romance

239

through the use of obligatory subject clitic pronouns, i.e. /agreement marker + V-stem/. The lesson to be drawn from this stand-off concerns the value of typological statements. A straight affirmation of necessary continuity from SOV to cl-V, as in Givon's original 1971 analysis, misses the point of valid typological considerations by far. Instead of the static viewpoint 'archaism or not', relevant considerations must account for the productive interaction of constitutive linguistic dimensions: e.g., modifier-plus-head linearization (modifier > head for Romance, head > modifier for Latin), typological base (SOV vs. SVO) and typological harmony of peripheral constructions, constituent level (NP vs. clitic), external (subject) vs. internal (object) argument type, etc. In addition, the derivation path must be reconciled with the factual conditions (i.e., the presence of further enclisis in Late Latin and Old Romance as a natural transition stage). In brief, a direct identification of Latin with Romance conditions on the axis of causality through continuity is ill advised. It can be affirmed, however, that the underlying (accidental) proclitic juxtaposition /pron o b j V/ in frequent, typical cases is an essential codetermining precondition for regular proclisis in Romance clitic syntax. Similarly, the apparent continuity of actual form should be replaced with a more appropriate material link between evolutive stages, i.e. the varying interactive forces and dimensions of linguistic form and expression. The universal nature of these determinants of the linguistic code insures the manifest commensurability which in a privileged instance may appear as direct continuity. The present study is concerned with the principles underlying the arrangements found in the texts, and with the actual strings as the objects of linguistic transmission. The minute tracing of proto-clitic linearization and placement has the purpose of providing a carefully controlled case study on which valid typological implications could be based. The less dramatic account of the genesis of basic proclisis in Romance, running counter to Givon's programmatic statement, was a prime motivation for this entire study. With its parallel aim of interactive and componential linguistic description, the highly sophisticated and variable UNITYP conception of typology backs up the present undertaking.

240

5. Clitic

placement

7.3 Intersection of 2ND and VB The syntactic aspect of identifying the verb as host is somewhat more complex than is implied in a simple juxtaposition and ambiguous 2ND/VB determination of pronoun place. The different contexts react differently to the emergence of post-classical patterns of clause arrangement, as evidenced in the PR text samples. 2ND is the basic Latin placement mode for the optional, simple pronominal clitics in contexts 1, 2, and 3. In context 4, hypothesis 2ND is clearly less favored than in 3. The prevalence of VB in 4 is evident from the PR, especially VG + data which contrast with the greater weight of 2ND over VB in context 3. The difference is connected with the differential constituent status of X in 3 vs. 4 — normally only a single item in 3, [ c X - , but rather frequently a whole constituent in 4, [ X - ). A context 3, which does not accept an extended 2P analysis, leads to a narrow 2P pronoun placement, without splitting constituents (cf. (57)). But a parallel context 4 with [ x ...] as a multi-element constituent produces a split constituent of less natural characteristics than an arrangement whereby the pronoun is clearly attached to the verb and no longer responding to 2ND (cf. (58), in addition to the discussion in Ch. 5:2.5 and 6.1 above for examples and further details). (57) a. [ c X cl V ...

->

[ c cl Χ V ... b. [ c [ χ Χ Y ] cl V ...

optional (ctxt 3 -> 2) ->

[ c cl Cx X Y ] V ... (58) a. [ X cl V ...

preferred (ctxt 3 -> 2) ->

*[ cl Χ V ...

against U (ctxt A -> 1)

b. [ rx Ζ Y ] cl V ... c.

->

[ [ X 1 Ζ ] cl t x 2 Y] V ...

marked (ctxt 4)

c rx ζ υ ] ν

marked (ctxt 5)

ci ...

The essential contiguity verb-plus-pronoun may be linearized in both ways, as proclitic cl-V or enclitic V-cl, even though the preverbal arrangement derives more clearly without mediating steps from the Latin SOV base. Unquestionably, context 5 offers VB as the only Latin, Late Latin, and proto-Romance placement hypothesis in the absence of 2ND. It is a very good hypothesis for the PR texts, and it can be seen as quite good even for the classically oriented

7. Transition

Latin to Romance

241

style levels. The conclusion is that the two placement hypotheses VB and 2ND must be postulated at the same time in order to account for the observed and theoretical arrangements of Latin in its various forms. The two hypotheses are not just an overdetermination of a rather simple factual condition, but they complement each other with their distribution over the different contexts 1 to 5 and the varying style levels. The 'free word order language on an SOV base' which Latin is in all its forms contains a considerable number of word order principles which are all of relatively open character and considerable overlap. The constant existence of a trend towards 2P for appropriately weak elements such as weak anaphoric pronouns can be complemented without difficulty through recognition of another supplementary principle for functional placement of weak pronominal objects next to their governing head, the verb. The implication of 'free word order' combined with a trend towards 2P (=W) implies that non-optimal, marked pronoun placement which does not respect W can take place without difficulty, i.e. context 5. The existence of an arrangement pattern VB even for this case is significant as a further confirmation of the basically rather well regulated word order behavior in Latin within the typologically guaranteed freedom and the functionally motivated requirement of word order differentiations for expressive purposes. This perspective is supported by the many studies on Latin word order, and significantly represented in Marouzeau 1953. The redundancy of pronoun placement, even with two placement principles 2ND and VB still quite optional, is a result of the more general extensive redundancy of word order functionalization. With regard to content, both principles are very well embedded in the realities and functional vectors of Latin syntax. The point of typological instability in the system lies in the neutral overlap zone of the two placement principles, which assures the transition from one to the other account of effective pronoun placement in the important contexts 1 to 4, following the lead of context 5. 57 7.4 VB extensions over 2ND This extensive ambivalence should have its first effect on a context class where principle 2ND is in some difficulty.

242

5. Clitic

placement

First, this is observed in the greater importance of VB for context 4, [ s X - , for the reasons cited above. Second, the encroachment of VB on 2ND in context 4 should lead to the further valorization of VB in the fully coextensive VB=2ND context 1 [ s - . A pure change of interpretation does not require any accompanying surface shifts as long as W is respected. In a third phase, the context class 3, [ s c X - , could start leaning in direction of increased importance for VB. The only situation in which 2ND will stay on as the superior placement hypothesis is context 2, [ s c - , since anything is 2ND here, especially the separation component incompatible with VB. Under the observation of a considerable suppression of separation arrangements between pronoun and verb, (i.e. the C strings), even here the newer VB becomes coextensive with 2ND. The PR texts overall do not yet offer this consummated change to comprehensive VB relevance, since the exclusive 2ND portion in context 2 remains at 25%, with no one text of the ten PR members eliminating exclusive 2ND completely (cf. (53), (54) above). On the other hand, in contexts 3 and 4 the samples CX-12 Simo. and HL-4 Franc, abolish the function of 2ND totally, and CX-17 Itin. has only one contrary example of small weight. The evolution in the parallel, but more advanced, spontaneous spoken language must have gone in the direction of a substitution of the Latin basic 2ND placement hypothesis with the newer VB along the path sketched here, visible in its major effects also in the texts investigated. From a primary 2ND with supplementary VB the transition through the large component of neutral cases and analogical context extensions reaches the phase of basic VB with supplementary 2ND: At first, for context 2 it is still operative, later on only as a non-essential second determination of the same pronoun placement which has already been sanctioned through VB. The manifest surface changes are of little consequence, consisting only of some more accentuated concentrations on chosen contexts, and abandonment of C strings with pronoun-verb spacing, especially in contexts 3 and 4. At such a point in the hypothetical spontaneous evolution, the Old Romance conditions are essentially reached for the pure placement question. At the same time, the linearization question remains more fluctuating. The concomitant presence of preverbal and

7. Transition

Latin to Romance

243

postverbal pronoun position yields the two basic linearization types as surface manifestations. The basically enclitic tendencies of Latin simple clitic elements are due to the preference for 2P, which depends on a syntactically defined left context. Surface prosodic encliticization to the host element, where feasible, brings about the appearance of optional postverbal pronouns as enclitics on the verb. Outside of clause initial position, this occurs in contexts where a preverbal pronoun, proclitic to this host, would be compatible with 2ND and VB (contexts 3 and 4), even more so in context 5 where no 2ND bond retains the pronoun in proclitic position. The degree of deviation from expected preverbal pronoun position for contexts 3 and 4 is a certain measure of the functionality of the new placement hypothesis, VB: The more importance this principle assumes, the more likely it should be to obtain relatively weak PRO values for these contexts. The final adjustment of PRO values to Old Romance patterns does not appear overtly in the corpus studied here. The PRO figures imply a considerable indeterminacy with regard to linearization wherever VB has visible weight, i.e. as appears from the PR group. 7.5 Early proto-Romance approximations While the condition of ascending VB importance supplements, and in part supplants, 2ND as a placement hypothesis, it is also combined with a weakening of traditional preverbal pronoun arrangement due to double linearization options under VB. This situation must have been reached in the spontaneous language very early if one extrapolates from the given PR star group of texts. From the fourth century on (omitting the evidently polyglossic letters VG-3 of CI. Terentianus in the 2nd century), good Romance approximations appear repeatedly and continually in the appropriate stylistic registers. The latency of the constitution of an Old Romance clitic pronoun system cannot be denied in the presence of such early and massive convergence of the proto-clitic pronominal behavior in the indicated direction. This development and its surprising prefiguration as a network of incompletely realized vectors is comprehensible on the basis that the entire phenomenon depends on autochthonous means of Latin syntax. These forces are activated in appropriate texts which show particularly Romance oriented features, i.e. in samples from close-to-

244

5. Clitic placement

spontaneous levels, dialoguized discourse, unpretentious and/or vivid description. It is in these same speech registers that a pragmatically natural concentration on shorter sentence types with fewer constituent elements takes place. Again for the same discourse reasons, the use of marked, emotive clause types is automatically increased. Even though the written texts under investigation do not portray spoken discourse directly, they show a considerable affinity to it in their relative lack of conscious literary stylization, as long as they belong to the VG, CX, and in particular, to the PR grouping. These texts offer the best chance for catching a glimpse of the naturally evolved linguistic conditions of their given period. This picture does not represent a comprehensive horizon of the possible syntactic forms, but a concrete, typical instantiation of grammatical options. It is this surface impression which is of greatest relevance in the present investigation. It alone is capable of specifying — still only up to a certain degree — the input level of language exposure in the learning process of the new generations, which is the locus of effective linguistic change. 7.6 Submerged linguistic features In a cultural situation in which the official and literary registers of language possess the requisite normative projection through spontaneous adherence by the linguistic community — minimal distance between the high vs. low registers —, or through rigid enforcement of the high code based on extensive schooling which reaches broad portions of the speech community, the centrifugal tendencies of the spoken language remain checked. But as the environment evolves, change may appear first in segments of the speech community which do not represent the linguistic main stream, later on in expanded diglossia originating from the social transformation of the speech community. Bringing to the fore more and more of an otherwise normatively curbed linguistic code, the latent tendencies, e.g. of proto-Romance directionality, find a certain freedom of expansion at the side of the high-level code, in the end of the evolution actually supplanting it. This diglossic situation is the condition in which Latin found itself in the later Empire, at the point at which the first PR examples appear in the corpus. The existence of the Egyptian papyri is significant

7. Transition

Latin to Romance

245

since it demonstrates the catalytic function which a diglossic, or rather polyglossic, situation has on the release of subjacent vectors of change and development. Clearly by the time of the Mulomedicina Chironis (VG-4) and the Peregrinatio ad loca sancta (CX-4), the cultural and instructional gap between the various linguistic and societal layers was already sufficiently wide to permit the appearance of serious written texts with considerable presence of alternative linguistic behavior. For these text samples, the 'parier directeur' had switched away from official Latin prose to a more particularistic group style. In the specific question of pronominal syntax, the results for Christian as well as non-Christian texts were clearly proto-Romance in a heavy valutation of VB at the expense of 2ND by means of the crucial reduction of typically Latin separation between pronoun and the verb. The progressive liberation from one linguistically consistent model does not lead to random dispersion of linguistic forms, but to the appearance of another commensurate organization of the same material with most extensive continuity of surface patterns. 7.7 Gradual surface change vs. abstract discontinuities The final constitution of the Old Romance norm, the placement and linearization pattern TM, must depend on covert processes accumulating the surface effects according to the emergent organizational principle VB. It will have reached a point of no return sometime before the new categorial interpretation of VB at the abstract level produces the state of Old Romance. The processes of incremental approximation and final momentaneous crystallization of a new order still belong to an area of poor linguistic understanding and weak general penetration even with the aid of broader learning and processing hypotheses entering linguistic theories.

initial

|central| final

t

246

Chapter 5: Clitic

placement

From Labov's sociolinguistic investigations (e.g. 1964), to Wang 1969, Chen and Mathews 1971, and on to newer approaches under the UNITYP heading (e.g. Lehmann 1984), gradualness is always seen as a specific non-linear distribution across time. The S-curve diagram (59) with flat initial and final phases and a rapid ascent in the middle portion of the evolution is the standard model. This same idea is adopted here; our 'crystallization' concept is another metaphor for the central acceleration before eventual asymptotic approximation to actual completion of the change. A justification of this observational constant is available in the mathematizations of catastrophism (e.g. Petitot-Cocorda 1985:13-41). Here the transition from quantity to quality, i.e. from increased presence of χ to reinterpretation of χ as / X / , acquires central importance in a mathematically meaningful formalization. While the applications of such notions so far concern mainly semantics and the synchronic transition of the continuous acoustic signal to a discrete segment chain, the diachronic manifestation of bifurcation does not seem to diverge significantly from the standard application of catastrophism (cf. also Ch. 9:4.4). The status of the relevant placement hypotheses VB and 2ND in the periods of non-categorical instantiation is not clear in a deeper sense. Again, as in the accumulation of progressively more relevant cases with regard to a given hypothesis — not as a linguist's construct, but as a speaker's linguistically operational principle — the recognition of such a trend as a valid 'optional hypothesis' is a decision problem of uncharted ramifications. The present stance foresees the relevance of the concept of 'optional hypothesis/principle' as a recoverable constellation under the general conditions of a learning situation. In this way, Latin to Romance continuity of forms and partial principles can be comprehended and analytically captured through quantification and principled interpretation, the only possible approach to the reality of past linguistic stages. 7.8 Emergence of Romance attestations The transition to effective Old Romance pronoun syntax does not occur in the corpus of this investigation. The situation appears as a large qualitative jump between the last good approximation (e.g. HL-4 Franc.) and the first

Notes

247

clearly Romance samples, contrary to the implications of an S-curve evolution. The same macroscopically discrete jump must not be postulated for the actually spontaneous register, however. The major problem in the lack of progressively more Romance texts close to the moment of first Romance attestation has to do with the specific situation of written Latin of the high Middle Ages, a language under the control of more classically oriented linguistic attitudes which do not allow the contemporary spontaneous tendencies to appear in raw form. The specific feature which is particularly responsible for the Latinizing tendencies of such texts (especially from HL) is the use of pronoun and verb separation. It has been argued above (Ch. 5:4) that this surface arrangement is consciously controllable by any author, with the result that the progressive approximation to Romance will always be masked by this controlled device. 58 The perceptual switch available at the upper end of the S-curve development presupposes a new linguistic orientation which explicitly rejects Latin governance of the discourse, i.e. it presupposes that the document under question be Romance in a strict sense, and no longer 'latinum circa romancium'. This documentary difficulty, however, in no way impedes the reality of the gradual transition from Latin to appropriate Late Latin code versions, to near-Romance to actual Romance linguistic conditions, with regard to proto-clitic placement and linearization principles.

Notes 1.

In fact, what looks like a reasonable remainder of previous conditions, appearing as an imperfection in the pure VB relevance of some Old Romance texts (i.e. interpolation), turns out to be a development in a period more advanced than the origins; cf. Ramsden 1963:134-150 for a useful review of the interpolation phenomenon; of earlier importance are Meyer-Lübke 1897:315-317; 1899:764-765, Chenery 1905. The increase concerns the 13th to 15th century; by 1500 the phenomenon is practically eliminated. Of non-Iberoromance cases virtually none belong to early Old Italian. E.g., in an Old Spanish example from the Cantar de Mio

248

Chapter 5: Clitic

placement

Cid: que la yo aya (Menendez Pidal 1964.1:410), a subsisting condition of 2ND with [ s que-la... is a tempting, but unrealistic analysis, given the chronology. — Symbols commonly used in this chapter include: A (string): Β (string): C (string):

any string any string any string

. . . pron - V ... potentially proclitic . . . V - pron ... potentially enclitic . . . pron Χ V ... separated . . . V X pron ... separated VB = verb based vs. 2ND = second position based c l i t i c placement TM = Tobler-Mussafia law (cf. section 1.3-4).

2.

The example sentences are taken from Ulleland 1960 and Wanner 198la. For a coherent collection of illustrations to the thirteen Ramsden categories, cf. Ch. 4:1.2.

3.

The conditions of the et/magis encliticization effect are rather mysterious in Old Provensal according to Meriz 1978:296,320-303,307. Enclisis is highly preferable (84% for TM II), extending weakly even to mediate contexts et Χ V cl and depending on the character of the intercalated material. As a curious sidelight, the combination et si shows no encliticizing tendency at all, i.e. et is lexically incorporated in et + si.

4.

The reason for the original exclusion of the et/magis group from separate treatment was the absence of its special character in Classical Latin; only later phases of investigation revealed a significant bias in the data. Cf. the discussion below in section 5.

5.

As will be detailed below in Ch. 6:1, Latin infinitival constructions are normally amalgamated with the main clause; the occurrence of absolute expressions is much less accentuated than in Romance, especially in situations also involving a pronoun. Consequently, a potential difference between such absolute and normal expressions in terms of pronoun behavior is not sufficiently present in the data to falsify the categorization.

6.

Cf. notes 11 and 15 below for additional comments on this matter.

Notes

249

7.

Notice the non-Tuscan origin of ex. (10b) and the suspicious certe\ cf. Ulleland 1960:61. Such free enclisis is most heavily present in Iberoromance, primarily in Old Portuguese and even in the modern language as a surface phenomenon of different productive motivation; cf. Wanner 1982b; Said Ali 1964, 1966; Sampaio Döria 1959. This phenomenon is at the origin of MeyerLübke's argumentation (1897) of basic enclisis in Old Romance, taking Old Portuguese to be an archaic remnant of older second position enclitic pronoun linearization. Closer observation of textual chronology reveals, however, a weak presence of this feature in the oldest documents, followed in the 14th and 15th century by a heavy increase in relative frequency. The trajectory resembles interestingly that of Iberoromance interpolation. The complex question will be treated at length in Part Two under Portuguese and Spanish. For the moment, it is sufficient to note that TM V encliticization is not an archaic trait where it appears, but rather that it depends more on internal TM factors operative in the single language.

8.

This is the Iberoromance condition of relevance; cf. n7.

9.

The full fledged heavy lefthand string / X Y/ preceding the verb does not belong to genuine Romance syntax. For discussion of this question, cf. Ch. 8:2.

10. The non-finite verb forms are not considered here since they will be the topic of the following chapter. 11.

Structural conditioning should be visible in the differentiation between the two subclasses R Xa and R Xb for strings with extraction vs. internal leftward shift, formally indicated by duplication of the lefthand constituent vs. no such duplication with a coreferent clitic pronoun. In modern Italian, this surface distinction manifests obliquely the structural difference of clause external vs. internal position of the preceding NP; cf. (i, ii). (i)

R Xa

extraction (only enclisis)

(questo argomento,- [ s capiscolo,· molto bene:

hypothetical Olt.)

250

Chapter 5: Clitic (ii) R Xb

placement

internal preposing (only proclisis)

Cs queste parole ail disse i re piü volte (Schiaffini 1926:155.30; cf. Ch. 4:1.2)

The absence of a good example of extraction (i) from 13th century Italian and the difficulty of preposing (ii) in the modern language is an important indication of the subsisting flexibility of the Old Italian/Romance word order pattern and its gradual loss during evolution. If available at all, differentiation between (i) and (ii) is structural (clause boundary), not linear; the consequence of interest here is the encliticization in the case of actual extraction as in (i). Another nonlinear, non-contiguous determination is the et-effect of et, magis in Old Provencal, claimed by Meriz 1978: 302-303; cf. n3 above. 12. For the distinction of Xa vs. Xb, cf. n i l above. 13. According to Meriz 1978:171,175,178-179;290-295, Old Provenfal permits distinguishing between different preceding subordinate clause types: With preceding relatives, prose texts show 90% proclisis; similarly strict in manifestation of proclisis are adverbial clauses. More enclisis is typical with introductory material in the form of subject/object complement clauses. A systematic explanation of such a frequency differentiation has not been given so far. Italian also shows non-categorical behavior in this regard. 14. A formal distinction between (14b) and (14c) should not be taken as more than a technical detail of minor relevance. The clause initial position of the clitic in (14b) is after an opening clause bracket while the clitic of (14c) follows the end of another clause without being technically main-clause initial. It is assumed here that the encliticizing e f f e c t of the clause periphery in (14a,b,c) is one and the same; the frequency/normalcy with with such encliticizations are carried out may however still be different in the three cases.

Notes

251

15. The materials collected by Ulleland 1960:55-61 are interesting in this regard. In this 13th century text, the Novellino, he finds 5 restrictive and 4 non-restrictive clauses with following proclitic group /cl - V/; only one restrictive relative clause shows enclisis. Of preceding gerundial expressions, 11 are followed by proclitic groups, 13 by enclitic ones; this classification remains truly split in its effect, and not only in a numerical view. The functional differentiation of gerunds which, according to Ulleland 1960:60, could explain the majority of linearizations, does not hold up under closer scrutiny of the materials presented there. Of adverbial clauses, all five conditions with se produce enclisis, while 6 of the 7 temporal clauses with quando have proclisis. The discrepancy diminishes somewhat, however, if one observes that all five se clause examples have their clause initial main verb with imperative form/function. While an imperative as such did not produce automatic enclisis under TM as it does in the later stages and in modern Italian, it will tend to enclisis of the pronoun if the verb is clause peripheral, as is the case here. This pragmatic distinction seems to be at the base of the para-categorical differentiation with which the se vs. quando clauses apparently operate. While enclisis is not to be excluded totally in any one context, the regular choice seems to be proclisis after a full subordinate clause; after a reduced structure, the enclitic option stands on a par with the proclitic one in Old Italian as represented in this one (typical) text. 16. The identification of example texts follows the short symbolization used for the pronoun corpus; cf. the Latin source list in App. 2 for full references. 17. Even in a case without pronominal duplication, the prosodic reality and the localistic analysis aimed at here, longer relative configurations are best regarded as standing outside the relevant clause, e.g. in an external topic position. (i)

Is C NP t S

(ii)

[ T o p C N P [ s ...] ] ] C s X cl V Z]

l*£iVZ]

= context A5 = context A4

252

Chapter 5: Clitic

placement

( i i i ) pacem quam . . . clamitabant confestim s i b i representare coegerunt relative

|

X

| cl

|

V

|

Ζ

The syntactically correct structure (i) would be replaced by the surface oriented (ii) for the clear text (iii) (= Cypr. 27.3.1). 18. Some rarer infinitival constructions represent also a fully separable clause given that they continue the old purposive function of this verbal form: revertitur ergo omnis populus [unusquisque in domum suam resumere sej (Peregr. 43.4). 19. As one, perhaps controversial, consequence of this analytical stance, the strings [X-que/ve are grouped under the inverted structure 2 or 3, i.e. [ c - or [ c χ - . This is due to the equivalence et —que, aut ~ -ve, and on the broad interpretation of 2P with surface cliticization effects, thus [c - X] = [X - c] = [X]. In view of the nature of texts included in the corpus, the incidence of such true enclitics -que, -ve, -ne is minor; these particles were losing ground rapidly in later Latin (cf. Ch. 3:2). 20. The asterisk * designates ungrammatical structures; the symbol & marks the presumably grammatical but not directly attested, constructed expressions. 21. In these examples which are drawn for the most part from the CM corpus, the analysis adopted here does not take into consideration the double verb nature of these strings. In opposition to what will be practiced below in Ch. 7, here only the higher verb V j counts as V for the string analysis as the actual main verb. — The specific example (26) might also be segmented as an instance of C 5 by taking indignatus as an independent apposition to the NP Probus: [ NP [Probus] [ N P indignatus]]..., thus the schema [ Χ Y cl W V ]. 22. The choice between A3 and A4 depends on the view that the [ s X c environment represents a surface string containing a group Y of host plus clitic, i.e. Υ = / X -cl/, or an abstract [ s c - X string as in the case of

Notes

253

the -que arrangements. A4 could also be diagnosed if enim were treated as a non-pronominal clitic in 2P with the pronominal cl element. 23. An alternative way of calculating the zero hypothesis expectations emerges if one considers the two basic VB arrangements, A and B, as constituting one of two equivalent options, verb contiguity (= A + Β = 50%) vs. verb separation (= C = 50%). Within separation, the parallelism to the A = 1/2 = 25% and Β = 1/2 = 25% calibration brings C6 in opposition to C 1-5, each being attributed 25 % of the overall frequency value. Thus, the values could be: VB = 50% of which 25% Ν and 25% VB*; 2ND = 40% of which 25% Ν and 15% 2ND*; FR (or incompatible with VB and 2ND) = 35%. These figures profile more sharply the bias found in the data and could thus be more decisive, yet less safe for over-interpretation. C6 = 25% e.g. is an exaggeration in fact and on principle, given SOV typology. 24. PRO is the linearization hypothesis of proclisis of a clitic to the verb, measuring the ratio /AJ^AJ+BJ)/, i.e. the percentage of proclisis within VB. 25. The class averages derive from the combination of the single text averages per category considered here; each text therefore has the same weight within its own group, eliminating the numerical discrepancies of sample length and pronoun use density which are irrelevant for our purposes. 26. All percentages of CL to C5 are calculated over the sum (/AJ+BJ+CJ/). For C6, the denominator of the f r a c tion is not the total of / A 6 + B 6 + C 6 / , since A 6 and Β 6 are undefined, and thus the result would always be 100%. Instead, C6 expresses a proportion with regard to the sum of all instances involving a non-initial separated pronoun of classification FR, preverbal or a postverbal, i.e. the proportion of / C 6 : ( C 5 + C 6 ) / . 27. The concrete result at this point would be a 50/50 split due to the mixture of PRO and non-PRO cases, and thus evidently no scaling mark in context 2.

254

Chapter 5: Clitic

placement

28. The class of context 5 strings should in general be much less frequent than other configurations in CL oriented texts. This is not the case in the data at hand, however, precisely due to the availability of the VB option which turns out to be heavily favored by such texts and others as well, as the discussion will show. — The FR cases never enter the scalable domain even for Latin, so that they will be omitted from further consideration. 29. Using the actually realized scalable values in the classification 2ND 1, the following grouping of expected markings obtains: (a) strong scale (80-100%) CL: CL-2 Catil., CL-6 Apul.; TN: TN-2 Varro, T N - 3 Vitr., TN-5 Pallad., TN-6 Cassiod. - VG: VG-1 Cena, V G - 2 Fawäkh., VG-4 Mulo., VG-5 Ravenn. - CX: CX-1 Tert., CX-2 Cypr., CX-5 Hier., CX-6 Ambr., CX-7 Civ., CX-9 Catech.\ CX-10 Catech.", CX-11 Serm., CX-14 Mart., CX-15 Bened., CX-17 Itin., CX-18 Wandreg. - HL: HL-2 Greg., HL-5 Marcul., HL-8 Salica, HL-9 Salern.; BX: - . (26 texts) (b) weak scale (67-79%) CL: CL-3 Att., CL-4 Caes., CL-5 Hisp. - TN: TN-4 Plin. - VG: VG-3 Karan. CX: C X - 3 Corr.Cypr., CX-12 Simo. - HL: HL-1 Vales., HL-3 Fred., HL-4 Franc., HL-6 Merov., HL-7 Andec. (12 texts). 30. The same comment applies also to the CX sample CX-13 Didasc. apost., which in spirit is very close to the Biblical language. The text group attributions are in many cases not uniquely determined since several trends would have to be cross classified for full adequacy; this concerns in particular the considerably hybrid CX texts (cf. Ch. 4:4.2). 31. The texts producing a scalable value for FR are only TN-6 Cassiod. 100% and CX-3 Corr.Cypr. 80%. The large majority of texts remains for this option within the 0-33% bracket. In the intermediate range 34 66% are placed the following: CL-2 Catil. 62%, CL-3 Att. 54%; TN -; VG - ; CX-24 Mart. 50%, CX-16 Reg. 50%; BX -; HL-2 Greg. 59%, HL-3 Fred. 50%.

Notes

255

The class averages for FR 5 reflect this clearly, especially when comparing the first overall value with the second one where the higher values have been eliminated (the number of eliminated samples is indicated in parentheses): CL 32%/19% (2 of 6); TN 26%/8% (1 of 5); VG 13%/13% (0 of 5); CX 23%/15% (3 of 18); HL 31%/25% (2 of 9); BX 2%/2% (0 of 4). — In the following discussion, App. 4 will be relevant as the source for the numerical conditions quoted in the text. 32. For VB 2, there seems to be a chronological increase in conformity, while contexts 3 and 4 remain in a weakly scalable range. 33. For those texts which are numerically unreliable, five VB scales are found in CX-13 Didasc. and CX-17 Itin. (where the contexts VB 1,4 and VB 1,3,4,5 respectively have weak numerical representation); four VB scales characterize also CX-9 Catech.' and CX-10 Catech.", with unreliable contexts VB 1,5 each. All other texts either have an insufficient combined score for the scaling dimension, and/or weak numerical presence of one or more context, and/or an insufficient number of individual scores; this refers to the texts CX-1 Tert., CX-2 Cypr., C X - 3 Corr. Cypr., CX-5 Hier., CX-6 Ambr., CX-7 Civ., CX-14 Mart., CX-15 Bened., CX-16 Reg., CX-18 Wandreg. 34. Sample HL-4 Franc, is numerically relevant for all five context classes. 35. Cf. the discussion of such questions in the literature dealing with texts VG-3 Karan. and VG-2 Fawäkh. and Egyptian Latin in general: Adams 1977, Pighi 1964; also Brown 1970, Turner 1975; Kaimio 1979:120-129, 141-154, 257-261 for the position of Greek. 36.

Cf. the relevant treatments of the Mulomedicina Chironis: Ahlquist 1909, Grevander 1926, Lommatzsch 1902.

256

Chapter 5: Clitic

placement

37. Of the vast amount of literature dealing with the secure, possible, and insecure Graecisms of spontaneous Imperial and later Latin, the following will be mentioned here as general orientations: Hofmann and Szantyr 1972:764-765 with bibliographical expansions; also general overview statements in the appended 45*, 47-50*, 88*, advocating moderate Graecism. In this, they basically follow Löfstedt 1942-1933.2:406-457; 1936:197-216, who generally suspects an otherwise unspecified confluence of Later Latin and Greek towards the same linguistic solutions in symbiosis, but is opposed to the extreme Sprachbund view advocated by Bonfante 1960. The programmatic position of Immisch 1912 is taken up by Coseriu 1977, according to whom the 'Vulgar Greek/Latin' symbiosis is essentially responsible for the particularly Romance evolutions in Late Latin (cf. also Pfister 1912). The question needs to await the results of concrete investigations of syntactic data and their sociolinguistic setting. 38. This is affirmed e.g. in Zgusta 1980:122,139 for the period after 180 A.D. 39. The information available on this parallel Greek/Latin evolution is very scarce. There are some relevant treatments of the Modern Greek situation (Joseph 1978:136-137, 159; Jannaris 1897:153, Kalitsunakis 1963:99, Wanner 1978, Warburton 1977). The Ancient Greek conditions can be derived from the available reference grammars as parallel to the composite and ambiguous Latin picture (with a greater relevance of 2ND, nevertheless). The intermediate Byzantine and Medieval/Early modern Greek conditions are, however, known only furtively from the literature. Cf. for Ancient Greek, e.g. Wackernagel 1892:343-358; Kieckers 1926.1:139; Schwyzer and Debrunner 1975:692,693; cf. also Browning 1969:59-91 for a general picture of the language evolution. For the evolution towards modern Demotic Greek, cf., as virtually the only accessible sources, Dressier 1966 and Joseph 1978:136,165n29 who quotes an occasional remark in studies on Medieval Greek (e.g. Mihevc-Gabrovec 1960:40-42),

Notes

257

affirming that no overall treatment is available. He characterizes the general situation as basically proclitic linearization with the verb, with considerable enclisis alongside, especially in the older texts. Clearly this is no secure result. Note also that the dialectal situation is varied with more enclisis (in which contexts?) in Cyprus, Rhodes, Chios, Crete (Joseph 1978:165n29) and in Mitilini (Kretschmer 1905). No concrete information can be obtained from Beaudoin 1883, Psaltes 1913, Hoffmann and Debrunner 1953-1954. For a general picture of Byzantine Greek, cf. the relevant contributions by Berschin and Kahane in Wirth 1968-76. 40. More discussion on the Greek and Hebrew influence on Bible language will be found below in Ch. 5:4.2-3 dealing with the particular situation of BX in the Latin context. 41.

HL combines narrative texts and legal formulaic linguistic usage; both facets are strongly imitative, directly so for the formulae, indirectly through stylistic identification with an historical model for the historical texts. At times such texts are considerably removed from the contemporaneous, spontaneous language of their time of composition.

42. I.e. the Hellenized Biblical or Christian language and culture, serving a primary purpose of technical communication, and a secondary one of spiritual identification. 43. Augustinus himself expressed to Hieronymus his reservations regarding a departure f r o m the established Septuaginta text and its derivative traditional Latin translation. Cf. Löfstedt 1959:89; Mohrmann 1932:64; also Johannessohn 1948:146 and Meershoek 1966. 44. Cf. Blass and Debrunner 1976:229; Plater and White 1926:3-6; Moulton 1908-1963.1:18-20, 2.1:14-17, 2.2: 416-418 is cautious or negative on Semitism in Biblical Greek; cf. also and Vineis 1971-1974. 3:164-166 for Biblical Greek syntax. The Graecism of pronoun behavior in the Latin Bible has been affirmed (without

258

Chapter 5: Clitic

placement

taking into account the extended context) e.g. in Koll 1965 and Abel 1973:23-39, 205-206; and by implication in Campanile 1971:49. 45. Bauer and Leander 1922:250-260; Grether 1967:77; Lambert 1972:139-148. The indirect object, even where unstressed and thus clitic, is always the object of the preposition li 'to, for'; cf. Segert 1975 on Aramaic. A newer assessment of Hebrew elements in BX is found in Garcia de la Fuente 1981. 46. The text designations Civ., Serm. refer only to the work as such, not to the exact selection; for Catech., the entire text is involved in each case. 47. According to Mohrmann 1932:20-21, part of these sermons represent relatively unmodified transcripts of the actual oral versions, deriving from the nearly verbatim protocols taken by scribes. Others stem from the same source but may contain more or less extensive rewriting by Augustinus himself. Few would be primarily written sermons held on some occasion in unknown form. The potential for extensive presence of spontaneous linguistic features is evident from the genre and from the particular text tradition. 48. If the CX-10 Catech." and CX-11 Serm. selections from Augustinus are an indication, the spontaneous discourse used in the Christian context, e.g. in predication, even though still in written form, and in part at least quite polished, comes rather close in pronominal behavior to the non-Christian tradition of a selection such as VG-4, the Mulomedicina Chironis, while leaving the Biblical style completely afield. 49. The corpus consists of the following 15 texts/selections: CL-3a

Cicero, Epistolae ad Atticum 1-14

-I

VG-1a

Petronius, Cena Trimalchionis (only dialog portions)

+1

VG-3a

CI. Terentianus, Letters

CX-4a

Peregrinatio ad loca sancta, 1-17

+ 11 IV

CX-8a

Augustinus, Confessiones (Books 2, 3.1-8)

V

CX-9a,10a

Augustinus, De catechizandis rudibus (parts 1 and 2)

V

Notes cx- 11a

Augustinus, Sermones selecti (14, 15, 254, 261}

cx- 12a

Actus Petri cum Simone 1-17

cx- 14a

Acts of Christian martyrs (2B, 6, 14, 15, 23)

cx- 18a

Vita Uandregiseli

HL- 1a

Excerpta Valesiana, pars posterior

HL-4a

Liber historiae Francorum

HL-9a

Chronicon salernitanun, pr.143-183

ΒΧ- 1a

Vetus Latina, Lucas 1-8

259 V VI VI VII VI VII χ III

50. The percentage values for 2ND in context 2 yield the following comparison between the first general data collection and the second one conducted especially for the 2 strings (main/et corpus figure): Expected proto-Romance texts: VG-3 Karan. 8/9%; CX-4 Peregr. 17/ 20%; CX-8 Conf. 31/35%; CX-9 Catech.' 42/35%; CX-10 Catech." 48/47%; CX-11 Serm. 14/18%; CX-12 Simo. 14/24%; HL-4 Franc. 24/ 12%. Non proto-Romance texts: CL-3 Att. 59/48%; VG-1 Cena 57/53%; CX-14 Mart. 21/31%; CX-18 Wandreg. 37/41%; HL-1 Vales. 38/35%; HL-9 Salern. 40/35%; BX-1 Itala 0/0%. The discrepancies in the results for the two independent data collections should not surprise too much given the relatively small number of instances per text, so that one or two differently analyzed cases can already account for the observed percentage differences (if any); in several instances, however, the text selections are not identical, so that the minor discrepancies serve to confirm the validity of the sampling method, yielding constant, and thus significant results. 51. sed, with only one example, has been omitted in this reorganized tabulation. 52. In contrast to the simple Romance relative markers, the Latin forms with number, gender, and case expression are relative pronouns and not complementizers of neutral referential function; cf. Lehmann 1984:389-393. The differential behavior of the two groups cj and rel supports this analysis; cf. the PRO and separation percentages in (47) and (48).

260

Chapter 5: Clitic placement

53. The negative particles non and nec vacillate between unstressed occurrence (similar to particles) and stressed form (which would not constitute an appropriate instance of context 2; cf. Ch. 5:2.5 above). Both types are combined here due to the virtual impossibility of non-arbitrary discrimination; at any rate, both types must yield an idealized 100% PRO rating, which is actually the case, nec in its function of et non behaves thus as a negation and not as a conjunction similar to et, which would require enclisis due to clause initial position of a following verb or other element. 54. Occasional absence of the complementizer (e.g. ut in Latin: hoc volo 0 agas, Pit. Poen. 1196, che in Italian/Romance: pare 0 sia successo davvero) does not contradict a surface oriented interpretation of subordinate status. The absence of the complementizer is an immediately pre-surface phenomenon of ellipsis alternating systematically with exposition of the connector; cf. Wanner 1981b. 55. Cf. also the discussion in Ch. 5:3.11 above. — Taking the figures of (52a) for PR, one can compare them to a complementary closer-to-CL grouping VG" comprising the three texts VG-1 Cena, VG-2 Fawäkh., VG-5 Ravenn. The result for VG* is closer to Romance for PRO, but further away for VB; the perfect score for 2ND underlines the classical nature of such texts: VB

2ND

PRO

VB

2ND

PRO

1

100

98

98

1

98

98

100

2

65

[100]

61

2

76

[100]

50

3

41

100

100

3

80

81

73

4

53

99

98

4

83

76

73

5

91

82

5

81

-

54

ctxt

-

PR

ctxt

56. Sasse 1977:124 supports Givön's interpretation; opposite judgments come from Harris 1976:14, Wandruszka 1980:69, and Bossong 1982:42, who points out that the string type ilium vide-o is internally contradictory in its trends towards archaizing postdetermination of subject agreement and innovating predetermination of object marking on the verb; cf. also Ashby 1982.

Notes

261

57. Syntactic change consisting of reanalysis of a crucial ambiguous string type is widely supported in theoretical accounts of historical evolutions; cf. e.g. as important loci Lausberg 1968, Anttila 1972:103-104; Andersen 1973:767; Naro 1976; Joseph 1978:177-181 (but pointing out that also other points of attack for syntactic change must be recognized such as derivational history; 181-182). Lightfoot 1979:121-125,371-373,347-359 develops the reanalysis-through-ambiguity argument further by identifying the point of activation of the reanalysis with the situation of a violated Transparency Principle: When the complexity of the original derivation in the old grammar has reached a point of uncertain or impossible recoverability, a new grammar will follow simpler, reanalyzed paths. Together with reanalysis, the mechanism of domain extension of a process/phenomenon may apply frequently, accounting for the potentially far reaching generalizations and regularizations which characterize many historical changes. Perceptual factors may be invoked for a tentative co-motivation of some major changes (as e.g. in Vincent 1976). In the framework of UNITYP studies, the dimensions as basic axes of linguistic organization contain by definition the more versatile core areas vs. the more extreme endpoints of the scales. Intersection of such parameters produces multidimensional spaces with crucial overlapping functions. These are the equivalent of the areas of ambiguity in our study which open up the various directions of reinterpretation (cf. Seiler 1979, 1982). The scalar conception of linguistic organization accentuates even more the necessary gradualness of change on the micro level and also on the macro level: A completed change, e.g. simple clitics becoming categorical special clitics, is only one step on the responsible main scale of bondedness. This dimension extends from full word to morpheme status. The multiple points identifiable on any such dimension permit change to move in either direction in principle; only the intersecting dimensions, if at all, will restrict this basic indeterminacy of movement. For important discussion of the concept of intermediate ambiguity of direction, cf. Bossong 1982:26 in connection with the prepositional accusative.

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placement

58. Compare in this context the text HL-9 Chron. Salem, which in a certain sense represents a heavy Romance aspect of pronominal syntax, but which offers at the same time a well preserved separation component of superimposed origin due to the CL aspirations of the entire genre. Mixed Latin/Romance linguistic expression as a possible close approximation to Romance characterizes some difficult texts, e.g. the Parody of the Lex Salica, the Oaths of Strassburg, or the Indovinello Veronese. The artificiality of the respective codes is generally recognized (Avalle 1965, Sabatini 1963).

CHAPTER 6 NONFINITE HOST VERBS

1. Differences between finite and nonfinite host verbs 1.1 Narrow scope for nonfinite analysis The second important component of clitic placement and linearization concerns nonfinite verb forms acting as clitic hosts. This differentiation in clitic linearization between finite and nonfinite hosts is quite evident for the modern languages (except French). For Italian, the enclitic arrangement with infinitives and absolute participles and gerunds is invariable. 1 On the other hand, in a certain sense the placement dimension, too, undergoes a change from finite to nonfinite forms in these same modern idioms of differentiated linearization principles. The phenomenon of clitic movement involves the selection of a verb other than the head of the infinitival clause as the host for the object clitics of the infinitive. 2 The complication inherent in this latter placement question will require quite special attention in the analysis of the pertinent Late Latin data. The extensive presence of clitic movement in the Old Romance idioms, in particular Old Italian, and even Old French, imposes the need for carefully tracing any proto-Romance presence of such behavior in Ch. 7. In the present context, attention will be limited to the simple placement problem — to what extent is verb based placement (VB) observed in the Late Latin data inside the narrow infinitival and participial clause? — and to the secondary linearization question — once VB is ascertained for a portion of the data, is the pronoun preverbal or postverbal? This limited discussion will prove to be rather disappointing from the point of view of a clarification of the Old Romance proto-history. The failure is due to a number of factors: Old Romance indeterminacy in this regard, inadequacy of the specific data collection, and incommensurate Latin participial and infinitival syntax. The presentation and discussion of this segment can thus be accelerated considerably.

