BABEL-AFIAL Nº 6 by Babel AFIAL

A.F.I.A.L

N° 6- Otoño de 1997

UNIVERSIDADE DE VIGO

DIRECCIÓN Elena de Prada Creo (Universidad de Vigo) SUBDIRECCIÓN Cristina Larkin Galiñanes (Universidad de Vigo) Beatriz Figueroa Revilla (Universidad de Vigo) COMITÉ DE REDACCIÓN Enrique Alcaraz Varó (Universidad de Alicante) Carlos Buján López (Universidad de Santiago de Compostela) José Luis Chamosa González (Universidad de León) M a Ángeles de la Concha Muñoz (UNED Madrid) Francisco Garrudo Carabias (Universidad de Sevilla) Pedro Guardia Masó (Universidad de Barcelona) Ramón López Ortega (Universidad de Extremadura) Félix Martín Gutiérrez (Universidad Complutense de Madrid) Manuel Míguez Ben (Universidad de Santiago de Compostela) Rafael Monroig Casas (Universidad de Murcia) Catalina Montes Mozo (Universidad de Salamanca) Patricia Shaw (Universidad de Oviedo) José Siles Artés (Universidad Complutense de Madrid)

BABEL-AFIAL N° 6; Otoño de 1997 EDITA Servicio de Publicacións da Unlversidade de Vigo Campus Lagoas-Marcosende 36200 VIGO. España IMPRIME Aroprint ISSN 1132 - 7332 DEP. LEGAL C - 1539 - 1997

EDITORIAL

Dende a posta en marcha efectiva do Servicio de Publicacións da Universidade de Vigo no ano 1996, o obxectivo prioritario foi cubri-las necesidades de publicación, tanto docentes como investigadoras, dos profesares desta Universidade. Transcorridos xa case dous anos, podemos sentirnos razoablemente satisfeitos do labor realizado pois, a pesar das dificultades que cada actividade nova leva, conseguíronse publicar preto de trinta títulos. A política editorial do Servicio estivo baseada en dous prinCIpiOS: igualdade e calidade. O principio de igualdade garantiuse aceptando a publicación das obras solicitadas con total independencia de quen fora o autor, e a calidade buscouse facendo que cada traballo publicado fose revisado ó menos por dous expertos no tema, que, no caso das monografías, foron sempre aneas á Universidade de Vigo. A revista Babel é un dos compromisos asumidos, senda o presente número 6 o segundo xa editado por este Servicio. É unha revista de calidade con prestixio no ámbito da Filoloxía Inglesa e Alemana, calidade conseguida gracias, sen dúbida, o bo labor da Dirección da revista, a quen, dende o Servicio de Publicacións queremos expresar o naso desexo de continuidade e mellara constante da edición.

Manuel Vázquez Vázquez Director do Servicio de Publicacións Universidade de Vigo

Índice

La Adquisición y el Desarrollo de Destrezas y Competencia Lingüísticas y Comunicativas en Lenguas Extranjeras en la ESO C. Scott-Tennent............

A Study ofFinite Complementation in late 14th Century English Isabel Moskowich........ 25 An Introduction to the Presence and Influence of the Seventeenth-Century Spanish Novel in the English Restoration Period Jorge Figueroa Dorrego....................................................................

Poetry in Patois: Applying a Sociopsychological Approach to the Analysis and Interpretation of British AfroCaribbean Poems Mercedes Bengoechea......................................................................

Virginia WooIrs "Monday or Tuesday": An Approach Laura Lojo Rodríguez

107

La Importancia del Lenguaje. El doble Discurso Ético-Político en la Obra de J. Stuart MilI Cristina Caruucho Michinel

123

Wer einmal aus dem Blechnapf fri13t... Una Proyección Autobiográfica María José Corvo Sánchez

135

Reseñas y notas Las Versiones de los Términos "Blanca", "Maravedí" y "Real" en las Traducciones a la Lengua Inglesa del Lazarillo de Tormes Beatriz Ma Rodríguez Rodríguez...................................................... 155

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La Adquisición y el Desarrollo de Destrezas y Competencia Lingüísticas y Comunicativas en Lenguas Extranjeras en la ESO C. Scott-Tennent Universidad Rovira i Virgili

Acquisition has become the key concept in the teaching and learning of foreign languages. Although this activity is now usually carried out with several aims in mind, the main one is undoubtedly to provide the learner with a (long-lasting) capacity to participate in real ("authentic") cornmunicative transactions. AH widely accepted contemporary models of language acquisition point to the same three fundamental elements within the process: input, interaction, and output. The differences lie in their interrelation and the role attributed to each of them. The following article aims to specify aH this, paying particular attention to the metalinguistic (ancl/or metacornmunicative) component of the input, and to the question of focussing on form or meaning. Finally, aH this is related to a specific context, the ESO (new Spanish compulsory comprehensive secondary education).

INTRODUCCIÓN Cuando se pregunta a los integrantes de nuestra comunidad educativa (profesores, padres, alumnos, etc) cuál debe ser la finalidad de la asignatura (o área del currículo) designada con la etiqueta de "Lengua Extranjera" (o en algunos casos "Idioma"), suelen pensar en "aprender el idioma". Piensan, por lo tanto, más que en un proceso, en un resultado deseable: el dominio de la LE por parte del alumno. Algunos profesionales que imparten esta materia responden: "la adquisición de la LE". Ciertamente, a partir de las teorías de Krashen, el término "adquisición" se emplea más para designar una capacidad comunicativa duradera y aplicable en transacciones comunicativas reales o auténticas: esta capacidad se considera más conveniente que los conocimientos (teóricos) acerca de la LE.

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Sin embargo, actualmente nos ocupa cada vez más la puesta en práctica de los proyectos de reforma educativa, en los que el "Diseño Curricular" (1989) desempeña un papel central de puente que nos lleva desde la declaración de principios generales definidos en el "Marco Curricular" (1986) hacia las actividades concretas de enseñanza/aprendizaje. Cuando se lee este documento por primera vez, la impresión general del lector es de sorpresa ante la variedad de objetivos que se plantea en el área curricular de "Lengua Inglesa": la riqueza de este aprendizaje será un hecho aunque sólo se cumpla una parte de estos objetivos. De entrada, se establece la prioridad de los objetivos educacionales sobre los instrumentales. Se pretende desarrollar la personalidad del discente, sus actitudes y valores sociales y educativos, su receptividad al mundo exterior, su perspectiva cultural, su participación en el proceso educativo y social, y también su autonomía intelectual, creatividad, capacidad de procesar información, y su capacidad comunicativa. La mayor parte de estos objetivos se encuentran en el resto del currículo (la unificación de criterios tiene como finalidad canalizar un esfuerzo concertado de todo el proceso educativo). Pienso, como muchos, que son objetivos factibles dentro de esta área curricular. Ahora bien, la novedad más destacable es que el desarrollo de la capacidad comunicativa del discente es un objetivo entre varios. Pero cuando se debate la importancia relativa de estos objetivos, casi siempre surge un consenso en el sentido de que, si bien todos ellos deben figurar en el Diseño Curricular, éste es el único cuya consecución resulta prácticamente imprescindible. Es inconcebible un aprendizaje denominado "Lengua Inglesa" que no resulte en una adquisición de ésta en mayor o menor grado, de una forma u otra. La adquisición de las lenguas, y sobre todo no propias (Ln), ha sido una de las grandes cuestiones en el campo de la psicolingüística y de la lingüística aplicada; especialmente durante la década pasada, cuando un gran número de especialistas -algunos del máximo prestigio- se centraron en este tema, dando lugar a abundantes estudios y publicaciones. Este tema siempre estaba presente, de forma más o menos directa, en congresos, cursos de postgrado, etc. Como resultado de todo este proceso surgieron diversas teorías de la adquisición de Ln, algunas de ellas opuestas entre sí. Pero podemos señalar tres elementos primordiales que figuran de forma prominente en los mo-

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delos más aceptados; las diferencias radican en la interrelación que se les atribuye, y el papel de cada uno de ellos. Se trata del "input", la interacción y el I/output". Parece conveniente definir y delimitar cada uno de estos elementos (en el orden arriba señalado), para poder exponer con mayor claridad las consideraciones al respecto.

1. EL PAPEL DEL "INPUT" "Input" es un término que, en el estudio de la adquisición de Ln, se refiere a la totalidad de datos que recibe el discente. En determinadas modalidades de enseñanza y aprendizaje (E-A), la mayor parte de estos datos ha sido información explícita referida al sistema formal de la Ln; a menudo, expresada por el profesor y recibida por el discente mediante su propia Ll. Esta composición proporcional del input tiene varias desventajas. Por una parte, el estudio intensivo de la forma lingüística resulta en una menor cantidad global de input (textual) recibido por el discente en cada sesión, y además tiene el efecto de desviar su atención del significado. Por otra parte, la secuencia siempre prescriptiva de presentación de esta información excluye una opción que actualmente se considera fundamental para el discente: la de seguir su secuencia y ritmo óptimos personales de adquisición. Algunos especialistas lo expresan en la actualidad como "syllabus interno", y se conocen los efectos de la disparidad entre este syllabus interno y el externo (prescriptivo ).1 Como resultado de una progresiva concienciación en cuanto a estas desventajas, y también en cuanto a la existencia de mecanismos internos naturales (genéticamente heredados) metalingüísticos y metacomunicativos (potenciadores de destrezas comunicativas), surgió la teoría de adquisición de Ln -muy influyente y prestigiosa- liderada por Krashen (1983): el "Enfoque Natural", en la que el mecanismo de adquisición se basa exclusivamente en una intensa atención (consciente) al significado. Al descifrar éste, el discente descifra también subconscientemente la naturaleza del código lingüístico y su sistema. Según esta teoría, entonces, los únicos requisitos para la adquisición de una lengua serían un input comprensible de Ln (que podría ser metalingüístico, pero generalmente no lo es) y la voluntad por parte del discente de comprender las ideas, opiniones o sentimientos transmitidos en este input.