264

Chapter 6: Νonfinite host verbs

1.2 Romance nonfinite form use: AuxiHated constructions The syntactic taxonomy of the nonfinite forms in Old Romance is virtually identical to the modern Romance conditions. The relevant forms are infinitive (inf), participle (present participle = prpl, past participle = ppl), and gerund (ger), for Old Italian e.g. parlare, parlante, parlato, and parlando. These verbal forms occur either in conjunction with an auxiliary verb, or alone in so-called absolute constructions. The combination aux + ppl (ha detto, sarä fatto, viene proibito for Modern Italian) yields various grammaticalized meanings and functions: compound tenses, passive voice, certain verbal paraphrases of stative/ resultative effect; cf. (1). In all cases, the Old Italian clitic placement is with the expressed auxiliary verb, and linearization follows the predictable paths of the TM principles exposed above (cf. Ch. 5:1.3-6).s (1) a. et finelmente ciascuno ne fu consumato d'avere e di persone (STF 6;83.18-19) b. incontra JJ. fuoro mandati doi consoli (Conti 489.164) The combinations aux + ger (and the rare Latinizing aux + prpl) have progressive and other aspectual meanings;4 normative clitic placement refers to aux, and linearization is regular; cf. (2). (2) a. e vannole provedendo Ιό su la marina (STF 7;154.13-14) b. e cciö preso, mandarolla richeggiendo per due anziani chavalieri (STF 7;178.21-22) For the third formal type aux + inf, the discussion will take place in the following chapter; these are the modal, aspectual, conative, etc., expressions which fall under the scope of possible clitic movement with variable clitic placement to aux or to inf; cf. (3). (3) a. una lucerna ... la quale ηέ per vento ηέ per fuocho e per nullo modo si potea spegnere (STF 6;83.29-31) b. e pregö it Papa ke per Dio no ±lo divesse disporre ηέ falU. questo disinore (STF 6,-107.33-108.1) c. procacciando di riconciliarsi. col Papa (STF 6;104.24-25) d. dove a llui vennero dome e donzelle a disarmarlo (STF 7;184.16-17)

1. Differences

to finite hosts

265

e. ch6 sse attendono tanto che rimandarvi mi convegna, e1 converrä che ... (STF 7;154.25-26)

Of the three types two do not offer any placement uncertainties, i.e. participle and gerund, and the third one, the infinitive, must be treated separately. In addition, the two relevant structures in (1) and (2) fall out of the range of nonfinite linearization cases by their very placement properties depending on the (finite) auxiliary and not on the nonfinite forms. 1.3 Romance absolute constructions The absence of an aux in the absolute cases eliminates the placement question, leaving only the linearization principles applicable. An absolute ppl has the semantic force of a corresponding expression with ger (aux) + ppl as a past gerund (visto il fatto = avendo visto il fatto) in all the absolute gerundial functions compatible with an anterior time frame; cf. (4). (4) a. e vintola per forza, si tolse e rubö il vasello (STF 6;98.1-2) b. e dettoli. le donzelle essere dimoni (Nov. 14;812.5)

The most important structure in this category is the very frequent and versatile absolute gerund, assisted by the prpl for simple temporal reference in the functional frame of a supplementary relative clause. All such cases have clear paraphrase relation with a full subordinate clause but with the indeterminacy of exact adverbial meaning, i.e. time, cause, means, etc., plus extended meanings in combination with an introductory preposition; cf. (5). (5) a. b. c. d.

Partendose sol tucto Thebaldo de la batallia (Conti 486.50) e poi al re tornö dicendojU: (Conti 488.147) Ε in tal maniera diportandosi., (STF 7;153.33-34) e la conscience sua rimordendoli forte che IIa sua electione non era di ragione (STF 6;84.22-24)

An inf, introduced by a preposition or not, assumes various modal/aspectual or similar indeterminate adverbial values. Adverbial function is the key to the distinction from the aux + inf type; a clear absolute, non-auxiliary configuration is the purposive string of per + inf (6a) which forms an

266

Chapter 6: Νon finite host verbs

invariable clausal domain of its own, i.e. which never allows clitic movement; cf. also (6b). The lower boundary, however, is fluctuating, e.g. between an aspectual V(motion) + a + inf and a directional string of identical configuration, but of adverbial function. The first case of a + inf belongs under the heading of clitic movement while the second one ideally represents an absolute infinitival expression falling under the present heading. Only the latter has an unquestionable placement pattern with the infinitive, while the former admits at least an ambiguous double solution as in (6c) vs. (6d); cf. also the clitic movement discussion in the next chapter. (6) a. il Re co molti baroni le si fece incontro per farle vergongna (STF 6;122.27-28) b. non seppe che si dire di cogliertj. cagione (Nov. 73;861.18) c. e preseU a volere bene (Nov. 99;880.8) d. e prese a basiarla (Nov. 99;880.5)

The three absolute formations not only can be introduced by a preposition in given cases, but they also admit of independent negation, thus with introductory non, ne; cf. (7). (7) a. e non accorgendosi. del la beffa, (Nov. 96,-878.3) b. sicchi per non darli. mangiare il lasciano andare per le terre (Nov. 52;839.17) c. non per s6 retenendone alcune (Conti 490.216)

1.4 Old Italian advanced linearization For the absolute structures listed here, the question of clitic linearization is solved very simply, as the examples already demonstrate where they contain a relevant clitic: the only option is encliticization to ppl, ger, or inf. Given that the absolute nonfinite (nf) verb form defines a clause of its own, this invariable enclisis must be achieved in the context of a [ S 2 ... ] pattern (8). This insensitivity to hierarchical and/or lefthand syntactic context X for determination of linearization is surprising in light of the otherwise productive TM principle for finite verb forms in Florentine/Tuscan texts of the Duecento;6 cf. some additional examples in (9).

1. Differences (8)

cs1 ...

[s2 χ

to finite

hosts

267

V(nf) ... cl Y ] ... ]

(9) a. Ii discepolo mostrandosi d'acconciarlo da piede (Nov. 95;876.12) b. Messer Corso riparendosi. combattendo (STF 6; 148.3-4)

The crucial preceding elements for finite verb forms (NP's, adverbials, prepositions, negation) do not have the effect of dissolving the enclitic regularity with non-finite cases. Only dialectally and/or later on in the Florentine evolution do there appear signs of an extended syntactic determination of clitic linearization, from the Quattrocento to the Ottocento, with renewed enclitic stability in the modern standard language. A passage (10) from Machiavelli illustrates the way in which a preceding negation can cause proclitic occurrence of the pronoun on the infinitive, while the parallel prepositional infinitive is not affected. (10)

Onde & da notare che, nel pigliare uno stato, debbe I'occupatore di esso discernere tutte quelle che Ii h necessario fare, e [tutte farle a un tratto]^, [per non .le avere a rinnovare ogni d1]2» e potere [non .le rinnovando]^ assicurare Ii uomini e [guadagnarseli

[con beneficarglilg]^

(Machiavelli, Principe 8)

Negation goes along with proclisis (clauses 2 and 3), but a preposition (clause 5), a quantifier (clause 1), and, naturally, e (clause 4) produce regular enclisis with nonfinite verb forms. Such deviation from straight nonfinite enclisis remains sporadic in Florentine, however, even in the crucial centuries. In Cellini's Vita this feature is not represented, thereby casting some doubt on the spontaneity of its origin in Machiavelli. 6 Since its initial documents (Duecento), Old Italian in its Florentine form shows a generalized, but still localized perforation of TM principles which do not extend to nonfinite host forms. 1.5 Old Spanish linearization conditions The lack of strict adherence by nonfinite forms to (finite verb) TM linearization conditions is not a feature of the original Old Romance norms. In principle, all verb forms, finite as well as nonfinite, fall under one heading. Looking beyond Italian, Old Spanish presents exactly such a unified clitic linearization situation as described in Ramsden 1963: 103-111. While Ramsden's analysis uses a variety of Old

268

Chapter 6: Nonfinite

host verbs

Romance languages in order to arrive at the composite picture of linearization with nonfinite forms expressed in terms of the thirteen categories discussed in a previous chapter (cf. Ch. 4:1.2-3), the effective basis for the final analysis is Old Spanish. The picture is not crucially different from the finite classifications which are given in (11) along with the estimated frequency/normalcy as interpreted from the partially verbal comments in the source. Cat.

Left context

%Pro fin

%Pro nf 100

I

re I

100

II

subord. cj

100

0

III

wh word

100

100

IV

preced. nonfin.

100

V

pred. nom.

100

100

VI

neg. part.

100

100

VII

other adv.

90

50

VIII

advP, PP

70

50

IX X

subject

50

50

a.

DO, 10 (non-dupl.)

90

100

b.

DO, 10 (duplic.)

0

0

XI

subord. clause

50

0

XII

coordinate conj.

20

0

XIII

0 (clause initial)

0

0

Category IV offers no example for nonfinite host forms. The vague 50% figures for cat. VII to IX are not meant to indicate a different quantification with regard to their finite counterparts, rather they represent a non-qualified variability in place of the more specifically described finite linearization variation. The real contrasts with the finite conditions are located in cat. II, XI, and XII. II contains the only case of the thirteen categories where the behavior between finite and nonfinite linearization is exactly opposite. But the contradiction of TM relevance is only apparent, since a string [ s c j cl V(fin) Χ Y ] is of an entirely different nature from the superficially similar nonfinite [ S 1 cj [ V P 2 V(nf) cl X ] Y ]. Here, the nonfinite form defines a VP or clause level of its own, not depending on the preceding subordinating conjunction cj which functions in Sx; cf. (12). The infinitive of this kind of structure thus stands at the beginning of a clause, so that

1. Differences

to finite

hosts

269

the clitic undergoes the expected enclisis under category TM I (cf. above Ch. 5:1.3). A similar argumentation lets the absence of proclisis in class XI, i.e. after a preceding subordinate clause, appear as an expression of the individual clause status of the infinitive or other nonfinite form in this context, i.e. [ S 0 ...Y V ..[ S V ..] [ S 2 V(nf) cl X ] ]; cf. (13). (12)

Beato Paolino vescovo fu tanto misericordioso che cheggiendoli. una povera femmina misericordia ... (Nov. 16;812.22) (13) [ S o lo suo ingengno vince ... lo leone ... che ..., e C s1 schifando la sua potentia alia quale non potrebbe resistere], C s2 conducendolo a la sua thana la quale ingengnosamente b facta con due bocche tanto strecte iscarsamente quant'elIi tanto solamente possa esciere]] (Best. 85.25)

The subordination of this type under TM I is already strongly present for the finite cases by the 12th century. Finally, for class XII, the categorical status of enclisis with nonfinite verb forms may be due to a certain acceleration of the impending reorganization of general TM linearization in the nonfinite category, a tendency heavily manifested in the Old Italian abandonment of TM determination for nonfinite forms. The relevant material is also considerably scarcer for class XII nonfinite instances than for the finite ones. With due modifications of the primary situation presented by Ramsden (cf. (11)), it is clear that the same conditions prevail for finite and nonfinite linearization strings in Old Spanish, appropriately categorized in the TM subclasses of our reinterpretation (cf. Ch. 5:1.6). The discrepancy between finite and nonfinite linearization in Old Italian as described here represents a deviation from an idealized, natural state of affairs. In view of dialectal Old Italian deviation from the uniform enclisis with nonfinite verb forms — this is also weakly documented in Ramsden's non-Florentine Italian data — the relatively late and exclusively prose texts from Florence and Tuscany used here stand for an evolved situation. The further trajectory towards a full morphologization of clitic linearization in all contexts and with all classes of verb forms, as argued in Wanner 1981a, indicates that this interpretation benefits from the advantage of cohesion in the drift dimension. The general Old to modern Romance evolution is also such as to morphologize preferentially the nonfinite linearization;

270

Chapter 6: Nonfinite

host verbs

e.g. all nonfinite-plus-clitic strings become enclitic due to the morphological dimension of nonfiniteness. This may happen well before arriving at an eventual coherent solution for the other cases. In terms of Late Latin prefiguration of Old Romance conditions, the salient point is the meaningful quest for a parallelism in such data compared to the finite verb forms analyzed so far. One should expect a similar patterning here as found before, based on the Old Spanish evidence. The f u r t h e r development, which also pushed Spanish towards the Italian solution, should then belong to the Romance phases and not to the common proto-history. 1.6 Auxiliated nonfinite forms in Latin On the Latin side, there are similar forms and uses available for the nonfinite sector, comprising various participles (present, past, future), gerund, infinitive, gerundive, supine, both in auxiliated and absolute configurations and in predicative or attributive contexts. 7 For the aux + pi strings, the ppl serves to form the anterior passive voice (formally speaking, since for the deponentia the function is mainly past active); the future participle represents passive posteriority; the gerundive yields an obligative meaning whereby the verbal character of this form is not clearly given and an adjective classification for the gerundive could serve as well; cf. some examples in (14). 8 (14) a. caritate ... sublata, omriis est e vita sublata iucunditas (Cie. Lael. 102;318) b. minime ... male cogitantes sunt (Cato agr. praef. 4;388) c. quid futurum est? (Cie. epist. 14,1,5;312) d. ubi sementim facturus eris (Cato agr. 30;312) e. agrum ... colendum habebat (Ter. Phrom. 365;372) f. mi lie modis amor ignorandust, procul adhibendust atque abstandust (Pit. Trin. 264;370)

The supine is not found with aux. The gerund as nominalized verbal content (supplementary form of the infinitive) is also excluded from occurrence. The combination of aux (as modals) and a few other semantically broad and basic verbal ideas with the infinitive (possum currere) belongs to the precursor structures of clitic movement which will be analyzed in the following chapter. For the absolute and attributive uses, all of the above forms are available.

1. Differences

to finite hosts

271

The participles distinguish themselves mainly according to their basic functions of open adverbiality (time, cause, means chiefly), expressed also through the (absolute) ablative case form. With appositional case selection, the basic adverbial function may change to that of a nonrestrictive relative clause containing a superimposed adverbial notion; cf. (15). (15) a. stat ductis sortibus urna (Verg. Aen. 6,22;392) absolute b. servum quidam ... sub furca caesum medio egerat circo (Liv. 2,36,1;384) attributive c. iam hoc tibi inventun dabo (Ter. Andr. 683;392) predicative d. ab urbe condita (393) ppl. pro verbal noun e. Servillus adest de te sententiam laturus (Cie. Verr. 2,1,56;390) apposition f. aggerunda ... aqua sunt defessi (Pit. Poen. 224;379) apposition

The gerund forms a clausal constituent by nature, in the same way as an infinitive. Its function is indicated through prepositional and case use in a given string; cf. (16). (16) a. ad cognoscendum omnia illustria (Sail. lug. 5,3;373) b. in circumeundo exercitum (Bell. Afr. 82,1;373) c. nec sine canendo (Varro ling. 6,75;380)

1.7 Latin absolute constructions The infinitive in pure form may express an originally adverbial connection in certain contexts (e.g. do bibere). This construction is to be distinguished from the auxiliated configuration mentioned abovewhich will be investigated in the context of clitic movement. The most typical infinitival use may be the accusativus cum infinitivo (a.c.i.) where the integral clausal nature of the infinitival construction is underlined to a certain degree by the presence of the subordinate subject in the form of an accusative. This is the distinguishing feature with regard to the 'pure' infinitive construction or the control configuration. The contrast to the absolute gerund and participles is the basically adverbial/appositional function of the latter forms. These do not enter into a crucial amalgamation between their governing clause, their head element (an adverbial abstract element, or a nominal structure), and the subordi-

272

Chapter 6: Nonfinite host verbs

nate clause portion. Closer contact and eventual amalgamation is, however, proper to the infinitives in complementizing function. In view of the Romance target structures, the absolute non-infinitival string types can be regarded as relevant to the present question of nonfinite clitic linearization and simple placement in Late Latin. The auxiliated functions fall under the heading of the finite verb forms previously treated in Ch. 5 where they were not sorted out from the other more nominal aux + adj/N etc combinations. A two-member verbal expression (type locutus est, amatus est, necesse est) represents alternatively a complex verbal constituent and a sequence / X Y/, depending on the syntactic context: pronoun position before, in between, or after, i.e./ cl Χ V/, /X cl V/, / Χ V cl/ or also /cl V Χ/, /V cl Χ/, /V X cl/. Such an analysis allows inclusion of these structures into the normal contexts of the preceding chapter. 1.8 Continuity from Latin to Romance The lines of continuity from Latin to Romance primarily connect the absolute constructions from ppl in Latin to ppl in Romance, from prpl/gerund to the Romance gerund (and the somewhat Latinate prpl where available), and from Latin pure infinitival complements to the corresponding Romance structures. In a wider sense, the infinitives in the a.c.i. complements also continue into Romance with regard to some of their pronominal dependents. While the subject accusative, even if pronominal, is not normally maintained in Romance, the clausal force of the entire construction admits the presence of objects of the infinitive which may be understood as similar to object pronouns of a pure infinitive. All other structures must be removed from consideration here due to their incompatibility with the Romance results, or due to their treatment under a previous or following heading. The procedure here will be to consider the data available from the comprehensive tables in App. 3, separated into participial structures, i.e. the absolute participle and gerundial cases, and infinitival constructions. Only relevant texts with a sufficient representation of participle/infinitive-plus-pronoun cases will be considered, primarily to reduce the complexity of the presentation. While the ppl analysis yields a certain degree of meaningful information

2. Data discussion

273

for the proto-Romance evolution, the infinitival part will resist comprehension in this approach. 2. Data discussion 2.1 Description of data appendices The numerical data regarding pronoun placement/linearization with participial forms contained in App. 3 are elaborated according to the three parameters YB 1-5, 2ND 1-4, and PRO 1-5 in App. 6. In order to eliminate the weakest samples, only texts with a total incidence of ten and more such participial instances are retained. This necessary numerical restriction unfortunately leads to the exclusion of all VG texts without which no useful comparison to finite verb form pronoun behavior can be obtained. To make up for this absence, the few crucial proto-Romance texts with a minimum of five such cases are added in App. 6-b (the texts VG-3 Karan., VG-4 Mulo., CX-4 Peregr., CX-8 Conf.). In this way, the important grouping PR could be reconstituted in approximation as PR', permitting extension of the privileged glance at Romance in statu nascendi from the finite verb to the participial situation. The numerical procedures of elaboration are the same as those used above in Ch. 5. The class average summaries (i.e. the average percentages derived from the component percentages) are collated in App. 6-c and directly compared with the finite host form results, in both cases accompanying the figures with a simple scaling procedure ('+' = 80-100%, '=' = 67-79%).10 2.2 VB, 2ND, and PRO parameters for participial forms For the BX group, the comparison shows virtual identity of the two proto-clitic domains for all three parameters in all contexts. The same finite features of very heavy VB concentration and 2ND rejection (except in the automatic contexts 2ND 1,2) are manifested. Placement and linearization behavior is unquestionably uniform between finite verbs and past participles. If the very accentuated enclisis in PRO 1-5 seems to anticipate the later Romance pattern of categorical enclisis with participles, this occurs naturally for the specious reason of induced enclisis in Biblical Latin in all cases. Again, BX cannot provide an answer to truly

274

Chapter 6: Nonfinite

host verbs

Romance problems. For CL, the two patterns are quite comparable with regard to PRO and 2ND, while the VB adherence in combination and singly is rather variable and ambiguous, definitely not arriving at a particular importance for ppl pronoun placement. CL, too, has uniform treatment of fin and ppl in combination with a pronoun. In addition, the data deny any prefiguration of an eventual Romance enclisis with ppl. Similarly oriented, but less clearly structured, is the relationship between the two aspects of HL which follow the CL example rather closely and predictably. The otherwise mixed group CX acquires higher profile in the ppl range: The VB dimension is more strictly followed for pronoun plus ppl than for finite verb forms. 2ND does not undergo an interpretable change, while the PRO parameter shows lower proclisis values for contexts 2 and 4 than for finite cases. This difference seems to lack an identifiable meaning. Advanced VB relevance is accompanied as before for various groups in the analysis of finite cases by fluctuating proclisis, representing a certain regression with regard to the proclitic tendencies of CL. Linearization between ppl and fin stays commensurate also for this CX group. The remaining grouping PR', representing the most topical arrangement of proto-Romance tendencies, confirms once more the basically unitary nature of the three parameters: Adherence to VB is very high and quite close to the finite model. The importance of 2ND is not diminished; in the same way, the PRO values correspond very well. Only PRO 2 manifests again, as in CX, a considerably low value for ppl. This divergence from the finite model derives from the exclusive context 2 found with ppl form: The preceding cj element is a coordinating conjunction which by this time requires enclisis for these texts. Otherwise, it is a relative or subordinating conjunction which must lead to enclisis of the pronoun on the ppl, given the clause level difference between cj and ppl (along the lines of argumentation used above in (12), (13)). The testimony of the PR' grouping with regard to the ppl/fin linearization is crucially in support of the assumption made in the presentation of the Romance norm: that the Italian situation of the Duecento is secondary, and the Old Spanish conditions (11) as exposed in Ramsden 1963 are relevant for the protoRomance dimension. 11 The unity between clitic placement

2. Data discussion

275

and linearization for finite verb forms as well as participial ones testifies to the natural syntactic character of the entire evolution as a slow crystallization of a single new placement hypothesis (VB) and a subsequent fixation of the increasing linearization problem with the equally syntactically derived TM complex. Morphosyntactically defined verb forms cannot represent a meaningful classification for the syntactically conditioned pronoun questions. The fluctuating productivity of the interacting principles embedded in their normal syntactic context stands at the basis of the essentially indistinguishable placement/linearization surface pattern documented in the data. 2.3 VB, 2ND, and PRO parameters for infinitival host verb forms The infinitival question is more complicated due to the multiplicity of pronoun types or functions, the double clause level option, and the diversity of infinitival constructions. The numerical data elaborated in App. 7 try to approach the question in two progressively restrictive ways. In App. 7-a, the VB, 2ND, and PRO percentages of a slightly altered PR grouping (PR", omitting CX-17 Itin.) treat all inf data of the big corpus (cf. App. 3) as equal, paralleling thus the treatment of the ppl for experimental reasons and against the advice of the syntactic analysis. The group result is an unsurprising parallelism with the finite and participial form pattern except for two modifications: VB 1 and 2ND 1 have a depression instead of the generally expected high mark deriving from a great amount of clause initial pronouns in separation from the verb. At the same time, PRO 2 does not manifest the near obligatory enclisis of the ppl situation. In both cases, the reason is to be found in the prevalent infinitival syntax which lets a subject pronoun of the a.c.i. construction preferentially begin the subordinate clause portion (context 1), perhaps preceding it by some clause internal introductory adverb or similar element (context 2). This problem belongs to Ch. 7. Thus, in spite of ignoring the motivated distinctions in this domain, the result is not really meaningless since it announces a further dimension of cohesion, at least in the star group of precursor texts. A more justifiable data coagulation has been attempted in App. 7-b,c with the analysis of the ten differentiated data

276

Chapter 6: Nonfinite

host verbs

collections utilized in the clitic movement investigation (App. 8, 9). In this corpus, the distinction between the many infinitival, pronominal, and structural classifications has been recorded exactly. Extracting the relevant infinitival object pronouns appearing in a sentential function not determined primarily by the governing verb 1 2 yields the rather fragmentary array in App. 7-b. If these figures mean anything, their message lies in the direction of confirmation of the coherence between the various domains of clitic placement and linearization. This seems to be the case in particular for CL (except for context 1). The 2ND parameter remains rather strong, while VB appears quite weak and PRO has only sporadic importance outside of CL. The low absolute numbers at the basis of these percentages make this interpretation less f o r c e f u l than it should be for significant conclusions. In the context of the participial and finite pattern cohesion, a non-distinct infinitival component seems to be a good guess, though it does remain a guess at this point. The extended discussion of the next chapter will be able to establish the need for other dimensions in the proto-history of infinitival pronoun placement and linearization, deriving from the inherently complex arrangement of pronominal syntax in the domain of an infinitival clause. The apparent picture of conformity yielded by the PR" group, and the vague answer f r o m the more restrictive data, represent only a surface impression in need of better explanation.

3. Imperatives as host verbs 3.1 Old Italian imperative-plus-clitic structures A justification is in order for the exclusion of a third type of verb forms with potentially interesting clitic behavior, i.e. imperatives in their a f f i r m a t i v e , non-subjunctive instances. They have not been treated separately in the preceding chapter, nor do they fall under the heading of this one. 1 3 Imperatives start profiling themselves as a category of differential clitic linearization only within individual Romance language phases. Thus the description of modern Italian must single out the affirmative imperatives of 2 sg, pi and 1 pi (adhortative) as requiring invariable enclisis in spite of the basically finite character of the verb

3. Imperative hosts

277

form. In addition, the negative imperatives present other complications, not all derivable from independently established principles outside the imperative domain (cf. Ch. 2:2 and A p p . l - d ) . Checking on the descriptions of Old Romance, be it Old Italian (as in Ch. 5:1) or other languages (as in Ramsden 1963:55-102 in principle), the imperative does not yet appear as a special category with regard to clitic behavior. It naturally follows the categorical VB adherence of all clitic groupings, suggesting a unitary behavior for all finite verb forms in Old Romance, imperative, declarative, interrogative, etc. The linearization question is complex to the extent of TM regulations, but it is also limited to and homogeneous with these conditions as applied to regular finite verb forms (cf. Ch. 5:1.3-4,6): Enclisis vs. proclisis follow the rules of the reinterpreted TM complex faithfully and productively as long as the Medieval TM conditions are in vigor. Enclisis with imperatives appears without exception if the command form is clause initial; proclisis is not avoidable if the imperative clause is introduced by some element within the narrow clause boundaries, typically a coordinating c element (cf. Ch. 5:5). Syntactic control of linearization is complete at that point. On the other hand, the distinction into true imperatives vs. shifted subjunctive forms, affirmative vs. negative imperatives and the like did not exist. The enclitic cases of (17a-d) refer to clause initial verb position, while (17e,f) show enclisis after et for different types of imperative expressions. Proclisis in (18) is induced by the preceding c or X element, including a negative particle (18d). (17) a. TieUo credenza a me, e io a te (Nov. 55.841) b. Messere, ditejj a qualunque vi pare il piCi matto (Nov. 40.831) c. Messere, piacciavi. di mandare in Pisa ... (Nov. 77.864) d. Andianvi,! (Nov. 94.875) e. Vammi a quello frate, e diU_i che ... (Nov. 39.831) f. e facciasene nuova chiosa (Nov. 35.828) (18) a. Or mi dt, donna! (Nov. 33.827) b. Dio tj. salvi, uomo di grande sapienza (Nov. 61.847) c. Incontanente U, benedl se non vuoti morire (Nov. 36.829) d. Non mi battere! (Nov. 36.829)

278

Chapter 6: Nonfinite

host verbs

The identity of conditions with regard to simple finite forms is incontestable. Concentration on enclisis with imperative forms is, however, a surface phenomenon of equal reality due to the canonical command expression with clause initial verb, i.e. (17). The transition from frequent, normal, unmarked structure to necessary enclitic alignment for affirmative imperatives is a phenomenon of the 15th and later centuries (cf. Wanner 1981a). It is interesting to note the discrepancy in phase between an inorganic linearization modality for nonfinite forms already in the 13th century and the considerably later regulation for imperatives. 3.2 Evolutionary constants The exact ways in which desyntactization of clitic linearization occurred with imperatives belongs in Part Two of this study. But the automatization of enclisis in the [ s - context and of proclisis in the [ s X - case is symptomatic of a change which turns the unmarked options of former TM conditions I and VI into categorical solutions. Better still, during the decay of meaningful operation of the TM complex (13th to 15th century), application of clause initial encliticization acquired a meaning of markedness appropriate for association with a marked structure as compared to declaratives. What was a syntagmatic condition, enclisis in the [ s V- context, became a paradigmatic differentiation of declarative vs. imperative clauses. This constitutes a counterweight to the word order marking of interrogative clauses with subject - verb inversion of basically communicative motivation. On the other hand, the new functionality of clause initial enclisis for imperatives, and its inverse proclitic condition for negative commands, represents a transparent archai'sm. As was already the case previously for a putative SOV remnant in Old Romance (cf. Ch. 5:7.2), the extended preservation does not really exist on the level of the individual example. It is only the system which has the force of reinterpreting and refunctionalizing the old condition W = TM I of clause initial encliticization. Whether or not one is ready to accept such a situation as an archaism depends on the finality of the considerations. Given the necessary continuity of form and expression in language history, every synchronic aspect contains a degree of archaic determination, i.e. determination by previous

Notes

279

linguistic stages. The new functionalization of such a feature will, however, take back most of this relic status and invest the results with the force of productivity. For the history of clitic placement and linearization with finite verb forms, the determining factors are continuity, concentration on (proto-)typical solutions, categorical completion of tendencies, and reorientation of ambiguous data configurations in a multidimensional space. The history of Romance imperative-plus-clitic linearization provides the same scenario in a somewhat more recent version. These vaguely circumscribed hypothetical forces of language change will reappear again in the investigation of the next topic, clitic movement, providing occasion for refining their description and interaction further. The central concern of this study is the transition from Latin to Romance. The imperatives do not constitute an appropriate separate class of verb forms for placement and linearization. Imperatives operated like any other finite verb form. As long as the verb place in clause initial position is taken into account as a functional marking device within Latin and Late Latin (cf. Ch. 8 in general), the history of such constructions is characterized by widespread continuity and by tendencies fully embodied in the results of the previous chapter.

Notes 1. Cf. App. 1-d for the complication concerning the infinitive in the function of a negative imperative of 2 sg. 2.

Cf. App. 1-e for the clitic movement phenomenon. French is again unitary in this respect, but only as far as the language from the 17th century on is concerned.

3.

The examples come from the following texts (cf. the Bibliography for full identification): Best. = Bestiario toscano, ed. Garver and McKenzie 1912 (page.line) — Conti = Conti di antichi cavalieri, ed. E. Monaci 1955; (page.line); — Nov. = Novellino, ed. C. Segre, in Segre and Marti (eds.) 1959 (number;page.line); — STF = Schiaffini, Testi fiorentini 1926 (number;page.line): STF 6: Cronica fiorentina compilata nel secolo XIII·, STF 7:

280

Chapter 6: Nonfinite

host verbs

Libro delta distruzione di Troia; STF 8: Versione 'Regime du corps' di Aldobrandino da Siena.

del

4.

The string aux + ppl is a constituent definitely d i f f e rent from the sometimes isomorphous aux + adj; the former is a [ v aux V] element while the latter contains an internal adjectival or nominal constituent.

5.

Old Florentine enclisis with nonfinite forms is based on relevant grammatical descriptions (Rohlfs 1966-1969.2: 470,471; Ulleland 1960) and in particular on the text observations concerning the Testi fiorentini (Schiaffini 1926) and the Nuovi testi fiorentini (Castellani 1952); a brief report on these data is found in Wanner 1981a.

6.

Cf. Wanner 1981a for further discussion and a longitudinal continuation of these considerations.

7.

Wherever the Latin participle is only the elliptic expression of a full infinitival form of the type /ppl + (aux i n f )/, the ppl was considered as an infinitive since the entire surrounding syntax presupposes an infinitival clause. — The account of Latin in this section is highly sketchy, since a more complete treatment would lead to unnecessarily long discussions. The main source of this report is Hof mann and Szantyr 1972; cf. pp. 368-380, 383-386, 393-395 for gerundive and gerund; 380-383 for supines; 386-390 for present participle, all outside their periphrastic uses. Cf. in addition Woodcock 1959:70-83 and Scherer 1975:82-96. In general, the Latin phenomena treated here are selected according to their relative closeness to the prospective Romance developments.

8.

The examples are taken from Hof mann and Szantyr 1972, giving the standard quotation plus the relevant page number for each example.

9.

Cf. below Ch. 7, and Hofmann and Szantyr 1972: 341368.

10. Recall that the target value for all categories is 100% for proto-Romance approximation, except for PRO 1

Notes

281

which should tend to 0% (normative enclisis due to W); the scaling conventions here are inverse. 11. It seems that the low absolute numbers of some of the PR' texts do not interfere negatively with the relevant generalization. 12. I.e. those with a single context specification such as CX-14, VG-1 (cf. App. 9); the other ones contain a second analytical dimension depending on V 1 and clitic movement. 13. Imperative instances are included in the data tables of App. 3 and the elaboration of App. 4.

CHAPTER 7 CLITIC MOVEMENT

1. Clitic movement in modern Romance 1.1 Description of clitic movement in Italian Of the many peculiar features and behavior patterns affecting clitics, so-called clitic movement (henceforth CM) is one of the more interesting phenomena. It has been mentioned repeatedly in the preceding chapters, 1 so that a more systematic treatment can start here without further introduction, taking Italian again as the paragon. (1) a. non possiamo capirU_ (questi argomenti) b. non U. possiamo capire (2) a. cominciano a copiarla ( l a

lettera)

b. ]_a cominciano a copiare

The (a) and (b) versions in (1) and (2) are synonymous in at least their central readings 2 differing overtly only with regard to the place of the clitic pronoun. This clitic is semantically an argument of the infinitive (normally referred to here as inf, inf 2 , or V 2 ), to which it is attached, and thus also placed, in the (a) versions. But in the (b) versions it is placed with the normally conjugated higher verb ν Γ The difference in linearization between enclisis for the non-finite and proclisis for the finite host verb is fully automatic by Italian standards so that a V x of non-finite form also requires enclisis: (3) mi pi acerebbe

non dover s e n t i r U

non-CM

non doveri i sent ire

+CM version

*non ü

dover(e) sentire

+CM, wrong l i n e a r i z a t i o n

The difference in clitic position is then taken to be a derivational accretion, a transformational process of one kind or another, which expresses through a common underlying representation the identity of meaning and the quasi identity of surface string form. Its essential ingredients are:

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— a clitic as object of inf 2 (= obj 2 ) — an infinitive V 2 with an argument in clitic form — a governing V j admitting infinitival complementation — an optional alternation between clitic-moved (+CM) and unchanged, non-clitic-moved (-CM) versions The phenomenon is highly restricted in that only some V j allow the clitic to be associated with them. The majority of governing verbs require the canonical position of the clitic with the infinitive: (4) a.

Perch6 insisti a invitarlo?

b. *Perch6 ±o insisti a irwitare? (5) a.

Ieri mi hanno convinto di firmarlo (il contratto)

b. *Ieri me io hanno convinto di firmare (6) a. b.

Vengono di firmarlo anche loro Lo vengono di firmare anche loro

As (4) and (5) show, CM may be unacceptable in structures which are otherwise parallel to (2) and (6). The preposition a, di intervening between V j and V 2 cannot be the reason for the blockage in (4b), (5b) since in (2b), (6b) this same element is transparent for CM. 3 Rather, some governing predicates allow CM, and others do not. It will be interesting to investigate the group composition of possible CM governors, i.e. the sum of V(cm), in a historical perspective. 1.2 Structural approaches The mechanisms for connecting the -CM versions with the acceptable +CM ones vary considerably according to the different investigative approaches. 4 In principle, a placement rule could be postulated which moves the clitic from V 2 to Vj, conditioned by rule sensitivity to the appropriate Y v This procedure accomplishes the task of relating the two structures -CM and +CM without furnishing any explanation beyond the mere observation of fact. 5 If, on the other hand, it could be shown that general conditions on grammar are sufficient for predicting the correct distribution of acceptable +CM alternants, the entire problem of CM would be dissolved systematically. 6 Such attempts have clearly failed on grounds of factual adequacy. French, which in its modern form seems to support this generalist approach, differs from all other Romance languages precisely in that it does not allow optional CM manifestations,

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285

while all other Romance languages do, without any discernible differences separating French from the other languages in the relevant domain of clitic syntax. 7 (7) a. Fr. b. It. (8) a. Fr. b. It.

u s veulent le-savoir vogliono saperlo •its ie-veulent savoir lo-vogliono sapere

The general meta-language condition(s) prohibiting (8a) must also — wrongly — block (8b), ceteris paribus. In a third version, the difference between +CM and - C M forms lies in a structural change intervening in the derivation, which in turn will allow the pronoun to move to another place. 8 (9) a. [si ... vogliono^ [ s 2 ... sapere 2 ... io ...] ...] b. [gi ... tyi+2 vogliono-j sapere2 ] ... io ...]

S2 ceases to exist in (9b), and now the two verbs V x and V 2 form a constituent of their own. In the two structures, clitic placement can operate freely and in a unitary fashion, simply choosing as a target the verb of the clause in which it appears. This verb is V 2 in (9a) due to the existence of S 2 , since a clause level cannot be transcended. It is, however, V 1 + 2 in (9b) within the undivided sentential domain of Sj. This yields the required results for Italian (7b, 8b). Italian is a language which has among its principles socalled restructuring (Rizzi 1978) connecting (9a) to (9b), an optional process, triggered by any compatible V j as V(cm). French, on the other hand, does not have this process of restructuring (or at least not with the same sensitivity). Thus, the correct predictions for (7a), (8a) can be reached on a language particular basis, as the data seem to suggest. The problem of class constitution of V(cm) is not yet solved in this proposal, though the way is left open for a potentially meaningful delimitation of the applicable predicates. 9 In a fourth attempt at solving the descriptive problem, intervening material is claimed to block prospective CM application (Lujän 1979). The difficulty in this approach can be seen by considering the above examples (2), (6) vs. (4), (5) with regard to the intervening prepositions a, d.i.

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The progressively abstract definition of intervening material, from surface to underlying level, from lexical material to morphosyntactic categories (such as TENSE, COMP, etc.) achieves only a partial success. The data in need of an explanation do not correspond to the grammaticality patterns predicted on the basis of the proposed solution. 10 Furthermore, even a successful classification of intervening material leaves intact the need for a special clitic movement rule from V 2 to V j to achieve the desired +CM effect, plus a structural change in the sense of restructuring to permit clitic transposition even to take place. This proposal is thus somewhat redundant, especially when compared to the preceding one. All of these typically syntactic approaches fall short of a convincing solution which could account f o r the structural facts, the distributional observations, and the functional motivation for a process such as CM. 1.3 Semantic approach A final approach has been proposed specifically for Italian claiming to discern a crucial meaning difference between (some) +CM versions and their corresponding -CM counterparts (Napoli 1981). (10) ho cercato di

finirlo,

a. ma ho f a l l i t o .

— > aa. ho cercato di

finirlo

a b . * l ' h o cercato di f i n i r e b. e ei sono r i u s c i t o . — > ba. ho cercato di

finirlo

bb. JJho cercato di

finire

The two +CM versions ((ab) and (bb)) are not equally acceptable in the two differential focus situations described by the contrast (a) vs. (b). In (10a) the focus is on the V 1 content of attempting; cf. the possible contrastive stress on (aa). Here, only the -CM version is grammatical. On the other hand, with the focus on the V 2 content of finishing in (10b), both versions, -CM and +CM, are equally acceptable in principle. This applies also to a less profiled third reading including non-focality for the two verbal components, and a flat reading for the unified verbal constituent V 1 + 2 . To the componential structure of (lOaa) corresponds the component stress on cercare, which at this point, before restructuring, is still a verb of clausal status in its own

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287

right. But cercare in (lOba, bb) no longer has constituent status since only cercare di finire has. A component of this new constituent can no longer be contrasted by itself to the exclusion of the other component(s). The stress/contrast structure indicates one strong reason f o r assigning componential constituent structure in (lOaa) and higher unit constituent structure in (lOba), which is the prediction made by the restructuring hypothesis. The open question of this latter approach, the class composition of Y1 trigger verbs, can be answered in the sense that all V j which together with their complements V 2 form a semantic unit, belong to the governing predicates which allow optional CM. This excludes those V^ which retain their full predicate force in a complement structure. As the model case (10) shows, a given verb could figure both in the trigger class and outside it, depending on the pragmatic/ semantic context. The degree of semantic fusion of V l with its complement verb is, however, subject to fluctuating perception. In fact, it is frequently impossible to separate pronoun position from meaning difference in the proposed sense. Most frequently, the two focus readings are equally implausible, and the only interpretation of relevance is the flat unit constituent or component reading which does not permit differentiation. The unit character for V 1 + 2 in (10b) is not guaranteed since, strictly speaking, focusing on V 2 prevents the assumption of a unified [V 1 +V 2 ] constituent for the same reason as that offered for the excluded case (10a). The only kind of unit constituent would therefore apply to the flat V 1 + 2 compound which is contrastively and otherwise less prominent than the singly focused cases of interest to Napoli. Thus, (10ba,bb) exemplifies the emphasis reading on V 1 + 2 , as the coda on the lefthand example makes clear. If finirlo were the sole focus, and not cercare di finirlo, the +CM version (lObb) should be excluded as (lOab) is. Given that many of the -CM cases of potential +CM status cannot receive a clear cut interpretation with regard to the question of constituent/semantic unity, this proposal shifts the problem of V(cm) constituency to the level of pragmatic understanding. Here, the same indeterminacy as to ±CM must hold as in the original structural/ lexical identity question raised by restructuring (Rizzi 1978): Non-unit reading requires -CM, unit reading allows both -CM and +CM. For the given lexical item V,, e.g. finire

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as ±CM vs. insistere as -CM, the decision is also less than clear-cut in the absence of a possible explication of what is meant by unity of meaning. It appears then that the criterion proposed in Napoli 1981 is not a primary factor underlying the +CM determination. Rather, as is implied by its surface stress connection, a secondary interpretive principle derives from the existing ±CM structures and gauges their appropriateness in given cases with regard to the semantic impact of the utterance. This factor complements the primary consistency question of V(cm), but it does not initially determine it. 1.4 Essential properties of CM For the purpose of this investigation of the proto-history of CM it will not yet be too crucial which one of the competing analyses should be assumed. But in general the choice will point in the following directions: (a) +CM may have a structural foundation different from -CM, along the lines of the restructuring analysis. +CM cases have obligatory monosentential status, while -CM instances may be monosentential or bisentential in structure. The choice between (11a) and ( l i b ) depends on criteria not yet identified. (11) a. I S1 ... V 1 ... V 2 ... Cl ... ] b.

... V^ ... [g2 ...

... cl ... ] ... ]

+CM, -CM -CM

(b) Clitic placement operates in a unitary form in both cases, thus limiting in ( l i b ) the choice of a host element to V 2 while in (11a) both V^ and V 2 are available as host items in the scope of placement. The ambiguity of the result in the monosentential structure is due to the presence of the two verbs, which, for different reasons, but with equal right, may claim the clitic for their attachment: V j on the structural/syntactic level, V 2 on the semantic and proximity levels. 11 (c) Constituency in V(cm) is open in principle. But observation makes V(cm) status more normal, or at least more frequent, in text appearance and across idiolects and dialects in proportion to the decreasing ranking in the following list (12). 12 Modal verbs are thus most likely to admit +CM structures, the category of Other verbs least likely. In addition, the representation of Modal predicates is

1. CM in modern Romance

289

most extended, i.e. virtually all Modals admit +CM structures. On the other hand, only very few Other verbs will be represented, in absolute and relative terms of verbs existing in this category. (12) Mod(al verb)

dovere, potere, volere, sapere

Asp(ectual)

cominciare, finire, continuare, solere, etc.

Asp=Con(ative)

cercare, provare, tentare, etc.

Asp=Mot(ion)

andere, venire, tornare, etc.

Subj(ect embedding)

sembrare, parere, bisognare, etc.

Oth(er verbs)

(speaker oriented constituency)

The class constitution in (12) is meant to exclude two similar structures from CM consideration which are frequently grouped with them: causative (Caus) and perception (Perc) verb cases (It. fare, lasciare; sentire, vedere, etc.). (13) a. ]o faremo venire b. j_a facemmo interpretare una sonata di Scarlatti c. Non sj. fanno pregare (14) a. Sei sicuro che non ci hanno visto arrivare? b. Gh'ela sentiremo interpretare volentieri, questa sonata inedita

The main characteristic of these structures of a clitic in the function of a subject obligatorily with V x . The '-CM' versions subj 2 clitic), in fact, are all ungrammatical as equivalents of the above examples:

is the presence of V 2 , placed (concerning the or inappropriate

(15) a. *Faremo venirlo b. *Facemmo interpretarla una sonata di Scarlatti^ c. *Non fanno pregarsi ^ d. *Non lasciano partirmi. e. *Sei sicuro che hanno visto arrivarci?