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Pero, como sucede tantas veces a lo largo de la evolución de cualquier ciencia, para salir de un paradigma se requiere otro muy opuesto; el cual, una vez aceptado, posteriormente se matiza, concluyendo el proceso en un punto intermedio situado entre ambos paradigmas (el nuevo y el previamente existente). En este caso concreto, el resultado de este proceso es que la postura más aceptada actualmente sea la expresada por Long (1985:10), referida a la eficacia en la adquisición: .., está demostrada la necesidad de un input comprensible pero no que éste sea por sí solo suficiente para la adquisición de la lengua más bien existen indicios sugerentes de que no lo es a menos que estemos dispuestos a tolerar niveles bastante limitados y ritmos lentos de adquisición oo'

.oo

oo.

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En el mismo artículo, señala algunas carencias producidas por la ausencia total de input metalingüístico explícito y la atención exclusiva al significado. Aduce la alta probabilidad de que el discente, bajo estas condiciones, no llegue a adquirir: (a) las expresiones que no necesite de forma imprescindible para entender los mensajes recibidos por él o expresar los que desea transmitir, (b) las expresiones que no existan en su propia Ll, ni (c) las formas que no destaquen perceptualmente. Y añade que, aunque un componente metalingüístico o metacomunicativo del input no pueda variar el orden de la secuencia de adquisición, sí puede acelerar el ritmo de esta secuencia. Sobre la manera en que podría suceder esto, EIlis (1985:235) recoge las hipótesis más relevantes: (a) la de Seliger (1979), según la cual el conocimiento explícito de una regla pedagógica puede facilitar tanto la asimilación de la regla para cuando el discente esté en condiciones de asimilarla, como la utilización de formas ya parcialmente asimiladas; y (b) la de Stevick, (1980) quien, al igual que Krashen, atribuye la adquisición a la experiencia comunicativa del discente, pero añade que este proceso puede ser parcialmente apoyado por material recientemente almacenado en la memoria (secundaria). Hay que puntualizar que este material no sólo puede consistir en "reglas" (abstracciones de las relaciones sistemáticas internas de la lengua), sino también en "fórmulas" (expresiones fijas que se utilizan sin someterlas a ningún tipo de análisis); ya que algunos discentes, sobre todo en los ini-

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cios de la adquisición, prefieren empezar almacenando en la memoria, y utilizando, estas "fórmulas" (contrariamente a lo que piensan muchos docentes), antes de procesarlas para posteriormente integrarlas como parte de su desarrollo gramatical? Así, pues, la corriente principal de investigación parece apoyar la inclusión de un input metalingüístico o metacomunicativo; aunque nunca como base o motor del proceso de adquisición, sino más bien en un papel de catalizador del mismo. Si bien este tipo de input no puede inducir la adquisición, la puede favorecer, además de concienciar al discente respecto a la existencia de fenómenos generalizables (aplicables en una cierta gama de situaciones); y además satisfacer alguna posible curiosidad analítica. Pero este input, lejos de ser exhaustivo, tiene que ser muy selectivo (en cuanto a qué, cuánto, cuándo y cómo se introduce). Además, lo más importante no es centrar la atención en el significado (como, p.ej., recomienda Krashen), ni en la forma (como, p.ej., los enfoques estructuralistas anteriores); sino en las relaciones entre ambos aspectos y los procesos y destrezas cognitivos. En consecuencia, es conveniente que la información explícita metalingüística o metacomunicativa sea aportada en el mismo momento en que el discente tenga necesidad de ella para llevar a cabo un acto comunicativo o cognitivo real, resaltando así la naturaleza orgánica de la gramática, y evitando atribuirle un carácter mecánico? Si se acepta que el input no-metalingüístico constituirá la mayor parte de la totalidad de datos recibidos por el discente, es lógico suponer que la naturaleza y calidad de este tipo de input influirá notablemente en su adquisición de la Ln. Según exponen Brinton y otros (1989:3): Puesto que el input que posibilitará la adquisición de la lengua tiene que incluir elementos nuevos potencialmente adquiribles, la comprensión de los textos se consigue con la ayuda de 'pistas' facilitadas por los contextos situacionales o bien verbales. Éstas intervienen y se interrelacionan con el conocimiento imperfecto que tiene el discente de la lengua, y con su conocimiento del mundo y sus expectativas. Las asociaciones de forma y significado necesarias para una buena comprensión posteriormente entran a formar parte de un repertorio acumulado de relaciones formales, funcionales y semánticas en constante evolución a medida que el discente adquiere nuevos elementos de la lengua.

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Otro factor importante es que unos mismos elementos de la Ln aparezcan en diferentes contextos, dándose entonces el fenómeno que Yalden (1983:125) denomina "codificación diferencial o variable"; 10 que, sin duda alguna, potenciará su comprensión (profunda, no sólo superficial), y por ende su adquisición. Hay que destacar además el hecho de que son precisamente los exponentes de mayor transparencia los que se suelen usar en una variedad más ámplia de situaciones. La codificación diferencial o variable favorece la flexibilidad de aplicación de la competencia gramatical: y ciertamente, es difícil, sin esa flexibilidad, considerarla como competencia realmente auténtica. Este razonamiento conduce a una conclusión compartida por muchos profesores, de forma intuitiva, con los años de experiencia docente; y expresada también por Brumfit (1984:143): Un sistema limitado pero utilizado con mucha flexibilidad será más valioso que porciones poco asimiladas de un sistema inmenso presentadas rápidamente y de forma fragmentada. Finalmente, si se incluye en el input el lenguaje de tipo académico (además del de comunicación básica interpersonal), el discente se verá más obligado a activar su dispositivo deductivo intern04 ; puesto que la comprensión y expresión mediante este tipo de lenguaje (sobre todo en el plano escrito) requiere un mayor análisis de la estructura lingüística, contribuyendo así a la integración de los procesos mentales primarios (intuitivos) con los secundarios (analíticos).

2. EL PAPEL DE LA INTERACCIÓN El grado y la naturaleza de la incidencia del input en la adquisición de la Ln es actualmente una cuestión de máximo interés para los psicolingüistas. 5 Todavía no se puede afirmar hasta qué punto el input controla y configura el aprendizaje o la adquisición de la Ln. No obstante, las principales corrientes de investigación coinciden hoy día en la creencia de que el factor más determinante de la adquisición no es el input en sí, sino la interacción (entre el discente y la Ln, y también entre los participantes en el proceso de aprendizaje). La importancia atribuida a la interacción radica en las dos funciones principales que ésta debe cumplir. Por un lado, generar oportunidades óptimas para un aprendizaje selectivo. 6 Y por otro lado, poner de manifiesto para el discente su competencia ya adquirida (potenciando así su motivación de la manera más directa y convincente).

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Las oportunidades óptimas para el aprendizaje selectivo se crean activando al máximo el código lingüístico de la Ln pero sin limitar las posibilidades del discente en cuanto a construir su propia interiorización de la misma (modelo interno de la Ln): evitando imponer el uso de ciertas partes del código, y además de manera especificada de antemano, como sucede, p.ej., en la modalidad estructuralista e incluso en la NocionalFuncional. Con este planteamiento, en lugar de pretender inducir una actuación preestablecida (forzando la imitación de un determinado modelo lingüístico), se desarrolla en el discente la capacidad de actuar a través de la Ln para llevar a cabo funciones comunicativas o incluso cognitivas. Para ello, no es suficiente transmitir información mediante el código de la Ln, sino que ésta debería ser procesada y/o transférida (integrada en distintas estructuras de conocimiento). El modelo interno de la Ln y la manera de aplicarlo son impredecibles y llevarán el sello individual ("personal e intransferible") del discente. Siguiendo el mismo principio, las destrezas lingüísticas y comunicativas también se adquieren y desarrollan, al igual que el dominio del código lingüístico, utilizándolas para finalidades comunicativas y/o cognitivas: el discente no aprende a aplicar una destreza, sino que aprenderá algo al aplicar las destrezas. Asimismo, ciertos procesos implicados en el uso instrumental de una lengua (especialmente para funciones cognitivas) se adquirirán como resultado de su aplicación. Un ejemplo ilustrativo del tipo de proceso al que me refiero podría ser: 1) buscar unos datos específicos dentro de un texto, 2) evaluar la información encontrada, y 3) decidir si se ha cubierto la necesidad que motivó esta búsqueda (en este ejemplo, se trata de un proceso tripartito). Ahora bien, algunos de estos procesos tendrá que llevarlos a cabo el discente de forma controlada antes de poder realizarlos de forma automática (sin tener que controlarlos con una atención activa y consciente). Aparte de sus conocimientos sobre el mundo que le rodea, y su aptitud lingüística,? todo discente habrá desarrollado mediante su propia Ll -y quizás otra(s) Ln- cierta capacidad de emplear una lengua como instrumento comunicativo y cognitivo (o sea, una competencia comunicativa que incluye ciertas destrezas, estrategias, procesos, etc).

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Algunos aspectos de esta competencia podrán ser transferidos a su actuación en la lengua extranjera (LE).8 Este fenómeno de transferencia se da más en el plano oral. Es infrecuente que no se hayan desarrollado estrategias, etc orales en la Ll, mientras que algunas personas no han desarrollado en su L1 una buena competencia en el plano escrito. Si no están ya presentes ciertas habilidades del plano escrito, forzosamente habrá que ayudar al discente a realizar los procesos pertinentes para adquirirlos y desarrollarlos, de forma controlada hasta que los pueda automatizar. Esta necesidad puede surgir también como resultado de una transferencia (p.ej., de hábitos) de un aprendizaje anterior de la LE, como indica Ribé (1987:587) -en este caso, afectando a la competencia lectora-: Cuanto más motivado está el alumno, más le cuesta prescindir de los antiguos hábitos de explotación intensiva. Necesitará un entrenamiento adecuado -v. Ribé y de Juan, (1984:83)- mediante actividades que le obliguen a considerar el texto en conjunto y le dificulten detenerse en consideraciones de detalle. Precisamente la competencia lectora es de especial importancia, al intervenir directamente en la entrada del input extenso (no-metalingüístico) que debe formar una parte imprescindible del aprendizaje. 9 El discente recibirá también· input oral, pero generalmente en menor cantidad: y además, en el plano escrito se activa más el análisis (consciente o no) del código. También es bastante probable que el buen lector procese a la vez mejor el input oral, puesto que álgunas habilidades son comunes a ambos medios (y por lo tanto transferibles desde el uno al otro). Las destrezas y estrategias de lectura deben ser transferidas a la Ln (o, en su defecto, desarrolladas dentro de la Ln)lO ya desde el principio del aprendizaje, sin esperar hasta los niveles superiores de competencia lingüística. O'Malley y Chamot (1987), coincidiendo con muchos especialistas en la actualidad, opinan que el momento más adecuado es en el nivel "elemental medio" y "elemental superior" -en cualquier modalidad de aprendizaje-; aunque esto a veces implique simplificar textos difíciles, preparar esquemas o guias pre-Iectura del texto, entrenar al discente para predecir el contenido de un texto, buscar únicamente información concreta dentro de él, deducir su contenido global tras una breve inspección, etc. Finalmente, si se acepta este planteamiento, se debe postular el desarrollo de la comprensión lectora mediante la lectura de textos en fúnción

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de hacer con la información procesada algo que sea necesario o conveniente para cumplir objetivos extralingüísticas, rechazando por lo tanto la clásica diferenciación entre "aprender a leer" y "leer para aprender".