An obj 2 clitic is however not affected by this obligatory CM effect. In the remaining example (14b) with two clitics — gli as subj 2 and la as obj 2 — only gli (lo) is obligatorily subject to CM (cf. (14b), (16a,b)) while la can be in either position (cf. (14b), (16c)). Only la as obj 2 falls under CM as it is envisaged here.

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(16) a. *Sentiremo i n t e r p r e t a r g l i e l a volentieri b. *La sentiremo interpretargti

volentieri

c. ( ? ? G l i / ) L o sentiremo i n t e r p r e t e r ^ v o l e n t i e r i

This line of argumentation is the best foundation for separating CM verbs from causative and perception verb constructions. Some obj 2 clitics are optionally subject to CM. Subj 2 clitics of verbs embedded under causative/ perception predicates are obligatorily attached to the governing verb, regardless of the CM status of a coexisting obj 2 clitic in the same utterance. As explained briefly in Ch. 1, only the true CM conditions of obj 2 clitics will be investigated systematically. 15 (d) The surface appearance of CM is variably acceptable based on a number of performance factors which must include: — register or style, since +CM is commonly judged as more colloquial than -CM; 1 6 — idiolectal restrictions such that speakers may d i f f e r unpredictably in a given case; — pragmatic factors, including the unity consideration discussed above, which must assure the communicative role of the actual utterance; — frequency distributions of +CM vs. -CM, proper to certain V j and other elements involved; i.e. the frequent vs. rare use of +CM is significant, even though to a lesser degree than the polar cases of 0% or 100%; — finally, idiosyncratic inclusion or exclusion of a given V j in V(cm). This series of factors is neither a solution nor a final list of analytical tools. It is only an informal circumscription of the general problem, intended to permit a meaningful discussion of its terms in the historical dimension of interest here.

2. Clitic movement in Old Romance 2.1 Preponderance of +CM in Old Italian The Old Romance norm for CM can be illustrated relevantly with three thirteenth century texts from Tuscany, the Tristane Riccardiano, the Libro de' vizi e delle virtudi of Bono Giamboni, and the Novellino.17 The cases considered

2. CM in Old Romance

291

extend over the entire class of infinitival complement constructions, excepting only absolute and/or adverbial meanings of such strings. This applies especially to purpose infinitivals of the form per + infinitive where the preposition does not directly depend on a V x , and similar clear cases. The excluded structures do not offer any +CM effect whatsoever. They are thus relevant from the point of view of why they are excluded from CM participation. On the other hand, they hold no interest for the internal perspective on which CM predicates allow CM to operate and with what degree of regularity. Within the bounds of these restrictions, all infinitival constructions with dependent clitic object pronoun(s) were collected from the corpus of the three 13th century texts. The overall result is surprising. In practically all instances of a given Vj(cm) the relevant strings show near-constant CM application. There are very few cases where an obj 2 is freely attached to V 2 . The following table T7-i gives an idea of the range of CM normalcy for the different verbal classes. T7-i

CM occurrence in three 13th century texts Tristano

Giamboni

+CM -CM %CM obj

Novel Iino

+CM -CM %CM obj.

+CM •CM %CM obj.

Mod(al)

35

4

87

0

71

7

91

0

23

0 100

0

Asp(ectual)

12

6

67

0

11

1

91

0

3

3

50

0

0

2

3

40

4

2

0 100

0

0

9

3

75

1

0

1

0

Subj(ect compl.)

0

0

Oth(er)

3

0 100

-

0

The third column of CM percentage shows a very high incidence of CM for Mod, and a clearly lower, even though still considerable, value for Asp. For Subj and Oth the values are perhaps not very reliable, given the low number of tokens on which they are based. At any rate, these percentages are too low for actual +CM appearance, since they do not take into consideration the configuration where, by necessity, only -CM is an available expression. This is the case in which the relevant obj 2 clitic belongs to an infinitive in the second element of a conjunction, and the first element does not support this object clitic:

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(17) a.

movement

vogliono parti re e recarsi altrove

b. *si vogliono part ire e recare altrove

The +CM version (17b) is unacceptable for the divergent argument structure of partire, so that the -CM situation of (17a) is the only available expression at the surface. Modern and Old Romance, Italian in the specific case, coincide in this. Alternatively, if the clitic imbalance is due to the presence of an obj 2 on the first of the conjoined infinitives, not shared by the second one, the +CM derivation is acceptable. The leftward-moved clitic in (18b) can define its scope in Old Romance only locally over the first V 2 . Recarsi is an acceptable reflexive verb, but not ricominciare in the given context. (18a) expresses this unambiguously, while (18b) is at least unclear as to the reach of si. Even in the modern language, (18b) is much better than (17b). (18) a. vogliono recarsi altrove e ricominciare If b. si vogliono recare altrove e ricominciare If (OK Old Italian, ?? Modern I t . ) 1 8

By eliminating the forced - C M cases of type (17) from the %CM calculation, the figures of the above table T7-i become more striking (quoting only the %CM value in (19)). XCM

Trist

Giam

Nov

ave.

Hod

97

100

100

99

Asp

80

92

50

74

40

100

70

100

75

0

58

92

93

88

Subj Oth Ave. (Mod+Asp+Subj+Oth)

-

For those V x which show +CM arrangements somewhere in the three texts, the overwhelming majority of examples have a +CM form wherever +CM is not blocked by the conjunction restriction. The incidence amounts to around 90% per text, with a typically uneven distribution over the component Y l classes: Mod > Asp, Subj > Oth, whereby Mod reaches (near-) categorical proportions. To gain a fuller picture, the causative and perception verb occurrences can be added. They invariably show 100% of +CM arrangement for both subj 2 and obj 2 clitics.

2. CM in Old Romance Giarob

Trist

Asp, Subj > Oth. Causative and perception verbs plus modals are highest on this combined frequency/markedness/ exhaustiveness parameter, followed by aspectuals and subject embedding verbs. Other predicates terminate the hierarchy with their greater resistance to +CM admission. Causatives and perception verbs differ from modals not in their overall frequency or other such relative measure, but in the absence of forced - C M arrangements according to type (17). A contrast in subj 2 over two conjoined inf 2 could never amount to a grammatical sentence: *ci fanno scrivere e vi correre/corrervi vs. a marginal ??c/ fanno scrivere e voi correre with the strong subj 2 pronoun voi. Caus and Perc verbs are categorically at the maximum of the given hierarchy concerning subj 2 . They share the same relative top rank with Mod, with regard to the obj 2 behavior under CM. The double entry for Caus and Perc makes them a different category. 2.2 Old Italian CM predicates Table T7-i also contains a column for V j predicates with an objj of their own. Only a minuscule number of such cases were found in the given categories Mod, Asp, Subj, Oth (Caus, Perc) due to a general inability of such predicates to carry arguments of their own on semantic grounds. The actual predicates with +CM versions attested in the three texts are the following, schematically indicating with T=Tristano, G=Giamboni, N=Novellino the respective documentation per text: Caus

f a r e (TGN), l a s c i a r e (TGN), mandare (G)

Perc

vedere ( T )

Mod

dovere (TGN), v o l e r e (TGN), potere (TGN), sapere (TGN), osare (T)

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(in)cominciare (TGN), venire a/per (TG), andare (TN), prendere a (N), mettersi a (TGN)

Subj Oth

convenire (GN) credere (TG), degnare (TG), aiutare (G), (im)promettere (GN), disiderare (G)

This collection of predicates is rather typical for those which allow CM anywhere in the Romance languages, from Old Romance to the modern versions. Alongside the potential CM predicates, there is considerable infinitival subordination with those Yx which never admit CM or which are never found in the texts with a +CM arrangement. Among them, the V 1 with an argument clitic of their own must be distinguished. If only an objj clitic is present, there is no question as to any CM relevance. This happens frequently, especially for reflexive V^ cf. the following list. 19

(21) a. Trist. +refl b. Giam.

apparecchiarsi di (2)'

-refl

servire di

+refl

acconciarsi di, assettarsi a (2), assottigliarsi di, chiamarsi adj di, curarsi di (2), sforzarsi di, vergognarsi di

-refl

confortare di, essere adj di, fare Ν di, giovare di, increscere di, insegnare (3), porre a, porre Ν di, sperare di, usare di (2), venire PP di (2)

c. Nov.

+refl

ardirsi di, temersi di, proporsi di (3), porsi PP di, provedersi di

-refl

dare (2), insegnare (3), piacere di, stringere a

Only very few cases are found where an obj 2 appears in concomitance with an o b ^ of a predicate capable of carrying this semantic load. In the original table T7-i, a few instances of such combinations were also included (under the heading of objj). Here, then, is the relevant listing according to finer distinctions: (22) a. obj^ + obj"2 (+CH placement) b. objj;

obj'2 ("CM placement)

Giam.

parere, insegnare

Trist. *tenersi di; piacere di Giam.

*ricordare di, *stare a mente di, venir voglia di

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295

The verbs marked by an asterisk in (22b) can be considered as forced -CM arrangements since the clitic cluster resulting from the application of CM would turn out to be unacceptable on independent grounds. (23), grammatical as it stands, is a typical case where *ti ti would be inadmissible. (23)

Giam. e stiati a mente di rallegrarti del poco (47)

The presence of an independent objj clitic on V1 may thus operate as a factor blocking CM operation (but not absolutely). This can be supported by the observation that a real clustering of o b j j and obj 2 is very rare, even where it is not blocked, as (22) shows. Giamboni has one such example for parere and another one for insegnare, both of which are syntactically irregular for reasons other than pure pronoun clustering. 20 Thus there remains only the single case of (22b) (piacere di in Trist.) without a ready description of the exceptional status for CM operation. In order to complete the picture of obj 2 behavior, an interesting group of ten - C M strings must be added to the Oth category; cf. their exhaustive listing in (24). (24) Trist, avere ardimento di, essere segnore

di, essere usato

di, prendere consiglio di Giam.

avere ardimento di (2), essere ardito di

Nov.

avere balia di, essere ardito di, essere cortesia a

All of these V t predicates have a complex internal structure: They are compound verbal expressions consisting of an auxiliary portion, a morphological verb (avere), and a nominal element of lexical importance (e.g. ardimento (di)). Such complex verbal expressions have been found otherwise only in the list of simple o b j j predicates, where the question of CM cannot be raised. The hypothesis that the complex verbal string could prevent CM f r o m applying comes rather naturally in this data constellation. Overall, there are 43 -CM strings attested of 314 cases of / V j + i n f 2 / involving a clitic obj l 5 obj 2 , or subj 2 . Of these, 10 Mod and 3 Asp instances belong to the forced -CM type due to the independent presence of an obj x on Vx; cf. (22). Ten - C M instances can be accounted for by the compound nature of V ^ cf. (24). Mod thus has one unaccounted free -CM instance, Asp 7, Subj 3, and Oth 6.

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This leaves fifteen free cases of failed CM manifestations. The total number of V1 + inf2 structures with pronouns amounts to 297 in the three texts considered. In other words, of the full range of infinitival subordination in the three text samples from the 13th century, there is only a small portion of obj 2 clitics which do not find their place next to V j and which could have been transposed. Judging from the textual frequency, CM as a phenomenon in Old Romance approaches para-categorical status in its free contexts. On the competence level, the option of not applying CM with a potential V(cm) does exist, but it may have been considerably marked or even marginal. More important are the negative indications for CM application in the form of a complex V t and/or the presence of an autochthonous object on V v This constellation produces a certain amount of apparent surface variation between optional +CM and -CM arrangements, a variation which is however reduced by the systematic factors described here. 2.3 Extension to Old Romance The full analysis of CM behavior in Old Romance cannot be given here since this is an area which needs to be explored completely ab initio. Traditional studies did not address this question, and recent efforts aimed at explaining clitic movement in the transformational framework have not taken the historical Romance data into account at all. But on the basis of materials collected for the second part of this investigation, it can be affirmed that the Italian CM pattern of the 13th century is quite typical for all Old Romance languages. They all share the pervasive presence of +CM strings with the same kind of governing verb meanings, and with the other characteristic features of Old Italian, be the language Old Portuguese, Old Spanish, Old Catalan, Old French, Old Provencal, or Old Sardinian (cf. discussion in Part Two). The typical V(cm) notions for Old Romance contain these: Nod:

can, know, may, must, will, want (all modals)

Asp:

begin, go, be about to, stop, continue, be used to, etc. (most aspectuals)4,1

Subj:

seem, need, be necessary, etc. (some subject complement verbs)

Oth:

believe, help, promise, wish, deign, etc. (few other verbs)

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297

The domain of CM operation as defined by these four vague categories shows a clear gradient of exhaustiveness with regard to the number of Y 1 per semantic subclass available for CM, i.e. Mod > Asp > Subj > Other. While all modals and most aspectuals allow CM, a lesser portion of subject complement verbs, and only a very restricted list of other predicates do. There are cases of near-homonyms such as solere and essere usato f o r aspectual verbs of which only the former, but not the latter, is found in +CM structures, again as in Italian. Across the Old Romance languages, the complex verbal nature of the specific Y x has a determining role. Beyond class membership, there is also a frequency gradient of +CM appearance per verb and verb subclass, again along the slope of Mod > Asp > Subj > Oth on which the additional categories Caus and Perc would take the lead position (with categorical CM application for subj 2 ). A secondary factor seems to interfere with the two dimensions of class membership in V(cm) and with the occurrence frequency of +CM for a given CM predicate, i.e. the degree of specificity of the verbal content of V v This specificity, or lexical/informational content, is inversely proportional to the likelihood with which +CM structures are found for a given verb or for a given verb class. 'To regret' is more specific in this sense than 'to be used to' (cf. increscere and usare in (21b)) since 'to regret' needs infinitival complementation much less to achieve a sufficient utterance content for communication than does 'to be used to'. It is not difficult to perceive the same criterion at work in the gradation of the four subclasses Mod, Asp, Subj, Oth, including the highest ranked Caus, Perc, in that Caus, Perc, Mod, and to a certain extent also Asp, are comprehensible as mere modifiers of the verbal notion, modifiers of different informational density and impact (cf. again Napoli 1981 as discussed in section 1.3 above). An argument in favor of a non-autonomous f u n c tion for Caus, Perc, Mod, and Asp derives from the fact that these notions are frequently found as morphological categories in different languages. Even in Romance such morphosyntactic categories as mood, tense (imperfect vs. preterit), or imperative overlap with modality and aspect, similarly inchoative/causative morphology (-escere) with causation.

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2.4 Structural limits of CM On the other end of the spectrum, the difficulty of CM operation across a complex verbal expression aux + nominal constituent seems to confirm the function of intervening material for CM blockage. This phenomenon derives in turn from the more general proportion between content specificity and markedness of CM. While the auxiliary element in these expressions is formulaic, the nominal constituent in its extension adds considerable semantic precision, moving the entire verbal expression into the range of those more specific V j which resist CM strongly. In addition, these bipartite verbal constituents offer a structural option for describing the blockage of CM, an analysis going beyond the simple diagnosis of intervening material. With aux + Ν di, e.g. avere ardimento di, the infinitival clause does not really depend on aux as the morphological Vj, rather it is based on the lexical portion, i.e. N; the infinitival complement modifies the nominal word. Structurally, the governing element may either be this nominal item, or the compound verbal constituent, as in (25b) vs. (25c). (25) a. io avrö ball"a di mandarli

(Nov. 829)

b. ts su1 C V1 aux ] [ N p Ν [pp prep [ v p C v 2 inf 2 cl ]]]]] c. [ s su1 [ V 1 aux Ν ] [ V p comp [ v 2 inf2 cl ]]]

The blockage can thus be attributed to the heavy constituent boundary, below S-level, but above simple phrase status, which separates inf 2 from Y 1 in either case. 22 The advantage of the structural separation between the two verbs is that the cases of linearly intervening material are ambiguous. Some do not have a structural break between words, and others do; the former are actually observed with +CM occurrences, but not the latter. The items si, giustissimamente, and even the constituent della mia ricchezza of the three examples in (26) do not affect the dependency relations between the two verbs in question; they simply constitute linearly intercalated material, so that CM is still permitted. (26) a. a chi mi. sa si pregare che

(Nov. 19;814)

b. e le sue condizioni si vogliono giustissimamente osservare e seguitare

(Nov. 24;820)

2. CM in Old Romance

299

c. credendomi del la mia ricchezza potere fornire e pascere la mia famiglia (Nov. 49;837)

2.5 Old Romance norm The Old Romance CM norm is thus a variable situation characterized by a number of primary and secondary scalar parameters which produce a recognizable acceptability pattern defined in terms of V,. (A) Caus, Perc; Hod > Asp > Subj > Oth

frequency exhaustiveness

(B) non-specific > specific content (C) contiguity > linear separation > structural separation

Given that the Caus and Perc predicates behave categorically in Old Romance and that subclass Mod is for all practical purposes also a categorical CM context, the three subclasses can safely be grouped together for this period. They all achieve 100% +CM regardless of the syntactic function of the moved clitic, subj 2 or obj 2 . In this respect, Old Romance differs considerably from the modern languages, most dramatically from modern French, where there is a massive discrepancy between Caus and Perc predicates (with obligatory subj 2 CM) vs. all other predicates with blocked CM. 2.6 CM from Old to modern Romance The crucial evolutionary aspect of CM towards modern Romance is a reduction in domain, frequency, and accessibility to CM. This leads to the inevitable unveiling of the basic difference between the CM phenomenon observed for Caus and Perc predicates (100% association of subj 2 with V x in Old and modern Romance) and the CM behavior of modal verbs (in Old Romance, close to 100% +CM manifestations; in the modern language, variable CM operation). In French the evolution is more dramatic, since only Caus and Perc retain their 100% CM feature while the other classes Mod, Asp, Subj, Oth fully lose their +CM potential: Modern French does not know CM in the narrow sense. But French differs from the other Romance languages only in its modern phase. Up to the 17th century, French CM behavior was fully integrated in Romance. The figures in (27) for one 14th century text (Decameron) and one from

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the 15th (Lettere by A. Macinghi Strozzi) give an idea of the specific evolution in Italian, and thereby of general Romance conditions. 23 (27)

Decameron

A. Macinghi Strozzi

+CM

-CM

%CM

+CM

-CM

%CM

Caus

26

0

100

67

1

98

Perc

7

0

100

4

1

80

Mod

66

1

98

364

48

88

Asp

11

0

100

31

18

63

Subj

0

0

12

24

33

Oth

3

2

4

2

67

-

60

The single -CM cases of Caus, Perc in the 15th century text naturally concern obj 2 which do not fall under the categorical interpretation of the subject clitic. In Mod and Asp, the medieval aspect of the Decameron (near 100% +CM for all verbs) contrasts with the later situation in Macinghi Strozzi where a clear reduction in exhaustiveness and frequency is recognizable. 2 4 The reduction of CM importance continues then into modern Romance where the entire phenomenon becomes somewhat more interpretable in its idiolectal and sociolectal embedding: +CM strings are more colloquial. Speakers may differ with regard to the applicable structural and lexical domains, especially across registers. The extreme judgments of consistent +CM acceptability may however go as far as the late Medieval texts under favorable circumstances, but they will never allow for a general exclusivity of +CM occurrences in a text/discourse, nor can they license the sometimes adventurous status of the broken constructions (cf. η 18). The vehicle of change from Old to modern Romance is the concomitant and primary evolution in linearization principles away from the syntactic determination of TM, towards its morphosyntactic regulation in modern Romance. 2.7 Late Latin prefiguration of CM: A hypothesis For purposes of Late Latin evolution leading to the Old Romance norm sketched here, it is essential to keep in mind that CM is a homogeneous behavior pattern in Old Romance, extending over a vaguely defined semantic field of generic and rather 'bland' predicates in constant gradations of regularity and frequency. The mechanisms permit-

3. Latin infinitival

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301

ting the appearance of +CM manifestations are the monosentential status of the / Y x + i n f 2 / constructions and the absence of major subclausal constituent breaks in between and V 2 , in addition to the preferred absence of material in the same intercalated position. A better analysis of this complex phenomenon can be given only after the present investigation has been conducted in its Late Latin and comparative Romance dimensions. The thesis to be pursued here takes the Old Romance phenomenon as a natural outcome of Late Latin evolution, which in turn is based on the prefigured conditions of Latin. Romance CM structures are the result of Latin a.c.i. configurations together with the considerably constrained word order patterns in the SOV frame typical for Latin. This anticipatory Latin tendency will emerge unmistakably only in the crucial period of transition into Early Romance. Only then are the older options, a.c.i. availability and SOV typology, completely eliminated from the new code. As in the question of placement and linearization, the crucial aspects of Romance derive through continuity of genuine Latin features under changed circumstances, and through final crystallization of these properties into (near-) categorical traits at the point of transition from Latin to Romance. The apparent abruptness of the final evolution is due to the problem of non-continuous documentation. The following discussion will trace Latin to Late Latin infinitive complementation and establish the crucial link between placement principle and CM manifestations.

3. Latin infinitival constructions 3.1 CM is not defined in Latin The Romance question of CM does not have a generally recognized Latin counterpart. Given the placement definition of CM in Romance, a corresponding Latin phenomenon is a priori much more difficult to recognize, given the context of relatively free word order. The more meaningful intersection between CM and Latin is thus not linear string arrangement, but the common dimension of infinitival construction principles. On this topic, the linguistic literature on Latin offers considerable materials and insights which must be reviewed briefly at this point. Together with

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the original data analyses of this chapter, these traditional notions will prepare the stage for recognizing Romance clitic movement as a natural outgrowth of Latin infinitival subordination patterns. 3.2 Latin infinitive types In principle, Latin has infinitives (a) as adverbial expressions mainly of purpose, (b) as pure infinitival complements with subj 2 suppressed under conditions of subj x or o b ^ control, and (c) in some literary figures, e.g. as n.c.i. constructions. The most frequent use of infinitival subordination is for complete nonfinite subordinate clauses where subj x becomes formally obj a c c , seemingly dependent on V 1 , the so-called a.c.i. constructions. The roots for CM come out of the a.c.i. strings, and they gain additional strength from the pure infinitive complements. The purposive infinitive does not enter into the picture at all; in Latin as well as Romance the separate clausal status of this adverbial infinitive is unquestioned. The nonpopular n.c.i. type must blend with the pure infinitives at any rate, due to the lack of a subj 2 expression in both constructions. The question of a.c.i. description in Latin is a rather controversial point in itself, as a recent linguistic debate illustrated (cf. 3.7 below). It will interest here to the extent that it can express anything about the crucial question of bi-clausal or mono-clausal status of the entire string. This means that the problem encountered with Romance CM in the form of restructuring also exists mutatis mutandis in Latin for a.c.i. complementation. 25 Beyond representing an object or a subject of V 1 as an embedded clause, the infinitive seems to have been in principle an expression of purpose, especially after verbs of motion. The -se/-re ending derives from an old locative case form so that possum currere had an original meaning of Ί am capable with regard to running'. 26 From this situation of representing the goal in a goal oriented verbal meaning, the infinitive would have spread to the expression of pure verbal content due to its lack of person, number, case, tense, and voice marking in the form of an object to V j (Gippert 1978:279). The governing verbs admitting such an object infinitive are regarded in a certain sense as 'auxiliary' since they help the infinitival verbal notion come into existence (Gildersleeve 1894:276-277); they

3. Latin infinitival

constructions

303

are verbs of creation (ibid.; and Hof mann and Szantyr 1972: 346). So it is f o u n d e.g. that facere occurs with the i n f i nitive since at least the time of Plautus (Thielmann 1886: 182-183) alongside the more original final use as in (28). (28)

reddere hoc non perdere erus me misit

(Pit. Bacch. 631)

?7

The verbs which accept the pure infinitive as a complement extend over the notions of wanting, aspiration, ability, possibility, necessity (including therefore the typical modal notions), affectivity, motion, causation, auxiliary functions, etc. 2 8 Even though the range of attested with pure infinitive increases over the chronological span of Latin documentation, there is no true historical depth attainable for the question of original vs. secondary fields of application for the infinitive: Already in Plautus the various semantic classes are represented in such usage (Woodcock 1959:16). A noticeable increase in documented range occurs only with the Late Latin and especially the CX texts in which (through Graecism?) the newer Romance constructions of prep + inf start appearing. While an isolated inter, praeter plus infinitive is found in Cicero or Horace, extensive use of such prepositions will be typical of e.g. Augustinus (venire ad bibere, in facere, sine vivere; Scherer 1975:86). 29 These constructions supplant the early and Classical Latin gerundial expressions. With so-called impersonal verbs (decet, prodest, etc.) the infinitive is the subject at the formal level, but in a more semantic view it is still a kind of goal of the verbal notion (Scherer 1975:85). The documented range of occurring predicates V x includes verbs of will, power, d u t y , habit, inclination, resolve, continuance, beginning, and end; notice the presence of many aspectual notions (Gildersleeve 1894:276-277). For both personal and impersonal verbs, the original investigation here will show that the typical meaning classes of are represented in general, though with a certain amount of fragmentation due to the brevity of the corpus. 3 0 It appears f r o m the tables (cf. App. 10) that the increase of pure infinitive attestations with some later texts is only an extension of frequency but not of range. The traditional sources a f f i r m a broad range of infinitival syntax to be normal for all periods of Latin, with only minor frequential adjustments as time advances.

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3.3 a.c.i. constructions The more typical Latin construction is unquestionably a.c.i., in which the embedded subject 2 appears as an accusative object of V v Such a construction is inherited from IE where it is said to be characteristic of Celtic and 'Italic' branches (Hofmann and Szantyr 1972:354). In Latin, however, these constructional possibilities were greatly expanded from the original governing verba sentiendi, causandi, and dicendi to practically all semantic verb classes with embedding capacity: Verba voluntatis, affectus, impersonal expressions, and indirect speech (Hofmann and Szantyr 1972:355-361). The standard description of the motivation for this construction relies on the primacy of an expression type iubeo te abire with iubeo in its attested original meaning of Ί push, drive' of which te is then a clear DO. The infinitive receives a purposive interpretation conforming with the original (pre-)historical conditions described above. Through the bridge of V 1 in need of an objj, and a neutral, non-purposive infinitive, e.g. iudicem irasci non decet, the entire construction type develops by increasing the association of the subj 2 accusative with V 2 as subject of the subject-embedding verb. Schematically, iudicem shifts from a V1 plus V 2 reference to exclusive V 2 relevance. In reality, the change must have taken place in connection with V 1 predicates, which could not sustain an objj of their own, given their syntactic/semantic characteristics (e.g. necesse est eum abire only as [necesse est [eum abire]]), or where the obj x position is already occupied by a different argument (te abire mihi displicet as [ [te abire] mihi displicet] ). 3 1 After such radical restructuring, the expansion to other classes is not very surprising, for now the a.c.i. subordinate clause has reached full independence from V 1 and has unimpeded expressive range for its clausal domain. Again, however, the given trajectory must be viewed as prehistorical, since for documented Latin phases the classical picture holds true throughout. Historical depth is found only on the preRomance side with the gradual development to non-infinitival, conjunctional subordination with quod, quia, quoniam, etc. (cf. Woodcock 1959:17, Herman 1963). A Late Latin development is the dative with infinitive (d.c.i.). It starts out from an original vacillation between accusative and dative for the obj, of e.g. licet, whence

3. Latin infinitival

constructions

305

other impersonals are affected (dative pro accusative). The original dative for permitto, mando creates pressure on the similar notions expressed by iubeo, sino — with original accusative for o b j : — to accept a dative in this function also. The typical examples of (29) stake out the reconstructed path of influence. (29) a. quieto tibi licet esse (Pit. Epid. 388) 3 2 b. nec vobis oportet audire (lord. Get. 203) c. mihi non haec miserae sperare iubebas (Cat. 64,140)

The variation in expected o b j j case is found frequently in the later and less stylized texts of the corpus investigated here. This case syntax feature will not be treated separately in the coming discussions, but it should be kept in mind that this pressure is the reason for the appearance of a number of unexpected predicates in the relevant tables of App. 11, concerning those V x which allow infinitive complementation under object control. 3.4 n.c.i. and passive of a.c.i. A second phenomenon similar to the late d.c.i. is the earlier nominativus cum infinitivo (n.c.i.) where the subordinate subject appears as a nominative case form. True n.c.i. is not of interest since it is generally known to be a pure Graecism of literary aspiration: phaselus ille ... ait fuisse navium celerrimus (Catull. 1,4). With its active V x of communication, it is no more than a sophisticated alternative to the normal Latin a.c.i. (Scherer 1975:88, Hofmann and Szantyr 1972:364). As another aspect of n.c.i., the passive of an active sentence containing an a.c.i. is realized as one of two structures, depending on whether the passive is performed on the a.c.i. constituent as the relevant input DO (30a), or on the subj 2 accusative as DO (30b). (30) a.

ts subj^ [ a c j s u b i ' 2 - 3 C C — inf? ] V·)]

a.c.i. = DO of V 1

==> ts [acl· subj 2 = a c c ...inf 2 1 Vj+pass (subj 1 = a b l )] b.

[ s s u b j 1 = n o m s u ^ 2 = a c c ^ J n f 2 V, ]

==> [ s subj 2=non) ...inf 2 V^+pass ( s u b j 1 = a b l ) ]

a.c.i. pass.

s u b 2 = a c c = DO of V, n.c.i.

The double analysis concerns the sentential/constituent status of the a.c.i., affirmed in the (a) analysis, denied in (b). For

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the purposes of this discussion, the latter (b) passive will be called the personal construction or n.c.i., excluding the aforementioned Graecism from further consideration. The (a) version will be considered the impersonal construction in that the passive V j shows agreement with the entire a.c.i. constituent, not with its subj 2 as in (b). The n.c.i. is seen, then, as the rearranged output of the restructured base. Alternatively, to derive the n.c.i. passive from the sentential (a) active directly would involve the postulation of a rule lifting the relevant NP from the lower into the higher sentence. Subject to object raising is typically considered to be a drastic kind of extraction operation (cf. Calboli 1983:144 as a summary statement). But in traditional Latinistic studies (cf. e.g. Hof mann and Szantyr 1972:363) a direct link is normally postulated between an active and the attested passive form in (31). (31) a. video rem in vado salutis esse b. esse in vado salutis res videtur (Pit. Aul. 803)

In the same way as the original a.c.i. spread from the iubeo, etc. base to verbs of saying, feeling, etc., the n.c.i. construction is also found with these same extended categories. Especially in Late Latin this n.c.i. turns out to be very frequent compared to the impersonal construction (Schrijnen and Mohrmann 1936.1:40-42). In Classical and generally high-level Latin, the n.c.i. is, however, normally limited to simplex tense forms of V l 5 while the compound tenses appear with the passive of a.c.i. The following pattern therefore typically obtains: 33 (32) a.

rem in vado salutis esse videtur

impersonal simple tense

b.

res in vado salutis esse videtur

personal

c.

rem in vado salutis esse visum est

impersonal compound tense

d.??res in vado salutis esse visa est

personal

simple tense compound tense

The neutral third person singular agreement of the (a) and (c) versions resembles curiously the famous Romance se constructions (reflexive/pseudo-passive or whatever their designation) which also offer a possibility of double interpretation, variably exploited according to language, style, and historical period (Otero 1972). The preference pattern

3. Latin infinitival

constructions

307

of (32), however, does not find a deep justification in a direct morphological dimension whereby (32d) would be avoided due to its heavy agreement with the derived subject. The Late Latin increase in n.c.i. versions (32b,d) is not a genuine and novel extension of domain, either. Rather, the original, and statistically more important expression seems to be the personal n.c.i. in all cases in Old Latin, a situation strongly supported by the comparative evidence of IE. 34 The impersonal construction (32a,c) is analogical and parallel in its extension to the progressive loss of verbal character for the Latin infinitive during its historical evolution (Calboli 1962:1-126). This trajectory indicates that the Classical, 'good' Latin norm favors the interpretation of the a.c.i. construction overall as a sentential configuration with comprehensive constituent status. It is this interpretation which gains ground between the 2nd and the 1st century before our era. In Late Latin a renewed increase of the non-sentential view of a.c.i. is reported minimally for its personal passive counterpart (32b,d), which is the only context where this judgment can be backed up by manifest morphosyntactic choices. This development is a response mainly to a considerable laxing, but not a denial, of Classical norms; thereby, they release the original forces at work in Latin, e.g. the non-sentential status of a.c.i. in certain contexts. Nevertheless, none of the sources refers specifically to pronominal features, isolating them from fuller NP manifestations in this regard. But the vacillation in the sentential status of the embedded a.c.i. construction is significant for present concerns in view of the general characteristics of CM versions, since they imply non-sentential, or even non-constituent, status for inf 2 plus its dependencies, i.e. the relevant clitic and other arguments and elements of an abstract embedded S 2 . In this sense, the Latin antecedents do not only offer a pure infinitive construction with its notoriously uncertain clause status, but also a more coherent full non-finite embedding form, a.c.i., which may oscillate between the two logically admissible clause interpretations and which can be demonstrated to have had the two analyses synchronically. This is a first argument for the link claimed here between Latin a.c.i. and Romance CM configurations.

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3.5 a.c.i. and pure infinitives Returning now to active a.c.i., it is clear that on a superficial level the difference between a.c.i. in general and pure infinitive subordination is found in the presence vs. absence of a surface subj 2 expression. But the perceptible alternation between these two closely similar strings obtains only for the class of verba voluntatis under identity between higher and lower subject, i.e. in the situation of Equi-NP deletion and occasional other predicates. In all other cases, i.e. with verba dicendi, sentiendi, affectus, etc., a.c.i. is obligatory to the exclusion of the infinitive, even where the two subjects are identical. The pattern of (33) is thus normative and realistic for most of Latin (Scherer 1975:86). (33) a. a.c.i. b. inf

promisit se venturum (esse)

normal V·^·*

*promisit venturum/venturus esse

c. a.c.i.

cupio me beatum esse

d. inf

cupio beatus esse

verba voluntatis

As the ungrammaticality in Classical Latin of a putative * cupio beatum esse shows — mere drop of the subj 2 under maintenance of the other syntactic a.c.i. features — the alternation between (33c) and (33d) is not just a gradual slippage from full to reduced subordinate clause composition. It is, rather, a deliberate step between two complex syntactic norms, a choice of lexical status for the class of verba voluntatis. The path from Latin a.c.i. to Romance infinitive construction, which is the metachronic correspondence between the two stages of interest here, does not come about by way of deletion of a superfluous subj 2 _ a c c , but takes its beginning from the syntactic alternation (33c) vs. (33d) of Latin. 3.6 Omission of subject accusative in a.c.i. On the other hand, the phenomenon of subj 2 omission in the a.c.i. does exist marginally in Latin, even during Classical times. It affects subjects appearing in pragmatically reconstructible contexts, the subject 2 being expressed specifically only by a pronoun. While Plautus has normal a.c.i. even with verba voluntatis (34b), a suppression case with a verbum affectus is given in (34a) (a formulaic expression); but also in Cicero (34c) a productive subj 2 suppression is not exceptional (Scherer 1975:86-87).

3. Latin infinitival

constructions

309

(34) a. venire salvom gaudeo (Pit. Epid. 7) b. volo me placere Philoladi (Pit. Most. 167) c. is omnia polticitus est ...; facturum putο (Cie. Epist. 16,5,1) d. legati veniunt qui pollicentur obsides dare (Caes. Bell. gall. 2,32,3 apud Scherer 1975:87)

Notice especially that the omission of subj 2 in such cases does not take place under identity of subj x = subj 2 , rather, pragmatic recoverability refers to the discourse level, most drastically so in (34a). It is not even the case (as the examples seem to suggest) that the morphological marking of the predicative adjective/nominal somehow 'saves' the grammatical construction; a further example (34d) shows this clearly. 36 In brief, a.c.i. does not yield a pure infinitive by optional deletion of subj 2 , but only through the existence of an alternation pattern between the two holistic subordination modes (33c,d). 3.7 An attempt at integrating Latin infinitives An interesting discussion of the question is developed in Miller 1974. This paper integrates the traditional knowledge with an attempt to motivate the existence of a powerful subject-raising rule responsible for the original IE and Old Latin dissolution of the embedded infinitive clause. In the first place, IE and its direct offshoots did not have Equi NP deletion, which developed only over time (however, already preliterary in Latin). This process affects the classes of verba voluntatis, modals, and aspectuals; cf. our discussion above for the relevant opinions f r o m the literature. With the parenthesis of Classical Latin closed, still according to Miller 1974, the overwhelming importance of a.c.i. was set into competition in Late Latin with a gradual increase in infinitive constructions, i.e. Equi NP alternants, spreading to other than the traditional infinitive governors. 37 At the same time, the accusative marking of the subordinate subject in a.c.i. constructions led to an independent accusative marking for this category, producing in later times also the previously impossible cupio beatum esse (cf. (33c,d)) regardless of the actual presence of subj 2 . This morphological accusative marking for an infinitival subordinate subject must be seen in connection with the frequent Old Latin extraction of nominal material from

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subordinate clauses, even finite ones, in which the extracted element is morphologically integrated into the higher clause, e.g. meam uxorem scis qualis siat (Pit. apud Miller 1974: 234). The NP meam uxorem can receive accusative case only as a DO of scio and thus in a break from its subject = nominative status in the clause of origin. The NP is raised out of its finite clause and is subject to renewed Sx case marking. Similarly, the following examples, equally typical of Old Latin, show extraction from S 2 without morphological integration into S l 5 preserving their S2 case marking. (35) a. salvos nobis deos quaeso ut siet (Ter.) (salvos, deos = nom.sg.) b. Venus haec volo adroget te (Pit.) (apud Miller 1974:234)

The extraction of such material, whether integrated completely into Sj or not, does not lead to pronominal copying in the original site (Kroll 1920:102-103), pointing to real extraction of a type otherwise not regarded as possible in current linguistic frameworks; cf. Ch. 5:3.4 and the discussion around (30) and (31) above. But the Latin evidence requires some mechanism for producing the typical surface results. 38 Thus for Miller, such a rule must exist. It is combined with the originally Sj-related morphological integration process which produces the accusative in meam uxorem scis. This process acquires independence in Late Latin so as to yield apparent cases of syncretism, e.g. in Peregr. exire nos necesse erat (apud Miller 1974:240) where mos2 instead of nobisj is nothing more than an example of the pervasiveness of the subj 2 = accusative marking rule. Accusative subject form thus acquires the status of an unmarked subordination complementizer for all phases of Latin, down to Late Latin where only the closely protoRomance texts offer much in terms of the new quod/quia/ quoniam/etc. complementizer. The movement is thus from Sx integration of extracted material to progressive independence of the subordinate subject as a D0 1 -like constituent qua subordinate subject of an infinitival construction, even where the main clause does not foresee a DO slot on a regular basis. The fate of the remainder of the subordinate clause may waver between preservation and fragmentation. For later Romance evolution leading into

3. Latin infinitival

constructions

311

CM, the main point of interest here is the insistence in this evolution on the DOj form of a S2 component inserted into the Sx context: This is the situation of the clitic having undergone CM, another indication for the Latin a.c.i. derivation of CM in Old Romance. 39 In his wider review of the problems, Calboli (1983:162163) arrives at the conclusion that the question of main vs. subordinate clause domain must be projected on a scalar parameter providing a number of differential positions for the many in-between forms practiced in Latin. Between a zero level of subordinate clausehood — no arguments associated with the verb based nominal forms of ppl, inf, etc. — and a clearly compact subordinate clause with conjunction and no extraction, Calboli postulates these levels (162-163): (a) acc. cum participio

video eum venientem

(b) n.c.i.

Marcusdicitur

d.c.i.

[t,- esse bonus,-]

licuit Themistocli,· [t,· esse otiose^]

(c) control

iubeo milites [PRO venire]

(d) extended control a.c.i.

dico [te,· bonunij esse] dico te,· [PRO bonunij esse]

(e) a.c.i. impersonal

inter omnes constat [te,· bonum^ esse]

(b) depends on extraction from S 2 , thus from a weakly defended S2; no S 2 domain is visible in (a). In (c), (d), the S2 domain is reconstructible but not necessarily manifested in inviolate form. While (e) has full S2 integrity, it still differs from a regular subordinate clause by the absence of a complementizer and finite verb conjugation. The existence of a documented transition area between simple and complex clause constitution is highly significant in light of the following investigation of CM. CM has been shown to represent for Old and Modern Romance a phenomenon of degrees of permeability with regard to a reconstructible nonfinite S2 domain. There is thus an isomorphism between the Latin problem of S 2 status and the (proto-)Romance question of restructuring or the abstract S2 status of an infinitival construction. A simple binary decision will not be forthcoming either for Latin or Romance. Since the two syntactic phenomena are both organized around the infinitive, the genetic continuity of Latin to Romance assures us of the continuity of the problem discussed here as a Romance crux.

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4. Analytical categories 4.1 General organization The preceding discussion of the state of the art concerning infinitival subordination in Latin produced a typology of such constructions as are evidently relevant to the impending investigation. On the other hand, the review did not reveal anything about specifically pronominal aspects of these constructions. Latin origin for Romance CM is so far only a hypothesis which needs to be investigated in the context of the evolution of pronominal placement in Late Latin and proto-Romance. The a.c.i. vacillation in sentential status does not in itself require the o b j 2 pronouns to change their natural position. The DO aspect of subj 2 in most instances, removed from the actual S 2 core, does not imply anything about the obj 2 pronouns which will be the essential elements to undergo CM. The easily perceived incongruity between Latin a.c.i. and Romance CM evidently requires the preparation of an analytical Instrumentarium capable of bridging the considerable gap. The problem is exacerbated here compared to the simpler clitic placement and linearization question since the current references extend over two clause levels involving rather different functions for the potentially concerned proto-clitics, verbs, and other constituents. The aim here is to keep separate for the data analysis as many of the finer distinctions as could be of essence in the elaboration of Romance CM on the basis of Latin pure infinitive constructions and/or a.c.i. arrangements. This requires taxonomies of (a) the functions of the pro to- clitic in the context of the two clauses, and of (b) the infinitival subordination type in syntactic terms. We will also need (c) a classification of the many surface string forms observed, keeping in mind in particular the distribution of the essential ingredients over the two component clauses; and (d) a derivational typology utilizing a minimal arsenal of principles for producing the various surface string forms. This analytical grid, applied to each example of the corpus, proves to be sufficient not only to pin down the origin of CM with considerable accuracy. It also permits recognition of the path which led from Latin to Romance, in spite of the opacity of the text documentation, by now quite expected, in relation to the actual evolution of the language.

4. Analytical

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313

4.2 Pronoun classes First, there are seven classes of proto-clitics to be kept separate, five dependent on V 2 and two on Vj. su.aci- = subject of a.c.i. where V^ cannot have an object of its own from a semantic point of view certi sunus eun bonum servum aestimari (CX-3 Corr.Cypr.1) su.aci-·' = subject of a.c.i. where V^ can have an object of its own (even though this object need not be realized in a given structure) orantes scripserunt mihi se delictum suum cognoscere (CX-2 Cypr. 18) ob.aci- = object of the infinitive (V2) in a.c.i. where V^ cannot have an object^ of its own speraba me plurima tibi missiturum (VG-3 Karan. 18) ob.aci+ = object of the infinitive (V2) in a.c.i. where V^ can have a potential object^ of its own, or where V^ defines a control construction dicens hoc sibi ab illo esse mandatun (CX-2 Cypr. 22) ob.inf = object of a pure infinitive (no subj2> nor can V^ have an object of its own) sed posso tibi epistula scribere (VG-3 Karan. 22)

These five categories all depend on V 2 . In prospective terms of Romance CM, these are the categories in which the new behavior should be observable in Latin, if at all, by manifesting a closer connection between V x and the proto-clitic than with V 2 from where they originate. ob1=su2 = subject of the infinitive V 2 and at the same time object of V^ in a control construction, i.e. double function of one pronoun) nam et ad salutationem suam permiserunt nos ingredi (VG-6 Peregr. 50) ob1 .aci = object of V^ in a.c.i. with potential object of its own ostensum est ei. produci singulos (CX-14 Mart. 43)

These two additional categories depend on directly, and on V 2 only indirectly for obl=su2. Romance CM does not affect them since they are already associated and placed with V r Inversely, they could be more closely connected with V 2 than with V x in what one could define as inverse CM (= InvCM). In narrow Romance terms, the only direct-

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ly continuous category, beyond the much less interesting obl=su2 and obl.aci, is ob.inf. In all other cases, the possible relationship of Latin to Romance must be mediate. 4.3 String types Second, the functional distribution of the proto-clitics and the distinct infinitival constructions of Latin yield various intersections of relevance. The following descriptions are intended to give a profile of salient Latin CM properties. Pure infinitival complement — potential proto-clitics: obj 2 (= ob.inf) — V j normally a modal or aspectual notion in need of complementation and not capable of carrying an obj x of its own — inf 2 functions as a dependent object of V j with its own dependent elements — structure: [W [X obj 2 Y 2] U 1 ] 40 obj 2 must be pronominal for consideration. — qui nos usque ad ilium locum deducere 2 dignati fuerantj (VG-6 Peregr.37) Simple a.c.i. construction — proto-clitics: subj 2 , obj 2 (= su.aci-, ob.aci-) — V 2 is a verb of any of the a.c.i. categories to the extent that they cannot have an obj x of their own on semantic/lexical grounds — inf 2 plus subj 2 functions as a subordinate complement of V j together with possible other S 2 elements — structure: [X [subj 2 Y obj 2 W 2 ] U 1 ] subj 2 and/or obj 2 must be pronominal for consideration. — cum undique se circumveniri 2 animum advertit x (CL-4 Hisp. 3) a.c.i. construction with potential obj\ — proto-clitics: o b j l t subj 2 , obj 2 (= obl.aci, su.aci+, ob.aci+) — V j is a verb of any of the lexico-semantic a.c.i. categories as long as such a verb can potentially carry an objj of its own — o b ^ is addressee of V j activity and is distinct from subj 2 (cf. next section) — inf 2 acts as a DO of V : with its dependent elements — structure: [X o b ^ Y [subj 2 W obj 2 Ζ 2 ] U 1 ] Among objj, subj 2 , at least one must be pronominal for consideration.

4. Analytical

categories

315

— regnoque eius acceptum eum gladio clam ferire 2 mandavitj (HL-2 G r e g . l l ) Control construction (objj^ = subj 2 ) — proto-clitics: obj x = subj 2 , obj 2 (= obl=su2, ob.aci+) — V j is a verb of command, or of opinion, also impersonals — inf, is a DO of V j with its dependents, or, in the case of the impersonals, its subject; obj*! normally has IO function, but due to case syncretism, there are also double accusative cases — structure: [X o b j j = subj 2 Y obj 2 W 2 U 1 ] Either obj 1 =subj 2 or obj 2 must be pronominal for consideration — dum nobis nec evangelio servire 2 nec ... examinare 2 permittuntj (CX-2 Cypr. 28) In principle, the proposed configurations are only strings; an essential bracketing is easy in the first three cases, but in the last one with the identity between the object of V j and the subject of V 2 in one word, the left clause bracket of the subordinate clause presents a problem. On the other hand, even in the first infinitive structure, the labelling of the embedded constituent is not evident between [g ] and [ v p ]. The use of brackets for identifying the infinitive complement will have a mainly expository function of clarification, without crucial claims to meaningful status in the questionable cases. Only two of the four constructions are continued directly in Romance, the pure infinitive and the control configuration. With the exception of the limited causative and perception verb government, the a.c.i. ceased to exist in Old Romance; one diagnostic difference between a Latin and an Old Romance text is the presence/absence of free a.c.i. instances. 4.4 Derivation types and rules Third, the essential common property of the four structures/strings above is the linear order of the three elements, cl > 2 > 1. But this one order is not the exclusive order of manifestation in the various strings since a number of permutations must be taken into consideration. The simple linear permutations of interest for the analysis are mainly three:

316

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cl > 2 > 1 B: Underlying or Basic order U cl X 2 Y 1 Ζ string form qui te natun^ non putat^ (VG-1 Cena 19) 1 > cl > 2 Ε: Extraposed S2 string form W 1 X cl Y 2 Ζ destinavi^ illum artificium docere2 (VG-1 Cena 11) cl > 1 > 2 R: Restructured S2 2 dissolution U cl X 1 Y 2 Ζ string form rogoj me put at is ilia cena esse contenting (VG-1 Cena 2) Over 90% of all relevant cases in the analyzed corpus fall under one or the other of these three string forms, regardless of their exact identity of function under the typology of su.aci-, su.aci+, etc. The variables W and Ζ constitute the enveloping context. The intervening variables X and Y determine, with their presence or absence and with their variable distribution over the two clause levels Sx and S 2 , the linear contiguity and structural dependence between the relevant clitic and the higher or lower predicate (1 or 2). The mechanisms for deriving the three string types Β, E, and R are two rules R(extrap), i.e. extraposition, and R(restruct), i.e. restructuring. String Β does not undergo any particular operations; it emerges in the underlying arrangement. String Ε is subject to the optional extraposition rule which takes the entire a.c.i. constituent and moves it to the right over the final V v (36) Extraposition = R(extrap) C S1 •'· £S2 •·· V1 1 ==> [S1 " · V1 CS2

1 3

Additional word order changes may affect the output of R(extrap). The string type R requires a restructuring process R(restruct), taking as input the underlying Β string and removing from it the level of the embedded clause. This process is again optional. (37) Restructuring = R(restruct) [ S1 W [ s 2 U cl X V2 ] Y

V1

] ==> [ S1 W U cl X v2 Y V1 ]

Since this process does not produce any visible result in itself, it can only be recognized in the presence of other word order changes which presuppose the elimination of the clause level distinction. This is the case in the drastic

4. Analytical

categories

317

rearrangement RS where the elements cl and 2 are separated by the intervening 1 (i.e. Vj), suggesting thereby that S2 cannot subsist as a coherent constituent. 41 The exact manner for achieving the cl > 1 > 2 order is not relevant at this point, since there are too many mechanical options in the context of the free word order organization of Latin. In general, however, the least likely rearrangement would be a displacement of cl on its own, given the proto-clitic perspective of inexpressivity. The most natural way, on the other hand, is a dislocation of V x away from prominent S-final position into a less exposed arrangement (cf. the following chapter on verb position). But many other paths exist which let the telescoped string of (37) acquire a visible R typology. 42 One minor clitic-specific rearrangement pattern must be mentioned: Though the normal Latin verb plus clitic linearization is proclisis (cf. Ch. 5), a secondary enclisis / V - cl/ can also appear. This process R(enclit) or encliticization plays a certain role in the derivation of CM in so far as it yields the rather frequent transpositions / V 2 - cl/ or /V1 cl/ in alternation with the basic juxtapositions /cl - V 2 / or /cl - Y x /. R(enclit) can only affect already contiguous terms and it will never remove the proto-clitic further to the right than immediately subsequent to a verb. (38)

Encliticization = R(enclit) X

et - V

Y

->

Χ

V - cl

Y

R(enclit) can apply to any of the three string types Β, E, R, producing e.g. from a Β string with contiguous /cl + V 2 / (X = 0 ) the variant /W 2 cl Υ 1 Z / . 4.5 Clause level distinction The hierarchical clause level organization of these strings must be examined carefully to classify patterns which go even beyond the effect of R(restruct) as presented above. The three elements 1, 2, c of importance in the string characterization of R(restruct) are not sufficient for a complete analysis. S 2 could turn out to be discontinuous also on account of additional elements contained in it. The real function of R(restruct) is to liberate all of the S2 materials from a coherent S2 string. Wherever S 2 elements are interrupted by S, constituents, a previous application of

318

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R(restruct) will be diagnosed. In this way, it is possible that R(restruct) intervenes not only for the typical R strings, but as well for Β and Ε strings. The R string is thus the result of the application of R(restruct) plus some 'scrambling 1 effect introduced by other processes, e.g. separating the pronoun 2 from V 2 . While the interruption of S 2 presupposes the operation of R(restruct), the discontinuous presentation of Sx has no such implication; the envelope arrangement is an underlying option given the SOV typology of Latin. Sj organization thus foresees a number of interwoven patterns (39). S

(39) a. b. c. d. e. f.

J

S

J

S

J

Clause level sequence

Derivation type

s2

S

S

s2 s2

Β (Basic; cf. again 4.4 above) Ε (Extraposed)

S

1 1

1 S

1

s2

S

s2

S

S

S

1 2 s 2 S1 1

1 S2

s 2 s,

Β, Ε RB, RE, RS (Restructured) RB, RE, RS RB, RE, RS

The actual choice of string type depends on the distribution of the essential string elements c, 2, 1 (proto-clitic, inf 2 , and Vj) with regard to the available Sj portions. For a touch of concreteness, (40) presents a few typical examples illustrating the way in which the analytical categories discussed so far work together in application. The S2 domain is underlined, the essential constituents 1, 2, c are identified with corresponding subscripts, and the example numbers refer to the CM data appendix App. 8 (text symbol plus example number). (40) a. S2S1

Β

su.aci- [quia enim teg ex puella prius

b. S1S2

Ε

Eercontan_2 volo^ (CL-1 Pit. 19) su.aci- [non puto^ illume capillos liberos

c. S^S·] d. S ^ S i

e. SjS^Sg

habere^] (VG-1 Cena 2) su.aci+ [Probus indignatus eumc fustibus caedi'2 praecepit^] (CX-14 Mart. 26) Ε ob.inf [nam ante plurimos dies incipiunt^ se c undique colίigereo turbae] (VG-6 Peregr. 45) RB ob.aci+ [ne sibi"c me credat^ supplicem fore2] (CL-1 Pit. 52) Β

4. Analytical

categories

319

RE su.aci- et [auot DUtas^ illum c annos secum

f.

tulisse·,] (VG-1 Cena 7) 9-

S

S

2 1^2

RS su.aci- [cum se c vi viderit^ abducii] (HL-2 Greg. 1) RS su.aci- [tum tu me c sine^ illam vendere->] (CL-1

h.

Pit. 6 ) 4 3 i.

s2s1s2s1

RB ob.inf

[ubinam nos c Draeses audire^ vellet^ (CX-14 Mart. 32)

4.6 Proto-Romance CM classification The typology is not complete in this form. It is necessary to add a further dimension to the classification, beyond syntactic function of the pronoun, string constitution, clause level hierarchy, and derivational type, namely the protoRomance CM classification. The Romance distribution is very simple in this Romance-based category: A clitic is +CM as in le voile parlare, or -CM as in voile parlarle, or finally undecidable ±CM as in Old Italian parlar(e) le voile with the pronoun sandwiched between the two verbs due to inversion of finite and non-finite verb (a very frequent Old Romance procedure, cf. below 7.3 and Ch. 8:2.2). This tripartite classification must be superimposed over the Latin string and structure data. The Romance strings and structures correlate directly so that the three cases are exhaustively described by the types 1 2 c (= -CM), 2 c 1 (= ±CM), c 1 2 (= +CM) with regard to contiguity between c and 1 vs. 2 and c, but the Latin situation is far more complex. In Romance, the conjunction of +CM and ±CM is coextensive to the maximum operation of restructuring. In Latin this simple correlation of linear arrangement of the essential elements and derivation type does not hold at all. This is so since the pronouns do not (yet) take a predetermined place in the sentence and because even the operation of R(restruct) does not guarantee an approximation between c and 1 as in Romance. A basic nomenclature of the d i f ferent cases can be given as in (41) for the CM pronoun functions, and (42) for the potential inverse CM instances (InvCM). (41) a. -CM condition: c and 2 are more closely related than c and unmarked string types: c X 2 Y 1 1 X 2 Y c

320

Chapter 7: Clitic

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b. ±CM: c is roughly equidistant from 1 and 2 (structurally) ambiguous string types: 1 c Y 2 2 X c 1 c U 1 2 c. +CM: c and 1 are clearly more closely related than c and 2 marked string types: c 1 Y 2 2 X 1 c 1 c [ s W] Y 2 A 5 2 U c 1

On the other hand, the InvCM cases can be described by the same general distance definitions, but with string types other than those given in (41). The InvCM strings corresponding mutatis mutandis to the same definitions as in (41a-c) are those of (42a-c): (42) a. -InvCM: c and 1 more closely related than c and 2 unmarked string types: 2 X 1 Y c 2 W c Y 1 c X 1 Y 2 1 X c U 2 c W 2 Y 1 b. ±InvCM: c equidistant from 1 and 2 ambiguous string types: 1 X c 2 1 [W] c 2 2 c Y 1 c. +InvCM: c and 2 more closely related than c and 1 marked string type: c 2 Y 1

4.7 Rule application and typical strings In reviewing the CM and InvCM definitions, one perceives that the marked values (+CM, +InvCM) require direct contact between c and the non-natural verbal host; the position of c could not be explained by the assumptions of weak pronoun behavior of Latin. The unmarked string values (-CM, -InvCM) are very lax about the connection between c and the natural verbal anchor, especially in the case of InvCM where the free word order phenomena open a vast

4. Analytical

categories

321

field of possible permutations. The intermediate cases, ±CM and ±InvCM, apply to strings which normally do have contiguity between c and the 'unnatural' verbal anchor, but where a link to the non-derived verb can still be construed. The rules for construal are (a) the normal lefthand place of a pronoun with regard to the verb, (b) possible encliticization, (c) optional extraposition, (d) optional restructuring, combined with (e) an open-ended array of element rearrangements across and S 2 , the 'scrambling' effect alluded to by the RS derivational history. The possible derivations include relatively complicated paths combining R(restruc) and R(extrap) effects, with subsequent constituent rearrangement such as R(extrap), R(restruct), and R(fronting) of the abstract representation (43) corresponding to the actual example (44). (43) 8« [^j cj

[^2 c^ ··· X2 ··· 2 ] 1 ]

b. [ s 1 cj 1 [ s 2 c 2 ... X2 ··· 2 ] ] c. t s1 cj 1

c 2 ... X 2 ••• 2

d. [ S 1 cj X 2 1

c 2 ... 2 ]

extraposition

]

restructuring focusC?) fronting 46

(44) a. et quot putas ilium annos secum tulisse? b. cj | X 2 |

1

| c2

|

|

(VG-1 Cena 7)

2

In general, it is not the exact rule intervention for each example which will be of central interest, but the string typology ranging over B, E, RS, RE, RB (cf. again (39) above). The complex interplay between the various classifications can only be described in tabulary form. This listing of strings in their S j / ^ distribution and finer constitution is given in tables T7-ii and iii, separating the tabulation between CM and InvCM situations. The five columns S; record up to five sequential clause fragments from linearly distinct hierarchy levels. There is no necessary limitation on this number, but further prolongations would not add to the realism of the description, since the essential three elements c, 1, 2 can only define three such sequential fragments, the remainder being non-essential items ad libitum. In fact, the most complex type seems to be a fivefragment sequence of S x /S 2 elements as allowed in T7-ii: (45) hanc 2 nobis1 notician^ de Francis 2 memora[n] t.j historic!^ relinquere 2 regibus2 non 2 nominatis 2

(HL-2 Greg. 36)

322

Chapter 7: Clitic

movement

The following tables thus take actually occurring strings into full consideration, while in principle also offering a complete list of potential configurations within the rules established so far. The further specifications allow for a ready identification of the derivation path of each occurring string (in the B / E / R / S / E n c columns). The non-exhaustiveness of the listed surface patterns becomes evident from the sporadic distribution of rule applications. The essential contiguity and separation statements highlight the surface features relevant to the base elements c, 1, 2 in their linear order. The final column of correspondence indications refers to the imminent string analysis (Ch. 7:5.2) elaborated on the basis of the criteria and dimensions discussed in the preceding paragraphs and applied to the corpus of data underlying this CM investigation.

5. Analysis of new data 5.1 Organization of structural tables On the basis of this finely meshed grid, the raw data for clitic movement can be considered meaningfully. The corpus is more restricted than that of the placement/linearization investigation since only ten of the original 48 text selections were retained: (46) CL: CL-1 Pit.

= Plautus, Persa

CL-5 Hisp.

= Bellum hispaniense

VG: VG-1 Cena

= Petronius, Cena Trimalchionis

VG-3 Karen.

-II -I I

= Papyri from Karanfs, Letters by and to CI.

Terentianus

VG-6 Peregr J*? - Peregrfnatio ad loca sancta CX: CX-2 Cypr. CX-3 Corr. C.

II IV

= Cyprianus, Epistolae

III

= Correspondents of Cyprianus

III

CX-11 Serm.

= Augustinus, Sermones

CX-14 Hart.

= Acta Martyrorum Christianorum

VI

= Gregorius Turonensis, Historia Francorum

VI

HU: HL-2 Greg.

/

«

V

The corpus contains over four hundred examples in the seven categories of proto-clitic functions considered. These examples are given in Appendix 8, arranged according to text and pronoun function.

5. Analysis T7-ii Ref Type B1

B-

B2

B-

B3

B±

El E2

323

of new data

CM string types s2

S

1

s

2

S

1

S2

Β Ε R S Enc

Contg

cx2

yi

χ

2c

W1

χ

χ

...

2c

1

χ

χ

E-

1U

cy2

...

E-

1x

2c

χ

E3

E-

1U

cy2

χ

E4

E±

1

cy2

χ

E5

E+

1

cU2

...

c.1

χ

c,1

R1

RB-

...

R2

RB-

R3

RB-

c

u

R4

RE-

R5

RE-

Ζ ζ

R6

RB±

R7

RE±

ζ

1

cy2

R8

RS±

c

y2

χ χ

R9

RS+

c

UI 1

y2

χ χ

• • •

cx2

y1

2c

W1 1

1U

2y cy2

1x

2c 2c

c,1

c.1 χ

χ

χ

χ

χ

ζ

χ

(47b) (47b)

c,1

χ

(47a) (47a)

c,1

χ

ζ ζ

Corr. (47a)

(47e) (47b)

c.2

(47b) (47c) (B1)

c,1

(47c) (B2)

χ

c,2

(47d)

χ χ

c,1

(47c) (E1)

χ χ 1

Separ

χ

χ

χ

(47c)

χ

(47c)

χ χ

c,1

(47c)

c,1 c.1

c,1

(E2) (B3) (E4)

(47c) (47c)

Key: Ref

= reference number

Type

= derivation type and CM status

S^

= clause level sequence

Β

= basic order; Ε = extraposition; R = restructuring

S

= scrambling

Enc

= encliticization

Contg

= essential contiguity of elements indicated

Separ

= essential separation of elements indicated

Corr

= correspondence to S-level groupings given in (47) below

c

= protoclitic under investigation

1

= governing predicate

2

= embedded infinitive

x, y

= variable string portion ranging from 0 to W

U, Ζ

= variable string portion (= 0)

U

= positive clausal string (= 0) essential elements c, 2, 2)

324

Chapter 7: Clitic

Table T7-iii Ref Type

S^

InvCM string types s2

S

ΪΒ1 B+

2W

cy1

ΪΒ2 B+

2x

1c

W2

yi

ΪΒ3 B±

c

movement

1

S

2

Β Ε R S Enc

X X X

X

cx1 1c

y2 W2

χ

ΪΕ2 E+

χ

Χ

iE3 E±

1c

2

χ

χ

iE4 El

1UC

2

χ

Ζ

2

1c

c

U2

1

i R3 RE+

Ζ

cx1

U

c

y2 υ

1

2

χ χ

Ζ

c

υ

1x

2

χ χ

c

2

1

Ζ

c

2

1

1

υ

cy

1c

2

iR6 RBI iR7 RBI

Ζ

iR8 RE± iR9 RSI

Ζ

c,2

(47a) (47a)

c,1

c, 2 c,2 c.2

Ζ

iR4 RS+

Corr.

χ

χ

χ

χ

(χ)

c,1

(47b)

c.2

(47c)

c,2

(47d) (47d)

χ

χ

C.2

χ

χ

C.2

χ χ χ χ (χ)

(47b) (47b)

χ χ

2

(47a) (47b)

iR2 RB+

iR5 RS+

Separ

c.2

iEl E+

iR1 RB+

Contq

c.1

(47c)

c.1

(47c) (47c) (47d)

c,1 C.2

(47c) (47c)

Key; Ref

= reference number

Type

= derivation type and CM status

Sj

= clause level sequence

Β

= basic order; Ε = extraposition; R = restructuring

S

= scrambling

Enc

= encliticization

Contg

= essential contiguity of elements indicated

Separ

= essential separation of elements indicated

Corr

= correspondence to S-level groupings given in (47) below

c

= protoclitic under investigation

1

= governing predicate

2

= embedded infinitive

x, y

= variable string portion ranging from 0 to U

U, Ζ

= variable string portion (= 0)

U

= positive clausal string (= 0) essential elements c,

2)

5. Analysis

of new data

325

5.2 String analysis: S level sequence For analytical purposes, however, these raw data must be coded in terms of the finer grid elaborated here. This form of representation focussing centrally on the S-level provenience of the single elements and on the CM affinities yields the tables of App. 9. Primarily the pronoun functions are kept separate, secondarily the clause level sequence, tertiarily the string type/CM rating, and finally the text provenience of each example. From the six S; level combinations in (39), three somewhat more comprehensive groups can be formed (47a-c), given the non-distinguishable behavior of the collated categories. In addition, the two separate patterns (47d) and (47e) need to be listed. (47) a. S2S1

of derivation type B, extends also to Β type S ^ S . )

-> (S 1 )S 2 S 1 b. S ^

of derivation type E, extends also to Ε type S ^ S ^

-> S^jCSp c. S2SJS2

of derivation type R, extends also to R type S^S2S^S2

-> (s 1 )s 2 s 1 s 2 d. S2S^S2S.j

of derivation type R

e. S 1 ... S 2

of derivation type Ε

Contrary to what happens to a lefthand extension of a Sj segment (47a,c), the addition of another S x portion does not automatically yield a homogeneous result with regard to the simplex string type. The expected extension of R type S2SXS2 to S 2 S 1 S 2 S 1 (cf. (47d)) is practically non-existent and does not have the characteristic behavior of its simplex base, either for CM or for InvCM. The dislocation of S2 material seems to be facilitated in leftward direction, but difficult to achieve towards the right. Already the Ε type extension (47b) is a rather marked phenomenon in the cor pus while the Β type extension occurs freely (47a). The dispersion of S x elements around the embedded S 2 does not produce the restructuring effect inevitable for S 2 , since Sx in a 'free word order' situation can absorb a fully embedded S2 without breaking its structural frame. The weak status of the righthand extensions may thus be significant. The final pattern (47e) for a second conjunct a.c.i. presupposes extraposition and, given the conjunction reduction of the second occurrence of V v a necessary -CM valuation due to the distance between V x and c. The correspondence

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between the classes of (47) and those of T7-ii, iii appears in the rightmost column of these tables under Corr. 49 Another observation concerns the manner in which the R type strings achieve their restructured status. The most radical dispersion of essential elements c, 1, 2 occurs only in R3,8,9 and iR4-9 (cf. T7-ii, iii) where each one of these elements is located in a different sentence fragment. In the other cases, the c, 1, 2 arrangement might correspond to a simpler derivation type than the one indicated, but some other S 2 element(s) may require the classification of a restructuring typology for the realistic description of the dissolved S2 surface form. 5.3 Frequency tables With this complex Latin-Romance double classification of the manifold surface strings, the final tabulation of the numerical results can be undertaken with the aim of producing linguistically interpretable distribution patterns. The raw numbers are converted into percentage values relative to a given text and a given syntactic pronoun function. Each horizontal text or text class line in the tables in App. 10 constitutes a domain of 100%. For a realistic gauging of these relative indications, the absolute number of examples per text is also indicated in the left margin. The five main groups of S ^ j strings (cf. also (47)) assemble the Latin derivation types Β, E, forced E, R, and marked extended R in the schematic progression of (48). (48) (S 1 )S 2 S 1 Β

S^CS.,)

S^-.Sg

Ε

E(forced)

(S^S^j R

S

2S1S2S1

R(extended)

Internally, the CM valuations and derivation subtypes are listed separately in the main portion of each table. In addition, the summary of class averages for each table concentrates mainly on the proto-Romance CM values with a parallel conflation of the internal Latin derivation types into the categorial Β, E, and R. The result of the CM summation into +CM, ±CM, and comprehensive &CM (= +CM and ±CM together) finally yields the measure from which the Latin to Romance path of CM evolution can be discerned. The InvCM categories obl=su2 and obl.aci substitute their corresponding marked/unmarked values so that &InvCM stands for +InvCM and ±InvCM (or directly, for

5. Analysis

of new data

327

-CM and ±CM) as marked values. For ease of reference, the summary values of the various tables in App. 10 are given here in two distinct arrangements as tables T7-iv, v, arranging first pronoun functions, and then text classes. The following discussion will describe the rather surprising and clear cut choices which these figures imply for the evolution of CM into Romance. 5.4 Direct transition hypothesis: ob.inf behavior In principle, the hypothesis of a (Late) Latin prefiguration of CM predicts that the CM classification should tend towards a +CM (or +InvCM) specification wherever this same value would hold in Old Romance. In other words, any V 1 governing an infinitival complement and belonging to one of the identified semantic classes (Caus, Perc) Mod, Asp, Subj, Oth (cf. 2.3 above) should favor, or demand, a +CM classification, with progressive approximation to this target moving forward in time. Checking thus the most immediate set of figures, the potential &CM values for infinitival objects ob.inf (columns ±CM, +CM, &CM in T7-iv), it becomes evident that this simple correlation does not hold. The four values of &CM for CL = 32%, VG = 68%, CX = 60%, and HL = 49%, are highly indecisive or even negative in their judgment. In particular, the cases of secure +CM do not increase significantly across the various classes and/or chronologically. This impression is confirmed by the actual composition of relevant ob.inf predicates and their CM status in the ten texts (cf. the predicate table for ob.inf in App. 11). If for the Mod and Asp subclasses one accepts the Latin verbs debeo, possum, queo, volo, nolo ( = Mod), and coepi, incipio, soleo; propero, revertor; cogito, audeo (= Asp and motion verbs), one obtains a &CM class average distribution of the following proportions: 50 (49)

% &CM

CL

VG

CX

Mod/Asp

50/50

44/(60)

71/(0)

ilk (11)/(100)

The remaining predicates do not form a more convincing array for the purpose of detecting a directional evolution. The basic figures of V j frequency are too low to permit meaningful statements about detailed tendencies. Even with only the three most frequent verbs (dignor 24 cases, possum 22, volo 14), nothing more than a static condition is re-

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T7-iv Summary table of CM class averages (according to pronoun function; % of total for class and string type B / E / R ) Basic

Extraposed

-

±

+

&=%B

±

Restructured

+

&=%E

±

+

20

&=%R

ICH +CH &CM

su.aci24

21

0

47

6

2

4

53

12

92

0

14

17

34

21

76

2

10

2

0

50

0 100

0

50

CL

21

6

0

22

VG

0

0

0

-

78

29

20

49

16 100

65

30

95

CX

10

2

0

17

HL

0

0

0

-

86

12

72

84

0 100

100

CL

26

0

0

0

36

26

0

42

0

9

12 100

26

12

38

VG

16

0

0

0

0

34

0 100

0

25

25 100

59

25

84

CX

20

3

0

13

59

17

0

22

0

0

20

0

20

HL

36

0

0

0

0

36

0 100

0

0

27 100

36

27

63

CL

6

0

0

0

64

0

0

0

9

3

20

72

3

20

23

VG

0

0

0

0

89

0

0

0

0

0

11 100

0

11

11

CX

16

0

0

0

52

4

0

7

0

16

12 100

20

12

32

HL

0

0

0

-

100

0

0

0

0

0

0

0

0

0 100

su. a c i +

0

-

ob.aci

0

-

ob.inf CL

41

0

0

0

14

8

0

36

11

20

VG

16

0

0

0

13

42

0

76

3

8

CX

32 19

0

37

5

16

0

76

3

HL

50

0

0

0

0

19

0 100

6

4

68

28

4

32

18

90

50

18

68

15

10

89

50

10

60

0

25

81

19

25

44

ob1 =su2 CL

16

0

0

0

61

6

0

9

6

12

0

67

12

0

18

VG

0

0

0

-

42

21

0

33

34

4

0

10

25

0

25

CX

8

0

0

0

33

0

33

HL

0

0

0

-

0

0

0

25

50

33

0

40

8

0

0

0

100

0

0

0

0

0

0

-

ob1 . a c i CL

25

0

0

0

0

0

0

-

50

25

0

33

25

0

VG

0

0

0

-

8

0

0

0

17

0

0

0

0

0

0

CX

0

0

0

-

42

58

0

58

0

0

0

58

0

58

HL

0

0

0

-

67

0

0

0

33

0

0

0

0

0

0

5. Analysis

of new data

T7-v Summary table of CM class averages (according to text classification; % for total of type and string type B / E / R ) Basic - ± + &=%B CL su.acisu.aci* ob.aci ob.inf ob1=su2 ob1.aci VG su.acisu.aci + ob.aci ob.inf ob1=su2 ob1.aci CX su.acisu.aci + ob.aci ob.inf ob1=su2 ob1.ac i HL su.acisu.aci+ ob.aci ob.inf ob1=su2 ob1.ac i

21 29 6 41 16 25

6 0 0 0 0 0

0 0 0 0 0 0

0 16 0 16 0 0

0 0 0 0 0 0

0 0 0 0 0 0

10 2 20 3 16 0 32 19 8 0 0 0

0 0 0 0 0 0

0 36 0 50 0 0

0 0 0 0 0 0

0 0 0 0 0 0

22 0 0 0 0 0 -

0 -

0 -

17 13 0 37 0 -

-

0 -

0 -

Extraposed ± + &=%£ 0 0 0 0 0 0

47 42 0 36 9

Restructured ± + &=%R

329

pronoun

1CM +CH &CM

6 0 9 11 6 59

2 0 3 20 12 25

20 78 12 100 20 72 4 68 0 67 0 33

29 26 3 28 12 25

20 12 20 4 0 0

49 38 23 32 18 25

0 0 0 3 34 17

14 25 0 8 4 0

16 100 25 100 11 100 18 90 0 10 0 0

65 59 0 50 25 0

30 25 11 18 0 0

95 84 11 68 25 0

76 22 7 76 40 58

2 0 0 3 8 0

10 0 16 15 0 0

2 86 0 12 100 10 89 0 0 0 -

46 20 20 50 33 58

23 0 12 10 0 0

69 20 32 60 33 58

0 100 0 100 0 0 0 100 0 0 0 0

0 0 0 6 0 33

50 0 0 0 0 0

0 100 27 100 0 25 81 0 0 0

100 36 0 19 0 0

24 36 64 14 61 0

21 26 0 8 6 0

4 0 89 13 42 8

53 34 0 42 21 0

12 92 0 100 0 0 0 76 0 33 0 0

17 59 52 5 5 42

34 17 4 16 33 58

21 0 0 0 0 0

0 0 100 0 100 67

50 36 0 19 0 0

-

0 100 27 63 0 0 25 44 0 0 0 0

cognizable. The Old Romance CM phenomenon is not convincingly contained in nuce in the immediate Late Latin predecessor configuration of ob.inf constructions. On the other hand, an eventual CM evolution is not denied by these data either. There are clear +CM examples available in addition to more of the ambiguous type ±CM, e.g. in V G - 6 Peregr., 18 for coepi, 21 for dignor; CX-11 Serm.,

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23 for possum; 21 for volo. But whereas in Romance +CM status is a question of regularity and automatic application, in Late Latin the choice is fully free; each of the most frequent predicates coepi, dignor, possum, and volo appears with all three CM options in one and the same text, determined in this distribution by opaque conditions beyond simple variability ad libitum (cf. CX-11 Serm. exx. 22, 18, 21). 51 5.5 Latin CM prefiguration: Pronoun functions As the &CM figures of T7-iv,v indicate, the Latin prefiguration must be sought in the high values of some other syntactic functions. The a.c.i. subject accusative pronouns (su.aci- for YG, CX, HL; su.aci+ for YG) seem to be the best candidates for providing a link between Latin and Romance. These figures of between 84% and 100% are significant in the context of the norm value which might be expected for the given functions. If one takes each one of the eight construction types defined (Β-, B+; Ε - , E±, E+; R - , R±, R+) as occurring with equal likelihood in a text, the norm value of &CM amounts to 62%, i.e. 5 χ 1/8 of 100% comprehensive text frequency. The values of 84% to 100% are thus massively higher than the zero hypothesis frequency of 62%. Applying the same test to the component +CM and ±CM values (with 38% and 25% norm values), the following set of greatly deviating single texts can be obtained: 52 (50) Markedly higher than norm values in approximation of Romance CM ±

su.aci-

su.aci·»

ob.aci

ob. inf

VG-1 Cena

VG-1 Cena

(CX-3 Corr.Cypr.)

CL-1 Plaut.

VG-3 Karan.

VG-6 Peregr.

VG-1 Cena

VG-6 Peregr.

HL-2 Greg.

VG-3 Karan.

CX-3 Corr.Cypr.

norm 25%

CX-2 Cypr.

CX-14 Mart. HL-2 Greg. +

CX-2 Cypr.

(VG-1 Cena)

(CX-14 Mart.)

-

38%

&

VG-1 Cena

VG-1 Cena

-

VG-1 Cena

62%

VG-3 Karan.

VG-3 Karan.

VG-6 Peregr.

CX-2 Cypr.

CX-2 Cypr. CX-3 Corr.Cypr. HL-2 Greg.

5. Analysis

of new data

331

The favored selections are the VG texts (VG-1 Cena, VG-3 Karan., V G - 6 Peregr.) and some of CX (CX-2 Cypr., CX-3 Corr.Cypr., CX-14 Mart.), while both CL texts are absent. +CM does not add much to the picture, but ±CM determines the overall &CM value. Of the pronoun f u n c tions, it is clearly su.aci- which dominates in protoRomance CM manifestations, followed less decisively by su.aci+ and ob.inf. 5 3 The imbalance in distribution is not only confined to &CM. The figures for &CM also vary considerably with regard to the three component classes of derivation types Basic, Extraposed, Restructured. Each derivation type Β, E, or R, regardless of CM status, tends to occur with a particular frequency which often avoids the zero hypothesis average of 1/3 for each of Β, E, and R. The frequency of occurrence per text class can be gauged with a rough tripartite measure of less than 33%, more than 33%, and approximately 33% (fixing the range for this case between 25% and 40%), symbolized with '+' and '=' respectively 54 as in (51). (51) CL VG CX HL

su.aci-

su.aci·*·

ob.aci

B E R

B E R

B E R

= -

+ + + +

= + +

= =

+ + + =

+ =

-

+ + + +

ob. inf B E R

= = -

+ + +

+ -

= = =

The accentuated derivation types are the extraposed Ε for su.aci and ob.aci, while the basic arrangement Β prevails in ob.inf. The incidence of the restructured versions R is approximately equivalent to the norm value in the four syntactic pronoun functions. The under-represented member of the three string types is Β in the a.c.i. oriented f u n c tions su.aci-, su.aci+, and ob.aci. Extraposition is a movement rule which affects preferentially the a.c.i. infinitival embeddings in all four text classes, extending over the entire chronological period covered by the four classes. Pure infinitives do not favor the application of this rule, thus producing the heavier Β portion in the corpus (except for VG; cf. below). Pure infinitival as well as a.c.i. structures undergo restructuring with approximately average frequency, or somewhat less, in all text classes. Rule R(extrap) is thus

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syntactically conditioned up to a certain degree, while R(restruct) does not seem to depend on such guidance. 5.6 Latin CM prefiguration: Derivation types Superimposed over this non-regular distribution one finds the additional bias proper to the &CM frequency within each derivational category Β, E, or R. The columns &% in T7-iv,v indicate the applicable percentages of +CM and ±CM cases (understanding the single derivational type Β, E, or R as defining the field of 100%). By applying to these figures again a scaling algorithm resulting in a + / = / division, the picture becomes somewhat more orderly. 55 Alongside the scaling marks, the percentage figures are repeated here in (52), and the overall value of &CM frequency is added from the &CM column of T7-iv. (52) &CM percentage per derivation type Β, E, E R &CM VG: CL: Β 49 su.aci22- 47- 78+ su.aci+ 0- 42- 100+ 38 00- 72= ob.aci 23 0- 36- 68= ob.inf 32 CX: su.acisu.aci+ ob.aci ob.inf

B E 17- 76= 13- 22-

R 86+ -

07- 100+ 37- 76= 89+

&CM 84 20 32 60

HL:

or R, and overall &CM Β E R 92+ 100+ 95 84 0- 100+ 100+ 0- 100+ 11 68 0- 76= 90+ B

Ε R 100+ 100+ 0- 100+ 100+ Ο0- Ι 00+ 81+ -

&CM 100 63 0 44

All restructured R string groups show at least regular 2/3 probability of ambiguous or raised CM status, and almost all of them have a significantly higher percentage indicated by the V symbol in the table. This applies to all four text classes and all four pronoun functions. All Β string classes on the other hand manifest considerably lower frequency of &CM than could be expected under a zero hypothesis. This is true for all points in this schema. Only the Ε type depends on syntactic function and/or text class identity: For CL the comparison to idealized categorical +CM is consistently negative; for VG and HL it is positive with regard to su.aci and ob.inf, but strongly negative for ob.aci. In CX the values are neutral, or lower than the norm within the extraposed cases.

5. Analysis

of new data

333

A further indication of value is given by the distribution between +CM and ±CM cases internal to &CM. This minor distinction — given that both types can be perceived as proto-Romance +CM instances while one of them must be interpreted in this way — correlates in part with pronoun function, with text class, and/or with derivation type. No Β type string can show a +CM arrangement. Only a minority of cases of +CM are found in the Ε section, and this only within the function of su.aci- and the non-classical VG and CX text classes. For R strings, the situation is much more confused, in that +CM instances occur freely. It appears that only CL and VG as truly Latin categories have equal or higher portions of +CM strings compared to the ±CM cases. At best, +CM is the CM status appropriate for the structurally dissolved R derivations and only rarely so for the structurally untouched Β and Ε strings. The +CM qualification implies a separation of a V 2 dependent pronoun from its semantic and structural support and its secondary attachment to V x , or at least to the superordinate clause. In an important sense, then, the three CM classifications -CM, ±CM, +CM correspond preferentially to the three derivation types Basic, Extraposed, and Restructured respectively. 5.7 VG as proto-Romance Returning to (52), it is worthwhile to point out the overall impression of &CM incidence in the light of the internal and external percentage figures as they apply to the d i f f e r ent text groups. If one takes as a naive measure an idealized Romance value of 100% CM for any applicable pronoun function, it is immediately evident that the best approximation to Old Romance is found in VG. Not only is &CM consistently (near-) categorical — between 90% and 100%, except for the surprising 0% in Ε strings for ob.aci — but the &CM cases represent also in three of the four syntactic categories (su.aci-, su.aci+, ob.inf) a considerable to huge portion of the overall number of cases, between two-thirds and nearly all. Only ob.aci stands out of line with a very low incidence, a mere 11%, while 89% in this category belongs to a - C M classification. The text classes CX and HL both offer similar, yet somewhat mitigated patterns. CL does not point in the same direction as VG nor in any other one. The values generally remain some-

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what intermediate. CL does not coincide in any interesting way with the other three classes. If it is actually rather far removed from the proto-Romance characteristics of VG, it could nevertheless not be claimed that CL, i.e. real epochal Latin, would represent an antithesis to the later text groups, especially since the most divergent VG values appear in a genetic light only as heavy accentuation of the tendencies already potentially present in CL. VG develops CL material and arrives at para-categorical solutions which fit well into an evolutionary framework where Old Romance stands at the end point. In this perspective, judging the situation only summarily for the time being, CX and HL as samples of progressive Late Latin do not represent a further linear evolution extending from CL over VG to Romance. Rather, as was already the case with pronoun placement and linearization, the Romance choices from the Latin material have, for the most part, already been made in relatively early texts close to the para-spontaneous registers. The criterion of Romance approximation is not chronological distance from CL, but stylistic choice and communicative necessity determined by the pragmatic context of each linguistic sample studied. The text classes constituted here may also be elusive to the extent that they falsify the actual choices of the single text by averaging any extremes, especially for CX with its inherently contradictory component vectors (spontaneous, Classical, and Biblical tendencies). Within the present small sample of ten texts, there are no grave discrepancies which could not easily be reduced to the problem of unreliably low absolute numbers of applicable cases. For the same consideration, it is also important to rely not solely on single text results, but to counterbalance what might be the aberration of a single text with the less spectacular but more secure group behavior. The value of the present HL class — consisting of just a single text — is therefore highly reduced. The fact that this class of HL proved to have a rather artificial linguistic behavior for clitic placement/linearization, oriented much more towards Classical Latin than most earlier texts, reduces the damage to a tolerable level. 5.8 Restructuring function One more correlation can be explored, though it is a minor aspect. Within the class of R strings, the three subtypes —

5. Analysis

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335

corresponding to a basic, extraposed, or 'scrambled' derivation RB, RE, or RS — pattern in such a way that the characteristics of the implied derivations Β, E, or RS are exploited to the fullest. The data which can be drawn directly from App. 10 show that RS frequency is highest in each text class, followed at a distance by RE, and leaving only a few sporadic RB cases, except in ob.inf where RB is found in modest concentration. No RS string has a - C M status; practically no -CM is found in RE, while RB lacks almost all &CM groupings. This distribution pattern is independent of pronoun function and text class. The mentioned association of Β with -CM, of Ε and R with &CM, in particular Ε with ±CM and R with +CM, is confirmed in a convincing manner by this sidelight. 5.9 Split Latin - Romance This discussion has established the possibility of interpreting the battery of numbers (tables T7-iv, ν and App. 10) as an index of different degrees of proto-Romance approximations characterizing subordinate pronoun syntax in the corpus. But it must be repeated that the connection exists so far only as a numerical argument which does not affect the appropriate categories in their continuity: While the direct derivation from Latin ob.inf to Romance CM failed, the indirect connection of a.c.i. dependent pronouns to infinitival ones is not evident yet. This problem will be picked up below (cf. 7.1). 5.10 InvCM pronoun functions and prefiguration After the perusal of the CM categories, the situation of the inversely oriented InvCM categories obl=su2 and obl.aci will be somewhat less involved. In general, the examples are much less numerous for the single texts. The impoverished numerical base for considering frequencies runs the risk of gross deviations from what should be reconstructed as the real situation. Only macroscopic indications from these figures should be accepted. The Romance goal can be identified very simply as a categorical 0% of &InvCM in all cases, since there is no InvCM in Romance. This is not exactly the Latin situation, given that both Ε and R type strings do exhibit a moderate amount of &InvCM in CL, VG, and CX, but all examples remain in the ambiguous

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±InvCM category. None belong to the secure +InvCM arrangement. The amounts of ambiguous proto-clitic placement between a natural anchor V x and a conjectural host (clause) V 2 are in no way comparable to the massive deviations registered for some CM functions and texts. Within InvCM, the ±InvCM values remain minoritarian, and +InvCM is nonexistent. Parallel to the CM picture, the major portion of string types belongs to the extraposition derivation. A minor component falls into the R classification (mainly RS in obl.aci, and RB in obl=su2), and the basic clause type Β is only marginally present. Significantly, VG does not contain any Β instances for ±InvCm at all. The development of InvCM presence in the text samples indicates that the trend is decreasing in R (from 67% &InvCM in CL to 10% in VG to 0% in CX), and inversely increasing in Ε (from 9% in CL to 33% in VG and 40% in CX). The trend seems to be away from the exposed structures with deplaced constituent arrangement, especially RS, to a more regularized derivation pattern, i.e. Ε with extraposed S 2 , where pronoun attribution to Sj or S2 is at best accidentally ambiguous. The Romance prefiguration belongs to VG again as for the CM trajectory. An obl.aci shows less InvCM effect than obl=su2. This is reminiscent of the fact that for CM, the purely V 2 dependent object class ob.aci also turned out to be hostile to &CM. The other CM categories, su.aci-, su.aci+ (excepting ob.inf), and the InvCM type obl=su2, are functions which depend in important ways on both clause domains. For semanticstructural reasons su.aci goes with V 2 , for morphological ones (case marking) with V r Semantic-structural reasons connect obl=su2 with both V j and V 2 . The exclusion of the strong '+' value from &InvCM blocks any serious InvCM interpretation. The ambiguity of clause dependence of such pronouns can be attributed to accident rather than syntactic purpose since no case enters the purposive domain of +InvCM. On the other hand, the CM picture requires a transposition analysis for the Latin data due to the pervasive +CM ratings in the corpus. The same divergence in treatment of the ambiguous instances — elimination from consideration in the case of InvCM, acceptance of ±CM as potential +CM manifestations under the straight CM heading — is naturally supported by the diachronic profile: Unmistakable CM as a para-categorical

6. Late Latin CM prefiguration

337

phenomenon stands at the end of the Late Latin trajectory, while no trace of an inverse InvCM result can be f o u n d in the subsequent linguistic code. The fine grid of the analytical tools permits the identification of potentially significant ±InvCM configurations, but this overprecision is corrected by the same tools in that no consummated +InvCM instances of rearrangement can be found in the corpus. This secondary functionalization of the InvCM considerations as a test of the entire analytical system is a welcome result. It helps to dissipate the doubts applicable to such an analysis in the context of a ' f r e e word order' language: The purported freedom is evidently constrained and is made use of in a teleological fashion (as seen ex post facto). The +CM arrangements obtained a particular status of f u n c t i o n ality in the language which the (non-existent) +InvCM versions could not muster. The disturbed entropy in the string distribution reveals some essential vectors of syntactic organization in the linguistic code. The following interpretation of the numerical results seeks to extract the causes which produced the Late Latin syntactic choices and which led to the Old Romance reinterpretation of pronoun adherence in the CM situation.