3. EL PAPEL DEL "OUTPUT" Si la calidad y cantidad del input, y sobre todo lo que se hace con éste, son factores primordiales en la adquisición de la Ln, no lo es menos el output (la producción de Ln del discente, lo que expresa a través de ella). Pienso que esta producción será mayor en el plano escrito que en el oral; ya que, como bien afirma Brumfit (1984:131): Existe ... muy poca evidencia de un sustancioso desarrollo de la capacidad conversacional excepto donde se encuentran actividades potenciadoras de la fluidez fuera de la clase de Ln, como p.ej. sucede en situaciones de segundas lenguas (SL) [y no LE]. Esto no significa que no se vaya a utilizar la Ln para saludarse, pedir cosas, dar información, instrucciones, etc.!! Simplemente significa que en cualquier modalidad de E-A de Ln, resulta un tanto utópico esperar que los discentes realicen intercambios conversacionales prolongados utilizando un discurso no-planificado, excepto cuando haya un nivel muy alto de competencia lingüística. En cambio, un output oral de discurso planificado (p.ej., exposiciones orales dirigidas a los compañeros de clase) es un elemento a incluir siempre que se pueda; porque la producción oral, si es de un compañero, suele captar más la atención de los oyentes que, p.ej., las exposiciones del profesor. El que expone oralmente ante el resto de la clase se esfuerza al máximo porque pone en juego la imagen que de él puedan tener sus compañeros y amigos. y una consecuencia de esto es que ejercita un importante aspecto de su capacidad de codificación: ... la habilidad de adaptar el mensaje al oyente o lector. Esto puede requerir el reconocimiento de algunas divergencias en cuanto a puntos de vista perceptuales o conceptuales. (Mohan, 1986: 113) En efecto, otros investigadores como Krashen piensan que al expresarse mediante la Ln, el discente aumenta su adquisición de la misma, al

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esforzarse en hacer que su mensaje sea comprendido por otras personas. El argumento expuesto por Swain (1985) sobre esta misma idea resulta particularmente convincente. Personalmente creo que, para que el output del discente no sólo demuestre, sino que además produzca una adquisición de la Ln, es necesario fomentar en él una actitud de innovación y experimentación con los nuevos elementos de lenguqje;· en su output debe comprobar constantemente sus hipótesis acerca de la Ln. Puede resultar positivo que reciba información corr~ctiva sobre su output; pero siempre hay que darle a entender que debe arriesgarse a cometer errores formales, y que éstos no van a retrasar su adquisición de la Ln: sobre todo cuando ha realizado previamente un aprendizaje de ésta cuyo objetivo era un tipo de output preestablecido, penalizándose los errores formales en su evaluación. No es conveniente imponer esta limitación al discente cuando las actividades que lleva a cabo exijan un grado alto de aplicación de facultades comunicativas o cognitivas. Existe el temor de que, si no se piensa en los errores lingüísticos del discente como fenómeno negativo a evitar, éste construirá un modelo interno de la Ln excesivamente simplificado que puede incluso fijarse demasiado pronto, convirtiéndose en un modelo cerrado (no abierto a constantes revisiones al recibir datos de una calidad superior). En el campo de la psicolingüÍstica, este fenómeno se suele denominar "pidginización + fosiliza-

cidn".12 Sin embargo, para desarrollar y fijar un modelo simplificado, el sistema lingüístico tendría que permanecer estable en su totalidad, incluso respondiendo a distintas exigencias comunicativas: esto no sucede en la realidad, por lo que resulta imposible "fosilizar" un sistema lingüístico entero. Además, no existe evidencia alguna de que el uso de un sistema momentáneamente simplificado impida el necesario desarrollo posterior de sistemas más complejos. La única posible precaución que se podría tener en cuenta es la de editar el output del discente (rectificando sus errores lingüísticos, o mejor ayudándole a rectificarlos) cuando éste pase a ser un input para otros discentes (p.ej., en exposiciones orales o escritas dirigidas a compañeros de clase). Krashen (1984) opina que la manera más efectiva de mejorar la producción escrita es leyendo más y mejor ( y no tanto escribiendo más o

C. Scott-Tennent La Adquisición y el Desarrollo de Destrezas y Competencia Lingüísticas...

recibiendo un mayor input metalingüístico), y puntualiza que los frutos se recogen a largo plazo: pero esto no se puede considerar como un inconveniente, ya que las formas lingüísticas y su uso óptimo siempre se adquieren gradualmente (sea cual sea el método de E-A). Al igual que en la comprensión lectora, habrá que asegurar la transferencia, por parte del discente, de destrezas y estrategias de expresión escrita desde su Ll, o hacer que las adquiera dentro de la LE (primero de forma controlada, para posteriormente automatizarlas). Por ejemplo, si no es capaz de redactar bien un informe, se le puede pedir que escriba primero una lista de los conceptos principales, para luego escribir una oración (o varias) ampliando cada concepto, y finalmente combinar estas oraciones ordenando y conectándolas. Mohan (1986:37-40) propone la estrategia de diseñar las activida~ des de desarrollo del lenguaje a partir de representaciones gráficas (esquemas, tablas, diagramos de flujo, etc). Divide (1986:93-94) en tres niveles aproximados de probable dificultad el lenguaje para expresar las estructuras del conocimiento (dentro de cualquier materia): 1) el lenguaje que sirve para expresar el significado de un gráfico de una estructura del conocimiento, 2) el lenguaje que sirve para analizar o crear un gráfico, y 3) el lenguaje que sirve para convertir un gráfico en un discurso coherente. Finalmente, la capacidad de expresión escrita en la LE se debería desarrollar siguiendo el mismo principio que en la de comprensión lectora: aprender a escribir escribiendo en función de objetivos cognitivos y comunicativos inherentes al contenido sobre el que se trabaja (se escribe entonces para aprender, y no vice-versa). Esta producción escrita podrá ser dirigida al propio autor (tomando apuntes sobre un input oral o escrito, haciendo resúmenes o esquemas para comprender mejor un contenido, etc); a sus compañeros (p.ej., presentándoles parte de un contenido); o al profesor (p.ej., en actividades de evaluación).

4. APLICACIÓN A LA ESO

Si se acepta como válido todo lo expuesto en los tres apartados anteriores, ¿qué actividades de aprendizaje y evaluación deberán desarrollarse en el aula de enseñanza secundaria? Se puede resumir en una frase: las tareas deben basarse en el procesamiento de información transmitida

BABEL-AFIAL, 6/0toño de 1997

mediante la Ln. Entonces la adquisición de la Ln, como se ha expuesto en los apartados 1 y 2 de este artículo, se producirá como resultado de la intensa atención al significado que esto requiere: al descifrar los significados, el discente construirá, de forma subconsciente y automática, su propio modelo interno del sistema lingüístico de la Ln. Se asemeja, pues, a la adquisición natural de una lengua, pero con la ventaja de un control selectivo en cuanto a la exposición a dicha lengua. Esta adquisición, como se ha explicado en el apartado 1, se verá potenciada por una juiciosa y selectiva aportación de información metalingüística (acerca del sistema lingüístico de la Ln). Esto puede suceder: (a) cuando el discente lo requiera de forma imprescindible para poder descifrar un significado, y (b) para mejorar el output de Ln del discente. En ambos casos, esa información metalingüística será mucho más significativa para el discente al estar altamente contextualizada en un acto cognitivo y/o comunicativo.

Por "procesamiento de información" entendemos una actividad que, en el fondo, será muy parecida a lo que se realice en otras áreas del currículo (pero usando en este caso la Ln como vehículo, y no la Ll). Las dos categorías fundamentales de tarea son, por un lado, elreconocimiento y la reorganización de datos, y por otro lado, la inventiva y el descubrimiento personal. Esto implica, p.ej., buscar y/o resumir y/o relacionar y/o evaluar la información extraída de los textos, y/o transferir los resultados a otras personas (esta última es una actividad, a diferencia de las anteriores, más comunicativa que cognitiva). Precisamente en la etapa de la ESO (edad 12-16 años), el alumno está dando un paso fundamental en su evolución cognitiva: del pensamiento sincrético al conceptual. El adolescente, a diferencia del niño (que aprende cosas concretas, palpables; aprendizaje "experiencial", personal y vital, pero limitado), llega a ser capaz de aprender "mejor a partir de la experiencia verbal que de la concreta" (AusubeI1985:66). Ayudar y potenciar este desarrollo cognitivo es el mejor (y más objetivo) servicio que puede ofrecer la enseñanza secundaria, y por ende cualquier parte de ésta. Significa dotar al alumno de una autonomía intelectual capaz de transcender los límites de la propia experiencia. Un aspecto fundamental de la E-A que estoy proponiendo eS la naturaleza de los textos a procesar, ya sean escritos u orales. Estos deben ser auténticos: es decir, producidos para transferir información, opiniones, o sentimientos a lectores u oyentes de habla inglesa. Diferirán radicalmente