6. Interpretation of Late Latin CM prefiguration 6.1 Contiguity / I c/: Accidental extraposition result The essential aspect of CM recognition is an approximation of the relevant proto-clitic to the governing V j and a concomitant surface loosening of its natural pertinence to V 2 . In concrete terms, V j and the pronoun c come to stand in contiguity for almost all ±CM structures, and for all +CM configurations. At the same time, V 2 is at best contiguous to c (on the other side f r o m V x ) or even distant from c, and thus more distant f r o m c than in the same string. This condition is produced by genuinely Latin processes, conditions, and tendencies which interact in such a way as to result in the variable CM behavior discussed so far. The CM phenomenon therefore characterizes all phases of Latin, with minor or major surface effect due to the changing conditions which control the operation of the responsible mechanisms. The central area of potential &CM manifestation is given by the frequent extraposition strings.

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A non-controversial path to &CM is thus the extraposition rule R(extrap) itself, which stands at the basis of this configurational type. In the SOV characteristics of Latin, R(extrap) will produce a post-verbal subordinate clause: (53) a. tSi su1 ... t s2 su 2 ... ob 2 ... inf2 ] ... V1 ] ==> R(extrap) b. [ g1 su1 ... V1 [ s 2 su 2 ... ob 2 ... inf2 ] ]

Through the mediation of extraposition, the basically final V j and the locally initial su 2 produce the required contiguity between V x and c which in linear terms leads to the diagnosis of potential &CM, in particular in the form of the ambiguous ±CM. The means is perfectly Latin, with the traditional descriptions of Latin recognizing — implicitly in their examples, or explicitly as outright statement — that extraposition is a preferred process applying to embedded infinitival clauses (cf. above in 3.3). The effect of this rule has considerable implications for proto-Romance, since the impact of R(extrap) is heavily enhanced by the high textual frequency with which such configurations are encountered (cf. again the scaled frequency table (51), p. 331). It appears clearly from the figures of Β and Ε incidence that Β is in general much weaker in textual presence than E; it actually represents an option declining from Early Latin to later phases of the language. This peculiar circumstance of diachronic R(extrap) application is independent of pronominal syntax, but it has the effect of enhancing the frequency of juxtaposition between Y x and a c 2 in a.c.i. constructions, thereby accidentally anticipating a Romance pattern. 6.2 Implications: Pronoun class differences The central role of extraposition as a blind agent of &CM propagation is heavily constrained by the functional dimension of the pronouns. Since R(extrap) brings about a &CM shift due to the passive configurational traits of Latin constituent arrangement (cf. (53)), it is crucial that the pronoun involved be a subject accusative of the embedded clause, i.e. a su.aci- or su.aci+ specimen. However, if in the same context the pronoun under investigation is the object of the infinitive (ob.aci), its place inside the embedded clause prevents it from entering into accidental contact with V x (cf. the position of ob 2 in (53b)). The blocking element is the constructionally obligatory presence of the subordi-

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nate subject, whether nominal or pronominal. An exceptional position of such an object pronoun might lead to a potential &CM situation by chance, but such contorted arrangements will be rare. In fact, a minimal number of such &CM cases of ob.aci pronouns are found in the Ε strings (cf. T7-iv under ob.aci and E±). An example is CX-2 Cypr. 23 et credo vobis id quod scripsi non displicere, where the subject accusative consists of a relative construction. But the main point is the huge difference in &CM frequency between the high su.aci component and the practically nonexistent ob.aci contribution. In a second sense there is an automatic corollary of the hypothesis of accidental &CM production through the application of extraposition. Through conjunction of more than one subordinate clause, only the first such clause of an extraposed group can show ±CM for su 2 , while the other su 2 instances are perforce separated from it to the right. This is the meaning of the category S J . - . S J in the string analysis tables of App. 9, where exclusively - C M valuations are found. A typical case is CX-14 Mart. 9 an non est verisimile me mentiri et ilium verum dicere?, where me is an E± classification and ilium necessarily of E - type. Still following the implications of the accidental juxtaposition hypothesis, one expects the pronouns expressing the object of an infinitive in a pure infinitival construction, i.e. the ob.inf cases, to resemble the su 2 pattern. The potential &CM value for extraposed structures should be considerable, since here the su 2 expression is by definition absent. This leaves an open subordinate clause position at the head, to which the object expression might easily accede even though it will not need to occupy it by way of an underlying arrangement pattern, e.g. VG-6 Peregr. 15 tunc cepi eos rogare ut .... The corresponding figures f r o m table T7 -iv support this expectation fully in that the &CM incidence of ob.inf pronouns is heavy, yet not quite up to that of a su 2 expression. On the other hand, the pure infinitival constructions do not favor an extraposed version in this situation; cf. e.g. VG-6 Peregr. 28 tunc ergo gratias ei agere coepi. This difficulty belongs to a context different from the present one which is intended only to test the juxtaposition hypothesis for CM origin; cf. below 7.1 The InvCM categories obl=su2 and obl.aci present again a different case. By prediction of the hypothesis, the

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extraposition rule as such does not favor any such juxtaposition, since obl=su2 or obl.aci pronouns should occur to the left of V v a natural place for non-sentential main clause arguments. Consider the preverbal instance of obl=su2, e.g. V G - 6 Peregr. 53 necesse me fuit adhuc accedere, and the postverbal obl.aci, CX-2 Cypr 22 videntur ergo mihi abluisse prius delictum. The condition of main clause elements, however, permits them to take up collocations of considerable freedom. A certain amount of &CM in a rather irregular distribution, therefore, is not significant with regard to the hypothesis; cf. the obl=su2, obl.aci values for Ε strings in T7-iv. Overall, it appears well motivated to attribute to extraposition the essential and the mechanical responsibility for producing potential &CM situations in the particular intensity and with the specific distribution patterns observed here. Furthermore, the resulting configuration with a su 2 expression, removed to a certain extent from its S 2 association into a closer S x dependence, is an appropriate procedure of favored frequential status, since this type of pronoun has natural functionality with regard to both clauses. Its ambiguous placement, and in later Romance terms, attachment, is a functional move, and in view of the Romance result an opportune one. CM is codetermined in its emergence by one aspect of the multiple shift from SOV to SVO typology, given the important role of R(extrap). This rule is an early and basic form of reordering OV to VO if the Ο is a clause. In this perspective then, CM is not a feature of pronominal syntax in its origin. 6.3 Contiguity /c 1/: Clause dissolution through restructuring Extraposition is not sufficient to explain the restructuring strings which present an evident major reordering of the constituents, going far beyond the shift produced by the wholesale transposition of the embedded infinitival clause to the right of V 1 . The essence of restructuring is the liberation of the S 2 constituents from their clause bond to occupy positions more or less dispersed across the entire sentence. The subordinate clause structure is dissolved into the enveloping structure, as the name of the process indicates. Consequently, the former S2 elements may now behave with a collocational freedom similar to that of main

6. Late Latin CM prefiguration

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clause elements. This lack of secure linear arrangement models finds its expression in the recognition of a phantom process of Scrambling which here has no other function than to indicate that major constituent arrangement shifts have taken place with regard to S 2 elements, and in particular, that the three essential elements c, V 1} and V 2 stand in such linear order as to exclude the diagnosis of basic or extraposed derivation. In other terms, the three derivation patterns RS, RE, and RB correspond to the three crucial substrings c 1 2 = RS, 1 c 2 = RE, and c 2 1 = RB (cf. also above 4.4). It turns out that of the three options, RS (restructured-srambled) as the most radical dissolution of hierarchical disposition is by far the most frequent pattern within the entire R class, followed at a great distance by RE (restructured-extraposed), and with only a minimal contribution of RB (restructured-bsic). These latter two types are doubly interesting in the present context since, first, they are clearly minoritarian, and secondly, they represent central strings of 1, 2, c falling properly under the Β and Ε categories. The kind of string exemplified in (54a) for RB is not so much a dissolved S 2 structure as it is a Β string with heavy emphasis put on the final constituent due to the general Latin principle of postverbal positioning of a focused constituent. The addition of restructuring to RB is the transposition of the oblique NP 2 beyond the S 2 clause boundaries, resulting in the envelopment of V v The second example (54b) with two such prominent right-shifted elements seems to have similar motivation. It could derive in approximately the same way, admitting more than one pass at the emphasis shift process. The information of the righthand elements multis amis and lectorem Saturum is unquestionably emphasized in (a) and (b) respectively. (54) a. bene valere2 te opto1 multis a n n i s ^ (VG-3 Karan.7) b. fecisse2 nie autem sciatis^ lectorem^ Saturum^po (CX-2 Cypr.5)

A similar analysis applies to the RE cases in (55), where a regular extraposition derivation additionally undergoes the foregrounding process of left dislocation for the stressed element. This inverse process to the rightward shift described above belongs to normal Latin syntactic and stylistic procedures as well, with somewhat different

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indications of application, e.g. when the right periphery is occupied as through extraposition. More complex than (55a) is example (b), due to the double level of infinitival construction; V 2 and V 3 must be recognized. Left dislocation here has a simple syntactic motivation since it is an instance of relative movement which can very well cross higher clause boundaries. (55) a . p u l c h r i o r e m t e r n " t o r I ' m ^ p o puto^ me nusquam v i d i s s e j

quam e s t

l e s s e n (VG-6 P e r e g r . 4 ) b . cui reiyjpn non puto^ me solum d e b e r e 2 s e n t e n t i a m d a r e j (CX-2 Cypr. 13)

Compared to this, the real RS structures involving the dispersion of c and V 2 are clearly more radical, even in the simple cases such as (56a). The position of c could not be understood as an emphasis related device given the actual sentence and the naturally low profile of a protoclitic. The circumstance that in this case second position could be invoked is essentially accidental. Already the next random example does not offer this option. Furthermore, a syntactic principle such as 2ND would be expected to be regulated by the syntactic conditions of clause boundaries in view of the fact that clitic placement is a clause contained phenomenon. The displacement of c to the left of V\ and far away from V 2 presupposes the structural non-existence of S2 for the benefit of the sole Sj domain embracing both original components Sx and S 2 . Alternatively, these structures could be understood as inserting V x into the S 2 expanse, a process which presupposes again the absence of structural barriers. At any rate, R(restruct) is an indispensable precondition for these string arrangements. ( 5 6 ) a . n i s i s i me i u d i c a s ^ a n u l o s buxeos c u r a r e 2 quos amicae t u a e i n v o l a s t i (VG-1 Cena 20) b . i l l u d autem vos volo^ s e i reg dominae (VG-6 P e r e g r . 2)

The fact that these last RS structures are the normal form of R type strings in our central concern of CM investigation is an excellent indication of the inherently radical nature of restructuring: Its raison d'etre is the dissolution of a clause level distinction between main and subordinate clause, which means in particular a separation of the con-

6. Late Latin CM prefiguration

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stitutive elements, c = subject 2 and its predicate V 2 . Since this consists of an insertion of V j between c and V 2 , the &CM contact of c with V j is almost automatically given: It is a radical +CM value if c and V j are contiguous, otherwise at least ±CM. Restructured strings have a very high proportion of &CM instances exclusive of - C M cases. Restructuring and CM let many of their respective characteristics interpenetrate. The interface between the two phenomena is much more extensive and important than for the previous case of extraposition and CM. Yet restructuring does not exhaust itself in the CM effect. Rather, in the narrower domain of pronoun placement, CM is again a possible consequence of the inherent potential for word order rearrangements. Restructuring provides a link between the poles of simple vs. complex clause structure, couching the transition in a convenient binary terminology. The vague 'scrambling' effect will take care of the fine tuning in closeness to the pole of simple vs. complex clause structure (cf. 3.7 above). In principle, though, the entire phenomenon must be seen as a unified scalar parameter of clause complexity. CM intervenes in this general scenario by making pronoun place conform with a simple clause analysis: juxtaposition of V j and c 2 . While the tendency towards a synthetic, single level clause visible in the c 1 2 strings is typologically neutral for SOV vs. SVO, the pronoun placement choice to the left of both verbs coincides with the simple V placement pattern and with the typologically significant option of predetermination. Predetermination in this case is a feature of newer SVO typology (cf. below 7.1). Supposedly isolated developments take place in an enveloping context which can lend them a considerable cohesion expressing itself in d r i f t - l i k e developments with little vacilation. 6.4 Implications of dissolution hypothesis An important test of the dissolution hypothesis of R strings is the uniform behavior of all CM pronoun functions, su.aci-, su.aci+, ob.aci-, ob.aci+ and ob.inf. In the discussion of type Ε above, the marked discrepancy of extremely low &CM values for ob.aci served as a validation of the juxtaposition hypothesis. Since the application of restructuring indirectly liberates a proto-clitic f r o m positional constraints — i.e., since the other m a j o r

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constituent elements become free to move around while the non-expressive particles, pronouns, etc. remain inert — the basic clause internal occurrence of an object of V 2 in the a.c.i. construction no longer exists and such pronouns should be found in possible &CM situations. This is indeed the case; cf. once again the figures in Table T7-iv under &% and these examples: CL-1 Pit. 58 nil mihi tarn parvist quin ne id pigeat perdere for an ob.aci-pronoun id; VG-1 Cena 36 quod mihi iubent saepe anatinam parari with mihi as obl=su2; HL-2 Greg, illud sibi asserentes suffecere si vivere mererentur where sibi is an ob.aci+. In the same direction, one notices the existence of &InvCM components for obl=su2 and obi.aci, especially in the Classical language of CL samples. The interpenetration of elements from both clause levels is complete in the truly Latin phase where the essential conditions for 'free word order' fully exist. In the later phases, as the typological shift progresses, the orientation of the 'scrambling process' becomes visible in the abandonment first of potential &InvCM strings, and later on of all restructured arrangements for InvCM categories. 56 Closer investigation of the strings composing the restructured group reveals that the portion of Sj separating the two definitional S2 portions consists of nothing more than the verb itself, rarely accompanied by a short unstressed adverb (including the negative non), almost never by a f u r ther subject x ; e.g. CX-2 Cypr. 13 cui rei [non puto] me solum debere sententiam dare. If there is additional material to S1 beyond V 1 , i.e. its only inevitable component, such material is found in a further Sx segment placed to the left of the crucial sequence SjSjSji cf. CL-1 Pit. 21 sed1 ego1 te2 malox tamen eumpse2 adire2. This distribution of main clause material is the motivation behind the combination of the two patterns S j S ^ and S1S2S1S2, operated systematically in the previous discussion and numerical presentations. Notice that the opposite arrangement with a final added Sx segment is not a normal option with su.aci and ob.aci. For the InvCM categories obl=su2 and obi.aci, the normal arrangement of the S ^ S ^ string is such that the final Sx portion contains V x , so that the entire construction is of basic type, but with restructured dissolution of the subordinate clause. 57 The exclusion of such four-part structures is naturally not at stake, but they do represent a

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highly marked option for reasons which are not transparent at this point. The recorded exceptions to the absence of S J S J S ^ configurations concern only selected pronominal functions: ob.inf of the CM categories, obl=su2 and obl.aci of the InvCM group. The InvCM situation is always somewhat special due to an emphasis on the main clause level in these constructions. The strings containing an ob.inf, on the other hand, differentiate themselves f r o m the a.c.i. categories su.aci-, su.aci+, and ob.aci in that they do not represent a full clause by themselves (lack of su 2 expression). As discussed above in the literature review (cf. 3.5 and 3.7), the clausal status of such infinitives is questionable and they must be regarded as intermediate solutions on the simple - complex parameter. As a result, this less 'heavy', less clause like infinitival VP could undergo dissolution without separation of c and V 2 , and without removal of these central items from basic position in the clause. In all of the registered ob.inf examples of this four part structure S J S ^ S J the two verbs are contiguous, or at most separated by the negation modifying the higher V v This verbal compounding may be suspected to be the real reason for the marked structure: It allows for an unmarked word order with regard to the final main verb, and it treats the verbal notions expressed by the two verbs as a kind of unit; cf. CL-4 Hisp 37 in speluncam2 Pompeius1 se2 occultare2 coepitv Finally, the four isolated examples come from four texts with strong Classical credentials: CL-1 Pit. and CL-5 Hisp. of CL, a period where the Β strings were still more used than after the first century of our era; CX-14 Mart, and HL-2 Greg, both with clear Classical aspirations; cf. also CX-14 Mart. 33 a militibus incertis ubinam nos praeses audire2 vellet1 circumducti sumus. Regardless of the value of these ad hoc explanations of the occurrences, the structure remains marginal, while the inverse S1S2S1S2 is a reasonably common phenomenon, free of heavy special conditions on its appearance. S J S J S J S J

6.5 Effective Late Latin prefiguration of CM The numerical situation indicates clearly a massive prefiguration of Romance CM conditions in Latin (cf. also section 7). The syntactic mechanisms of this rather unexpected Latin feature have also become clear in the immediately

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preceding discussion. Latin rules of extraposition and restructuring produce accidental juxtapositions between c and Vx or dissolution of S2 coherence in its linear continuity and structural integrity, enabling a radical reorientation of c towards Vv Both processes affect su2 pronouns and objects of pure infinitives. Restructuring, however, also extends to a.c.i. objects and independent Vx objects. The majority of Vj dependent proto-clitics belong to the ambiguous category ±CM, since they fall under extraposed arrangements. An external preference is the prevalence of potential &CM structures in VG texts, followed by CX samples, clearly distinct from the less &CM prone language of CL. The general relevance of VG texts to later Romance evolutions makes it evident that VG shows in effect a proto-Romance condition for what will eventually become clitic movement, CM. What is not explained yet is the transition from the Latin — including VG — situation of CM affecting a.c.i. subjects (su.aci) to the Romance near-exclusivity of CM application to infinitival objects (ob.inf). The loss of the relevant embedding construction of a.c.i. (except for causative and perception verbs) should be expected to lead more easily to the loss of its specific concomitant condition CM than to its transposition to another construction type (infinitival complementation). Such a demise of CM would seem all the more justified in view of the relative unnaturalness of the entire CM phenomenon in post-Latin syntax, with its progressively and heavily constrained 'free word order'. But CM as a by-product of more momentous typological shifts from 'loose' SOV to standard SVO could be saved from loss based on a slippage in its data foundation because CM had a typological connection. It represents the newer order deter minans > determinatum typical of SVO conditions. 6.6 Vl class composition for major classes Before a demonstration of the naturalness of the transition from Latin to Old Romance, the attested Vx distribution should be checked for any possible indications of interest regarding Latin conditions and their degree of anticipation of Romance. The tables of App. 11 present the collected information according to the various pronoun functions, while maintaining the essential text, text class, and CM status distinctions as in the original data tables.

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Systematic consideration of these groupings does not yield much of great interest. For the a.c.i. groups (su.aci-, su.aci+, ob.aci-, ob.aci+) the semantic composition is of no relevance, either in its breadth or in a potential narrowing of the domain: Since Early Latin times the syntactic construction had already reached practically all lexical V1 classes. Singly and collectively, the ten texts offer a broad spectrum of such a.c.i. governors which can pass as representative (cf. above 3.3). A similar situation pertains to the pure infinitival governors (relevant for ob.inf) with a-chronological semantic distribution (cf. above 3.2). The amorphous impression with regard to an evolutionary line is also confirmed by the frequencies registered for these classes of pronouns. There is a possibility that the a.c.i. categories show a certain inclination towards lower frequency for VG texts than for CL and CX. On the other hand, su.acipronouns in VG are clearly more frequent than in the other categories. In the absence of other relevant measures, e.g. frequency of proto-Romance / k e / subordination, these figures can be regarded as uninterpretable or insignificant. The two InvCM classes of obl=su2 and obl.aci pronouns fit into the expected Latin framework and lack also any distinctive marks of class composition and/or evolution of domain or frequency. In another dimension, the concentration on single predicates in the various classes could be indicative of trends in the use of given verbs and construction options. While the classes of ob.aci-, ob.aci+, obl=su2 and obl.aci practically fall away for serious consideration due to their very low overall frequency, one notices in the remaining su.aci-, su.aci+, and ob.inf a certain kind of massiveness around very few predicates, listed in (57). The remaining V j in the three classes design a pattern of extreme dispersion with 1 or 2 representing the ideal frequency. (57) a. su.aci- (n > 4): b. su.aci+ (n > 4): c. ob.inf (n > 4):

nego, opto, puto, scio, spero, video, volo credo, dico, iubeo coepi, debeo, dignor, possum, volo

It is evident that these verbs represent the most common notions of rather low specific content. With regard to their CM status, these most common items are representative of the remainder of the class in Late Latin, whereas in Old

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Romance (cf. 2.5) these more frequent verbs also exhibit a higher incidence of +CM value. Some of the Latin examples stem from formulaic uses in epistolary style, e.g. of opto te/vos, (vocative), bene valere (or close variations thereof). The examples for opto come from VG-3 Karan., CX-2 Cypr. and CX-3 Corr. Cypr., plus one from CX-14 Mart., which, in fact, are letters. The double participation of volo in su.aci- and ob.inf permits the observation of a gradual changeover from older, more Classical a.c.i. construction to the more proto-Romance infinitive arrangement. But almost all of the texts which have one construction also know the other one: a.c.i. for CL-1 Plaut., VG-1 Cena, VG-6 Peregr., CX-2 Cypr., CX-11 Serm; infinitive for CL-1 Plaut., VG-1 Cena, VG-6 Peregr., CX-3 Corr. Cypr., CX-11 Serm., CX-14 Mart., and HL-2 Greg. Double constructions are also attested for a very small number of other verbs. The comprehensive pattern reveals no significant tendency of constitution or evolution: cogito with ob.inf in CX-14 Mart., with su.aci- in CX-11 Serm.; est necesse with ob.inf and su.aci+ both in VG-6 Peregr.; mitto with su.aci+ in CL-5 Hisp. and ob.inf in CX-14 Mart., nolo with ob.inf in CL-1 Plaut., VG-1 Cena, VG-3 Karan., and su.aci- in CL-1 Plaut, (cf. the wider variation for volo)\ puto with su.aci- in VG-1 Cena, VG-6 Peregr., CX-2 Cypr., CX-11 Serm., and ob.inf in CX-14 Mart.; scio with su.aci- in CL-1 Plaut., VG-1 Cena, VG-3 Karan., CX-2 Cypr., CX-3 Corr. Cypr. CX-11 Serm., and ob.inf in CL-1 Plaut. The sporadic nature of these attestations immediately precludes any systematic interpretation of them, even if the CM status should appear to be biased in an interesting way, which, however, is not the case at all. 6.7 su.aci- = su.aci+ A final consideration drawn from the V x tables in App. 11 regards the distinction of su.aci- and su.aci+ predicates. It became evident in the preceding discussions that the two pronominal functions do not always show ideal parallelism in their derivation type and CM status of preference; su.aci+ is generally less inclined towards proto-Romance CM prefiguration than su.aci-. The definitional distinction between su.aci- and su.aci+ is the potential presence of an object of V,. If the items with materialized object of V,

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are separated from those without such an object expressed, the low number of expressed V t objects is striking: Only nine cases have such an (indirect) object element, of which seven are pronominal (58a) and only two nominal (58b). (58) a. CL-1 Plaut.

32 Β-

adfirmo; 36 Ε- venit in mentem;

37 E±

iuror

CL-5 Hisp.

17 RS+ promitto

CX-2 Cypr.

18 E-

scribo

CX-14 Mart.

16 E-

dico

HL-2 Greg.

9 RSi assero

b. CL-5 Hisp.

25 E±

dico

CX-2 Cypr.

17 E-

perfero

This group (58) does not either in itself or as a subtracted correction from the overall su.aci+ count constitute a meaningful category able to explain the difference between su.aci- and su.aci+ behavior. The expressed object of V 1 does not interfere with the CM status of su.aci+ proto-clitics. As a consequence, if there is a discrepancy between su.aci-and su.aci+, it must be sought in the underlying lexical distinction between the two groups, i.e. in the semantically open, but pragmatically constrained, presence of such an object for V v Speculatively, the option of such an argument for su.aci+ verbs could exert a certain pressure on the stylistic control of syntax as to avoid, with a mild insistence, the overly frequent use of subject accusative pronouns in a position which could be mistaken for an obl.aci manifestation. This differentiation is not very convincing, however, since an important formal criterion would still uphold identification: Such an avoided obl.aci takes dative shape, whereas the actual su.aci+ must have accusative form. A reliance on differentiation in order to explain the discrepancy between su.aci- and su.aci+ pronouns with regard to CM status cannot be convincing. The abstract attribution of the difference to the two distinct subcategorization frames remains empty as long as the factors which would explain the numerical difference between su.aci- and su.aci+ have not been identified. Such secondary motivations do not appear to be forthcoming from the data and the analytical notions employed here. The situation is such that the numerical difference between su.aci- and su.aci+ must be questioned. In the summary

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table T7-iv it is only CX which has very low &CM values for su.aci+. A look back at the detailed figures in App. 10 shows that the difficult CX class consists only of one text (CX-14 Mart.) with a sufficient representation of su.aci+ cases to be more than accidentally significant. CX-2 Cypr., CX-3 Corr. Cypr., and CX-11 Serm. are not necessarily typical. In the same sense, the VG texts must be declared unreliable, even though they offer a result which is not disturbing in the general picture. Concentrating thus on the better figures from CL, CX-14 Mart., and HL-2 Greg., it is immediately clear that the su.aci+ values do not deviate from the su.aci- pattern. In other words, the perhaps overcareful distinction between su.aci- and su.aci+ made in the data tabulation does not find a justification from two discernible behavior patterns in mutual contrast. It is suspected that this similarity in CM valuation depends to a certain degree on the general absence of the definitionally possible obl.aci, if, in fact, there is any difference at all. As a general impression, the composition of the V x classes reveals nothing of particular interest concerning either the Latin canonical situation or the Old Romance target state. The continuity of the predicate contents between Late Latin and Romance in infinitival complementation (ob.inf and obl=su2) is expected once these verbs belong in Latin to the (pure) infinitival constructions. On the level of the lexicon and of major syntactic types, the pronoun uses of ob.inf and obl=su2 form an essential bridge between Late Latin and Old Romance, a wide bridge over which the CM phenomenon could be transmitted without interruption (apart from the narrow continuity in causative and perception verbs), but a bridge which, nevertheless, is not in itself sufficient to explain the near categorical aspect of CM in Old Romance. 58 6.8 Two pronouns in a string: Same function With the various pronoun categories considered in this analysis, it is to be expected that some strings will contain more than one pronoun, whether of the same or of different categories. Given the many factors influencing pronoun position in the isolated cases, it will be necessary to look at multiple pronouns case by case. Together, these pronominal accumulations can perhaps indicate something more about the functioning of the various factors identified so far.

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If the pronouns belong to the same functional they must be of ob.inf type. There are four such examples, two with contiguous pronouns in a clitic quite akin to Romance habits, and two with separate ment; cf. (59a,b) and (59c,d).

group, ob.inf cluster place-

(59) a. facere amicum tibi me potis es sempiternum (CL-1 Pit.63) = RS+ b. quos peto i U i s eas legere digneris (CX-3 Corr. Cypr.17) = Bc. ab oppidanibus concursu facto eum qui legates iugulasset lapidare et ei manus intentare coeperunt (CL-5 Hisp.33,34) = 2x Bd. ifise ergo cum se dignatus fuisset vexare et ibi nos occurrere (VG-6 Peregr. 21,22) = R+ and E-

The impossibility of a pronoun cluster in (c) and (d) is evident, since the two pronouns belong to two separate and parallel clauses, whereas in (a) and (b) both pronouns depend on a single verb. 5 9 The CM status does not seem to interfere with cluster formation (cf. RS+ in (a) vs. B- in (b)). This relates well to the Romance conditions of wholesale treatment of pronoun groups under CM displacement: either none or all. Such examples can be viewed at the same time as representing Latin syntax and/or Romance conditions. c . . . V X c-V Υ, X V-c Y X c-V y -> X V-c Y [ s c-V Y -> t s V-c Y

2ND and free placement VB placement (optionally also 2ND) optional clause internal encliticization oblig. clause i n i t i a l enclitic. (=W)

With this mechanism of single clause/verb clitic placement, the double verb/clause clitic position of CM structures becomes interpretable as a natural clitic transposition from S 2 and V 2 to Vi and thus to S r The juxtaposed grouping /1 c/ or / c 1/ associates c with 1 in terms of VB. Wherever c is a semantic component of S 2 (for su.aci-, su.aci+, and ob.inf mainly), this linear reinterpretation of syntactic dependencies performs an act of CM. The high degree of potential &CM incidence precisely for the leading categories of su.aci- and su.aci+ (somewhat less for ob.inf) makes it plausible that a reidentification of primary syntactic dependency based on a linear juxtaposition could be the cause of a rather drastic and extensive phenomenon of reorganization such as CM in Old Romance. Extraposition and restructuring, combined with 'scrambling', interact with the emerging VB placement principle in such a way as to produce a smooth insertion of an S 2 clitic into the higher Sx clause. The typically proto-Romance texts of VG and CX contain this phenomenon in a higher concentration than other more classically oriented Latin style levels, i.e. CL and other CX texts. The development of CM structures first involves the less formal linguistic layers which stand close to the Romance code base. Latin has a much wider class of pronoun functions with potential CM status — subject 2 and object 2 in a.c.i. constructions, object 2 in infinitival subordination,

7. Transition

to Romance

CM

355

object 1 controlling subject 2 , and object 1 without qualification. The loss of subj 2 and obj 2 in a.c.i. except for causative and perception verbs in Romance indicates that the Old Romance CM phenomenon is only a remnant of a much wider constellation. The reduced extension of Old Romance CM dependency by ob.inf, obl=su2, and obl.aci is fully understandable as the outcome of the independent evolution which sometimes eliminated a.c.i. constructions from the language in favor of pure infinitival subordination, more generally in favor of finite subordinate clauses introduced by the complementizer / k e / . Such a change must obviate the relevance of any and all su.aci-, su.aci+, ob.aci-, and ob.aci+ pronouns. The leading categories su.aci- and su.aci+ open up the option of associating a c 2 with V j for the reasons discussed above, one important aspect being their double dependence on V 2 (semantically and syntactically) and on V j (morphologically and collocationally). This major pattern reinforces the equally ambivalent obl=su2 cases in their original S J / V J dependence. Even for the somewhat more resistant ob.inf pronouns, V j association thus becomes a guidepost, since infinitives in general tend to release their pronominal arguments in favor of the governing verb. 62 The essential condition is the clitic placement principle, which must look at these 'transposed' pronouns as actual arguments of V 1 conforming to the placement hypothesis. At the point of eventual loss of the a.c.i. construction option, the V x association of a subsisting ob.inf pronoun remains intact since the basic mechanisms, extraposition, restructuring, and VB placement plus its conditions of linearization, continue to function normally as before. This mediate connection between Latin infinitival subordination and Old Romance CM is a consequence of the specifically proto-Romance and Romance clitic placement principle, which establishes the unbroken tradition f r o m Latin to Romance with regard to infinitival clitic placement. 7.2 a.c.i. survivals in Romance The crucial piece of evidence for the correctness of this interpretation comes from the persistence in Old and modern Romance of specific constructions with expressed subject 2 of the embedded infinitive, namely the causative and perception verb classes (cf. above 2.5). They are nothing

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other than typical a.c.i. constructions with su.aci- and ob.aci- pronouns in enhanced Latin appearances: The protoRomance tendency to potential &CM position of su.aci- (as e.g. in VG texts) has become categorical +CM status; the normal -CM value of ob.aci- has given way to preferential +CM arrangement, in Old Romance actually near-obligatory. This construction type is absolutely normal for Late Latin syntax, as by now should be clear. For Romance, the behavior of a causative or perception verb subject 2 acquires exceptionality only because it affects a heavily restricted semantic class of V x , as the sole survivor of a much wider grouping. The reasons for this differential survival of a.c.i. constructions depending on causative and perception verbs vs. those governed by verbs of command, communication, opinion, thinking, etc. is linked to functional questions. While proto-Romance subordination strategies developed new distributions, e.g. the infinitive encroaching on a.c.i., or complementizer plus subordinate clause types taking other aspects of a.c.i. away, a marked form of causative and perception verbs could very well utilize surviving a.c.i. patterns for functional saliency. In its specific function of marking causative and perception verb constructions, the +CM status of su.aci- became categorically fixed in the transition to Old Romance. But the categorical +CM status of the original su.aci- pronoun under Caus and Perc predicates is pointedly predicted by the assumptions of the transition scenario described in this section. The noticeable difference in later Romance development between the subject 2 of Caus and Perc strings (continued categorical +CM status) and the object 2 of all other CM verb classes (progressively reduced +CM appearance) stems from the Late Latin and proto-Romance potential &CM conditions; for su.aci- of Caus and Perc in Old Romance, the typical solution crystallized into categorical behavior. During the Old Romance period, the distinction was not clearly manifested in view of the pervasive and near categorical +CM arrangement for all concerned verb classes. The later differentiation could be maintained easily and without analogical overlap of CM reduction in Caus and Perc situations due to the functionally distinct nature of the subject 2 pronouns. However, in the decisive phase of post-medieval Romance, the object 2 pronouns in the same Caus and Perc strings followed the lead of the other object 2 by acquiring

7. Transition to Romance CM

357

a certain degree of -CM freedom. In this case it is again due to the functional identity of the pronoun class at hand, i.e., object 2 of an infinitive (cf. 2.1 above). 7.3 The group / I 2/ characteristic of Romance The Latin syntactic conditions surfacing most succinctly in the clustering of c and Vx form the core for an understanding of the Old Romance CM pattern. For postmedieval Romance, however, a second aspect must be added to clitic and V j contiguity, i.e., the unit formation of the two verbs V, and V 2 . This condition obtains fully in modern Romance®3, but is not yet essential for Old Romance. For Late Latin as it appears in our corpus, the question is not relevant, given the free mobility of the two predicates individually. The normal Old Romance string form is unquestionably an equally modern / X c 1 2 Υ Z/ with a preceding subject (X) and following other constituents of V j or V 2 (Υ, Z). But the group / I 2/ at that stage is no more than a normative juxtaposition, similar to the /1 c/ juxtaposition of Late Latin. Judging from its variability, it can be broken up in various ways, apparently without creating inordinate tensions in the syntax (cf. 2.5. above). There is again more than one force at work preparing the final amalgamation of Y1 with V 2 . The primary factor is extraposition, which brings V 2 to the right of Y v More direct in its impact is the later, purely Romance condition of necessary post-verbal appearance of all nonsubject nominal elements. This trend removes all material from between Vx and V 2 . Since the infinitival portion does not contain a subject — after the elimination of a.c.i. constructions (with the appropriate reservations 64 ) —, the result is contiguity of the two verbs in the required order as / V j V 2 /. Both of these forces represent component vectors of the increasingly constituted SVO typology for Romance. The Old Romance possibility of putting a nonsubject argument in front of the verb as long as it remains the only nominal constituent there (the well known OYX structures 65 ) entails also the chance of a separation of V 1 from V2 by some S 2 constituent, including a DO or similar item. The possibility of such a separation disappears from Old Romance in parallel with the elimination of the singleclause OVX structures. The normative case of / I 2/ contiguity may thus have existed long before its necessary

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constitution. In the overwhelming majority of cases even in Old Romance, the two verbs are a fixed group in the only possible order / I 2/ (outside of rhetoricized and thus Latinized language with / 2 1/ occurrences). 6 6 In this arrangement, the regular Romance tendency is to focus more on the second than on the first element. Given the semantic nature of the potential of such constructions, linear order and its implication for emphasis distribution coincide fully: The semantic weight is provided by V 2 , which in turn is modified in its verbal instantiation by the more generic modal, aspectual, attitudinal, etc. governing predicate. The natural frequency of the least specific V j notions combines with the increasing insistence on the cluster character of V! and contiguous V 2 . The double-verb status of / V j V 2 / becomes progressively lowered to a modified single predicate for which clitic placement/linearization analogous to a single predicate is highly appropriate. Such a complex verbal word V 1 + 2 will favor the +CM clitic placements crucially, even in a later period when the application of Romance restructuring is no longer obligatory, i.e. when - C M surface strings begin to appear more frequently. In this way, the often observed condition of a proportionally less specific verbal notion for V l 5 combined with an increase in +CM applicability, begins to find an explanation. Instead of a clear-cut yes/no categorization of all possible / V j V 2 / strings with regard to the applicability of CM, the post-medieval and modern Romance languages employ a gliding scale of CM facilitation depending on a vague semantic, and secondarily structural, dimension of modifier status for V x (cf. also Napoli 1981). On this scale, the cut-off points may be set rather freely on a number of intersecting parameters, e.g. individual speaker, linguistic group, style level, individual verb, semantic class of V v and others. Such parameters thereby create the observable situation of highly variable and rather unpredictable CM application obtaining in the modern Romance idioms (cf. also above 1.4). 7.4 CM depends on TM clitic placement/linearization One implication of the analysis proposed here is the tion that the Old Romance CM conditions would only as long as the instrumental Old Romance clitic ment/linearization component remains intact. This

predicendure placefollows

7. Transition to Romance CM

359

from the essential role played by the VB placement hypothesis in the final constitution of Old Romance CM. VB translates directly into the syntactically productive Romance principle of Tobler-Mussafia's law as interpreted in Ch. 4:1. The dissolution of TM appears to be contemporaneous with the loosening of the heavy preference for +CM, e.g. in Italian during the fifteenth century (cf. 2.6). At the point where clitic placement and linearization cease to be actively derived in the syntactic domain, they become morphological principles of fixed clitic collocation. This is visible in the abandonment of the venerable Wackernagel's law = second position condition prohibiting clause initial clitics.67 The TM-determined corollary called clitic movement thus becomes a phenomenon of its own. It leads to important reanalyses which must then postulate variable principles of restructuring and/or clitic movement operating independently of placement/linearization. In general, this prediction is well borne out by the known facts of later Romance CM evolution. 7.5 Necessary lack of transition documentation As before in Chapter 5 for the placement and linearization question, it is quite evident here that the sketched evolution of the final phases of true proto-Romance crystallization is not accessible to direct observation. The scenario remains hypothetical in spite of the insights achieved here through our data analysis. The reason for this dark spot, illuminated only by flashes of circumstantial evidence and speculative connections, is the non-existence of the requisite pre-Romance, but near-Romance, text class which would connect Latin with Romance as the two extremes on a single linear parameter. Such truly intermediate texts cannot exist given our understanding of the relationship between the two languages as complex conglomerates each of different stylistic options, with distinct fields of application in the pragmatic dimension. The text with constant CM in the sense of Old Romance is eo ipso facto a Romance text; if this monotone +CM is not achieved, it is a Latin sample. The gradual transition took place effectively in the spoken register, with its repercussions surfacing only much later than the event in fully Romance manifestations of the written code. For practical purposes, the linguistic change-over from Latin to Romance can be viewed as a holistic switch performed by

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the individual speaker under conditions of reversibility. Thus, the transition is characterized by an extensive period of bilingualism of the individual and of the speech community. For the diachronic dimension, however, this switch becomes mitigated to a gradual encroachment of Romance patterns on Latin ones with variable penetration of the new code in different speech communities. The appearance of the first Romance texts only obscures the real process of multiple and individual enucleation of a new code in an intersubjective space. But the most important aspect is the extremely strong continuity and traditionality of complex syntactic patterns from the 2nd century BC to the 4th century AD and beyond into Romance. The entire CM phenomenon emerges from this rather inorganic and heterogeneous Latin base. The guiding principle holding this massive drift in line is the typological overhead and its functionality. In the super-functional domain of the SOV to SVO development, the complex shift will find concrete manifestations in the appropriate component parameters and the myriad linguistic forms of instantiation, such as progressively cliticized pronouns and increasingly rigid clitic placement and linearization patterns. The complexity of the cognitive and linguistic mechanisms produces correspondingly variable real language results; these develop through increasing harmonization of the new conditions in the context of the newly established SVO design of the language.68

Notes 1.

Clitic movement is mentioned in Ch. 1:2, Ch. 2:9, Ch. 6:1.7,8, and App. 1-e with some substantive comments.

2.

An interesting exception to this consensus is Napoli 1981 where an emphasis/focus differentiation is introduced in the CM alternation; cf. below 1.3.

3.

Some refinement is needed at this point, distinguishing between true prepositions and morphological prepositions in complementizer function; cf. e.g. Lujän 1979.

Notes

361

4.

Where a +CM version is acceptable, a -CM alternant is grammatical a fortiori as the basic variant of the +CM version.

5.

This approach is taken e.g. in Perlmutter 1970; it should be mentioned that CM was in no way of central interest in his paper, so that the specific stance taken on the issue of its derivation does not have the force of a consciously established argument.

6.

This approach is found e.g. in Kayne 1975:66-201 for French, Quicoli 1976 for Portuguese; similarly Aissen and Perlmutter 1976.

7.

Pre-18th century French admitted the core +CM strings in parallel with the other Romance languages (Lerch 1934:340-344, Pearce 1985b). The transition to no CM has been studied in its historical context in Galet 1971, where it appears as a conscious change in the rapidly evolving grammar during the 17th century; cf. also Kok 1985, esp. p. 493-519. No other change in French can be correlated with this development. The subject clitics were already near-obligatory during the entire evolution, a fact which frustrates attempted configurational and typological argumentations in the vein of the Pro-drop parameter. The French problem will be discussed at length in Part Two under French and general CM sections.