C. Scott-Tennent La Adquisición y el Desarrollo de Destrezas y Competencia Lingüísticas...

de los textos que se han venido utilizando hasta ahora en la enseñanza y aprendizaje de Ln en los niveles iniciales e intermedios de competencia comunicativa, producidos con la finalidad de incluir cierto vocabulario y/o ciertas estructuras lingüísticas. El resultado era un texto muy artificial (sobre todo en el aspecto discursivo), y con un contenido necesariamente relegado a un segundo plano, y por lo tanto casi siempre banal y/o superficial. Difícilmente se podía esperar un interés por parte del discente por extraer información de tal texto. Johns y Davies (1983) han expresado esta dicotomía como TALOffAVI ("text as linguistic object/ text as vehicle for information"). Afortunadamente, hoy en día tenemos muchas facilidades para acceder de forma inmediata a una amplísima gama de textos auténticos, gracias al CD-ROM y la Internet. El temor de que la comprensión de textos auténticos resulte demasiada dificultosa para discentes de la ESO, la mayoría de los cuales al iniciar dicha etapa sólo han recibido unas 200 horas lectivas de lengua inglesa, es razonable. Pero se puede simplificar la tarea o guiar/ayudar al discente en el procesamiento. Ya se han apuntado algunas ideas al respecto al final del apartado 2de este artículo, y existen muchas más. Además, será positivo que estos discentes descubran (aunque sea a la fuerza) que, para extraer una determinada información de un texto, no es imprescindible que el lector comprenda el texto en su totalidad. Así estarán adquiriendo una importante estrategia de lectura, transferible a otras áreas del currículo. El tipo de E-A que se está proponiendo aquí se adapta muy bien a la heterogeneidad de nivel académico que existe en una aula de ESO. Si la actividad de aprendizaje consistiera, como antaño, en la adquisición sistemática y exhaustiva de un repertorio cerrado, ya sea de estructuras gramaticales o bien de actos retóricos (como en el método nocional/funcional), el discente que no disponga de los conocimientos previos de la Ln y/o la capacidad intelectual necesaria quedaría marginado de las actividades de aprendizaje. En cambio, las tareas de procesamiento de información pueden ser realizadas por cada discente a un nivel distinto, de acuerdo con dichos conocimientos previos y/o dicha capacidad. Además, las actividades que se proponen aquí se prestan perfectamente a realizarlas en grupo, pudiendo así cada integrante contribuir segun sus condiciones personales (a uno se le puede dar bien resumir, a otro exponer, etc). Y lo que es más: cuando se realiza así la actividad, Pla (1987) ha observado que dentro del grupo se suele producir espontáneamente una

BABEL-AFIAL, 6/0toño de 1997

interacción entre los participantes que consiste en un análisis y comentario explícito metalingüístico sobre ciertos segmentos del texto (aunque se lleva a cabo mediante la Ll ): es decir, unos" aprenden la Ln" de otros (compañeros). De esta forma, se individualiza más la atención que recibe cada discente (un solo profesor no puede atender individualmente a todos), y los discentes descubren el valor de la ayuda mútua (uno de los objetivos curriculares principales de la ESO). En cuanto a las actividades de evaluación, cabe reseñar que éstas deben, como siempre, ser coherentes con las de aprendizaje (es decir, regirse por los mismos principios). Además, la experiencia ha demostrado que estas actividades de aprendizaje con frecuencia se pueden convertir fácilmente a la vez en actividades de evaluación (se trata, pues, de la famosa evaluación continua). Por último, es muy importante hacer constar que este tipo de E-A, referida a este tipo de situación o contexto, no es, ni mucho menos, una idealización, sino que se ha realizado ya en la práctica, y Se ha llevado a cabo un estudio empírico muy completo sobre sus resultados, e incluso se ha publicado (en su totalidad) la unidad didáctica empleada (incluyendo las actividades de evaluación). Todo ello se encuentra a disposición inmediata de cualquier interesado (Scott-Tennent, 1993:279-393).

CONCLUSIONES En el aprendizaje de Ln, hemos asistido a un importante cambio de paradigma consensuado, consolidado definitivamente en la pasada década. La característica más importante de este cambio es la de tener como objetivo primordial la capacidad comunicativa del discente (para actuar a través de la Ln). Este objetivo sustituye al anterior (la adquisición de conocimientos acerca de la Ln); aunque se reconoce que, si bien un componente metalingüístico (y/o metacomunicativo) del input no puede variar el orden de la secuencia de adquisición de la Ln, sí puede acelerar el ritmo de esta secuencia (que siempre será, de todas formas, gradual, irrespectivamente del proceso que se sigua). Por lo tanto, dicho componente se considera más bien como catalizador del proceso de adquisición de la LE, pero nunca como base o motor de este proceso. Algunos lingüistas y docentes aducen otro motivo adicional de mantener activa su presencia: la prevención de una posible "fosiliza-

C. Scott-Tennent La Adquisición y el Desarrollo de Destrezas y Competencia Lingüisticas...

ción" y "pidginización" del interlenguaje del discente. Personalmente, creo, como Brurnfit, que esta preocupación es infundada en gran parte. Esto no desaconseja, a pesar de todo, velar por la normatividad lingüística en la expresión del discente, sobre todo cuando ésta se convierta en un "input" para otros discentes. Pasando ya al contexto de un marco educacional, se ha pensado (acertadamente, según mi criterio personal) que el proceso de E-A de una LE ofrece más posibilidades para la formación del discente que la mera adquisición de esta LE. El Diseño Curricular (1989) de la Enseñanza Secundaria Obligatoria contempla el enriquecimiento de este proceso incluyendo como mínimo 10 objetivos adicionales. A pesar de compartir estos objetivos y reconocer la importancia de todos ellos, opino que se seguirá atribuyendo la máxima prioridad al desarrollo de la capacidad comunicativa en la LE. A fin de desarrollar al máximo esta capacidad, no se debe centrar la atención en el significado ni en la forma, sino en las relaciones entre ambos aspectos y los prQcesos y destrezas cognitivos. No se trata de inducir una actuación preestablecida mediante la imitación de un modelo lingüístico, sino la capacidad de actuar a través de la LE para llevar a cabo funciones comunicativas y cognitivas. Ello implica, más que transmitir información mediante el código de la LE, procesar y transferirla (integrarla en las distintas estructuras de conocimientos). Cuando el discente construya en su mente los significados y los sistemas de la LE, lo hará con la ayuda de pistas facilitadas por los contextos situacionales o bien verbales; y valiéndose no sólo de "reglas" (abstracciones de las relaciones sistemáticas internas de la lengua), sino también de "fórmulas" (expresiones que retiene y utiliza sin someterlas a ningún tipo de análisis). La flexibilidad en el uso de estas reglas y fórmulas será potenciada al encontrarlas el discente aplicadas en distintos contextos. Finalmente, una concepción constructivista del proceso de adquisición de la LE (y las capacidades intelectuales) aconseja contar con los conocimientos, destrezas, estrategias y procesos lingüísticos adquiridos previamente en el aprendizaje de la propia L1 (y quizás de otras lenguas), comprobando y facilitando su transferencia a la LE siempre que sea posible. Se debe prestar atención también a la posible transferencia (p.ej., de hábitos) de un aprendizaje anterior de la LE.

BABEL-AFIAL, 6/0toño de 1997

NOTAS

3. 4. 5. 6. 7.

10.

11. 12.

Un ejemplo, citado por Ellis (1986:232), es el estudio de Terrell et al. demostrando la adquisición, por parte de discentes, de una determinada norma lingüística cuando la instrucción tenía como objetivo el aprendizaje de otras normas distintas (hecho que no es negativo per se; pero demuestra un efecto de la disparidad de syllabus interno-externo, y por lo tanto la existencia de esta disparidad). Resulta lógica la necesidad que tiene el discente de estas "fórmulas" recién almacenadas para desenvolverse en la Ln, en vista p.ej. de que el Consejo de Europa considera satisfactorio un vocabulario pasivo de unas 1.100 palabras y activo de unas 500 tras una dedicación de tres cursos académicos completos (a razón de cuatro horas semanales) al aprendizaje de la LE. V. Rutherford (1987:154). V. p. 4. V., p.ej., Ellis (1985: 106). Es selectivo porque cada discente asimilará cosas distintas a partir de una misma actividad; hecho inevitable, pero no por ello negativo. Ésta no es modificable; consiste en habilidad para la codificación fonética + sensibilidad gramatical + habilidad inductiva + intuición (Ellis, 1985: 112). Alderson (I984:20) sugiere que esto requiere previamente un cierto grado de competencia en la Ln (aunque no sabemos cuál, ni en qué medida es sintáctico, semántico, discursivo, o cognitivo). Hudson (1991) demuestra que la lectura centrada en el contenido nolingüístico puede desarrollar la comprensión lectora, los conocimientos de la gramática lectora, y la competencia lectora global. Alderson (1984:27) sospecha que el grado de desarrollo de las destrezas lectoras del discente de una Ln no necesariamente corresponde al grado de desarrollo de su competencia global en esa lengua. Por lo tanto, el discente que no sea un lector eficaz de su propia Ll probablemente tampoco llegará a serlo de la Ln, a menos que realice un entrenamiento específico de las destrezas lectoras. "Classroom Management Language", de naturaleza social e interpersonal. En realidad, es incorrecto aplicar el término "pidgin" en este campo (Brumfit,1 984: I32). Su correcta aplicación corresponde al campo de la lingüística, para designar sistemas lingüísticos simplificados de forma voluntaria y consciente, generalmente por motivos de índole sociocultural.

C. Scott-Tennent La Adquisición y el Desarrollo de Destrezas y Competencia LingÜísticas...

BIBLIOGRAFÍA Alderson, le. (1984): "Reading in a foreign language: a reading problem or a language problem?" Alderson, le. y Urquhart, A.H. (eds.): Reading in a Foreign Language: 1-27. Longman. Alonso, l & Mateos, M.M. (1985): "Comprensión lectora: modelos, entrenamiento y evaluación." Infancia y Aprendizaje, 31-32:5-19. Allwright, RL. (1984): "The importance of interaction in cJassroom leaming.", Applied Linguistics, 5/2. AlJwright, RL. (1984): "Why don't learners learn what teachers teach? the interaction hypothesis." Singleton, D. & Little, D.G. (eds.): Language Learning in Formal and Informal Contexts. Dublin: IRAAL. Ausubel, D.P. (1985): "Learning as constructing meanings." Entwistle, NJ. (ed.): New Directions in Educational Psychology. Londres: The Farmer Press. Breen, M.P. & Candlin, e.N. (1980): "The essentials of a communicative curriculum in language teaching." Applied Linguistics, 1/2:89-110. Brinton, D., Snow, M.A. y Wesche, M.B. (1989): Content Based Second Language Instruction. Newbury House, N.Y. Brumfit, e.l (1984): Communicative Methodology in Language Teaching. e.u.P. Bruner, J.S. (1975): "Language as an instrument of thought." Davies, A. (ed.): Problems 01Language and Learning. Londres: Heinernann. Canale, M. & Swain, M. (1980): "Theoretical bases of communicative approaches to second language teaching and testing." Applied Linguistics, 1:1-47. CarrelJ, PL & Eisterhold, le. (1983): "Schema theory and ESL reading pedagogy." TESOL Quarterly, 17/4:727-52. Cazden, e.B. (1977): "Language, literacy, and literature." The National Elementary Principal,57/1:40-52. Coll, e. (1986): Marc Curricular per a l'Ensenyament Obligatorio Barcelona: Generalitat de Catalunya. Coll, e. & Gimeno Sacristán, l (1988): El Marco Curricular en una Escuela Renovada. Madrid, M.E.e.: Ed. Popular. Council of Europe (1984): "Towards a more comprehensive framework for the definition of language learning objectives", vols. I y 2. Strasbourg: Council for Cultural Cooperation. Chamot, A.U. y O'MalJey, lM. (1987): "The Cognitive Academic Language Learning Approach: a bridge to the mainstream." TESOL Quarterly, 21/2:22749. Ellis, R (1985): Understanding Second Language Acquisition. O.u.P. Ellis, R (1986): The Role olInstruction in Second Language Acquisition. Londres: Ealing ColJege of Higher Education. Geva, F. (1983): "Facilitating reading comprehension through flowcharting." Reading Research Quarterly, 18/4:384-405. Hudson, T. (1990): "A content comprehension approach to reading English for science and technology." TESOL Quarterly 24/3, 77-104. Hutchinson, T. (1987): Using grammar books in the c/assroom. O.u.P.

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Johns, T. & Davies, F. (1983): "Text as a vehic1e for information in the c1assroom: the use of written texts in teaching reading in a foreign 1anguage." Reading in a Foreign Language, 1/1: 1-19. Krashen, S.D. (1982): PrincipIes and Practice in Second Language Acquisition. Oxford: Pergamon. Krashen, S.D. (1984): Writing: research, theory and applications. Pergamon LTM Series. Long, M.H. (1985): "Instructed inter1anguage deve1opment." Department of E.S.L., University of Hawaii at Manoa. McLaughlin, B., Rossman, T. & McLeod, B. (1983): "Second 1anguage 1earning: an information-processing perspective." Language Learning, 33: 135-59. Mohan, B. (1986): Language and Contento Reading, Mass.: Addison Wesley. Nutal1, C. (1982): TeachingReading Skills in a Foreign Language. Heinemann. P1a, L. (1987):"Bases Psicopedagogiques per a I'Ensenyament de l'Angles. Tesis doctoral. Universidad de Barcelona De Prada, E. (1990): "El papel del input en el proceso de aprendizaje de una lengua extranjera. BABEL 2. Ribé, R. (1987): La Llengua Anglesa en el Cicle Secundari d'Ensenyament: factors diferencials. Tesis doctoral en fase de publicación. Universitat Autonoma de Barcelona. Rutherford, W.E. (1987): Second Language Grammar: learning and teaching. Londres: Longman. Scott-Tennent, C. (1993): Procesos de Lengua Inglesa por Contenidos en la Etapa 12-16: "Content-based teaching". Tesis doctoral no publicada. Tarragona: Universitat Rovira i Virgili. Swain, M. (1985): "Communicative competence: some roles 'of comprehensibleinput and comprehensible output in its development". Gass, S. y Madden, C. (eds.): Input in Second Language Acquisition. Rowley, Mass.: Newbury House. Wells, G. & Nicholls, 1. (1985): Language and Learning: an interaction perspective. Londres: Falmor Press. Yalden,1. (1983): The Communicative Syllabus: Evolution, Design and Implementation. Oxford: Pergamon.

Isabel Moskowich A Study ofFinite Complementation in late 14th Century English

A Study ofFinite Complementation in late 14th Century English Isabel Moskowich Universidade da Coruña

Este artículo pretende prófundizar en el análisis de los modelos de complernentación finita (conteniendo formas verbales marcadas) existentes en Inglés Medio y cotejarlos con los períodos lingüísticos inmediatamente anterior y posterior. Se han utilizado como corpus para dicho estudio el Prologue y el Nun's Priest's Tale de Chaucer por ser éste un autor altamente representativo de la lengua de finales del siglo XIV. Se buscan, asimismo, las razones estilísticas que pueden haber provocado el uso de ciertos modelos de complementación finita en detrimento de otros. Para ello, se tienen en cuenta factores como el uso de complementizadores, los tipos de predicados de que dependen los complementos, el modo verbal, etc.

INTRODUCTION The majar aim of this paper is to pravide a picture of how the systern of finite complementation (that realized by clauses with an inflected verbal form) was configured by the end of the 14th. century and, at the same time to compare to what an extent late Middle English (henceforth IME) syntax was configured in a similar way to the one it displays nowadays. Our main purpose here is to demonstrate that ME syntax in this very restricted area of finite complementation was quite similar to Present English (PE) and certainly different fram Old English (OE). My method of analysis is mainly based upon Quirk (1985), and though other authors' viewpoints have been also considered it is mainly Quirk's theoretical framework and terminology I have turned too Thus, the term "complement clause" (ComplCI) is roughly equivalent to Huddleston's "content clause" (1984)and it is here used to refer to any subordinate structure depending on other part of the sentence. I have called "matrix" or "matrix clause" those parts of sentences that traditional grammar labelled "rnain sentence" and on which ComplCls dependo The terms "subject complement" and "object complement" (henceforth Cs and Co)

BABEL"AFIAL, 6/0to単o de 1997

are also taken fram Quirk and they correspond to traditional attributes and predicative complements respectively. The abbreviation C (for Comple" ment) is here adopted for any phrase required by the verb to complete its meaning as the prepositional phrase in (1) I am in the garden When dealing with word order, C is considered to be interchangeable with O (Object) only on the grounds that they are required by the verb, and this is why the notation for word order patterns will contain O/C meaning that either one or the other appears (though never both at the same time). This study is articulated in two main parts: one dealing with semantics where mood is central and where I will try to find any correspondences between the mood of the matrix verb and that of the complement verb based on syntactical factors. For the study of this aspect I have resorted to Noonan (1985) in what respects his c1assification of predicates. The second part is entirely dedicated to syntax proper, though I often introduce semantic concepts and considerations, for it is almost impossible to treat both independently. Both aspects have been organised in 13 sections, the first of which provides a general view of what are the structures we shall deal with, how many and how they are distributed. Section 2 deals with complementisers as a means of linking the sentence's two main constituents (matrix and c1ause) before focusing inside the structures of each of them. Complementisers will be seen to vary according to what kind of predicate they depend on and to the function fulfilled by the ComplCr. Section 3 pravides an analysis of the types of verbs found in ComplCI according to their syntactical relationships and their occurrence with particular types of complementisers, while sections 4 and 5 are devoted to the study of nominal predicates inside matrices, deixis and apposition. Section 6 studies verbal predicates in ComplCI and their syntactic structure while section 7 does the same with nominal predicates. Inboth sections sorne cases deserving especial attention are extensively treated. In section 8, I will try to establish transitivity and passive constructions as possible determiners of complementation and section 9 will be dedicated to word order. Sections 10 and 11 are the ones mainly dedicated

Isabel Moskowiclt A Study 01 Finite Complementation in late 14th Century English

to semantics, both in matrices and in clauses. Finally, section 12 offers some remarks and conclusions.

1. THE CORPUS The corpus chosen as a source of data for this study consists of two different passages of the Canterbury Tales by Geoffrey Chaucer as edited by W.W. Skeat (1967), first, the Prologue, where the purpose of the whole work is explained and, second, The Nonne Preestes Tale, where a good amount of direct speech appears and where each character has a particular way of using language 1â&#x20AC;˘ The two fragments investigated total approximately 12,000 words and though this may not be sufficient to establish definitive conclusions 1 believe it will provide an idea of what was finite complementation like at the time, including the distribution of predicates and complementisers. 1 have checked the behaviour of ComplCI (85 in all) in Chaucer's work considering also those syntactic patterns with extraposed constituents, most commonly subjects, such as: Cs V it S 1. 385 (extraposed S) 1. 574 (extraposed S) V it Cs S S V it O --------- 1. 725 (extraposed O) it V Cs S -------- 1. 785 (extraposed S) it V S ------------ 1. 4502 (extraposed S) S lO it V -------- 1. 4631 (extraposed S) u

2. COMPLEMENTISERS Complementisers or connectives (EIsness, 1984) have been sorted into three main groups, namely, that, zero, and others. This last label comprises how that, as that and how, (these last two occurring only once each in our material). Their distribution is certainly irregular: Table 1 TYPE OF COMPLEMENTlSER

INSTANCES FOUND

O/o

That

43 33 9

50.59 38.82 10.58

0 Other

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Table 1 shows the distribution of the different complemetisers in our corpus both in absolute numbers and in percentages. 50.59% of cIauses take that, 38.82% are unintroduced ComplCls, whereas 10.58% of the total offinite ComplCls take other complementisers often how that A second quantification has been made related to how the elements inside each of these groups are distributed according to whether they follow verbal predicates (v.p.), nominal predicates (n.p.) or complex predicates (c.p.). Adjective predicates have not been considered here because they do not appear in any matrix. AH this information is shown in tables 3 and 4 below, and according to them the frequency of appearance of the different kinds of predicates (extracted from their relationship to complementisers) can be found in a more general way as expressed in table 2. Table 2 TYPE 端T PREDICATE

INSTANCES

72 10 3

84.71 11.76 3.53

V.p. n.p. C.p. Table 3 PREDICATES WITH THAT

V.p. n.p. c.p.