8.

This solution is found in Van Tiel-di Maio 1979 (=1976), Rizzi 1978, Rivas 1977 (the latter for Spanish, the former two for Italian); a similar position in Strozer 1976, again for Spanish.

9.

The proposed double analysis in GB is still the same type of solution; cf. Zubizarreta 1982:ch.3.

10. A critique can be found in Sufier 1980, where the other approaches are also considered carefully. A major problem with blockage due to intervening material stems from the fact that subordinate mood/tense distribution does not correlate with CM availability. Lujan's hypothesis (1979) stipulates that an indicative subordi-

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nate verb has an actual tense constituent TNS which blocks CM, whereas a subjunctive subordinate verb does not have tense or TNS, thus making CM possible. Since the mood/TNS correlation is not supported by the facts, a crucial claim for explanatory power of this proposal dissolves. Further ideas are explored in Saltarelli 1980 and Strozer 1981. 11. The differential criteria (semantic and syntactic) are essential to assure the non-existence of 'inverse CM' in Romance, i.e. the transposition of an original V1 object onto V 2 through a clitic lowering into the embedded clause level. (i)

mi'i permise1 di f a ^ l c ^

basic; -CM for c ^

(ii)

me.) log permise^ di fare2

derived; +CM for CI2

(iii) *permise^ di fargmejl^

derived; inverse CM for cl^

Since mi belongs semantically to permettere, it cannot appear along with the embedded infinitive as long as a clause domain is transgressed in the move. Where the clause boundary is no longer guaranteed, as in the derived versions of restructuring, the nature of the CM phenomenon must still respond to the absence of 'inverse CM'. A deeper discussion will follow at the end of this chapter. For (Late) Latin, however, the rare cases of inverse CM can be connected with the freer word order arrangements typical for Latin. 12. A core list of predicates is contained in Rizzi 1978; much richer, but based on partially different criteria, are the lists in Napoli 1981. Display (12) does not imply strict linearity of decreasing CM acceptance/ frequence. 13. (15b) is acceptable for ... facemmo interpretare per il benefizio di lui ... with a benefactive instead of the agentive function for gli. 14. si is not the real subj x as the extensive discussions on this thorny problem make clear. Given the particular features which they exhibit already in single verb constructions, the si configurations must be excluded from this study (especially of CM) for similar reasons as the causative and perception verb constructions. Cf.

Notes

363

some basic references for the problems surrounding si: Castelfranchi and Parisi 1976; Lepschy 1976; above all, Napoli 1973, 1976. For the parallel problem of Spanish se, a much wider scope of approaches has been tried; cf. the sampling from a wide production: Garcia 1975, Langacker 1976, Monge 1955, and Otero 1972. 15. Some strong special provisions must be made to accommodate Caus and Perc verbs structures regardless of the treatment of regular CM cases; cf. e.g. an extensive study for French in Kayne 1975:202-341 with the /a/re-infinitive rule, not to mention the many parallel ideas expressed for a number of Romance languages in various transformational frameworks, and especially within the Government and Binding approach. 16. Cf. Roldän 1974, Sufier 1980, Wanner 1982a for the colloquial nature of CM. 17. The selections are all taken from Segre and Marti 1959. Tristano Riccardiano corresponds to p. 578-609; Bono Giamboni, p. 741-791 (about half of the extant text); Novellino, p. 797-829 (also about half of the text). 18. An Olt. example with a pronoun not applicable to the second conjunct comes from Trist. Ricc. It shows +CM placement of a pronoun in the first conjunct; the second verb in turn supports a clitic in -CM arrangement that does not apply to the first conjunct: Come il vij potremo noi coglierei e saper^nej la veritade? (596) 19. The number in parentheses refers to the frequency of occurrence of the given verb; where no indication is made, the frequency is 1. 20. The examples are: (i)

si no Iile pare aver fatto nulla (Giam. 784)

(ii)

e io Ii t'insegnerö tatί acquistare (756)

In (i) the clitic cluster lile implies a DO and an IO pronoun (each of indefinite gender and number reference since lile is invariable) which must in part duplicate the DO nulla in postverbal position. Such DO doubling is in no way normal for Olt. Similarly,

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in (ii) li and tali are coreferential and one of them thus redundant. At best, such doubling would be shown to occur in circumstances of otherwise special clitic syntax (exceptional CM application into a higher cluster), casting doubt on the authenticity of the two processes. There is naturally no block against CM transposition of a clitic cluster from V 2 to ν χ ; cf. the example from Tristano Ricc. in nl8: Come il vij potremo1 noi cogliere2 ··· (596). 21. Including here motion verbs under aspectuals, since the dividing line between the two classes is not very sharp. 22. This analysis takes up a portion of the proposal in Lujän 1979, but based on concrete material intervention and semantically demonstrable dependencies. 23. The selections from Boccaccio, Decameron comprise the sections: 2:8, 3:7, 4:6, 5:5, 6:4, 7:3, 8:2, 9:1, 10:10 (roughly one tenth of the text); for the Lettere of Alessandra Macinghi Strozzi, the entire text was utilized (ed. Guasti 1877). 24. The figures for the classes Subj and Oth are not relevant in the absence of the actual verb lists detailing the class composition of V x ; this belongs, however, to the Italian chapter of Part Two. 25. The basic references for Latin are: Gildersleeve 1894:274-277; Hofmann and Szantyr 1972:341-368; Scherer 1975:82-88; Woodcock 1959:14-23. Particular aspects are highlighted in: Bolkestein 1976a, 1976b, 1979; Calboli 1962:1-126, 1978; Gippert 1978; Kroll 1920:101-108; Maraldi 1980; Miller 1974; Norberg 1944, 1943-1945; Pepicello 1977, 1980a, 1980b; Pillinger 1980; Ramsden 1963:49-50; Salonius 1920:320-333; Schrijnen and Mohrmann 1936.1:40-42; Thielmann 1886; Wales 1982. An extensive review of the question is now found in Calboli 1983:131-164. 26. Woodcock 1959:15,18; Scherer 1975:85; Hofmann and Szantyr 1972:344; cf. the typical pure infinitive construction do bibere (Hofmann and Szantyr 1972:345).

Notes

365

27. Apud Schrijnen and Mohrmann 1936.1:40. 28. A list of attested verbs is found in Woodcock 1959:16 (schematic); Hofmann and Szantyr 1972:346-350 (complete); in addition, the impersonal predicates in Gildersleeve 1894:277. 29. in + inf is attested since Tertullianus, pro + inf since the Itala (Hofmann and Szantyr 1972:344). 30. Under the pure infinitive category, the corpus of this study contains only two predicates which do not figure in the applicable V x list of Hofmann and Szantyr 1972:346-350: dignor, which in these data is rather frequent since the 2nd century (text V G - 3 Pap. Karan.), and memoro, which is an isolated item in HL-2 Greg. Tur. The specific example is not clear at all syntactically; cf. HL-2 Greg. 36 in App. 8: hanc nobis noticiam de Francis memorafnjt historici relinquere regibus non nominatis. It is understood here as 'this information about the Franks, the historians remind us to omit [it] due to the fact that the kings are not named', i.e., these stories are not properly attributed and thus apocryphal. The pronoun has the function of a V x object (or perhaps of a control o b ^ = subjj). V 2 represents a non-a.c.i. construction at any rate. 31. Hofmann and Szantyr 1972:353; Scherer 1975:86; Woodcock 1959:16-17. 32. Norberg 1943-1945; Hofmann and Szantyr Calboli 1983:153-158.

1972:363;

33. Gildersleeve 1894:332; Hofmann and Szantyr 1972:364; Scherer 1975:88. 34. The use of the personal construction (32b) is very frequent with videor due to its copular character: res publica peritura (esse) videtur; cf. Scherer 1975:88; Hofmann and Szantyr 1972:364-365. — A further peculiarity of a.c.i. constructions appears with verba imperandi, i.e. absence of the o b j , , and in turn a

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passive inf 2 : dux pontem rescindi iubet active pons rescindi iubetur (a duce) passive. This configuration is at the base of the Romance causative constructions; cf. Scherer 1975:88. 35. In all these cases, the subj 2 expression is obligatory wherever there is neither object nor subject control of subj 2 : There is no variant infinitive construction to cupio te beatum esse. 36. This is a case of a.c.i. and pure infinitive alternation. The exclusion between a.c.i. and infinitive construction in normal a.c.i. cases is not complete, but the infinitive always retains something exceptional, if only for its extreme infrequency. 37. This contrasts with R. LakofPs view (1968:76-77) of quod + indicative as the basic complementizer. 38. Order changes such as (35) must be extractions in any syntactic interpretation. It is questionable whether a purely surface relevant stylistic linear order change could be maintained seriously just to defend the inviolability of the tensed clause. The disruptive nature of such syntactic changes is affirmed hereby, and the hypothetically intact status of the tensed clause is consequently lowered. — The fact that the NP n o m of subj 2 is not repeated with a clitic in the appropriate position inside the linear S2 domain is not surprising, since Latin does not require an obligatory subject expression. However, the equal non-repetition of DO, 10 (e.g. nobis in (35a)) is a clear argument for the simple extraction (and not copying) status of such examples. 39. The other studies in the recent discussion are Bolkestein 1976a, 1976b, 1979; Pepicello 1977, 1980a, 1980b; Pillinger 1980; Wales 1982. They concentrate on a synchronic, frequently a-historical interpretation of the Latin facts. The most significant contributions are those by Bolkestein, due to their rather good grounding in the Latinistic tradition. She expands on the various subordination patterns of different predicate classes,

Notes

367

and claims that a holistic raising rule is not capable of describing the phenomena. The other contributions to the discussion are too schematic to do justice to the facts. A detailed review of the controversy on raising or not raising is beyond the scope of the present study. — A side line of this discussion concerns the facere + infinitive constructions, again going f a r beyond the limitations of this presentation. The important facts with regard to this question, and interesting interpretations of them, are found in the classic papers Thielmann 1886 and Norberg 1943-1945; recent schematic attempts at a linguistic integration are found in Chamberlain and Saltarelli 1981 and Chamberlain 1982. 40. In the following representations, X, Y, W, U, Ζ are variables; 1 = governing Vjj 2 = embedded infinitive V 2 ; c = (proto-clitic) argument of V1 or V 2 depending on the given situation (indicated in the description). 41. RS, RE, RB are the three subtypes of restructuring strings of further importance. RS = separation due to 'scrambling' between c and its ideal base V 2 : / c 1 2/. RE = extraposition with dissolved S2 but with / I c 2/ sequence as if it were a result of R(extrap) and R(restruct). RB = basic arrangement / c 2 1/ for the crucial elements, but dissolved S 2 . 42. The principal movement rules are a left dislocation to initial (or clause external) position for the verb, and a right dislocation into clause final (or external) position for any other constituent under the scope of focus. These rules will be described with some more detail in the next chapter. The combined result of such stylistically motivated, emphasis controlled displacements is the superficial 'scrambling' effect. 43. There is no basic difference between the S - j S ^ and the S1S2S1S2 arrangements since Sj is free to fragment itself into an indefinite number of components. However, this does not refer to the S ^ S j and S2S1S2S1 variants: The latter presupposes R, the former precludes it, i.e., S 2 is not free to undergo dismemberment without a previous syntactic reduction

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in status through R(restruct). In fact, this last version S 2 S 1 S 2 S 1 occurs only extremely rarely, while the inverse S 1 S 2 S 1 S 2 is rather frequent. The illustrations (40e-g) are representative f o r the d i f f e r e n t , more complicated types such as (40h). In the former case, the single type (40i) is the only one attested. — As the classification shows, the initial c o n j u n c t i o n / c o m p l e mentizer is not counted as an element of S x (e.g. (41a) quia) since this element is a trivial consequence of the subordinate status of the clause and not an integral portion of it. This contrasts with a relative element which represents material shifted to the left from inside the clause, e.g. (40f) quot. 44. From now on, the variable W will designate positively specified strings (excluding the null string), while Χ,Υ,Ζ refer to a range from zero to W. Necessary zero strings are marked by simple juxtaposition of the surrounding elements. Thus, /CW1Y2/ and / c l Y 2 / together define the generalized formula /CX1Y2/. 45. The element [ s W ] represents a clausal constituent intervening between any two crucial elements, e.g. a quotative phrase or a relative clause or other major component. 46. Alternatively to structure (43d), one could propose a true extraction configuration [ S 1 (cj) X 2 [ S 2 1 c...2 ] ] parallel to the mentioned extreme extraction cases in (35) and (38). Yet it is impossible to differentiate the actual examples securely. The simple clause internal preposing analysis following (43d) will refer to one or the other structure as needed. Nothing will hinge on this underdetermination. 47. Note that in this investigation, Peregr. is classified as a VG text instead of its earlier CX attribution. This change does justice to the p r o t o - C M behavior of Peregr. (while the CX affiliation f o r placement/ linearization is more pronounced than its VG character). The need for this change illustrates the potential internal inconsistency of a text: Partial independence from grammatical features has been recognized e.g. in

Notes

369

the discussion of CX-9, 10, i.e. Aug. Catech.' and Catech." above in V:4.4. In addition, CX and VG are closely related for given texts such as Peregr., Aug. Serm. and others; cf. IV:4.3. 48. HL will not be useful as a class beyond the contribution made by the isolated text. In the following discussion, HL will thus frequently be eliminated from consideration, leaving only CL, VG, and CX reference points. The need for this exclusion is accentuated by the rather unreliable nature and quantity of the data from Greg. Hist. Franc, for proto-CM. The other HL texts envisaged turned out to be much worse, especially for the number of attested constructions of relevance; cf. the figures f o r nonfinite verb-plus-pronoun occurrences in App. 3. The damage from this exclusion is limited, since the proto-CM data can be treated as a homogeneous corpus over their entire length from 2nd century BC to the 6th century AD. It is unlikely that the classically oriented language of HL should really hide a major shift not already documented in Greg, other than a progressive abandonment of a.c.i. constructions. 49. An alternative arrangement according to the eight columns of the tables in App. 8 may be useful for grasping the interdependence of the various categorizations contained in 7T-ii,iii and the clause level sequence (47). CM

InvCM

Corr.

Sj S j

D e r i v . and CM

Corr.

S,· S j

Deri v . and CM

(47a)

(1) 2 1

Β 1 - , 2 - , 3±

(47a)

(1) 2 1

Β 1+, 2+, 3±

(47b)

1 2 (1)

Ε 1 - , 2 - , 4±, 5+

(47b)

12

Ε 1+, 2 - , 3±, 4±

(47c)

(1)2 12

RB 1 - , 2 - , 6±

(47c) ( 1 ) 2 1 2

(47d)

2 12

(47e)

1 ... 2

1

RB 1+, 6±

RE 4 - , 5 - , 7±

RE 3+, 8±

RS 8±, 9+

RS 4+, 9±

RB 3 Ε 3-

(47d)

2 12

1

RB 2+, 7± RS 5+

50. Each class represents 100% of +CM, ±CM, and - C M for each of the V j classes Mod, Asp. The text class average is calculated by taking the single text per-

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centages as base. The figures in parentheses represent very low absolute counts with questionable reliability. 51. There may be a good motivation in single cases for one or the other choice of CM status connected with the stylistic implications of each derivation type and the actual expressive need in the text. To the extent that such conditioning is not openly testable, the reasons can be considered opaque. Cf. the three volo instances in CX-11 Serm (cf. (i)). The Ε-classification is an inevitable choice, since the relevant pronoun is in the second conjunct and thus necessarily removed from V x . (i)

CX-11 Serm. 22

si enim litigare mecum velis mi hique dicere

E-

(ii)

CX-11 Serm. 18

a qui bus te deus vult in fornace purgare

R±

(iii)

CX-11 Serm. 21

qui enim se volebat exhibere misericordem

R+

The difference seems to lie in the presence of the subject NP of V j in (ii) vs. its absence in (iii), since this element separates the pronoun from V j in the first case, and this leads to the ± valuation. But the choice of emphasizing misericordem is not controllable, nor can anything be said about the free option of not applying R(restruct) in either of these examples. It should be expected that the choice of V x is not the determining factor in the final CM classification of the surface string, but rather that the specific V j is only the object of the syntactic/stylistic/expressive shaping of the overall string in the text. 52. The actual percentage figures are found in the detailed tables in App. 10 under the corresponding column headings. 53. InvCM will be considered further on in 5.10. The inherent distinctness of CM and InvCM situations requires a clear separation between the two configurations from now on, while common reference to all pronoun functions will be clearly marked. 54. The figures underlying the scaled values of (51) come from the addition of the percentage values given per text or derivation class in T7-iv or v, disregarding the

Notes

371

CM status. Thus e.g. CL has B- 21% plus B± 6% for a sum of 27%, which, according to the scaling algorithm, translates into a neutral valuation '=' ; and so on. 55. Each of the CM status options '+, ±, constitutes 33% (one out of three); the random value for &CM (= +CM plus ±CM) is thus 67%; with a 20% margin on both sides for a '=' value, one arrives at the scaling pattern employed in (52): : 0-53%, '=' : 54-79%, V : 80 -100%

56. The order of essential elements 2 > 1 > c occurs only in the form of contiguous / I c/, never as / I W c/. A 'free word order' situation does not yield freely disposable weak anaphoric pronoun placement in Latin and Late Latin. A string of the form / X 2 Υ 1 W c/ contains an accentuated pronoun, thus not a c in the sense of a proto-clitic. A relevant example is CL-1 Pit. 30, which was included originally on a tentative basis. It has been eliminated from the further counts due to its more than questionable proto-clitic status: hie statui volo primum aliqua mihi, where the suspicion of emphasized mihi is very strong given the pragmatic need for a contrastive expression. 57. One example of obl.aci with a RS+ valuation (HL-2 Greg. 36) is a strange case in itself which has already been mentioned above; cf. (47) in 4.1. The collection of examples is not clearly organized in one or the other direction, leaving an impression of randomness. Any group characteristics beyond their rarity are lacking. 58. Still another dimension fails to add to the picture. The regrouping of all predicates according to the breadth of their CM variation (all three values '+, +, - ' , only two values, or only one value) offers no more than a few sidelights to the problem without bringing it closer to a coherent solution. The predicates with three CM attestations in a text turn out to be the most frequent ones in each category. Recall their listing in (57) above; following is the list of triple CM attestations:

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movement

(i)

su.aci-

su.aci·»

ob.inf

CL-1 P i t .

sino,

dico

possum

CL-5 Hisp.

existimo

VG-1 Cena

puto, s e i ο

VG-3 Karan.

sei ο

volo

VG-6 Peregr.

coepi,

CX-3 Com. Cypr.

sei ο

dignor

volo

The other texts and pronoun functions have no attestations. The occurring predicates are almost completely congruent with the most frequent verbs of (57) (here added existimo, sino; here not represented nego, opto, spero, video, credo, iubeo, debeo). In other words, the frequency of occurrence of a given V j determines to a large extent the variety of CM attestations. What counts is not the identity of the individual verb, but the kind of embedding which it allows, thus the concentration of attention on the su.aci-, su.aci+, etc., classifications. Of the single attestations of CM valuations, a similar result can be obtained such that the marked CM values contain fewer exclusive V x than the unmarked ones, and that the highly marked +CM is again much less f r e q u e n t than the weakly marked ±CM. The group composition of the +CM-only verbs shows that these are the predicates which to a large extent belong to the most frequent listing of (57). Cf. the following table (ii) with the +CM-only V, per text: (ii) CL-1 P l a u t .

su.aci-

su.aci+

ob.inf

malo, nego

-

-

CL-5 Hisp.

-

promitto

-

VG-1 Cena

fingo, iudico,

VG-6 Peregr.

volo

CX-2 Cypr.

opto,

CX-11 Serm.

-

CX-14 Mart.

video

-

HL-2 Greg.

-

assero,

volo

nego

-

-

-

-

-

-

-

debeo puto narro

propero,

Texts V G - 3 Karan. and C X - 3 Corr. Cypr. do not contain any such predicate. Notice that the additions with regard to (57) concern malo, iudico, jingo, assero, narro, promitto, propero, and nitor; nevertheless the overlap with nego, volo, opto, video, debeo, puto is

Notes

373

quite surprising in the context of the extreme dispersion noted otherwise in these tables. The higher frequency of a V j is among other things an expression of its relative lack of specific semantic content. Later on in Old and modern Romance frequency will be a trademark of those predicates which allow CM to occur at all. This condition can be seen (somewhat faintly) prefigured in Late Latin. Cf. also the discussion below in 7.3 on the V J + V J unit formation. 59. Notice the situation in (59d) where the two conjuncts operate in opposition: The RS- placement of se does not have any effect on the second conjunct (ibi nos occurrere), even though this string depends on the V j dignatus fuisset. The lack of parallelism between first and second conjunct brings to mind the same type of construction in Old Romance, discussed above in 2.1. 60. The complete list of two-pronoun examples is as follows: /su-aci-+ ob.aci-/ CL-1 Plaut. 5, 12, 16, 18, 28; VG-3 Karan. 4, 9; VG-6 Peregr. 6. /su.aci+ + ob.aci+/ CL-1 Plaut. 34, 38; HL-2 Greg. 9. /su.aci+ + obl.aci/ CL-1 Plaut. 32, 36, 37, 38; CL-5 Hisp. 17; CX-2 Cypr. 18; CX-14 Mart. 16. /obl=su2 + ob.aci+/ CL-1 Plaut. 58, 80. /su.aci+ + ob.aci-/ CX-3 Corr. Cypr. 12. 61. Ex. CX-3 Corr. Cypr. is only a pseudo-violation of the poor clause hypothesis: ego enim dixi fortasse oblitum te esse mihi scribere (/su.aci+ + ob.aci-/). mihi is at best to be seen in E± position and separated from te. However, the two a.c.i. pronoun functions here refer to two hierarchically different levels, te being su.aci+ of obliviscor with dico as Vj, mihi being ob.aci- of scribere depending on obliviscor and not on dico. Perhaps mihi should rather be seen as an ob.inf, if te is not concomitantly interpreted also as su.aci- of scribere, depending on obliviscor. At any rate, the separation of the two pronouns is a functional arrangement. 62. In this sense, obl.aci pronouns belong fully to V l 5 obl=su2 are in between Y 1 and V 2 . ob.aci- and ob.aci+ retain full V 2 relevance also in their linear

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movement

arrangement, with only rare exceptions, su.aci- and su.aci+ are similar to ob.inf in their drift towards V x ; they represent all the first argument in the S 2 domain with linear approximation to V x through Extraposition. The pronouns reflect in their gradation of V^Vj pertinence the wider parametric distribution of simple vs. complex clause structure (cf. 3.7 and 6.3 above). 63. In modern Romance languages the separability between V j and V 2 is minimal and always marked. Each language has its own specific conditions, including some splits internal to a class. French, e.g., shows obligatory contiguity of faire and infinitive, but a certain separability between laisser and its infinitive, both belonging to the Caus class of V v Thus, *on a fait Jean partir, but on a laisse Jean partir (at least for part of the speech community); cf. Kayne 1975:220 -234. 64. The non-clitic subject 2 NP of Caus constructions does not belong to the direct a.c.i. survival strings, however, since the Romance arrangement */\ NP gu2 2/ is ungrammatical in most cases (cf. also n63). 65. Cf. the discussion of verb position in Ch. Eight, in particular VIII:2.2. — This is another archaizing remnant of the previous SOV conditions which will gradually disappear with its various ramifications in the course of Romance evolution. 66. Cf. the normal Romance type donne si veniano a diportare alia fontana (Nov. 46.836) with the more stylized constructions not normally found in a more popular text such as the Novellino, e.g. from Boccaccio: la novella ... da tutti tenuto che brievemente narrata2 fosse stata1 (Dec. 3:8); in quanto vivendo esso altro marito aver2 non posso1 (Dec. 3:8). 67. The abandonment result of a change be a meaningful Romance clitics in their bondedness,

of W is only comprehensible as a in the nature of clitics if W is to linguistic construct. Thus the Old the 14th and 15th centuries increase getting closer to morpheme status,

Notes

375

and thereby falling out from supervision by a syntactic principle W. Pronoun placement and linearization now assume a form in fuller harmony with the ever increasing SVO typology of Romance, i.e. the determinans > determinatum order /cl -V/; cf. Bossong 1982; also Baldinger 1968, Vennemann 1975, Wandruszka 1980. The change, to be developed in Part Two, concerns the gradual drift of various dimensions to constitute a new typology from a softened Latin SOV phase to a more consistent Romance SVO type. The crucial intersection takes place on the parameters of deixis vs. anaphora and word vs. morpheme, which are both involved in the formation of clitic object pronouns. They produce the increasingly rigid clitic phenomenology of which this study depicts the initial aspects. 68. Cf. the UNITYP framework (e.g. Seiler 1979, 1982) and related developments for wider implications and precise discussion.

CHAPTER 8 VERB POSITION

1. Received opinions on Latin verb position 1.1 Verb position as a determinant of clitic placement The question of Latin verb position does not belong centrally to the present problem of proto-clitic pronoun behavior in all of its many ramifications. To the extent that an important aspect of this clitic evolution has been explained in terms of accidental juxtaposition between the proto-clitic and the verb of its clause, the collocational patterns of the verb in pronoun-containing clauses should be examined more systematically. Therefore, the data for this investigation have been gathered for interpretation with regard to verb position. Before entering into the presentation of the pertinent data, a review of the relevant literature is essential, since the topic of verb position has produced a considerable amount of discussion and theoretical controversy in typology. The Latin and Late Latin situation as it appears from the existing literature remains unclear due to the prevalent ambiguity of the intermediate Latin to Romance documentation regarding SOV vs. VSO vs. SVO typological pertinence. The new data analysis may come as a helpful instrument of clarification. Given the scarcity of reliable detailed studies, it will be generally argued that the moment has not yet arrived for highly sophisticated interpretations of word order change in the Late Latin verb. The wave of typological studies with Indo-European or Latin-to-Romance orientation is likely to produce contradictory arguments and results due to some fundamental disagreements on the basic facts and relevant parameters underlying the hypothetical typological changes. The insights derived from this inquiry will thus remain summary. Chapter 5 defended the thesis that the unstressed pronouns became verb bound between Latin and Romance, due to, among other factors, non-teleological juxtaposition to the verb, so that a preferential 2ND placement hypQthesis

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Chapter 8: Verb Position

could be reinterpreted as VB (verb base). The mechanism of this juxtaposition must be seen in the leftward shift of the verb, and in a minor way as also due to the considerable reduction in clause length typical of the protoRomance style/text levels (cf. Ch. 5:6.3). The overall effect is a change from comprehensive SOV typology to SVO patterning. However, the imminent question is how the verb shifted from its predominantly final position in Classical Latin to the lefthand collocation in Romance, whether this happened through gradual displacement or in more comprehensive steps. 1.2 Typological problems with Latin word order Classical Latin is generally recognized as a SOY (or at least V - f i n a l ) language. 1 In contrast to some other such languages (e.g. Farsi, Japanese) Latin belongs to the non-rigid type which overtly admits considerable contradiction of its basic typological word order on the surface for expressive, later on also syntactic, purposes (type SOVX of Hawkins 1984). Thus, naive data observation will not lead to evident typological decisions of major accuracy; rather, it will yield possible, and partly hypothetical, interpretations. If Latin is of the SOV type, then Romance is SVO, perhaps closer to VSO in Old Romance, but definitely of a different type from the Latin base. The transition from one type to the other cannot have taken place in a wholesale move, judging from the surface data. The reinterpretive move which diagnoses SVO (or VSO) as having supplanted SOV is only secondary, based on sufficient surface discrepancy with the original type SOV. This tension between data and theory induces a tentative typological switch on the part of the investigator, or presumably also the native speaker in the appropriate situation. Since word order typology uses unmarked and marked word order patterns with functional differentiations according to the facts of the single language, the concomitant existence of Classical Latin SOV, SVO, OVS, and VSO surface arrangements — or even others using a richer constituent vocabulary — is quite interpretable. VSO, e.g., is a marked type used for verbal emphasis or other expressive/contrastive purposes; similar considerations apply to other patterns. 2 In the case of Latin and its multiple construction patterns consisting of S, V, and O, the basic type SOV depends not

1. Latin verb position

379

only on frequency, normalcy, and use in unmarked (i.e. declarative main) clauses, but at least as importantly on the harmonic manifestations of the other Greenbergian implicational universal arrangements (A>N, G>N, etc.). The SOV string is an abstract entity sui generis, a true typological classification abbreviating the specifications for an entire syntactic behavior package. Typological classification on the word order level can only be a holistic judgment. The postdictive assessment of Latin SOV vs. Romance SVO is thus artificially apodictic in the context of this finely meshed empirical investigation of the transition from Latin to Romance. What is at stake here is the pathway of transition from one type to another, a trajectory which needs detailed investigations. In principle, the basic SOV pattern of Latin, and its marked, functional, and/or grammaticalized variants VSO, SVO, etc. must all be taken into account in their particular realizations, such as a sentential object and its extraposition. A well-defined syntactic configuration S [ s Ο] V undergoing extraposition to SV [ s O] thus produces a marked SVO arrangement with an intermediate degree of grammaticalization. As such, it does not contradict the SOV typology, it only creates additional instances of surface contradictory forms under syntactic or formal recoverability of the SOV base variant. Alternatively, many strings lacking overt subjects — due to fully operational zero pronominalization for non-lexical subjects — yield the truncated arrangements OV and VO (e.g. with extraposed O). Zero anaphora for the object in its discourse context, a frequent phenomenon in Latin, offers the indeterminate surface patterns SV or even V. Such unclear typological pertinence, together with many other finely constrained special configurations composed of S, V, O, and X tend to present serious problems for the typological reconstruction of a single idealized attribution of the language to SOV, VSO, or SVO in a given chronological stratum. The microscopically oriented investigation of this chapter can avoid the potentially unproductive larger question by contributing to the factual infrastructure of such a holistic attribution. Thus the present topic is the phenomenology of the transition as it appears in the data gathered for the pronominal study. On the level of relevance for the speaker, the typological switch occurs at a macro-level of the changing data situ-

380

Chapter 8: Verb Position

ation. Natural linguistic changes take place on the microlevel of surface expressions. Thus the speaker is not involved in the typological dilemma of overt contradictions with regard to a desirable unitary patterning at a higher level. Such issues tend to be undecidable in theory as well as outside, in particular for the question of learnability of linguistic complexity. 1.3 Descriptions of Latin verb position As a non-rigid SOV language, Classical Latin admits marked VSO order; cf. (1), (2). A number of other syntactic features enter into the normal expectations for a SOV language: e.g., adjective - noun order, or genitive - noun. Overall, the observed word order is found to be in harmony with the underlying type in some relevant studies. 3 (1) (S)XOV: non mehercules hodie buccam panis invenire potui (2) V(S)0X: et accepi Patrimonium laticlaviun (Cena Tr.; both apud Tekaviid 1980.2:492)

The basic V-final position has been recognized long ago and is abundantly documented, in particular in Linde's classical study (1923:154-157)/* As relevant quantification of the phenomenon this paper quotes the following percentages of V-final clauses (of all clauses in the corpus), where the first figure refers to main clauses and the second (higher) one to subordinate clauses: Caesar 85%/95%, Cicero 38%/61%, Varro 33%/44%, among others. Due to the high degree of regularity, the writings by Caesar and his staff are normally taken as paradigm cases of Classical Latinity. As e.g. Linde (1923:154-157) affirms, Classical Latin shows very heavy SOV patterning. At the same time, Cicero turns out to be an embarrassment: Are his texts so emphatic as to show only minor conformity to the V-final pattern? Is the syntax in its stylistic dimension handled rather loosely? Or must his expression simply be qualified as non-classical? Varro can then be seen as either a precursor of Romance trends or as a hold-over of unregulated Early Latin. In his summary of such maneuvres centered around the exegesis of Linde 1923, Koll points out that the figures are somewhat less drastic if one considers only the relative order between Ο and V. In this case, one obtains decile rankings for main and subordinate clause OV order (of all

1. Latin verb position

381

OV and VO): 9/9 in Caesar, 6/8 to 8/9 for Cicero, depending on the text {In Catilinam vs. De legibus), 6/6 in Varro, 7/8 in Tacitus (Koll 1965:246-247). These figures do not distinguish between clause final verb position and clause internal post-position of the verb with regard to the object element. The reason for this change in the word order parameter, according to Koll, is the fact that the OV/VO substring is a more relevant measure in Latin than the pure SOV s ] sequence for the non-rigid SOV language which Latin was. The normativity of such figures is claimed to be a indication of the correctness of this viewpoint. 1.4 Verb shifts in Late Latin Since Early Latin, initial and medial positioning of the verb is well observable. 5 Plautus shows considerable VO and VS ordering. The existence of the marked V(S)0 type is thus established long b e f o r e Classical Latinity (Adams 1976b:96-97; cf. also Kroll 1918). The perceived difference between Plautine and Classical Latin becomes a stylistic phenomenon and not a properly evolutionary aspect of Latin, so that the typological question does not arise in this connection. The considerable amount of VO substrings carries over into post-Classical texts such as the Cena Trimalchionis and the letters of CI. Terentianus (1st, 2nd centuries). 6 In between such apparently unexpected usage of constituent arrangements falls the Classical period, with a standardization of the unmarked and marked arrangements characterized rather well in the idealized Schoolbook prescriptions of written Latin: 7 In principle, the verb is final in its clause, particularly so in the subordinate clause. The verb appears initial in the clause as an imperative or if the verb is emphasized, and after a temporal subordinate clause. The verb precedes a dependent infinitive. A constituent may stand to the right of the verb when this nonverbal element is heavily emphasized. Finally, the verb may be in second position if it happens to be enclitic. If such rules are prescriptive, they nevertheless capture some essential aspects of Latin clause arrangement which can be confirmed in more detailed considerations. 1.5 Initial and medial verb position One reason for increased VO order as Latin evolved to post-Classical norms stems from the gradual normalcy

382

Chapter 8: Verb Position

acquired by initial verb position with imperatives as in (3a,d) (cf. Marouzeau 1922-1949.2:52). In the coordinated structures with et V... (3b) the verb serves as an anaphoric link to the previous clause connected with the et portion (Scherer 1975:220). The same increases in VO order apply to the cases where initial verb position (3c) serves to emphasize this element (Galambos 1981:21; Linde 1923:158; Ramsden 1963:30-31; Scherer 1975:218-220). Such extended VO patterns coexisting with the (still basic) OV and XYV S ] strings could be seen as precursors of the typological change from SOV to V(S)0 (Galambos 1981:24) or (S)VO. (3) a. die ergo si me amas peristasim declamationis tuae (Cena 48.4) b. inde movit et pervenit ad oppidum (Bell. Afr. 7,1; 403) c. confracta est navis, perdidi quidquid erat miser ibi omne (Pit. Rud. 1308; 403) d. cave canem! (apud Hofmann and Szantyr 1972:403)

The least frequently observed order (according to the traditional sources) is medial position, with the options SVO and OVS; but these do form part of Classical sentence patterns (4a,b). 8 If internal middle position coincides with second position, some remnant conditioning from original IE enclisis of the verb can also be recognized, especially in early Latin texts (5). Such preservation of IE enclisis, and even its very relevance for PIE itself, is however a controversial issue. 9 (4) a. Sallustius officio vincit omnes (Cie. epist. 14,4,6) b. multum ad hanc rem probandam adiuvat adulescentia, magnitudo animi (Caes. civ. 2,38,2) (5) ubi fit quomque mentio (Pit. Bacch. 252; 404) (apud Hofmann and Szantyr 1972:404)

On principle, after a definitionally strong first position in the clause, there follows a weak, enclitic slot. This slot would not only be occupied by low-key adverbs and weak pronouns, but also by the frequently weak verb (cf. Ch. 3: 3.3), thus [ s XVZ as an instance of the general encliticization context [ s X - . Such enclisis of the verb would have been reduced greatly in the prehistorical formation of Latin, resulting in the historical norm of final verb position. Remainders of IE enclisis can be observed with

1. Latin verb position

383

auxiliary verbs (and only special forms thereof) such as esse, habere, fieri and the like (Marouzeau 1922-1949.2: 93-95, 103-107). In contrast to the typically enclitic implication of second position for such auxiliary verbs, middle position outside of the domain of W does not express anything in particular about the emphasis level of the non-final verb (Marouzeau 1922-1949.2:81-82). In non-final, non-second middle position, the verb is only passively removed from final position. This is produced by shifting some other element into the strong final clause slot for pragmatic reasons. The motivation may be epexegesis (afterthought specification) or utilization of the final clause slot as the natural position for sentential focus. The verbal content is usually not appropriately placed under focus, without automatically becoming an unstressed, cliticizable element which should tend to second position (Linde 1923:170-175). In addition to focus utilization per se (4a), other syntactic or stylistic procedures producing definalized verbs are extraposition of relative clauses (6a) and of infinitival clauses (6b) to /... V NP S r e l / and /... V S 2 /, hyperbaton with spacing of elements deriving f r o m a single (nominal) constituent NP X , i.e. NP x / y V N P x / t (6c), or from Behaghel's law, which requires constituents to be linearly arranged according to progressive length (6d), with the longest constituent occupying final position (ib.). (6) a. alae patentes q u a l e s e s s e sotent [quae, incubant ova] (C.Tr. 33.3) b. permittetis tarnen [finiri lusum] (C. Tr. 33,1) c. propriam,- capere non potuerat quietemj (Sisenna Inst. 45; 691) d. aut paria debent esse [posteriore superioribus] et [extrema primis aut quod etiam melius est et iucundius longiora] (Cie. de orat. 3,186; 722)

For a.c.i. extraposition, Linde (1923:176-177) gives the anecdotal figure of 50 infinitives which precede the governing verb out of a total of 230 in the Cena Trimalchionis. In terms of the previous discussion in Chapter 7, the Β (= basic) derivation is only minoritarian while Ε (= extraposed) and R (= restructured) strings predominate. A considerable amount of definalized verbs are thus due to syntactic processes irrespective of pragmatically conditioned needs for expressivity. The diagnosis of non-rigid SOV type for

384

Chapter 8: Verb Position

Classical Latin is the minimum concession to be made to the surface variety characterizing the language. Hawkins's (1980:213) SOVX formula seems to fit the case best, combined with VSO as a primary alternate pattern for marked communicative values. 1.6 Functional constituent order Major constituent arrangement in Latin is subject to active, dynamic processes. As implied in the beginning of this discussion, these processes can be described by a minimum of two opposite movement rules for non-verbal constituents. The first one is verb fronting, with the effect of thematizing the verb or of demoting the previously initial X; schematically, SOY —> VSO, or more realistically, XYV —> VXY. 10 The second process is NP backing, motivated as extraposition, NP focussing, or V backgrounding, schematically SOV - > SVO, or again better, XYV - > XVY. 1 1 The specific functional identity of subject, object and so on does not play a crucial role, so that the normal formulae with S, Ο, V are here unnecessarily restrictive. Frequently in a SOV to VSO shift, the subject need not be expressed at all when pronominal due to zero subject pronominalization. Since VXY occurs most frequently with imperatives (no subject by nature) and conjunction anaphora (normally implying the same subject, given that the parallelism between the two conjuncts is dependent on the same verb), the instances of actual VSO will be rather rare. The componential approach with functional indetermination of the involved NP's is thus more promising for capturing correctly the breadth of the data base. The actual parameters may be OV vs. VO, SV vs. VS, etc. as in Koll 1965; and additionally, neutral ... Χ V s ] vs. ... V X s ] as in Adams 1976b. An interesting neo-Praguian approach, developed in Panhuis 1981, tries to capture the communicative dynamism of natural speech acts. The relevant categories of constituent elements are Theme (Th) and Rheme (Rh), each potentially including a Theme Proper (Tp) and a Rheme Proper (Rp) in case of multiple occupation of the communicative function in syntactic reality. 1 2 Since the speech vector points necessarily to the right, the linear ordering relation between Th, Tp, Rh, Rp acquires basic importance. In a combination of pragmatic and emphatic determination, se-

1. Latin verb position

385

mantic factors, and syntactic word order requirements, a process-driven word order identification is obtained, based on the interpretive string patterns in which Th, Tp, Rh, Rp yield a comprehensive functional sentence perspective (Panhuis 1981:19-28). A double valuation of the result, in accordance with the three level approach to Praguian syntax (DaneS 1966), uses the potential tension between marked/ unmarked formal procedures and emotive/non-emotive emphasis effect. The system reconstituted for Classical prose (including Caesar and followers, but at the same time also Cicero and Varro) foresees the simple formulae of versatile applicability in (7), with some illustrations in (8). (7)

formal a. unmarked

pragmatic

schematic

non-emotive

Th -> Rh, V (= Rp optionally)

b. unmarked

emotive

Rh -> Th, V

c. marked

emotive

V=Rh -> Th

(8) a. Caesar (Tg) acceptis litteris ... (Th circumstantial) statim (Th time) nuntium in Bellovacos (Rh) ad M. Crassum quaestorem (RQ) mitt it (V). Caes. Bell.

gall. 5,46,1; apud Panhuis

1981:186-187)

b. si id minus vellet, e suis legatis (Rß) a Ii quem ad se mitteret. (Caes. B. G. 1,47,2; 210) (sc. as opposed to Caesar's going himself) c. dimittit (V=Rh) ad finitimas civitates nuntios Caesar. (Caes. B. G. 6,34,8; 220) (after long, flat descriptive passage, an action)

In the unmarked cases (a) and (b), verb position is not expressive, even when the verb as a potential Rp stands in adequate final position (cf. the parenthesized identification in (a)). Emotivity depends on an inverted information flow from Rh to Th instead of the basic Th to Rh (Panhuis 1981:224;89,107). Thus, in interrogative sentences the flow from Rp (yes/no questions) to Rh or from Tp (WH-questions) to Rh is also judged emotive. This is due to the special syntax which expresses pragmatic conditions typical of questions with an exceptionally foregrounded element. The system proposed by this contribution overcomes the rigidity of macroscopic typological formulae. At the same time, it must introduce the practical difficulties connected with the exact determination of the emphasis structure of a

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Chapter 8: Verb Position

given utterance, including the thorny question of emotivity vs. (syntactic) markedness. In purely written documents, frequently studied outside of a very close context of interpretive reference, no firm ground can be established. As a consequence, it would be quite impractical to base a survey history of development of verb place primarily on such considerations. Yet the determining function of such contributions to a realistic, empirically oriented investigation is evident and cannot be ignored. In a judicious combination of non-expressive formal criteria with an essential correction through contextualized pragmatic emphasis parameters, the descriptive, and later on also the explanatory, quality of the analysis can be improved greatly. Another dimension for careful treatment is text classification, in the sense of the previous discussion of clitic placement and clitic movement (cf. Ch. 5:4.1). The requirement for such a differentiation is best illustrated by the unexplained result which appeared in Ramsden (1963:3031,42-54) regarding verb final position frequency in four Late Latin texts. Among the four texts, Cena Trimalchionis, letters of CI. Terentianus, Itala, and Peregrinatio ad loca sancta, the percentages for final verb position in main/ subordinate clauses are as follows: 1st cent.: Cena 51%/67%; 2nd cent.: Karan. (CI. Terentianus) 15%/33%; 3rd cent.: Itala 13%/26%; 4th cent.: Peregr. 25%/37%. The trend reversal in Peregr. — less non-final verb position than one century earlier in the Itala — remains without explanation under the assumption of a linear evolution towards Romance. Investigators unanimously agree on the essentially proto-Romance character of Peregr., especially concerning its syntax (Richter 1903, Linde 1923, Haida 1928, Väänänen 1983). The assumption of linear evolution is as unacceptable here as it was with proto-Romance clitic placement (cf. Ch. 4:1.3). Textual class differentiation (as practiced above) is also postulated in a variety of forms in the more modern studies on verb position (Koll 1965, Adams 1976a:330-331, 1976b, Galambos 1981:41-52) as well as in the classical studies on Late Latin linguistic evolution of classicist extraction (especially also Norden 1909 passim). Specifically, the artificial nature of Cena Trimalchionis, the special considerations required for the Itala, and the not uncontested Latinity of the Terentianus letters show immediately that this set of texts cannot be treated as homogeneous for