76.74 16.28 6.98 Table4

PREDICATES WITH ()

V.p. n.p.

90.9 9.1

Table 4 above shows that, among the complementisers analysed only that takes complex predicates. In like manner, how that always appears with verbal predicates belonging to the realm of knowledge (or kak in Noonan's terminology,1985: 118) such as knowe, dreme, mette, rede. According to Warner (1975: 186-ft), there is a tendency for Chaucer to use how that in the introduction to a sermon how that was stylistically marked in WSerE, perhaps being emphatic and providing a means of focusing on the statement of sermon content, or for-

Isabel Moskowich A Study ofFinite Complementation in late 14th Century English

mal and reflecting the fact that a sermon might tend to have a somewhat more formal opening (...) these sermons tend to lack formal conclusions. How, appearing only once, stands by the verbal predicate rede. Warner (1986: 182) mentions this case also in his analysis and reaches the conc1usion that how is a weakened form and almost equivalent to that. As that, with a weak nuance of comparison follows the verbal predicate seme.

2.1. DISTRIBUTlON OF COMPLEMENTlSERS ACCORDING TO THE FUNCTlON FULFILLED BY THE COMPLEMENT CLAUSE

That, as the most frequent complementiser in the corpus, is used to introduce ComplCls of different types, not only those depending on the subject and the object, but those depending on other parts of the sentence as well. Table 5 reflects this distribution:

Table 5 TYPE OF COMPL CL WITH THAT

INSTANCES

Obiect Subiect Other

33 9 1

76.7 20.9 2.4

Clauses taking no complementiser are second according to their frequency. Unintroduced ComplCls have been found to appear mainly when they are functioning as object. The frequency of such unintroduced c1auses regarding their function inside the matrix is shown in table 6: Table 6

% 87.9 9.1

TYPE OF COMPLCL WITH (:)

INSTANCES

Obiect Subject Other

It is noteworthy the fact that sorne subject clauses are unintroduced, which is not very common. Warner (1982: 168) points out that zera clauses do not occur as subjects unless extraposed or coordinated. We have recorded two such situations in our material:

BABEL-AFIAL, 6/0toĂąo de 1997

a.- ComplCls functioning as subjects of the predicate bifel when they are coordinated to a previous subject c1ause which is itself introduced by that. The pattern for this construction would be: bifĂŠl that (1st c1ause) and 0 (2nd c1ause) b.-CompICls functioning as extraposed subject of constructions which have come to be an "independent that c1ause" (with no that in this case). This type of construction is certainly rare, since "independent thatc1auses" are hardly ever unintroduced. The last type of complementiser we shal! deal with is how that inc1uded under the label others. How that introduces, in al! of our instances (7), any ComplCls occurring as objects. The modal nuance of this complementiser - if any -has been discussed earlier (cf. supra). Only two c1auses have been found to function appositional!y depending on any eleri1ent of the matrix: one is introduced by that whereas the other is unintroduced. They will be more extensively dealt with in section4. As shown in table 7 below, ComplCls are, mainly, objects. Percentages do not refer to the total of ComplCls in the corpus (85) but to each of the groups of c1auses introduced by that, 0 , and others respectively. Table 7 0

THAT

Type ofCl Subject CI Obiect CI Other Compl Total

Cases 9 33

20.9 76.8

Cases 3 29

2.3

100

OTHERS

TOTAL

Cases

9.1 87.9

O 7

O 77.7

Cases 12 69

22.3

100

14.1 81.3 4.76 100

2.2. VERBAL PREDICATES IN MATRICES AND THEIR COMPLEMENTISERS

Seventy two verbal predicates are overtly expressed in my material. However 1 wil! first consider only those appearing more than 4 times al! along the corpus.

Isabel Moskowich A Study o/Finite Complementation in late 14th Century English

# bifel is the v.p. on which 7 cIauses dependo It appears explicitly in 5 cases, all of them accompanied by that as a complementiser (71.4%) and implicitly in 2 occasions with Ocomplementiser (28.6%). # The form thinketh and its past thoughte appear in 7 matrices, all of them with an unintroduced ComplCI. Only in two cases the complement taking predicate (ctp) is not explicit in the sentence. # seith, and its forms seyde, seyn, seye appear 13 times, of which 8 are followed by that (61.5% of the cases), 4 are followed by zero (30.8% ofthe cases), and one is followed by others (7.7%) When the ComplCI is introduced by that, the ctp is explicit in the majority of the cases (87.5%). The corresponding forms of the verb (ctp) are explicitly represented in the matrix in all cases when the ComplCls are unintroduced or introduced by complementisers other than that.

# wiste, and its forms woot, dot, noot appear 9 times. In 66.6% of the cases it is complemented by unintroduced ComplCls, and in sorne of these, the ctp in the matrix is not overtly expressed. That functions as complementiser or connective only in 3 of the 9 cases found in this corpus. # pray, preyden appear in 7 cases. In 57% of these occurrences that follows and in 43% it is complemented by unintroduced cIauses. # mette appears on 4 occasions (impersonal constructions which shall be discussed later on). In half the cases it is followed by how that and, in fact, there is a slight nuance of manner implied though only at a secondary leve!. It is explicit in the matrix cIause and only elided when followed by how that in 75% ofthe cases.

We have also found one case with that and another without any complementiser. One more point deserves commentary. That is the complementiser we find in passive constructions as well as in interrogatives (Quirk, 1985: 15.4), since it can never be suppressed in cases similar to the following ones. Let us consider one example of each:

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(2) 1.4108-4109 How dorste ye seyn for shame unto your love, that anything mighte make you aferd? (3) 1.4422 4423 Thou were fuI wel y-warned by thy dremes, that thilke day was perilous to thee.

3. TYPE OF VERBS IN COMPLEMENT CLAUSES The verbs appearing inside CompICI have been c1assified as transitive, of which 26 instances have been found (30.59%), intransitive in 39 cases (45.89%) and copulative in 20 cases (23.52%). But of course, not aH the clauses containing the verbs inside one of these three categories are introduced by the same complementisers. However, we have found that that is the most frequent one together with unintroduced complemnet clauses (those with O complementiser). Other complementisers are only rare1y found. Table 8 TYPE OF VERBS

transitive intransitive copulative

THAT

13 17 13

0 11

15 7

OTHERS

2 7

The numbers in table 8. aboye suggest that that introduces the majority of c1auses either if they contain transitive verbs or noto But, taking into account that this is the most common complementiser, this is not, perhaps, an important conclusion. At any rate, we should bear in mind Warner's idea about the distribution of that in IME. He affirms that it may occur in aH finite ComplCls, and after conjunctions too (1982: 30). This could explain the use of how that where how has its modal meaning notably weakened. But, on the other hand, the retention of that for PE, as explained by Quirk (1985: @ 15.4n) could also account for its presence as a complementiser in IME. Quirk gives four possible reasons for such behaviour, to wit: 1.- to make clear whether an adverbial belongs to the matrix or to the ComplCL

Isabel Moskowich A Study ofFinite Complementation in late 14th Century English

2.- to prevent a coordinated that-c1ause from being misinterpreted as a coordinated main c1ause (this is the reason why many ComplCls share one single matrix). 3.- that is also kept when the object c1ause is fronted.

4.- it is kept when there is another element intervening between the verb and the that-c1ause. Finally, it should be also noted that those complementisers I have grouped under the label others usually introduce ComplCls containing intransitive verbs, and never copulative verbs, (at least as is observable in my material).

4. NOMINAL PREDICATES IN MATRICES For the analysis of ComplCls containing nominal predicates, two different categories have been established: on the one hand, those whose semantic nuc1eus is a deictic form, and, on the other, those whose semantic nuc1eus is followed by an appositive clause. In what follows, both categories will be dealt with independently.

4.1. CLAUSES WlTH A DEIcnc ELEMENT

For the present study, we have considered deictic forms from the same theoretical point of view as Quirk (1985: @5.30-32, 6.19), who defines them as words referring either backwards (anaphora) or forwards 2 (cataphora) in the discourse â&#x20AC;˘ The anaphoric and cataphoric uses of demonstratives can be viewed as extensions of their situational use regardless of whether their antecedents are clauses or not. Three cases of deixis have been found in the corpus: (4) ...seith thus, that whylom two fellawes wente on pilgrimage... (5) The sothe is this, the cut fil tu the knight (6) ... seyde he nat thus, ne do no fors of dremes?

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of which only (4) takes a complementiser that to introduce the clause it refers to (the CompICI). This may be explained by the presence of the adverb whylom introducing the indirect speech fragment as a necessary c1ause boundary marker. Contrarily, that does not occur in example (6) since the ComplCI is in the borderline between the direct and the reported speech and it is fairly c1ear to whom each utterance corresponds. In (5), the pronoun this directs the reader's attention towards what fol1ows while it subsumes it. In this particular case, the appearance of that is optative so that its absence may be due not to syntactical reasons but rather to a mere question of rhythm or . prosody.

4.2. APPOSITlVE CLAUSES

As far as the second group of matrix clauses containing nominal predicates is concerned, the following examples may illustrate our point for they show these matrix c1auses containing nominal predicates followed by appositive ComplCls. Our concept of apposition fulIy coincides with Quirk et al. (1985: @ 17.65-93). Let us consider the folIowing hnes: (7) (S) is signe that aman was repentaunt. (8) i counseille you the beste,(...), that bothe of colere and of malencolye ye purgeyow. (9) This noble ensample to his sheep he yaf, that first he wroughte, and afterwards he taughte. (lO) (he) that heeld opinioun, that pleyn delyt was verraily felicitee parfyt.