1. Latin verb position

387

chronologically progressive proto-Romance status. On the contrary, one might be surprised at the coincidence between the pagan VG sample of the Terentianus letters and the Christian CX selection of the Peregrinatio, which exhibit considerable consistency. The previous analyses have established with sufficient strength that the addition of a later HL text would change the perspective even more in the direction of a progressive return to CL norms. 13 The analysis of new data in the context of the present study will permit the avoidance of such unrealistic, simplistic evolutionary scenarios. 1.7 Text class differences In the context of textual differentiation, the mentioned discrepancies within the CL classification of Caesar and followers vs. e.g. Plautus, Cicero, and Varro can be situated more convincingly. The extreme position taken by Caesar and followers on linguistic matters is well known (Koll 1965:262), detracting from their credibility as the epitome of Classical Latin. But Panhuis 1981 noted in a more extensive consideration that strong to exclusive V-final texts are normally archaizing in this as well as in other respects. The texts are legal, inscriptional, and also historical (Caesar and Sallustius), quite openly set apart from the full naturalness of the norms of communicative dynamism for purposes of documentary objectivity, solemnity, and vetustness. Panhuis does not see a literary phenomenon in the ensuing extreme use of final V position (cf. the stylistic domain of these texts). Rather, V-final position is said to be a preferred high class pattern of text molding relying on the imitation of older models and utilizing to the fullest the weight associated with a document consonant with the guide post of mos maiorum (Panhuis 1981:224). The inadmissibility of accepting such artificial texts as typical Classical Latin does not need further elaboration, especially after the concomitant marginal position thereby imposed e.g. on Cicero. CL may be a combination of the two trends. If a Classical model must be chosen, it might not only better be identified with Cicero — an evident choice — but perhaps also tempered with Plautus due to his conscious use of a style of Latin which approaches the more spontaneous patterns of the language (Panhuis 1981:8). The entire breadth of stylistic expressiveness through syntactic material is actually

388

Chapter 8: Verb Position

present since Early Latin. The differences between Plautus and Cicero, as well as those between Cicero and Caesar, belong primarily not to the diachronic dimension, but to the individualized domain of stylistic preferences of authors, genres, periods, etc. (Adams 1977:98). A major role will be played by particular pragmatic conditions of different text types, since concrete speech situations can determine to a great degree the variable choices open to the speaker. Separation of texts by type is thus important here as elsewhere (cf. Hofmann and Szantyr 1972:403,405). On the other hand, the pragmatic situation subjects any Latin text to the principle of mos maiorum, thus overriding spontaneous features more or less regularly. These divergent written samples will all be contained within the domain of a Latin which is quite distinguishable from a nascent Romance idiom. A consistent verb-initial or verb-second pattern will only become manifest in a consciously Romance text (Koll 1965:262-268). Thus for the third time in this study it will be impossible to assign direct proto-Romance status to any given document, while it remains possible to detect certain trends in the appropriate environment indicating Romance choices in some privileged texts. 1.8 Summary of typological analyses It would be useful at this point to return to the original question of the path which led from typologically verbfinal Latin to verb-second Romance. The trajectory of such a change may in principle involve several dimensions of word order manifestation. It will not suffice to focus on the actual linear position of the verb in the sentence, for while this is the d e f i n i n g s h i f t , it is necessarily accompanied by a host of concomitant order changes and connected phenomena, such as {A,N} and {G,N} linearization, preposition vs. postposition, etc. (Greenberg 1966). In view of the stable conglomerate status of many of these correlative phenomena — for which the formulae SOV, SVO, etc. are only short labels — the mechanisms of change must consist of independently functional processes. Only these can interfere credibly with the cohesiveness of a SOV system by removing one or the other component from its harmonic specification. The functionally and perceptually motivated process of extraposition (Ch. 7) is a local example introducing a non-SOV component into the lan-

1. Latin verb position

389

guage. The same applies even more strongly to the increasing Ν > relative clause order of Latin (C. Lehmann 1984:91-92, 391-398) which is not a preferred SOV attribute. The inheritance of IE weak auxiliaries and their optional encliticization in second position leads to some outright SVO type structures. Even though the V element does not really occupy the typologically full second slot — the auxiliary here can be regarded as an incorporated clitic, i.e. [ N P Subj-V cl ], hence the structural formula SX — this evolution has been claimed to contribute to the switch from SOV to SVO (Hock 1982). The loss of inflectional systems previously responsible for the identification of subject vs. object is another prelude to the same typological realignment (Vennemann 1973b). Even a substratum effect has been invoked for the OV to VO reordering (W. Lehmann 1974:201). These and other component developments reduce the already quite battered harmony of the SOV constitution of Latin, since they introduce elements of VSO/SVO pertinence. The increasing internal typological tensions lead to the extension of anti-SOV features, so that a point of no return will be reached for SOV reconstruction based on the manifest data patterns. A new SVO overhead condition will result, which is then equivalent to the major typological change of interest here. A consolidation of the harmonical composition of central typological features may procede towards a more prototypical instantiation of the still marginal form of the new type (Dardel and Haadsma 1983). Isolated component developments will again be responsible for the execution of this phase, at least to the extent that there are no other changes interfering with the central typological considerations (Hawkins 1984, Vennemann 1973a:37-40). It is less evident how the verb reaches its new typological place in SVO configurations, other than by passive adaptation or specific syntactic transposition. Given the normally statistical nature of the universale involved, the complex of features defining a type cannot exert the necessary strong pressure to harmonize any other components, least of all the core aspect of verb position. The relevant studies remain curiously schematic on this point if they do not outright equate a particular string type with the overall macroscopic word order type. The question of whether SOV goes directly to SVO (Adams 1977:98) or

390

Chapter 8: Verb Position

through the detour of VSO (Galambos 1981:62-63) does not address the major typological complex, but refers with SOV, VSO, and SVO only to a manifest string schema. Neither Late Latin nor (Old) Romance ever developed any of the constitutive features of real VSO typology. In fact, the frequent presence of verb initial structures mainly in Old Romance (cf. Bossong 1984 and Ch. 8:2 below) is only one of many possible exponents of SVO typology in the form of a marked constituent order. At this point, the debate leaves one dissatisfied with the instruments prepared for the analysis of the problem. On an intuitive level, a major typological change can be perceived between Latin and Old Romance. The formulae SOVX (non-rigid SOV according to Hawkins 1980:213) and SVO capture some essential aspects and stand for the implied additional typological choices. But in the absence of a clear view of the relation between the attribution of a macrotype label and a given complex data situation (e.g. Late Latin), the usefulness of the categorization as a research tool is greatly diminished. The lack of predictive power of such a taxonomy for the single case results in the inevitable confusion between macro-types and micro-strings. This confusion is too high a price to pay for a data organization which can at best be regarded as merely partial (Lightfoot 1979:166, C. Lehmann 1984:42).14 The only aspect of a rather constant nature is by definition the pragmatic organization concerning assignment of Theme, Rheme, Topic, Focus, etc. to the formal syntactic constituents (Sasse 1982, Harris 1984). These categories add a necessary external motivation for linear constituent arrangements and their variation. In particular, the cognitively based order Topic > X for a normal declaration manages to hierarchize the communicative effectiveness of some of the possible arrangements: SOV and SVO are more highly valued than VOS and VSO if subject S = Topic in a given utterance. Similarly, the end position of Rheme or Focus, i.e. X > Rheme/ Focus, yields higher expectations of natural emphatic arrangement for SVO, SVO than for SOV, VOS if object Ο = Rheme/Focus. In combination, SVO, the Romance type, turns out to be the communicatively best adapted version, with an overall base structure of Topic > connective predicate > Rheme/Focus. For the simple declarative clause, the Latin arrangement Topic > Rheme/Focus > connecting

1. Latin verb position

391

predicate in its SOV shape is somewhat inferior (Vennemann 1975: 292). The drawback of SVO as a type seems to be its ambiguous syntactic constitution (Bossong 1980a, Geisler 1982:159-162). While VSO and SOV both dominate a number of preferred choices of other constituent arrangements (NA vs. AN, NG vs. GN, Ν + relative vs. relative + N, etc.), SVO does not demand specifically harmonic structures of this basic kind (Hawkins 1980:199). SVO lacks a unitary construction principle, be it left-bounded vs. right-bounded as in Bossong 1979b, or modifier > head vs. head > modifier (operator > operand vs. operand > operator) as in Hawkins 1984 and Vennemann 1975. Since the distinction of subject vs. object in this type normally rests on the positional identity of the respective arguments, SVO is also a language type with rather rigid basic element arrangements and correspondingly little need for inflectional morphology in nominals. In any case, the interaction of principles of communicative dynamism and of syntactic construction yields a mixed picture for SVO as well as for SOV as a linguistic type. There is no ideal form type in this view. The transition from one to the other macro-type thus cannot be due to some sort of optimization of the code without some consideration of the component string types and their distribution in the language. This recognition brings us back to the problem raised in the discussion of purely formal principles: The intuitive appeal of the typological approach suffers from the indeterminacy and even circularity of the specific-language-oriented realization of a typological transition scenario. The task is overwhelming because its execution is premature. The facts need to be sorted out first with as much accuracy as possible. This will yield a data base with which the schematic metachronic switch from SOV to SVO can be concretized. The strict control of data and theoretical concepts at a later stage should provide a richer conception of word order typology concerning primarily typological transitions and ambiguous situations (Bossong 1980a as an example for French, 1984 for Spanish). Stepping back from typological considerations will do justice to the complex facts, promising a more realistic description and assessment of the transition in verb place from Latin to Romance. The careful genealogy of declarative VXY in Dardel 1983 is an eloquent case in point. The tenor of this

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Chapter 8: Verb position

new analysis will thus be very similar to the approach taken for the previous two questions of clitic placement/ linearization and clitic movement. 1.9 The new analysis The new analysis carried out here is intended to trace the leftward movement of the verb between Latin of Antiquity and Old Romance. From the extensive discussion of pronoun placement in Ch. 5, it is uncontroversial that the pronoun did not normally move rightward to meet the verb, but rather that the verb joined the pronoun in its inert second position, increasingly so with the progression of Romance approximation. The absence of weak pronouns in the righthand portion of the clause is general, in particular to the right of the verb and not in contact with it. Since this condition is true for Classical as well as for later Latin texts, it sets down the necessary direction of the relevant constituent shift, i.e. the verb moves to the left. But the actual mode of transposition, whether in one jump to the lefthand border of the clause, or gradually to the left until the verb finds its normal Romance position, must still be specified. The argumentation presented here will establish the importance to be attributed to comprehensive leftward movement of the verb to VXY as an active change. Only the triple pattern of Late Latin XYV, VXY, and XVY of various forms will be narrowed down to the double result of verb initial VXY and verb second XVY as realizations of SVO typology. The analytical terms found useful for this investigation are conceived as a system commensurate with that of Panhuis 1981 and the many typological studies discussed here and quoted in note 1. The central notions are the underlying verb final character of the language, i.e. verb final in non-focused position; a Theme or Topic (Th, Top) will be distinguished from a Focus (Foe; in Panhuis's terminology Rp) highlighting the essential portion of 'new' information. In principle, leftward movement has thematic (Top) function, whereas rightward movement effects a focus (Foe) constitution. In each case the movement must reach the limits of the available clause. At the same time, such minimal assumptions, together with a non-rigid interpretation of special cases, are well supported in the literature on Latin reported in the first section of this chapter.

2. Old Romance

conditions

393

2. Old Romance verb position 2.1 Initial verb The description of Latin verb position must be set into relevant connection with Old Romance. A very brief sketch of this new linguistic condition follows here for Italian. The categorizations are in no way unique to this one language since f r o m the more abundant Old French descriptions (especially Herman 1954; cf. also Foulet 1930, Moignet 1973:356-362; Dardel 1983, Dardel and Haadsma 1983 for Romance in general) the very same result can be obtained. The essential Romance unity of clause construction is unbroken since French has not yet reached the term of its basic deviation f r o m the common pattern. In this sense, once again it is permissible to talk about a generalized Old Romance situation and to exemplify it with a single language. It is profitable to distinguish three preverbal clause initial configurations for (Old) Romance: [ 0 - , [X-, and [ X Y - . A purely enumerative list of uncontroversial subcases already brings some order into the situation. First, the verb is found in clause initial position, i.e. in strings of the shape [ s V... (cf. (9)). This arrangement is grammaticalized f o r decision questions (10a,b) and f o r affirmative imperatives (10c,d). Under specific syntactic conditions, or triggered by pragmatic factors, or with presentational verbs and also with certain intransitive verbs Cergatives' in the sense of Burzio 1986), the predicate is also initially located as in (11). U n d e r the purely semantic/pragmatic circumstances of an emphasized subject, the verb may end up in first position (11c). 15 (9)

a. Votse gli occhi per una finestra del palagio, e vide altri giovarii che accoglievano I'acqua piova[n]a (Nov. 5; 803) b. quando Tristano le volea parlare [5 si andava ad un giardino del re dov'era una fontana, e [5 intorbidiva il rigagnolo che facea la fontana (Nov. 65; 854) (10) a. Confessasti tu anno? (Nov. 93; 875) b. Oh, credevate lo voi avere? (Nov. 91; 874) c. Donami cavallo da cavalcare! (Nov. 4; 802) d. muoiano. muoiano i Fiorentini! (STF 6; 140.21) (11) a. Ε per sentenzia di Dio, [apparve nella nave un grande scimmio (Nov. 97; 878)

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Chapter

8: Verb

position

b. Poi sequitavano tutti e' canonici del Duomo

(Montaperti; 940)

c. furon morti e presi la magior parte, e1 Fiorentini ebbono lo castello (Gesta Florentinorum, Segre and Marti 1959:935)

2.2 Verb in second position Second, the verb is preceded by a single constituent/lexical item for a string form of [ s XV... An X may be any argument of the verb or other overt element (12). If it is the subject, X occupies topic f u n c t i o n (13); if it is a non-subject, it may be a topic or focus arrangement for X (14). It should be noted that this category refers only to non-subjects which do not find a clitic repetition on the verb. If such a doubling clitic is present, the NP in preverbal position is considered as standing outside the clause eo ipso facto: NPj [ s V-cli·..; cf. (15). Similarly, oblique NP's which are not arguments of the verb are located outside the clause as in (16). Adverbs of clearly connective and/or sentential meaning again belong to a pre-clausal portion not comprised under X of this formula (17), while more verb-oriented adverbs or adverbial expressions will be considered as standing inside the clause; cf. (18). (12) a. Federigo ... si mosse di Puglia e ando oltre a mare, per avere la signoria di Gerusalem, [ s come gli avea promesso il Soldano] che per altro beneficio di Cristiani. (Malispini; 958) b. Ε andava questo rigagnolo per lo palazzo dove stette la detta madonna Isotta

(Nov. 65; 854)

(13) a. [ N p Lo cava Iiere] fece la domanda sua ad Alessandro umile e dolcemente

(Nov. 4; 802)

b. [ N p Lo cavaliere e'l giullare] si trassero avanti

(Nov. 4;

802) c. [ N p Alcuno de1 savi] riputava movimento d'omori

(Nov. 5; 803)

d. C N p La reina con contesse e donne e damigelle di gran paraggio] furo alle loggie

(Nov. 60; 845)

(14) a. Messere, che domanda mi fate voi?

(Nov. 3; 800)

b. e con grande astuzia adomandava che Ii facesse ragione

(Nov.

4; 802) c. Nelle mani del mio Signore mi metto

(Nov. 6; 804)

(15) a. Priegoti ke tu mmi diki come queste cose tu Ile sai (CN 1;141) b. Deli quali vasa mirabili per la loro nobilitä. certi savi ne feciaro mentione elli loro libri

(Rist. Comp. 6-8; 141)

2. Old Romance c. onde I'altre due dee n'ebbero grande ira

conditions

395

(STF 7; 163.30-31)

(16) a. Hessere ts questa vale piü che tutto lo'mperio

(Nov. 2; 799)

b. il giovane vedendo ci6. [ s lascib stare la ringhiera

(Nov. 5;

803) (17) a. allora Cs il giullare rispose e disse b. e primamente [g confessö i patti

(Nov. 4; 801)

(Nov. 4; 802)

c. al quarto giorno [ g el tempo si raconciö (18) a. giamai non avea veduta niuna fanciullezza

(Anon. Sen.; 506) (Nov. 5; 803)

b. Tanto amb costei Lancilotto che ... (Nov. 82; 868)

Evidently, clause introductory particles and similar non-major constituents do not count as filling a first position; cf. (19). (19) a. ed era si iscarsissimo e sfidato che ... (Nov. 96; 876) b. s*i che quasi tutto I'anno vi dimorava con la famiglia sua (Nov. 96; 876) c. il maggiore amonimento che le dava Cs si. era che non si posasse in San Giorgio

(Nov. 96; 876)

The third configuration [ s XYV... does not exist in Old Romance under the given interpretation of clause pertinence and external positioning. Outside of crude Latinisms, the examples which do occur seem to restrict the extra constituent to some (shorter) adverbial and quantificational expressions (cf. (20)). (20) a. Ε [Paris]1 [di ciο]ο le rende grazie

(STF 7; 169.5-7)

b. in guisa [che [Ii due amanti]ι [neente]2 il poteano credere (Nov. 65; 854) c. In questo medesimo tempo, [le chiese di Francia]^ [fortemente]? furono conturbate per Berlinghieri del Torso

(STF 7;

84.7-8)

Similarly, there are no natural Romance cases of verb in clause-final position with multiple constituency beyond the verb. This is a corollary of the absence of preverbal constituent clusters. Again, the occurrence of such cases is a clear sign of conscious Latin imitation (21), and here the non-Romance syntax is clear. Such word order patterns are found only in a certain category of texts with visible imitation of Latin orthography, syntax, and even content. The accumulation of left-dislocated elements, i.e. of ele-

396

Chapter 8: Verb position

ments outside the relevant surface clause (22), must, however, be clearly distinguished from such Latinism. (21) a. ... Gildo conte, che [ne lo'nconinciamento de la loro segnoria]^ [Africalg segnoreggiava

(Oros.; 443)

b. [Gildo]1 e [I'assenzia del fratello, e la presenzia de'figliuoli abiendo in sospetto^/

CgIi adolescenti]^ [per

frode ingannati]^ uccise. (Oros.; 444) c. ... Sardingna, [la quale ysola]^ [co molta travalgla]2 [per lui]3 fue acquisstata. (STF 6; 149.13-14) (22) s. [David re] Rh. V; Rh -> Th. V; Th -> Rh(=V) acc. to Panhuis 1981

ex. non mehercules hodie buccam panis invenire potui (Cena; cf.

(1))

b. F = fronted V

VXY0

V moved to clause i n i t i a l

position

V = Th/Foc; emotive, presentational ex. fuerunt et tomacula ferventia supra craticulam argenteam posita (Cena 31.11) c. D = definalized V

X0VY

Y moved to the r i g h t of V; Y = Foe

ex. S a l l u s t i u s o f f i c i o v i n c i t omnes

(Cie. e p i s t . 14.4,6; c f .

(4a))

Numerically, U will prove to be the secure broad base of clause construction for practically all texts. The two actively derived versions F and D distinguish between the two verb displacement paths mentioned above: F corresponds to the long jump of the verb, D indicates the leftward creep of the verb. The pragmatic and emphatic content of the three structures is noted very summarily, agreeing evidently not

398

Chapter 8: Verb

position

only with the more elaborate presentation in Panhuis 1981, but also with Marouzeau 1953 and Scherer 1975. In principle, U is neutral with regard to the verb, F focuses on the verb if the predicate is not presentational, and D detracts attention f r o m the verb and puts emphasis on another specific constituent. In all cases, the actual arrangement of elements internal to the Χ, Y strings will conform independently to pragmatic/emphatic requirements; this question will not be addressed here at all. Of interest in the present context would be a clear hypertrophic occurrence of one or the other derived pattern D or F in such a way as to provide an answer concerning the pathway of the change in verb position from Latin to Old Romance. On technical grounds, U and F each have one subcase of checked peripheral verb position. A string with initial conjunction cj a n d / o r clitic cl preceding the otherwise clause initial verb will be classified under F. Thus VXY, cj-YXY, C/-VXY, and cj-cl-VXY will all belong to VXY. Referring to the analytical grid of clitic placement (cf. Ch. 4:3.4), the clause initial strings Al and A2 are treated as comparable. Similarly, for final verb position in U, the checked case X Y V - c / 1 6 will be equivalent to the pure XYY, combining the appropriate Bj (=enclitic) strings with the corresponding Aj (=proclitic) versions. At the intersection of F and D, i.e. for the string [ s VX], the arbitrary choice of a derivation is F and not D. The derivation could, however, have proceeded in one or the other of the ways indicated in (24). (24) a. Basic Fronting

b. Basic Definal.

Χ V V X 0

despoliatur cocus (Cena 49.6)

verb focus

Χ V 0 V X

laudarous urban itatem mathematici (Cena 39.6) object postposed

This decision in favor of F is due to the nature of D. It produces internal verb position in situations where the constituent to be focused is originally internal and thus removed from a natural focus position. In the case of a

3. The new parameters

399

XV string, the constituent X is able to express emphasis under normative Latin conditions, as the double orientation of Th—>Rh and Rh—>Th of (la,b) indicates. Consequently, the data gathering did not distinguish between the two subclassifications VX with a single X constituent, and VXY with multiple constituency following the verb. The figures derived form the data will show that the essential effect of verb displacement is an increase in F strings, while the D strings remain constant or even decrease. Thus, the opposite decision of classifying the XV strings as D derivations would have produced the strange result that D derivations with internal verb position would decrease, while the D derivations with initial verb (i.e. those intersecting with F) are the only ones to increase in this category. On the other hand, the F strings, with internal verb and multiple post-verbal constituency, would also increase. Here a coherent interpretation of the D and F increase has been chosen, so that the increase is viewed as a unitary phenomenon which belongs under the heading of F. This anticipation of part of the result should be seen as the necessary initial justification of a seemingly controversial analytical decision. However, the F classification of VX strings does not prejudge the result, since the classification is inevitable as seen after the fact. 1 7 3.2 The corpus The corpus utilized here consists of a large segment of the original corpus of 48 texts for clitic placement. Included are those thirty texts which contain a minimum of 40 instances each for proto-clitic pronouns with finite verb forms; cf. (25). (25) a. 6xCL:

CL-1 Plaut., CL-2 Catil., CL-3 Att., CL-4 Caes., CL-5 Hisp. CL-6 Apul.

b. 3xVG:

VG-1 Cena, VG-3 Karan., VG-4 Mulo.

c. 12xCX: CX-3 Corr. Cypr., CX-4 Peregr., CX-5 Hier., CX-6 Ambr., CX-8 Conf., CX-9 Catech.', CX-10 Catech.", CX-11 Serm., CX-12 Simo., CX-13 Didasc., CX-14 Mart., CX-18 Wandreg. d. 5xHL:

HL-2 Greg., HL-4 Franc., HL-7 Andec., HL-8 Salica, HL-9 Salern.

e. 4xBX:

BX-1 Itala, BX-2 Vulg. Luc., BX-3 Samu., BX-4 Anthrop.

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Chapter 8: Verb position

The classification corresponds fully to the one used for placement analysis (i.e. CX-4 Peregr. is in CX given finite verb pronoun placement trend). The absence of samples is due only to their excessively low number tokens. Otherwise the approximate proportions within across the classes are maintained.

the its TN of and

3.3 Latin/Romance intersection of verb and clitic place The data have been reorganized to address two questions: First, to what extent do Latin and Romance verb position intersect? And second, to what extent within this verb place agreement or disagreement do Latin and Romance pronoun position intersect? The four possible combinations of +/-RomVb (Romance verb position yes/no) and +/-R.oniCl (Romance clitic position yes/no) must be projected on the Latin derivation types, as in (26). In principle, any F string will be +RomVb. Only sufficiently short D and U strings can qualify for +RomVb status, i.e. if the final or prefinal verb does not stand further to the right than second position. Romance clitic compatibility, i.e. fulfilled VB, intersects with each of the possible RomVb/U,F,D pairs, since it requires only contiguity of V and clitic. (26)

RomVb

+

±/+

-

RomC I

+

-

+

-

U(nderlying)

y

y

y

y

F(ronted)

y

y

*

*

D(efinalized)

y

y

y

y

The two non-occurring combinations, [F,-,+] and [F,-,-] marked by * in (26), contain an internal contradiction, since the F derivation of Latin is necessarily also a +RomVb string with initial verb. On a formal level, the two excluded combinations cannot emerge. Only a much more advanced discourse oriented analysis could try to establish a class of Latin F strings, which in terms of a Romance verb initial structure would be inappropriate on the emphasis level. This level of sophistication is not commensurate with the relatively basic approach of the present formal analysis. The exact string distribution (27) refers to the data classification coordinates A,B,C 1-5/6. In each category the verb-final strings are separated from the

3. The new parameters

401

verb-non-final ones, e.g. A3a vs. A3b (cf. the schematic grid in Ch. 4:3.4 and the data tables in App. 3). This arrangement yields the required specification of the figures to be analyzed here. The guiding pattern is given in (27). The examples given in T8-i below (and also in T5-ii in Ch. 5:2.7 above) are illustrations of applicable strings. RomVb RomC I U F D

+

±/+

-

-

+

-

+

-

A(2-4)a B(1 -4)a A2b B(1-2)b A(3-4>b B(3-4)b

A1a (=+) C O - 2)a- >- Ν Μ 1(M Κ) (Μ (Μ (Μ

(Μ Μ

«Ο «Μ CO Ο CM « «Ο in m

CO U1

>- Ν Κι -» in —I I —i —ί —I u υ u υ ο

-Ο _ι ο

ο ο> ο> ΙΛ •ο >ο >ο -Ο

ώ >

II + ο ιη 3 κι ο> ο- >ο

(Μ 00 (Μ -Ο CO ο r* Χ Χ χ χ Χ Χ u ο υ ο U ο

Ν·

(Μ >ο

Μ

II + ΙΛΙ it κ Ο- in ΓΜ Μ

CO

Χ χ χ CJ υ ο

χ ο

4. Data analysis

411

Scaling conventions for T8-iv (opposite) = : +RV (= +RomVb, Romance verb place conformity) > 74% +RC (= +RomCl, (Romance conformity for clitic position) > 74% + : +RV/RC > 66% (Romance conformity for RomVb, RomCl)

column +RomVb; CX-4 Peregr., CX-13 Didasc., and HL-7 Andec. for the column +RomCl. 4.4 Approximations to Romance More interesting for its positive aspect is the fact that since the second century there are texts which approach Romance verb position and clitic placement conditions quite well; cf. (30). (30)

2nd cent.:

VG-3

Karan.

3rd cent.:

BX-1

Itala

4th cent.:

VG-4

Mulo, BX-2 Vulg. Luc.

5th cent.:

CX-11 Serm.

6th cent.:

CX-12 Simo., BX-4 Anthrop.

7th cent.:

HL-4

BX-3 Samu.

Franc.

This list contains the entire BX class for reasons which do not derive from its particularly elevated proto-Romance status, but from a (here) indistinguishable foreign condition, i.e. the Hebrew influence on pronoun syntax. Class VG has two of its three texts included; the absence of VG-1 Cena should not be too surprising: Not so much because of its earlier date, but due to the artificial, hybrid nature of language in the Cena, it is expected that the differences from truly proto-Romance expression are more marked than in stylistically less calculated discourse samples. The remaining specimens, CX-11 Serm. and CX-12 Simo. from the CX group, and HL-4 Franc, from HL indicate the potential for heavy proto-Romance orientation in the other groups as well. This appears as quite natural for the sermons of Augustinus (CX-11), where the spoken and emotive dimensions of the specific discourse pragmatics favor such a tendency. 24 On the other hand, the historical treatise HL-4, the anonymous Liber historiae Francorum, indicates a considerable lack of group solidarity, since it does not follow the classicistic direction otherwise typical of HL texts. Discourse pragmatics cannot be invoked in this

412

Chapter 8: Verb position

case for explaining this proto-Romance trend as anything other than a genuine proto-Romance stance due to the author's choice or inability to follow the Classical examples for the genre. In other words, HL-4 Franc, proves to be a marginal example of Latinity, in full agreement with its reputation. Its deviation from normative style goes in the direction of the lower register of proto-Romance spoken expression which will surface more clearly a century later in written testimonies. The CX selection of the apocryphal acts of apostles (CX-12 Simo.) can represent a number of attitudes, from para-Biblical expression to proto-Romance position to a pragmatically dictated mixture of the two trends. The text thereby produces a rather close imitation of what proto-Romance could have been at the time. In comparison to the linearization and placement classification of 'best proto-Romance texts1, the list in (30) must be reduced naturally by the four BX members; the other ones, VG-3 Karan., VG-4 Mulo., CX-11 Serm., CX-12 Simo., HL-4 Franc., all belong to the top group. But, as has already been noted (cf. Ch. 5:3.11,13), none of these texts is a particularly good specimen of the linearization conditions regarding free choice of proclisis/enclisis. These more specific aspects of clitic syntax are typologically secondary, chronologically later, and of less importance than the dimensions under discussion here. It is, furthermore, very appropriate that the list (21) contains no text from CL. One of them, the heavy dialog text CL-1 Persa by Plautus, approaches very closely not Romance, but the clearly 'vulgar', i.e. VG, dialog counterpart of the Cena Trimalchionis (VG-1). This similarity confirms rather significantly the importance of discourse pragmatics which determines the expressive means to be employed, including here the sentence types of marked status F and D. In this regard, the early Latin language of comedy and the early Imperial spoken register — both in consciously imitated and literarily ennobled versions — turn out to be very closely related. This is part of the received picture of stylistic layering in Latin. 25 4.5 Internal structure of U, F, and D string clauses In order to better understand the entire evolution, it is worthwhile to consider the three derivation types in their single-text manifestation. For each class of U, F, and D, a

4. Data

analysis

413

median range of variation can be established, with the aim of identifying the texts which exceed such limits. These divergent texts then need to receive some justification f o r their special behavior. For the basic string f o r m U with final verb, the internal distribution of the f o u r options +/+> + / - , - / + , - / - has already been discussed. A straightforward pattern repetition based on a H i g h / M e d i u m / L o w distinction may suffice. 2 6 For all classes of texts, U+/+ has on the average a high value, while only texts C L - 2 Catil., C L - 6 Apul., C X - 5 Hier., H L - 2 Greg, belong to a medium range; no text has a low value. In fact, the high values of these texts are very high in general. The partial R o m a n c e coincidence [+RomVb, -RomCl] is high for CL, but for the other classes medium to low figures prevail by far: V G has Medium for V G - 1 Cena, otherwise Low. For C X , The i m pression is of a medium value on the average. BX, on the other hand, has all texts Low with clear anti-Classical uniformity. Only Classical and emulating texts thus have high values for +RomVb and -RomCl. For the second heterogeneous category of - R o m V b and +RomCl, the picture is not clearly profiled: The two extreme proponents of verb final position (CL-4 Caes., C L - 5 Hisp.) have High as a value, the other texts remaining in CL Medium. VG and CX tend towards Medium or Low. HL resembles CL with only one high score ( H L - 9 Salern.) and four low ones. Not even BX is very distinct, since B X - 3 Samu. is marked as Low, the other three as Medium. A para-chronological trend towards slightly lowered incidence of this - / + combination can be retained. For the totally non-Romance column [ - R o m V b , -RomCl], CL is the f a v o r a b l e class, with M e d i u m and High. VG has High f o r the para-Classical V G - 1 Cena, Low for the spontaneous V G - 3 Karan., and Medium for V G - 4 Mulo. In CX the middle range is accentuated. For HL the trend goes in direction of CL with higher than average presence of such - / - configurations. Finally, BX frequencies are uniformly low for this combination. The salient aspect is the constant importance of U+/+· Second to this is the insistence on variable weight f o r the opposite U - / - , except f o r Biblical language. The option U - / + is least characteristic, having only a general medium profile; the inverse U + / - acquires potential importance for CL but not for the other classes. In this way, the expected

414

Chapter 8: Verb

position

constituency of the combined U f i g u r e can be gauged somewhat in its provenience. In very rough terms, the determining category is U+/+, the other three bringing to the sum only accidentally heavier contributions, with the exception of CL, where the verb-conform but pronoun-discrepant [+RomVb, -RomCl] is also of secondary relevance. In the other two derivation types, F and D, the question of dominant components is much simpler: For F only F +/+ counts at all, while F+/~ may show only an occasional figure entering the range of Medium. Rightward spacing of a pronoun over the verb is not a normal arrangement except for the language of CL-1 Plaut. The suspicion of accented status for such pronouns is rather strong due to contextual reasons, and in view of the foreign behavior of BX texts where the emphasis question could also be raised. 27 The same procedure of L o w / M e d i u m / H i g h classification in D brings to the fore the fact that only D+/+ is ever of determining interest. Only C X - 1 2 Simo. has a high mark. In the upper range of Medium, i.e. 11-15%, one finds only the D+/+ values for V G - 4 Mulo, C X - 4 Peregr., C X - 8 Conf., C X - 1 0 Catech.", C X - 1 8 Wandreg., B X - 3 Samu., BX-4 Anthrop.; all others are lower Medium or actually Low in any of the D options. The upper values for F + / - do not form an interesting pattern for further R o m ance evolution; the same upper echelon for D, i.e. D+/+, throws together texts of good proto-Romance orientation such as CX-12 Simo., V G - 4 Mulo., perhaps C X - 4 Peregr., and rather untypical proto-samples, e.g. C X - 8 Conf., C X 18 Wandreg., in addition to the 'neutral' or irrelevant ones, e.g. BX-3 Samu., BX-4 Anthrop. Thus neither the F + / - nor the D+/+ single arrangement option constitute an important diagnostic field for recognizing proto-Romance tendencies. Attention can now be directed towards the summary values for the comprehensive rows U, F, and D. 4.6 D derivations as a functional constant component Taking first D, a verb in definalized position, it should be recalled that this string form serves mainly to highlight a constituent by placing it in emphatically strong final position of the clause. At the same time, the verb finds itself moved leftward, an effect which could result in one way of approximating the predicate to the pronoun, and of moving the predicate into its Romance position. For the

4. Data analysis

415

class averages, the lack of responsiveness in D has already been noted briefly. A tripartite organization as before, with appropriately a d j u s t e d c u t - o f f points due to the higher values covered under the sums, 2 8 puts all the class averages in the medium range (10 to 18 points). 2 9 The single texts follow this distribution with their actual percentage values for D; cf. T 8 - v (p. 416). The grouping of low values includes the strongest examples of strict verb final position, C L - 4 Caes. and C L - 5 Hisp., and in their wake the classicistic codes of H L - 8 Salica and H L - 9 Salern. The medium classification generally applies to HL, to excellent proto-Romance samples ( V G - 3 Karan., V G - 4 Mulo., C X - 1 1 Serm., H L - 4 Franc.), to good Classical texts ( C L - 2 Catil, C L - 3 Att.), and to the Biblical class BX. The high values belong to two CL selections, CL-1 Plaut, and C L - 6 Apul., and to several CX texts. The lack of p r o t o - R o m a n c e directionality in the percentage distribution of D strings across L o w / M e d i u m / H i g h is sustained in the single text consideration. It is rather the functional dimension of D which can give these figures some meaning. The 'normal' text, in its positive valuation, is the one which neither overuses nor repudiates the definalized verb arrangement. The lower than normal incidence of D leads to the well-known characteristics of pedantic and extremist tendencies proper to C L - 4 Caes., CL-5 Hisp., H L - 8 Salica, H L - 9 Salern that may also be appropriate in historical or narrative texts of low emotivity. In a flat narration, there will be few occasions for placing a given constituent under heavy relief effect. On the other hand, the extensive use of D strings in a Latin context leads to emotive charging of the discourse, employing numerous highlighting structures for greater plasticity of the presentation. Such a characterization is certainly well deserved for C L - 1 Plaut, and CL-6 Apul., i.e. for vivid theatrical dialog and for the rather mannered prose style of Apuleius. The expressive language of the Peregrinatio (CX-4) leads to the same result as the otherwise highly classicistic language of Hieronymus (CX-5). The insistence deployed in the Christian literature of admonishing, proselytizing, or even ecstatic formulation as a fundamental trait of such texts should lead easily into the high frequency of D derivations observed here. The fact that not all such texts actually achieve the high score, e.g. C X - 1 1

416

Chapter 8: Verb position

T8-v

Percentage distribution for D strings Medium (11-20%)

Low (20%) CL

VG

cx

HL

BX

CX-4

Peregr.

26

CX-6

CX-5

Hier.

24

CX-11 Serin.

CX-8

Conf.

26

CX-18 Uandreg.

CX-10 Catech." CX -12 Simo.

26 23

CX-13 Didasc.

27

CX-3

Corr.Cypr.

CX-14 Mart.

10

7 10

HL-2

Greg.

HL-8

Sal ica

2

HL-4

Franc.

HL-9

Salern.

4

HL-7

Andec.

BX-1

Itala

BX-2

Vulg. Luc.

BX-3

Samu.

BX-4

Anthrop.

the Sermones of Augustinus, does not invalidate the correlation. The further variable of sentence length intervenes by affecting the relationship between the three derivation options U, F, D in the +/+ column. The implication of the D distribution is evident: D is not the vehicle of proto-Romance evolution of verb position from final to internal to second and first position. It occurs with higher than normal frequency wherever the rhetorical needs for the focusing effect of this arrangement are high. This condition is fulfilled in all classes in some texts and not in others, thus the rather constant class average profile discussed before. It is true that the only position of relevance for a high overall D result is D+/+, i.e. the string in which the verb and the pronoun are in a position compatible with Romance norms. However, the accidental link between proto-clitic and verb in lefthand position of the clause did not produce a clear crystallization effect of

4. Data analysis

417

fixing the group {cl, V) right away, or of attracting it increasingly to that position. This is shown by the lack of a necessarily high D score for good proto-Romance texts. Definalized strings thus seem to have remained functional for expressive purposes without undergoing grammaticalization or freezing as a new, progressively unmarked SVO order during Late Latin. These facts could not sustain a hypothesis of gradual leftward creeping of the verb, starting from the righthand periphery of the Latin clause to reach its Old Romance clause position. The pure surface effect of an increased approximation to Romance conditions does exist, but it is due to Fronting (free or checked initial verb) and to reduced sentence length. These conditions favor the appearance of U+/+ as a concomitantly Romance and Latin basic normative string form (cf. below 4.9). 4.7 F derivations increase heavily in more spontaneous registers The primacy of F+/+ over F+/- obviates any further distinction between the component values and the sum of F strings. Category F is coextensive with the single slot F+/+· In this view, the high marking of a text for F (same values as for D or U, but fewer contributing categories) can be viewed as more significant than for D, where a number of smaller figures may add up to a total of some weight. First, the distribution of High/Medium/Low for the percentage sum of F is parallel to the D pattern. The class averages fall under Low/Medium for CL and HL (10% and 15% respectively), but for VG, CX, and BX under High (27%, 22%, and 38% respectively). 30 This picture is fully confirmed by the single text distribution in T8-vi (p. 419), where CL has no entry under High, and VG none under Low. CX concentrates on the high side. BX stands out as a special category with its very high ratings for verb initial clauses; as a matter of fact, the questionable member of this class, BX-4 Anthrop., sides this time with a typical CX tendency and does not replicate the excessive verb initial tally of the true Biblical texts. It is also interesting to note the close resemblance in this one aspect between the prose of Hieronymus and his Bible translations BX-2 Vulg. Luc. and BX-3 Samu. The parallelism is not convincing, however, in light of the discrepancy between the respective D ratings: Hieronymus still rates very high,

418

Chapter 8: Verb position

whereas the Bible selections show a moderate incidence of this focussing device. The processes and circumstances bringing about the high use of D and those concerning F are not coextensive. There is no single correlate for the increase in F strings in a given group of texts. One factor has to do with direct address, e.g. in epistolary style and in interactive prose; cf. the letters composing the samples VG-3 Karan., CX-3 Corr. Cypr., CX-5 Hier.; the dialog or fictive dialog nature of VG-4 Mulo., CX-4 Peregr., CX-8 Conf., CX-10 Catech.", CX-11 Serm.; perhaps also CX-12 Simo., CX-14 Mart. This form of discourse contains not only a considerable amount of emotive expressions going beyond simple constituent focusing, which would induce D strings per se, but also outright imperatives and exclamations which tend towards, or even require, verb initial position. In general, F derivations characterize the less strongly controlled texts, those which accept stylistic deviations from Classical norms more readily, i.e. the same texts which show a possible proto-Romance tendency typical of the spoken register. The principle of verb fronting is inherent in Latin syntax, since even in CL the more spontaneous texts (CL-1 Plaut., CL-2 Catil., CL-3 Att.) offer a good medium value for F. The stylistically more artificial (CL-6 Apul.) or unilateral samples (CL-4 Caes., CL-5 Hisp.) have only a low incidence of F ranking: In a SOV language, a verb initial string is highly marked so that the F average can be expected to be low. The high emphatic charge of verb fronting through F is not strictly tied to an identifiable and verifiable content or expressive need, however, as is verb internal position by means of Definalization. Where the incidence of D strings did not lead to grammaticalization of D arrangements in stylistically less controlled texts, the higher rate of F strings, due to emotive disposition of the clause, easily became a procedure isolated from functionality. For a more expressive discourse — e.g. in dialog situations approaching the spoken, spontaneous registers — F began to serve as a distinguishing mark, aided by its grammaticalization in imperatives, presentationals, verbal anaphora, and the like. In the subliminal transition from Latin to Romance taking place in the spoken domain, such a mechanization or freezing of F could happen rather easily as a natural phenomenon. The text constellation of high in-

4. Data T8-vi

%

CL

CX

BX

Medium (11-20%)

Low ( Ο

« Ο

t

-

* S o

ο * —

— S

o

c

«—

S m

CM

ο ο * — S V «

-

»

-

ο

N o

o

Κ Ί Ο Ο * —

CM C\J

φ

§ϊ ο φ

οι

υ «

1 1 Ο

CA

η

α

«- υ Φ

>1

2 8

ΗΜ10

£ i

— C 10

4-» Ο ε

->H

'— O

3 v

Φ

Q

(Λ c

4-»

Ε u

n

C

·—

··-

Μc

*·> c

1 - 3 3 Φ — - Ο Ο Ο η π π ο υ ο υ υ

C Ο)

— (0

ϊυ Έ

ο ο 0) ·— Ο D» υ Ό c I Χ α ·— -r41 Φ Φ φ Η- >+5 Β)

(Λ

(Λ

I

2

591

Predicates admitting CM

Ο *—

ο ο S S «— N S Ο * —

*—

S Ν

ο

ο *— CM ο N S X ' S S Ο Τ - Ο Γ - Μ Γ S S S S S N S O O « O O * —

*— *—

ο

Τ ΓΜ

00 Ν Ο

κι

ο

ΓΜ

Τ-

ο

Ο \ ΓΜ

ο

κι

«—

ΓΜ Ν

Ο

ο

ι—

ο Ο

N

Ο

Ο ΓΜ

Ο

\

CO -Ν ΓΜ τ— Ν

Ο

\ Ο Ν ιη

ο \ ο

*—

ι η

ί -

^

ΚΙ

>» ο . •ο Ν LTI

ο ΓΜ Ν ο

ο Ν • ί Ν ΙΛ

(M s ΓΜ

ΓΜ

Ο

ΓΜ

Μ

ΚΙ \

s K>

S -

< > 1

O — ' O L . ο — < u Ο D O ) — O D O O O "D -μ *π β ? - ' σι C C 3 « o g u Q Q — . Ε C

ο

C —• . C

O

' Q. Q. U1 «

Ο I c α> a . 3 (Λ Μ

u D *J l. ν

< -4 ν» Ο ν ο « • > Ο4 V · * υ Ο .8 ν « > α > u Λ « · £ • μ α > — · ο «- •- Ο C C ίΜ - ε ον 13 «ΙΗ--Π30 < D υ 1 > Ο " Π 4 · Ο _ ί L _ < « 0 «Iα ο τ- Ό«CCjCU4-»4-»V)-QC-C«-» MOi-4)'-(e(SC33(a·— > 1 α< 0 u UDO < D Η - ·»- ·»- ·.- Ε ο Ε i n α α. α. ο.