In each of these examples there is a nominal predicate (underlined), head of a noun phrase, that needs being explained, developed or c1arified. The ComplCI folIowing it is functioning as apposition to the underlined term to provide such information. The distinction between restrictive and non-restrictive appositions is very c1early shown in these sentences though punctuation, one of the criteria for the distinction between both, is not very reliable at this stage of the development of English. But, at any rate, and somehow basing our classification upon Matthews' theories (1977: 231232), we could affirm that only example (8) illustrates restrictive appositive c1auses, for the valency - in Matthews' sense - of the head noun signe requires the presence of what folIows. Moreover, the rest of the sentences

Isabel Moskowich A Study 01 Finite Complementation in late 14th Century English

listed aboye that I shall consider as containing non-restrictive appositive c1auses, show a pause (and, consequently, an intonational change) before the ComplCI. As for word order, one peculiarity deserves being mentioned: the fact that in aH the cases in our material, the appositive c1ause is at the end of the sentence, foHowing the matrix verb, and not in the usual pattern NP, (apposition), rest of the sentence These clausal appositions, though always accompanying NPs, can, of course, fulfill different functions inside the c1ause structure. In (7) we find a construction where there is no possibility of interchanging the functions of S and Cs - as would happen with equative bebetween the syntactic units realising them. We can symbolise the syntactic structure of this sentence as S V Cs if Cs is formed by N + Compl.CI. The relationship thus established between S and Cs is not exactly one of equivalence. On the contrary, the actualisation of one (the S) somehow "shows" the other. In this particular case, the noun signe is a part of the semantic unit be signe meaning "show". The ComplCI is here required to complete the meaning of signe while in a case such as (11) below it could perfectly carry the meaning of the c1ausal apposition as if it were referring to a previously given piece of information. (11) 1.385 But greet harm was it, as it thoughte me, that on his shine a morrna1 hadde he. In fact, we could somehow "cut" it to (Ila) without losing grammaticality: (11a) But greet harm was it However, this same process could not be applied to example (7) aboye to obtain the ungrarnmatical fragment in (7a) (7a) *(S) is signe

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(8) and (9) follow a pattern similar to that of 1.385 (example (12» and, consequentIy, we could also transform them by suppressing the appositional clause with no risk of affecting their grammaticality (Sa) 1counseille you the beste (9a) This noble ensample to his sheep he yaf The underlined pronoun in (9a) is the very reason why we can shorten the sentence without losing grammatical roundness. This concentrates in itself the deictic use typical of demonstratives (Quirk et al., 1985: @ 6.43) making reference to sorne extratextual situation or to sorne information previously given in the discourse. In (8a) there is no deictic form, but the beste is a full DO coinciding, in its referent, with that of the apposition following. In this case, the cIause is a non-restrictive apposition since it is not specifying but explaining that referent. Lastly, (10) is an example similar to (7) cornmented on aboye. Heeld apiniaun forms a single semantic unit meaning "believe", "thhink" and it needs its meaning to be completed (in the sense that it is functioning as a transitive verb (Quirk et al., 1985: p.216» by an object (O). This object function is, in this case, realised by the ComplCr. But if we stick to a syntactic analysis we can easily perceive something different. This construction's pattern would be SVOCo The object function, properly speaking, would be realised by apiniaun since it is the necessary complement of the monotransitive verb heeld. In this sense, the ComplCI would be fulfilling the Co function, explaining and ampliating the O (what kind of an opinion he held). This is a cIear example where semantic and syntactic structure do not fuIly coincide.

4.3. OTHER CONSTRUCTIONS WITH NOMINAL PREDICATES

Nominal predicates mayas well appear in matrices of structures containing equative forms. Equative forms can be defined as those typical of constructions in which the referents of S and Cs are interchangeable. Be is, in that respect, equative3. Example (11) has been used again as an ilIustration of such behaviour:

Isabel Moskowiclt A Study ofFinite Complementation in late 14th Century English

(11) 1.385 But greet harm was i!: as it thoughte me, thaton his shine a mormal haddehe (12) 1.574 Now is nat that God a fuI fair Grace, thatswich a Iewed mannes wit shal pace the wisdom of an heap oflemed men?

These two examples contain anticipatory elements (underlined) which exist due to the extraposition of the functional elements realised by the that-c1auses. They could be interpreted, according to what has been said earlier, both as S or as Cs.

5. SYNTACTIC PATTERNS OF COMPLEMENT CLAUSES In this section sorne of the syntactic patterns found in CompleI wil1 be enurnerated. But to start with, I will specify the occurrences of each of them before comrnenting the possible conc1usions reached. After revising the material, 5 different syntactic patterns have been quantified: A) patterns with S, V and x4 (34 cases in a11) SVx SV Vx SvxV XSVx XVxSx

17 9 2 2 3 1

B) patterns with Cs (total 19 cases)

SVCs CsVS 1 S x V x Cs

1 3

C) patterns with DO (total 23 cases)

SVO SVOx SxVxOx OSV XVxOx XOVS

8 3

6 1 4

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D) patterns with IO (5 cases) SVIO SIOVO S x VxDOxIO

3 ]

Besides those listed in A)-D), r have also come across ] case of split subject (SVS) and sorne others, my fifth class, containing extraposed elements, such as it V S, S IO it V, S V it O and it V Cs S. GeneraIly speaking and basing upon my evidence, the syntactic structure inside ComplCr seems to be quite deve]oped at the time the text of the Canterbury Tales was written since only 12.9% of the clauses anaIysed are formed by less than three constituents. These constituents are hierarchically organised in different ways both in matrices and in ComplCls. As far as ComplCls, the syntactic pattern more frequently found is S V x5 , which shows that the language of the period tends to stick to a fixed word order, the one English shows nowadays. This pattern appears in 20% of the cases. The relationship existing between these five most frequent syntactic patterns inside Comp]Cls and their complementisers is shown in tab]e 9 below where numbers express percentages. Table 9 SYNTACTIC PATTERN

THAT

(}

OTHERS

SVx S VCs SV SVO SxVxOx

35.3 66.6 44.4 50 33.3

47 33.4 33.3 37.5 50

]7.7 O 22.3 12.5 16.7

6. VERBAL PREDICATES IN COMPLEMENT CLAUSES: THEIR SYNTACTICSTRUCTURE r will now turn to the study of verbal predicates. As was said earlier, verbal predicates appear in 72 matrices, 84.7] % of the whole of the corpus analysed. But let us consider first how they are distributed inside ComplCls:

Isabel Moskowich A Study ofFinite Complementation in late 14th Century English

As regards unintroduced ComplCls, 30 cases out of 33 unintroduced ComplCls contain a v.p. which represents 90.9% oĂ the total. Two of them are complex predicates: lye in dede and be afright. Similarly, the vast majority of ComplCls introduced by the complementiser that inelude a v.p. In fact, 42 cases of a total of 43 (97.7%) contain such predicates. Among these, we have found the six complex predicates listed below, aH of them referred to a single semantic unit: take ."a grief make".aterd be Iykend be in dette bewar be significaciouns

Complement elauses introduced by complementisers other than that have aH verbal predicates, none oĂ which could be said to be complexo Only six cases of extraposed elauses appear in the whole corpus (cf. section 1). of these, three contain verbal predicates as weH, as illustrated by examples (13)-(15) foHowing: (13) 1. 725 But first 1 pray yow, of your courteisye that ye narette it nat my villeinye [s V it extraposed O] (14) 1. 4502 1 have wel rad in daun Bumel the Asse, among his vers, how that ther was a cok [it V S extraposed S] (15) 1. 4631 For seint Paul seith, that al that writen is, to our doctryne it is ywrite [S it Vextraposed S]

The antcipatory term it or existential ther are present in aH these cases. Their Ăunction varies according to the one realised by the elauses inside the rnatrix as weH as according to the necessity of having an anticipatory element or not. Let us have a look at each in sorne detail: In (13) line 725 the rnatrix contains a verbal rnanipulative predicate in Noonan's terms. Its CornplCI, on the other hand, ineludes a that complementiser and a verbal predicate. The verb of this elause is transitive, being the object my villeinye. It and my villeinye are co-referential and they are put together, only separated by a reinforcing negative form nat (rein-

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forcing since it also appears as a part of the verbal form n-arette). Taking al! these data into consideration we can safely affirm that this is a case of vacuous extraposition, since there is no apparent need to introduce it between the verb and its object. This vacuous extraposition may be attributed to stylistic reasons. It is the way the addresser wants us addressees to pay attention to the idea the clause conveys. The matrix in example (l4) line 4502 contains a verbal predicate, a kak according to Noonan's classification. The verb in this matrix is transitive and it takes the ComplCI as its object. Inside the ComplCI we find that how that, a complementiser we have included under the label others, it contains a verbal predicate, to be in its meaning of "exist" (which in PE is always formed by means of existential there + be, being there an anticipatory form of the subject). There has the same referent as the cok. In fact, though the construction is the usual one now in PE, it was only beginning to be used in the ME period, because OE did not have this type of extraposed S (in OE the normal thing was to use the subject NP directly followed by the corresponding form of the verb beon). In the present construction ther is regarded as an existential subject (Quirk et al., 1985: ch. 2). Our last example, (15) line 4631, yields the fol!owing information as regards the matrix clause: it has a V.p., an utterance predicate in Noonan's terminology. This predicate is a transitive verb, so that the ComplCI is its object. As for the ComplCI it is introduced by that and has a verbal predicate. The verb of this clause is intransitive in this context, because we are dealing with a passive formo The referent of the subject clause inside the ComplCI, al that writen is is co-referential with it. In this case, the presence of this anticipatory form can be explained by the necessity the author may have felt to sum up such a long subject and make sure his addressees understand the idea he wants to convey. As we have seen, each of these cases is different from the others, having found only one instance of vacuous estraposition-(example (13), I. 725) which though was apparently very common at this time, is however extremely rare in our corpus. The other cases of extraposition found in the corpus contain nominal predicates in the matrices and have been, therefore, included in the discussion in section 4 aboye.