Predicates > c

r\j

rο

«-

»-

ο Ν

ο Ν

ο Ν

S Ο

S «-

S Μ

ο Ν Ο Χ

ο S Ο S

oo ο

Ο

ο

Τ-

S. ΚΙ

Μ Ν Ο -ί-

ο Ν

α

ο Ν Ο \ ο Ν Ο

ο

co

-4-

Μ

τ—

Χ Ο

Ο >

υ>

ο\ ο S ο

ο >

οχ

_I Ο

ΙΛ s ο

ο

ο

Γ0

>0 ·-

0>

«-

CO

ΓΜ fM

Μ 41 Ο C

Χ U C

·—

λ

> τν C

admitting

CM

593

594

Appendix ν>/

11

κι«—

ru*—

τ-*—

*—

r\ir\i*-*—

in

C «Ν Ο ^ Ο

«'S Ο C\J

ο Ν Ο ^ «-

ο S Ο

ο Ν Ο

ο

«-

CM

τ-

Ν Ο ο

ο

ο

Γ>»

«V Ο

Ν Ο

V

«-

τ-

ο

ο

·«« -

Ο Ν CSJ

CM CM

Ο \

«-

ο ο s ο

«-

ο ο «— «— ο ο

«-

ο Ο

Ν

(Μ

«-

«-

CM Ο Ο

ΓΜ Ο

ο CM

4) Ο

ο ca

•ö ο

> ί

ο ο> αι

—*

ι C ο

ο •Μ ο> C 41 XI Q. υ «ι C ο ο

υ

υ ί- (U ο C C σι 4-* (Α ·»— Τ3 β)

Ο ι_ ^ [ α ο ί4-i Ο ο 4-» ο ^ c • ρ— ·•— ο Ε C C

ο 4-*

—Λ

>

ο C

υ ο ο

L. Ο 4-»

r\j Kl

8. Ο

it

ο « α >> ο— D 4> Ο er l. μ

Predicates admitting > (M

ο

«—

c (A r— ο π s Ν *-> ο Ι- Ο ο

(Μ \ ΚΙ Ν Ο

ιη s ιη νί- Ό ro Ο ν— Γ\Ι ^ ιη κι

ου ι _J 3C

S Μ

sf 1— • X

-Ο ο> Ν I— Ο ^

^

Ν

Ν Ϊ\Ι

Ν-

I

^

Ν Ν Ν

*—

X

(_)

K1> X ο

ι— Ν

ί Ν Ν Ο INJ (Μ CM ^ Ο

rvi 1 X u "Χ

ο

«

ο

(Μ

>

•4· S Ο «0 Μ οο Ν ιο ΙΑ ro Ν

•

13 >

^

(3

Ο-

•s

*—

^

>

Ό

Ο Ν Ο Ν. >4· S κ

ι —J t_)

(Μ

1 -J U

CO •ο

L.

t> σι • r—

ο α 0) Ο Ε Ο 3 ο >1 u> u >

(0 0» ο C π 4-»

Κ «ι 4-» C

>

w C

CM

597

598

Appendix

11 O J K l

>> - >-Μ·-·- Definite article Article, indefinite. -> Indefinite article Articles

Behaghel's Law, 383 Bible article use in, 98-100 Biblical Greek (-> Greek) influence of Biblical Hebrew, 222 Biblical Hebrew influence on Biblical Greek and Biblical Latin, 222 pronoun syntax, 221 Biblical language Greek influence, 218-19 special character, 218-21 Biblical Latin (-> Latin) influence of Biblical Hebrew,

as clitics, 43-45

222, 437-438n

French, 45

pronominal syntax, 222

Greek influence, 107

texts, 145-46

Italian, 43-45

642

Index

of linguistic

terms

Biblical pronoun syntax as a Hebraism, 221-22 Bilingual setting

to-Romance verb and clitic placement, 423 Clitic (-> Categorical clitic;

catalytic effect, 209-10,

Enclitics; Ertdoclitics; ibi

447-49, 495-96n

clitics; inde clitics; Non-

Bill" ngua I i sm

clitics; Proclitics; Proto-

Greek/Latin, 210-11

clitics; Simple clitics; Spe-

as setting for Greek influence

cial clitics; Stressed clitics;

on Latin, 447-49

Subject clitics; Variable clit-

Bound word, 38

ics)

BX. -> Biblical Latin: texts

attachment to host phonological factors, 473-79

c (particle), 229 Carolingian reform effect on text sampling, 212 Case syncretism, 86-87 Categorical clitics (-> Verb) ordering and cooccurrence restrictions, 459 Causative verbs, 290 (-> Verb) use a.c.i., 356 -ce, 117-18n Cena Trimalchionis use of deictics, 98-100 Christian Latin (-> Latin) as normative form, 210-11 texts, 144-45 Chronological picture between Latin and Romance,

syntactic factors, 474-79 types, 474 behavioral traits, 31 cluster order, 499n in early language learning, 492-93 freezing of originally free words into, 467-68 historical evolution, 471-73 and language learning, 491 Latin, 2-3 Modern Romance descriptive categories, 2 morpheme-1 ike behavior, 31 vs. morphemes, 50-51 Old Romance parameter settings, 466

454-56

originate from language spe-

Chronology

cific set of conditions, 469

and text group distribution, 213-18 CL. -> Classical language texts Classical language texts definition, 142-43 Classicistic texts. -> Historical and legal texts Clause delimitation, 166-68

outline of present study, 6-8 parameters specifications, 463-65 primary, 53-54 secondary, 54-55 phonological behavior, 32-33 position, 7-8 primacy of prosody in forma-

Clause dissolution through

tion, 472-73

restructuring, 340-43

primary and secondary parameter

Clause length as factor in evolution of pro-

arrangement, 465-66 prototypical base, 488-92

Index

of linguistic

terms

643

not receiving contrastive or

indeterminacy of linearization,

emphatic stress, 2

455

significance of study, 11

Late Latin prefiguration,

syntactic behavior, 32

300-301, 337-53

syntax. -> Clitic syntax

no Latin counterpart, 301-2

in transformational grammar,

Latin prefiguration

26-27 word character, 50-51 Clitic clusters

derivation types, 332-33 pronoun functions, 330-32 linear order of string types,

internal clustering problem in

315-17

French, 26

Old Romance, 290-301, 357-58,

Late Latin, 350-52

460, 471

Clitic development Latin to Romance, 57-58 Clitic domain, 465 Clitic features Italian, 28-30 Clitic linearization categorization problems, 162-63 Old Romance, 156-62 Clitic movement, 283 (-> Inverse

origin, 69-70 proto-hi story, 450-51 proto-Romance, 319-20 retardation and linearization, 455 reorganization patterns, 316-20 Romance terms of, 471 rule application, 320-322

clitic movement)

semantic approach, 286-88

attestations for V 1

string analysis, 325-26

triple, 371-72n

string types, 323

class average tables, 328-29

structural approaches, 384-86

classifications

structural limits, 298-99

correspondence to derivation

structural tables, 322-24

types, 333

structures

clause level distinction,317-19

development of, 354-55

data analysis, 322-37

transition of Latin into

dependent on extraposition, 453

Romance, 353-60

dependent on TM clitic place-

typical strings, 320-21

ment/linearization, 358-59

Clitic order question, 459

description in Italian, 283-84

Clitic place

direct transition hypothesis behavior of ob.inf, 322-30 elimination from Modern French,

intersection with verb place in Latin/Romance, 400-403 proto-Romance

500n

evolutionary factors,

essential properties, 288-90

423-25

evolution from Old to Modern

Clitic placement, 155, 288

Romance, 299-300

Greek influence on proto-

extraposition strings, 337-38

syntax, 219

frequency tables, 326-27

Late Latin, 408-11

644

Index of linguistic

terms

with nonfinite verbs in Old Italian, 264-65

Combined parameters for clitic placement, 205-7

principles in Latin, 449-50

Complementizer, 47

verb position as determinant,

Componentiality, 34-35, 463-63

377-78

Constituent elements

Clitic piacement/1ineari zati on Ramsden's analysis, 123-31 Clitic pronouns vs. definite article, 90 identical mechanisms for definite article in Latin-Romance, 110-12 placed next to verb, 1 Clitic research

categories, 384-85 Constituent order, 384-87 Continuity as shaping force of linguistic code, 461 Coordinating conjunctions differential effect on following pronoun, 229 'Crazy' syntax, 20n

task of, 55

Crystallization concept, 246

Clitic space, 11

CX. -> Christian Latin: texts

conception of, 462-79 Clitic studies typology, 27 Clitic syntax as extended normal syntax, 471

D string clauses internal structure, 412-14 D strings distribution, 416

Greek, 448-49

as functional constant compo-

subcomponents, 463-68

nent, 414-17

Clitic systems Old Romance poles of functionality and stability, 481 Cliticization

d.c.i., 403-5 Data collection placement classes, 135-36 Dative with infinitive. -> d.c.i. Definite article (-> Article)

evidence in Latin, 77-78

vs. clitic pronoun, 90

general hypothesis, 131-32

development, 70, 101-10

parallel Greek/Latin evolution,

identical mechanisms for clitic

256-57n

pronoun in Latin-Romance,

three stress realizations,

110-12

78-79

nature and function, 102

Cliticness, 52-53 in linguistics, 23-24 in philology, 24 in Romance, 25-26 Cluster formation of pronouns, 351-53

stages of development, 105 Deictic force reduction in Latin, 102 Deictic/accentual reduction optional nature, 89 Demonstrative

CM. -> Clitic movement

outline of, from Latin to

Code switching

Romance, 88-90

in Augustinus, 225

reinforced forms, 89-90

Index of linguistic third person, 76-76 Derivation types correspondence to CM classifications, 333 Derivational affixes, 51 Diachronic approach insufficiency for deciphering protohistory of Romance syntactic traits, 215 Diachronic change new framework, 488-92 sentence length as factor, 423 Diachrony approach to clitics, 5 weakened theoretical claims, 13-15 D i ach rony/synch rony complementarity, 5 Dissolution hypothesis of R strings implications, 343-45 Drift, 461 Early proto-Romance. -> ProtoRomance, early Egyptian Latin (-> Latin) influence, 209 Egyptian papyri influence in linguistic code, 244-45 Enclisis, 2 asyndetic clause connection on the same level, 159 automatization, 278-79 with clitic pronoun attached to sentence initial verb, 157 after coordinating conjunctions et, magis. 157 free, 159-60 in Hebrew, 222 IE, 382-83 in Latin, 24-25, 128 with Latin weak forms, 237

terms

645

near obligatory, 157-58 obligatory, 157 Old Florentine, 180n Old Italian, 157-62 Old Romance, 157-62 optional, 158-59 origin after et, 226-30 with preceding subordinate clause, 158-59 preferential, 159 Enclitic stress rule, 72, 78 Encliticization as minor clitic rearrangement pattern in CM, 317 norm, 164-65 Encliticizing factors for Old Romance, 163-64 Enclitics (-> Clitic) alterations, 73-74 context options grid, 165-66 definition, 23 by nature in second position, 84 subclasses, 71-72 true, 67 Endoclitics (-> Clitic) definition, 23 Eng Ii sh simple clitics, 35-37 ESR. -> Enclitic Stress Rule et vs. -que. 73-74 et-effect, 202, 226-30 of lexically controlled enclisis, 230 in Old Provengal, 248n External necessity and regularity, 480-81 Extraposition and clitic movement, 453 as mechanism for deriving CM string types, 316 preferred process in CM, 337-38

646

Index of linguistic

terms

pronoun class differences in CM, 338-40

Greek/Latin bi Ungual ism, 210-11 Gregorius Turonensis, 100

F strings clauses, 412-14 distribution, 419 increase of derivations, 417-20 facere + infinitive constructions, 367n Finite verb hosts difference to nonfinite verb hosts, 263-73 French articles, 45 pre-18th century CM strings, 361n Frequency profiles

Hebrew, Biblical. -> Biblical Hebrew Hieronymus influence of act of translating, 220-21 language, 219-20 Historical and legal texts definition, 146-47 proto-Romance trend, 199-200 Historical linguistics (-> Linguistics) task of, 487-88 HL. -> Historical and legal texts

as basic information for historical linguist, 483

ibi clitics, 16 (-> Clitic) idem. 118n

Gelenkspartikel, 106-7

igitur. 113n

Geographical dispersion of texts,

i 11 -

212 Givön, Talmy, 'Today's morphology is yesterday's syntax', 238 Graecisms in Imperial Latin, 255-56n Grammatical processes continuity of, 460-61

pre-clitic characteristics, 441-42 ille. 91-101 compared with ipse. 109-110 from deictic to anaphoric pronoun, 88 development compared to ipse.

Grammatical status, 485-88

121-22n

Grammaticality

evolution of, 88-89

absolute relativization of, 486-87 distinguished from regularity, 479 Greek (-> Biblical Greek; Modern Greek) clitic pronouns, 80 clitic syntax, 448-49

as proto-clitic, 134-35 illui as evolving 3rd ps form, 85-86 Imperatives as host verbs, 276-79 Old Italian, 276-78 Imperial Latin (-> Latin) Greek influence, 446-47

importance of influence, 209-11

Impersonal verbs, 303

influence on Latin, 495-96n

inde clitics, 16 (-> Clitic)

loss of stress on enclitics, 81

Indefinite article

unstressed rhythm, 83

in Romance, 104-5

Index Infinitival constructions

of linguistic

terms

647

CM prefiguration, 337-53

Latin, 301-11

pronoun placement/lineariza-

string types, 314-15

tion, 126-27

Infinitival verb forms VB, 2ND, and PRO hypotheses, 275-76 Infinitive Latin types, 302-3, 309-11 Infinitives, pure. -> Pure infinitives Internal necessity and regularity, 480-81

relative position of deictic elements, 95-101 style levels, 443-45 verb position patterns Greek influence, 436-37n verb shifts, 381 Latin (-> Biblical Latin; Christian Latin; Egyptian Latin; Imperial Latin; Late Latin)

Introductory particle c, 229

absolute constructions, 271-72

Inverse clitic movement, 319-20

article evolution, 89-90

string types, 324

auxiliated nonfinite verb

InvCM. -> Inverse clitic movement

forms, 270-71

ipse. 91-101

clitic/non-clitic vacillation,

compared with iIle. 109-10, 121-22n is, 92-93, 100 in Biblical Latin, 109 iste. 91-101 Italian article expression, 105-6 articles, 43-45 clitic movement description, 283-84 clitics' exceptional behavior,

81 context options grid, 165-66 coordinating conjunction effect on following pronoun, 229 CM prefiguration derivation types, 332-33 pronoun functions, 330-32 demonstratives, 91-101 frequency tables, 97 evolutionary stages, 68-69

30-33

forms subject to cliticization,

initial verb, 393-94

76-77

special clitics, 35-37

free word order, 241

verb in second position, 394-96

Greek influence, 447-49, 495-96n

Karanfs papyrus letters as source, 119n

increase in enclisis, 128 infinitive types, 302-3 integration of infinitive,

Language acquisition

309-11

prototypes, 492

linearization, 450, 453

steps for, 488-89

placement principles, 449-50

Language learning, 491 Late Latin (-> Latin)

categorical context formulae, 184-87

article development, 101-10

pronominal clitics in 2P, 84-85

clitic development, 69

pronominal evolution, 89-90

648

Index

of linguistic

terms

pronoun placement transition to Old Romance norms, 236-47 pronoun prosody, 81 relative position of deictic elements, 95-101 three types, 478 verb final evolution to verb second in Romance, 388-92 verb position, 380-81 word order typological problems, 378-80 pronoun placement transition to Old Romance norms, 236-47 pronoun prosody, 81 relative position of deictic elements, 95-101 three types of clitic elements, 478 verb final evolution to verb second in Romance, 388-92 verb position, 380-81 word order typological problems, 378-80 intersection of verb and clitic place, 400-403 form pairs in morphophonological rapport, 3 Latin Stress Rule, 67, 72 univerbation of host+clitic, 78 Learning vs. acquisition, 500-501n Lexicon as clitic class parameter, 54-55 Linearization Latin, 450, 453 not parallel with placement, 182 Old Italian, 267-70

advanced for nonfinite forms, 266-67 Old Romance, 470 procedures in Romance, 456-59 as proclitic or enclitic, 108 Linguistic change conditioned by language acquisition, 488 Linguistic form continuity of, 460-61 Linguistic structures as symbols, 489-90 Linguistic symbols creation of, 489 Linguistics Historical linguistics) new conception of, 487-88 Local clause as base unit for analysis, 135 loro as subclass of special clitics, 41 Loss of accent in cliticization, 78 LSR. -> Latin Stress Rule me (Latin) pre-clitic characteristics, 441-42 MLEX-pairing, 497-98n Modals and CM structures, 288-89 Modern Greek (-> Greek) clitic pronouns, 80 Morphemes vs. clitics, 50-51 Morphology as clitic class parameter, 54-55, 462, 465-67 Native speaker idealized, 487 n.c.i., 305-7

Index of linguistic n.c.i., personal. -> Personal n.c.i. Negative auxiliary verbs in Serbo-Croatian, 49-50 Negative particles non. nec. 259n

Nominativus cum infinitivo. -> n.c.i. Non-clitics (-> Clitic) demarcation of, 468-69

649

Old Romance clitic parameter settings, 466 non-finite verb form use, 264-65 transition from Latin pronoun placement, 236-47

Neutral placement cases function, 231-36

terms

verb position, 393-96 Old Spanish ibi. inde pronouns, 40 linearization conditions, 267-70

as origin of clitics, 469 Non-finite verbs special arrangements, 137-39 Non-finite verb forms auxiliated in Latin, 270-71 Nonfinite verb hosts difference to finite verb hosts, 263-73 Non-optimal grammar, 20n Numerical approximation to categorical distribution, 14

Pali clitic pronouns, 80 Parody of Lex Salica. 68 importance, 120n Particle ordering principle, 84 Particles as clitics, 47 complement!zing and connecting, 230 Particles, verbal. -> Verbal particles

Object/oblique pronouns, 115-16n, 237 Old Church Slavonic clitic pronouns, 80 Old Florentine enclisis with nonfinite forms, 280n Old Italian clitic movement, 290-93 predicates, 293-96

Participial forms VB, 2ND, and PRO parameters, 273-75 Participial structures define own class, 167-68 Pashto clitic placement rule, 41 Passive a.c.i., 305-7 Perception verbs, 290 use of a.c.i., 356

typical for all Old Romance,

Personal n.c.i., 307

296-97

Personal pronouns

clitic placement with non-finite verb forms, 264-65 imperatives, 276-78 TM classes, 157-62 Old Provencal enclisis, 156-62

origin, 78-81 Phonology as clitic parameter, 54, 462, 465-67 PIE as base for clitic pronouns, 80 verb position, 382, 389 Placement hypotheses

650

Index

of linguistic

terms

string definition, 174-76 text class behavior, 178 Placement of clitics chronologically preceded linearization of clitic and host, 204 no parallel with development of linearization, 182 Placement options articles, 44,107-9 Placement rule in Pashto, 41 Placement/linearization effect, 36 Poor clause definition, 352 Predefinition of prefix, 150n Predicates

Pronoun c in contiguity with verb, 337-38 Pronoun function clitic movement, 330-32 inverse clitic movement, 335-37 Pronoun placement/Iinearization Ramsden's analysis, 123-31 Pronoun prosody, 81 Pronoun separation text class behavior, 182-83 Pronoun weakening, 236-37 Pronouns classes in CM, 313-14 as clitics in Latin, 74-76 cluster formation in CM, 351-53 passive approximation of verb to, 235-36 prosodic lowering, 451-52 proto-Romance, 123-31

regrouping according to breadth

Romance formal derivation, 87

of CM variation, 371·73η

separation from verb, 126

Prepositions

true, 67

as clitics, 46-47

two in a string, 350-53

stranded, 48

weakened

Preposizione articolata. 48-49 PRO correlations with VB and 2ND, 231-33 discussion of data analysis, 200-207 Proclisis, 1-2 after a c element, 237

in Latin, 68 Prosodic adjustment enclitic specific, 72 Prosodic behavior Latin pronouns, 78-79 Prosodic lowering of pronoun, 81, 451-52 Prosodic reduction

after ci, rel., and et, 227-29

in clitic formation, 473-79

as basic linearization tradi-

with increasing Romance clitic

tion in Old Romance, 156 categories in Old Romance,

conformity, 133-34 Prosody

160-61

as clitic class parameter, 53,

of object pronouns in CM, 238

462, 465-67

text class behavior, 178-82 Proclitics (-> Clitic) arrangement of Romance pronoun and verb, 237-39 definition, 23

vs. syntax, 473-79 Protodefinition of prefix, 150n Proto-clitics (-> Clitic) change to clitics, 132

Index of linguistic

terms

Late Latin, 441-43n

in Italian, 285

string types, 314-15

as mechanism for deriving

Proto-Romance CM classification, 319-20 VG as, 333-34 Proto-Romance approximations, 243-44

651

clitic string types, 316-17 radical nature of, 342-43 Rheme and Rheme proper definition, 433n Romance

formula for clitic placement,

absolute constructions, 265-66

205-7

a.c.i. survivals, 355-57

tables of best, 207-9 Proto-Romance features internal Latin origin, 211-13 Prototype categorization, 9 Pure infinitives and a.c.i., 308

alloglossic reinterpretation of proto-Romance clitic conditions, 445-47 clitic placement approximation, 411-12 categorical choices, 186 categorical context formulae,

Quantification, 482-85

184-87

-que

formula for best approxima-

vs. et, 73-74 Ramsden, Herbert critique of cliticization theory, 129-31 theory of cliticization, 127-29 Ramsden analysis

tion, 191 Greek influence on protosyntax, 219 definite article development, 101-10 Greek influence on article evo-

of proto-Romance pronouns,

lution, 218

123-31

linearization procedures,

thirteen categories, 124-26

456-59

Ramsden theory suggested improvements, 130-31 Reanalysis through ambiguity, 260-61n Register high-level, 244-45 Regularity of clitic behavior, 479-82 as clitic class parameter, 55 constitution of, 479-82 distinguished from graomaticality, 479 as linguistic force, 461 Restructuring essence of, 340 function of, 334-35

proclitic arrangement of pronoun and verb, 237-39 special clitic behavior, 33-34 verb position approximations, 411-12 verb second evolution from verb final Latin, 388-92 Romance approximation, 182-83 criterion for, 334 Romance attestations emergence of 246-47 Romance cliticness radical transformation of Latin cliticness, 79

652

Index

of linguistic

terms

Sanskrit accent on enclitic pronouns, 81 clitic pronouns, 80 Scalar markings, 483-85

interchange ability, 40, 112 subclasses, 41-42 Spontaneous speech in sample texts, 216

historical directionality of

Squishiness, 487

extremes, 485

StabiIi ty

Scaling algorithms verb position frequencies, 404-5 Scaling marks comparison of texts for clitic placement, 219-20 Scaling procedures for clitic placement, 187-90

and regularity, 479-80 Stranded prepositions. -> Prepositions, stranded Stress adjustment and enclitics, 71-72 Stressed clitic, 58n (-> Clitic) Stresslessness, 34 String analysis

'Scrambling' effect, 340-41, 343

sample clauses for clitic

Second position

placement, 175-76

connected with enclisis, 83-84

Strong pronouns, 31

definition, 168-69

Strong/accented object pronouns,

in Latin, 82-83 string analysis illustrations, 171-74 strong/weak alternation prin-

1 Style level, 213-25 Late Latin, 443-45 Style/register classes

ciple, 170

characterization of, 142-47

syntactic conception, 170-71

choice for existing study,

sed context, 228 Serbo-Croatian negative auxiliary verbs, 49-50 Simple clitic (-> Clitic) definition, 36 in English, 36-37 in German, 37-38 Single accentual word domain formation, 77-78 Somali special clitics, 42-43 Spanish articles, 45 SOV to SVO typology, 425-28

141-42 Styles types of in sample, 216 su.aci-/su.aci+. 348-50 Subject accusative omission in a.c.i., 308-9 Subject clitics, 16 (-> Clitic) Subordinate infinitival clauses, 69-70, 271, 304-5 with causative and perception verbs, 356 group /1c/, /cl/ specific to, 353-55 Latin, 302 omission of subject accusative,

Special clitic syndrome, 460

308-0

Special clitics (-> Clitic)

passive. -> Passive a.c.i.

not distinguished from non-

and pure infinitives, 308

clitic counterparts, 42

and restructuring, 334-35

Index survivals in Romance, 355-57 with verba imperandi, 365η Surface change, gradual

of

linguistic

terms

653

Three term system hic/iste/ilie. 92 TM. -> Tobler-Mussafia law

vs. abstract discontinuities,

TN. -> Technical discourse texts

245-46

Tobler-Mussafia law, 25, 69, 123

Syllabicity adjustments, 34 Symbolizations definition of use, 112n

classes for clitic linearization, 156-62 clitic placement/Iinearization

Synchronic weakening, 15-16

CM dependency on, 358-59

Synchrony

derivation, 456-59 major statements, 148-49n

approach to clitics, 5 Synch rony/di ach rony complementarity, 5, 495 Syntax as clitic class phenomena, 53-54, 462-468

Tobler's law, 25 Translating effect on use of Latin pronominal syntax by Hieronymus, 220-21 Transparency Principle, 18n, 480,

Technical discourse texts definition, 143-44 Text class behavior

497n True enclitics. -> Enclitics, true

placement hypotheses, 178

True pronouns. -> Pronouns, true

proclisis, 178-82

Typological harmony, 430-31n

pronoun separation, 182-83

Typological statements

Text class differences, 87-88 Text classes

value of, 239 Typology of basic word order

characterization, 152n

as explanation of VB adoption,

choice for existing study,

237-40

141-42

problems, 378-80

Text identification guidelines, 147 Text selection criteria for inclusion, 139-41 Texts

U derivations percentages of component strings, 422 U string

chronological list, 140-41

derivations as main stay, 429

data description, 177

short clauses, 420-23

PRO sea lings, 201-5 VB sea lings, 196-200 2ND sealings, 191-196 Theme and Theme proper definition, 433n Third person pronoun evolution from Latin to Romance, 85-86

U string classes internal structure, 412-14 UNITYP, 10, 11-12, 18-19, 430-31n resemblance with present study, 64n Univerbation aspect, 54 Univerbation of host plus clitic, 78

654

Index of linguistic

terms

Unstressed pronouns

proto-Romance evolutionary factors, 423-25

in object function, 131-32 Unstressed words in second position, 83

Verb shifts Late Latin, 381 Verbal basis (Verb based place-

V^ class composition, 346-48

ment)

Variable clitics, 39-41 (->

correlations with 2ND and PRO,

Clitic)

231-33

VB. -> Verbal basis

extensionsover 2ND, 241-43

Verb fronting

differences between classes and

Late Latin, 69, 380-83 Verb hosts differences between finite and non-finite, 263-73 Verb phrase

chronological strata, 196-200 as hypothesis for Old Romance, 155-56 intersection with 2ND, 240-41 transition from 2ND, 233-34

dependent placement hypothesis,

Verbal particles, 47-48

452-53

Verbal simple clitics, 38-39

Verb place transition Latin to Romance, 388-92 Verb placement

Verbs (-> Causative verbs) accept pure infinitive in Latin, 303

Late Latin, 408-11

causative. -> Causative verbs

summary, 428-29

in definalized position

Verb position

derivations, 414-17

classification with example

leftward movement, 392n

clauses, 402

passive approximation to pro-

derivation path Latin to

noun, 235,36

Romance, 455

perception, 290

dominant string types

separation from pronoun, 126

+/+ configurations, 407-8

VG. -> Vulgar langauge texts

U derivations, 406-7

Vulgar language texts

final, initial, medial, 397-99 Greek influence on Late Latin, 436-37n initial, 381-84 grammaticalization of, 424,

definition, 144 as proto-Romance, 333-34 Vulgar Latin nature of documentation, 152n Vulgar Latin problem, 4, 144, 444

451 intersection with clitic place

W. -> Wackernagel's law

in Latin/Romance, 400-403

Uackernagel's law, 25, 67

Latin, 380-81

abandonment of, 374-75n

medial, 381-84

claim as rhythmical principle,

normalization of verb initial

82

pattern, 453-54

Latin, 457-58

Old Italian, 393-96

Index relevance to 2ND scalings, 195-96 Romance, 457-59 syntactic considerations, 72-73 as syntactic principle, 82-85 Ualbiri special clitics, 42-43 Weakened pronouns. -> Pronouns: weakened

of linguistic

terms

655

2ND correlations with VB and PRO, 231-33 intersection with VB, 240-41 transition to VB, 233-35 VB extensions over, 241-43 2ND scalings for clitic placement, 191-96 2P. -> Second position

Index of names

657

Index of names

The index registers the occurrence of authors' names (from the bilbiography) throughout the text and notes. Joint authorships are treated as entries distinct from the individual names. Items from the bibliography (p. 609-639) which are quoted only in App. 2 - d (p. 516-518) are not included in this index.

Abel 91-2,96,99,107-8,116,118, 120,153,218,258,449 Abelson. -> Schank and A. Adams, J.N.

85-6,117,150,255,

381,384,386,388-9,430-2,496 Aebischer 98,101,103,106-7,109110,119,121 Ahlquist 255

Blasco Ferrer 61 Blass and Debrunner 119-20,257, 438 Bolkestein 364,366 Bonfante 256 Borer xxi Bossong 20,238,260-1,375,390-1, 426,429-30

Aissen and Perlmutter 361

Boström 21

Akmajian, Steele, and Uasow 499

Bouvier 105,119

Allen 73,77,113

Brandi 21

Andersen 20,261,497

Brettschneider and Lehmann 10

Anglade 117

Brooks 9,20,488

Antinucci and Cinque 458

Brown 255

Anttila 260

Browne 63

Ashby 21,260

Browning 256

Ava 11e 120,212,262

Buck 114,116 Burger 147

Badia Margarit 21

Burrow 80,114

Baldinger 375,433

Burzio 393

Bastida 59 Bates and MacWhinney 12,20

Calboli 306-7,311,364-5,430,496

Battaglia and Pernicone 58

Calderini 85,87

Bauer and Leander 258

Campanile 256

Beaudoin 257

Carroll, Bever, and Pollack 20,

Beckmann 120,148-50,212 Beitanger 117

486,500 Castelfranchi and Parisi 363

Benincä and Vanelli 21

Castellani 58,157-8,280

Berretta 358,363

Cedergren and Sankoff 20

Berschin 257

Chamberlain 367

Beszard 87

Chamberlain and Saltarelli 367

Bever. -> Carroll et al.

Chen and Hsieh 246

658

Index of names

Chenery -> 247 Coleman and Kay 4,9 Comrie 20 Cooper and Ross 487 Corbett 117 Cordin 21 Cosen'u 10,12,256,433,488,496,500 Costas 497 Danes 385,430 Dardel 391-3,430 Dardel and Haadsma 389,393,430 Dauzat 119 Debrunner. -> Blass and D., Hoffmann and D., Schwyzer and D. Delbrück 82,115 Devine and Stephens 496 Devoto 153 Dietrich, K. 497 Dietrich, W. 496 Dinnsen 59 Dionisotti and Grayson 149,160 Dover 436 Dressier 74,256,430-1 Ebeling 436 Ernout 113 Ernout and Thomas 73,92,113,116, 430 Fischer 436 Fornaciari 58 Foulet 149,393 Friedrich 431 Funcke 116-7 Galambos 382,386,390,430,432 Galet 13,361,500 Garni IIscheg 106-7,119 Garcfa 363 Garcia de la Fuente 257 Garde 58 Garver and McKenzie 279

Gazdar, Pullum, and Sag 499 Geisler 108,391,428,430 Gildersleeve 73-4,113-4,302-3,364 -365 Gippert 302,364 Giv6n 10,20,239,430,497,500-501 Gleitmann and E. Wanner 12,20,488 Goelzer 117,438 Grayson. -> Dionisotti and G. Greenberg 19,103-5,388,427,430 Grether 258,438 Grevander 117,255 Guiter 147,150 Haadsma. -> Dardel and H. Haag 117 Haida 117,386,430 Hale 61 Ηamp 23 Harris 260,390,430,432 Hawk i ns 20,378,384,390-1,427,430431,433 Hedfors 117 Heger 465 Herman 304,393,430 Herzog. -> Weinreich et al. Hetzron 59,498 Hewson 103,119 Hilty 21 Hirt 80-1,83,103,108,114-5,119-20 Hock 385,430,432 Hoffmann and Debrunner 257,497 Hofmann 147 Hofmann and Szantyr 73-5,80,107,113,115-7,119-20, 256,280,303-6,364-5,382,388, 430-2,496 Hörmann 12,19 Hritzu 438 Hsieh. -> Chen and H. Humboldt 19 Immisch 256,496

Index of names Jackendoff 434 Jaeggli xxi Jannaris 256,497 Janson 113,115 Jeanneret 86 Jeffers and Zwicky 26,499 Jennings 86,117 Jernej. -> Regula and J. Johannessohn 257,438 Joseph 256-7,261,497 Kahane and Kahane 257 Kaimio 255,496 Kaisse xxi,27,468,499 Kalitsunakis 256 Kay. -> Coleman and K. Kayne xxi,361,363,374 Kieckers 115,256,436 Klavans xxi,18,27,63,468,500 Knobloch 19-20,486 Kok xxi,361 Kol I 98,142,150,258,380-1,384,386 -388,430,432 Krahe 80 Krashen 501 Kretschmer 257,496 Kroll 310,364,381 Kuen 21 Kukenheim Ezn 148 Kuryfowicz 81 Kurzovä-Jedli£kova 91-3,95-6,102, 107,116-9 Labov 246 (-> Weinreich et al.) Lakoff, G. 9-10 Lakoff, R. 366 Lambert 258,438 Langacker and Munro 363 Lapesa 102,105,119-20 Lass 12,20,111,430,487,494,497,500 Laum 24 Lausberg 103,119,261,461 Lawton 147

659

Leander. -> Bauer and L. Lehmann, C. 10-1,18,65,120,122, 246,259,389,430 (-> Brettschnei der and L., Seiler and L.) Lehmann, U.P. 389,430,432 Lepschy 363 Lerch 107,119,148,475,499 Leumann 71-2,77,82,113-4 Lewandouski 23 Lightfoot 5,18,20,261,390,430-1, 461,480,488,497 Linde 150,380,323-3,386,430,432 Lindsay 73,77-8,113-4 Ljungvik 496 Lloyd 144,444 Lo Caseiο xxi,58 Löfstedt, Β. 86,91,93,95,116-7, 120,142,153 Löfstedt, Ε. 105-6,114,119-20, 152,256-7,496 Löfstedt, L. 119,121 Lombard 58 Lommatzsch 255 Lot 152 Lujän 285,360-1,364 MacWhinney. -> Bates and Μ. Maraldi 364 Marouzeau 23-4,241,382-3,398,430-1 Marti. -> Segre and M. Marx 152 Mayrhofer 80,114 McKenzie. -> Garver and M. Meader and Wölfflin 107,117 Meershoek 257 Meillet and Vendryes 81-3,115 Mel ander 58,148,475,500 M0nard 361 Menöndez PidaI 248 Miriz 124,148,150,156-9,162,248, 250 Meyer-Lübke 25-6,108,119,121,148, 247,249,499

660

Index of names

Mihevc-Gabrovec 256 Miller 309-10,364,430 Μ i rambeI Mohrmann 152,223,257-8 (-> Schrijnen and M.) Moignet 361,393 Monaci 279 Monge 363 Montgomery 147-9 Moreno 61 Moreux 150 Moser-PhiItsou 80 Moulton 257 Muldowney 436 Müller 147 Müller-Marquardt 87,116,430,433 Munro. -> Langacker and Μ. Mussafia 25,58,156-9 Musurillo 438 NapoIi 58,286-8,297,358,360,362-3 Naro 261 Naudeau 110,114,119 Neue and Wagener 116 Niculescu 21 NiIsson-Ehle 62 Norberg 73,114,142,152,364-5,367 Norden 152,386 Ostrowski 122 Otero 150,306,363 Palmer 153 Panhuis 384-5,387,391-2,397-8, 430,432-3 Parisi. -> Castelfranchi and P. Pearce 62,361 Pei Pepicello 364,366 Perlmutter 25,59,361,498 (-> Aissen and P.) Pernicone. -> Battaglia and P. Petitot-Cocorda 246,426,461

Pf ister 256,496 Pighi 255 Pike Pi I linger 364,366 Plater and White 117,257,438 Politzer 110,117 Politzer and Politzer 86 Pollack. -> Carroll et al. Psaltes 257 Pulgram 152,218 Pullum 499 (-> Gazdar et al.) Quicoli 361 Ramat 104,430,433 Ramsden 3,7,26,40,124-31,148-51, 155 - 63,247,267,274,277,364,382, 386,430,432 Regula and Jernej 58 Reichenkron 152,496 Reiter 63 Renzi 105-8 Renzi and Vanelli 21 Richmond 73,114 Richter 386,430-1 Rivas xxi,27,63,361 Rizzi 58,285,287,361-2 Rohlfs 58,141,152,280,497 Roldän 363 Romaine 20 Rönsch 101,120-1,153 Rosch 9,20,488 Ross. -> Cooper and R. Ruggieri 107-8,119 Sabatini 119,262 Sag. -> Gazdar et al. Said Ali 249 SaI onius 107,117,120,364 SaltarelIi 58,362 (-> Chamberlain and S.) Sampaio Döria 249 Sankoff. -> Cedergren and S.

Index of names Sankoff and Cedergren 20 Santangelo and Vennemann 59 Sapir 427,461 Sasse 260,390,430 Schänk and Abelson 501 Scherer 77,113,280,303,305,308-9, 364-6,382,398,430-3 Schiaffini 39,64,148-9,157-8,250, 279-80,434,456 Schöll 24,72 Schrijnen 152 Schrijnen and Morhmann 117,306, 365 Schwyzer and Debrunner 82,115, 256,438 Segert 258,438 Segre and Marti 279,363,394,434 Seiler 10-11,19,64,120,375,430, 432,443 Seiler and Lehmann 19 Seiler and Stachowiak 19 Selkirk 35,63 Serbat 431 Sgall Skali&a 430,432 Sonrner 92,94,113-4,116-7 Sorrento 59,156-9 Spiess 21 Stachowiak. -> Seiler and S. Stammerjohann 23 Steele xxi,18,27,63,498-9 (-> Akmajian et a I.) Stephens. -> Devine and S. Stevens 60 Strozer xxi,63,361-2 Sufier 361,363 Süss 153

661

Tekav£i£ 58,86,88,91,93,106,116 -117,119-21,380,430 Thielmann 303,364,367 Thorn 461 Thurneysen 148,430,432 Tidner 438 Tobler 25,148 Togeby 147 Trager 91,95-6,108,116,118,120 Turner 255 Uddholm 86-7,117 Ulleland 26,59,147,150,156-9,248 -251,280 Väänänen 74-5,85,91,114,116-7, 119,142,386,430 Van Tiel-di Maio 58 Vanelli. -> Benicä and V., Renzi and V. Vendryes. -> Meillet and V. Vennemann 375,389,391,427,430-2, 461 (-> Santangelo and V.) Vincent 261 Vineis 117,257

Svennung 93,105-6,117,119 Szantyr. -> Hofmann and S.

Wackernagel 25,77,82-3,103,113, 115,119-20,256,430,432 Wagener. -> Neue and W. Wales 364,366 Uandruszka 238,260,375,433 Wang 246 Wanner, D. 12,29,58-9,62,71-2, 114,150,156,158-9,248,256,260, 269,278,280,363,500 Wanner, E. -> Gleitman and W. Warburton 248 Wasow. -> Akmajian et al. Watkins 430

Tagliavini 436 Taylor 116-7,121 Tegey xxi,27,61,63-4

Weinreich, Labov, and Herzog 20 White. -> Plater and W. Wiese 434 Wilkins 436

662

Index of names

Wirth 257 Wölfflin. -> Header and W. Wolterstorff 119,121 Woodcock 73,113,280,303-4,364-5 Wright 152,495

Zgusta 256,448,496 Zubizarreta xxi,361 Zunthor 212 Zwicky 23-4,26,36,38,60,63 (-> Jeffers and Z.)

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Empirical Approaches to Language Typology

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Edited by Professor Georg Bossong, University of Munich Professor Bernard Comrie, University of Southern California, Los Angeles

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Armin Schwegler

Analyticity and Syntheticity A Diachronic Perspective with Special Reference to Romance Languages 1987.14.8 x 22.8 cm. Approx. 280 pages. Cloth. ISBN 311011245 0 (EALT 6) This study deals primarily with the theory of language change, language classification and the question of "drift". A fruitful analysis of typological change requires that the concepts synthetic and analytic be applied only to speech units and not to entire languages. Understood as rough measures of the overall morphemic interdependency of speech units, these concepts are applied to the evolution of Romance morphosyntax in an attempt to plot the general direction of movement of a speech unit (from analytic to synthetic or from synthetic to analytic) over its recorded history, rather than to calculate the exact location of speech units along the analytic/synthetic axis at any given point. The set of principles formulated here may well have universal extension. One of the most intriguing facets of the cyclic movement from analysis to synthesis is the origin of these changes, and in the last chapter, answers are sought to the long debated question of why morphological structures of languages appear to drift back and forth between these two poles.

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mouton de gruyter Berlin · New York · Amsterdam

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Empirical Approaches to Language Typology Edited by Professor Georg Bossong, University of Munich Professor Bernard Comrie, University of Southern California, Los Angeles Paolo Ramat

Linguistic Typology 1987. XII, 244 pages. Cloth. ISBN 311010678 7 (EALT l) Emma Geniusiene

The Typology of Reflexives 1987. XX, 435 pages. Cloth. ISBN 311010677 9 (EALT 2) Dieter Wanner

The Development of Romance Clitic Pronouns From Latin to Old Romance 1987. XXXVI, 662 pages. Cloth. ISBN 311010847 X (EALT 3) Ann M. Cooreman

Transitivity and Discourse Continuity in Chamorro Narratives

1987. X, 246 pages. With 7 illustrations and 33 tables. Cloth. ISBN 311 011307 4 (EALT 4) Brian George Hewitt

The Typology of Subordination in Georgian and Abkhaz 1987. Approx. 290 pages. Cloth. ISBN 311010709 0 (EALT 5) Armin Schwegler

Analyticity and Syntheticity A Diachronic Perspective with Romance Languages. 1987. Approx. 280 pages. Cloth. ISBN 311011245 0 (EALT 6]

Special Reference

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mouton de gruyter Berlin · New York · Amsterdam