Isabel Moskowich A Study 01 Finite Complementation in late 14th Century English

7. NOMINAL PREDICATES IN COMPLEMENT CLAUSES: THEIR SYNTACTIC STRUCTURE Nominal predicates in matrices were not very frequent, or a least not so frequent as verbal predicates during the IME periodo In complement c1auses they are distributed in the following manner: Of the 33 unintroduced ComplCI in our corpus, only 3 (representing 9.1 %) have a nominal predicate. However, since our examples are be worth, be cosin and be accordaunt to reson, we could doubt of their entirely nominal nature. Among ComplCI introduced by that, our more numerous group with 43 such c1auses as well as among those introduced by different complementisers (others), none has been found to contain a nominal predicate. This reveals that nominal predicates are significantly less frequent inside ComplCI than inside matrices, at least in this particular corpus. When analysing the types of predicates appearing in extraposed structures, only one of the four cases recorded in our corpus contained a non-verbal predicate inside the complement c1ause and it was example (16):

(16) I. 785 Us thoughte it was noght worth to make it wys. This sentence's syntactic pattern could be represented as al v ObjCI. In a deeper analysis, the structure of the ComplCI would be revealed as it V Cs S. As a matter of fact, the non-finite construction to make it YlYS is functioning as the subject of was. But most remarkable is the fact that worth, functioning -according to the pattern I propose - as a complement of the subject is said to be a unity together with the verb to be. Thus considered, a new difficulty would arise: whether to regard it in a whole as a complex predicate or to consider worth as a substantive and was as an equative form, so that the predicate would indeed be a nominal one. Contrarily, worth could also be considered a preposition. In this case it would not have its complement as in the case mentioned by Quirk et al. (1985: @ 9.6) that I quote in (17): (17) He's worth listening too where the sentence has a passive meaning.

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This ambiguity can be solved by choosing any of the options proposed aboye, since aH of them are possible though very different from one another. In aH of the cases, it continues to be a preparatory form of the subject to make it l\YS which is extraposed. Extraposition would not be necessary in PE because we would use the form worthwhile as a complement of the subject, but in the Prologue of the CanterburyTales where this line belongs, extraposition seems to be, once more, exacted by rhythm and rhyme.

8. MATRIX VERBS: TRANSITIVITY AND PASSIVE CONSTRUCTIONS

As we saw in section 2, most ComplCls in the corpus occur in object function depending on the verb of the matrix. Transitivity, as the necessity of a verb to have sorne other linguistic unit to complete or complement its meaning (be it a noun phrase or a that-c1ause or even a prepositional phrase as Quirk discusses in 1985: ch. 16) could be defined as a semantic feature of the verb having sorne syntactic consequences. Restricting now our scope to that-c1auses as objects or complements of the matrix verb, we can observe how monotransitive verbs (i.e: verbs requiring one single linguistic unit or argument to complete their predication) determine the verbs appearing in the finite ComplCI due to this semantic relation existing between them (Quirk et al., 1985: @ 16.30). In this sense, factual verbs in the matrix seem to require that the verb in the CompIel should take the indicative mood, whereas suasive verbs in the matrix demand putative should or a mandative subjunctive. In agreement with Quirk et al. (1985: @ 2.16) 1 have c1assified the verbs in my material according to their transitivity. As regards monotransitive structures, the method proposed by Warner (1982: 100-fi) has been adopted, basicaHy the active-passive transformation and the existence of "deep objects". 1 have thus checked the frequency with which intransitive, monotransitive and ditransitive verbs appear in matrices and considered what kinds of objects - if any - they take. 1 have also quantified the passive verbs in matrices obtaining the foHowing results:

Isabel Moskowiclt A Study o/Finite Complementation in late 14th Century English

8.1. INTRANSITIVE MATRICES

8 examples, 7 of which contain the verb bife!. For aH intransitive matrices, the ComplCI occurs in subject position and always extraposed without any anticipatory subject. (cf. for instance line438l-3 in ex. (18) below) (18) Bifel that Chauntecleer, in al his pryde,/ his seven wyves walking by his syde,/ caste up his eyen to the brighte sonne...

8.2.

COPULATlVE MATRICES

4 examples, aH of them containing the verb to be. Two are subject clauses or .could be interpreted as such due to the reversibility of equative be. However, the other two can only be considered appositional structures since they belong into it as complements of a head noun (cf. section 4 supra, ex (7).

8.3. MONOTRANSITIVE MATRICES

44 examples. In aH of them the finite ComplCI functions as DO of the matrix verb as in (19): (19) 1.4341-4343: Shortly 1 seye as for conclusion, that 1 shalhan ofthis avisioun adversitee. 8.4. D1TRANSITIVE MATRICES

26 examples complemented by finite clauses in DO function. The second objects of these ditransitive verbs are aH realised by personal pronouns such as yow, him, etc. one particular type of construction (generaHy called impersonal) in my material deserves comment. (20) 1. 682: Him thoughte, he rood al of the newe let. The verb in (20) is inflected for 3rd p sg and has no overt subject. The personal pronoun inflected for the dative case fuHy coincides with the notional subject, though, syntacticaHy, it is an 10, i.e., the second object of

BABEL-AFIAL, 6/0to単o de 1997

the verb apart from the DO realised by the that-clause. We Could consider that in these constructions the DO is extraposed since the normal word order inside the verb phrase in this period was being established as V la DO. The word order that we have is, as a matter of fact, la V DO. From my point of view, this could be regarded as evidence of a subtype of extraposition without it. These impersonal constructions are very frequent in IME. In fact, of the total of ditransitive constructions found, 42.3% belong to the impersonal constructions type. But ditransitive verbs may take other objects realised by finite clauses in the way 4 instances show in our corpus: (21) 1.454-455 They weyeden ten pound that on sonday were upon hir heed. (22) 1.4310-4311 By God, I hadde lever than my sherte that ye had rad his legende. as have I. (23) 1.4148-4149 1dar welleye a grote, that ye shul have a fevere terciane. (24) I. 336-338 For he was Epicurus owne sone, that heeld opinioun, that pleyn de1yt was verraily felicitee parfyt. In the examples aboye the clauses introduced by that are illustrative of what Crystal (1987: 118) defines as factitive objects. Though he first 6 applies this label to verbs , other linguistic entities seem to be able to function as factitive predicators. Evidence of such factitive predicators in examples (21)-(24) are: a) ten pound is the DO in (21). b) than my sherte is also necessary to complete the rneaning of the verb in (22). c) a grote is the DO in (23), though in a semantic level it is forming a single unit together with the verb d) the opinioun is the DO in (24)and it has an status identical to the one mentioned in c)

8.5. PASSIVE MATRICES

1 example (25) 1.4422-4423 Thou were fuI wel y-warned by thy dremes, that thilke day was perilous to thee.

Isabel Moskowich A Study 01Finite Complementation in late 14th Century English

On my survey of the different kinds of verbs appearing inside matrices, 1 have included this sole instance of passive matrix in the group of ditransitives. In fact, warn needs two kinds of complementation: one [animate] coreferent with the matter of the warning (DO) and another [+animate] functioning as the recipient ofthat same warning (10). After having analysed aH the matrices in the corpus, their distribution can be iHustrated in table 10 below: Table la VERBS IN MATRICES

Intransitive Copulative Monotransitive Ditransitive total

INSTANCES

4 44 26 82

Only 82 matrix c1auses are represented in table 10 because though the corpus is formed by 85 ComplCls three of them are independent thatclauses. On the other hand, we must take into consideration that not aH the 82 matrices are overtly expressed since we have already mentioned that two or more ComplCls may depend on one same matrix, if they are object clauses as in (26) and (27): (26) 1 told him that 1 hated him and that 1 would never come back. (27) It happened that he carne and that it was snowing a loe.

9. WORD ORDER ME word arder has been much explored and discussed, and the conclusions reached vary widely. This lack of agreement must be attributed not to a similar lack of scientific precision but to the changing order of the elements in ME sentence structure rather. Traugott (1972: 120-ff) is of the opinion that ME was a period of extensive transitivisation, and that this transformation produced a change not only in the semantic and syntactic structures, but in word order too. She defends the existence of three basic syntactic patterns, to wit: S (Aux) V (Obj)

BABEL-AFIAL, 6/0toĂąo de 1997

(x) V S O or (x) Aux S V (O)

S (O) V (Aux)

would be the typieal word order of staternents, both eoordinated and subordinated. 2) would syrnbolise the structure of interrogatives whereas. 3) tends to disappear a11 along the ME period - mainly by the 12th century.

Other seholars such as MossĂŠ (1952: 122-ff) have certainly found a larger nurnber of word-order patterns, beeause they cansider sorne other elernents af the sentenee that Traugott has altogether disregarded for this 8 purpase. The word arder patterns that 1 consider relevant are fisted below . Letter C symbolises any eornplement which is required by the verb though it does not need be an object noun phrase. Such an element is often represented by x and is equivalent to what Quirk labels "adjunct". a] S V O/C: mostly used in statements (28) Hi Ă&#x153;eiden greildes on the tunes. b] S O/CV (29) Ac hi nan treuthe ne heolden. e] V S O/C: found in interrogatives and in comparatives. (30) Da macod he his gadering ret Oxeneford (31) Hu pinc pe nu bi mine songe?

d] V O/C S (32) And fynd pam paire necessaries. (33) so priketh hem nature. e] O/C V S: for ernphasis in pornpous style (34) And pilgrimes were they alle. f] O/C S V: inverse arder found when an adverbial occurs in first pasition. (35) of Engelond to Caunterbury they wende.

Isabeljfoskowich A Study ofFinite Complementation in late 14th Century English

AH the patterns aboye refer to matrices, regardless of whether each function is fulfiHed by phrases or clauses. At any rate, there seems to be sorne evidence of a tendency to the arder S (Aux) V O/C or to S (Aux) O V. In this last case, the O is a demonstrative ar substantive and the subject does not have to be overtly expressed. One mare pattern could be yet added to the six already mentioned, the one V S. where no object or complement is involved but only an intransitive verb and its subject (realised by the ComplCI as in bifel than). Another type of impersonal construction -of which only one case has been found in the corpus - has been included in the V S pattern, not taking into account the anticipatory it (36) 1. 4591 It semed as that heven sho1de falle.

Impersonal constructions of the type me mette that have been included in S V O though they do not have an overt subject. Thus the distribution illustrated in the list below is representative of the word arder patterns found in my material. List 1 WORD ORDER IN MATRICES

s v o/c s o/c v v s o/c v o/c s o/c v s o/c s v vs TOTAL

INSTANCES

67 O 3 1 1 1 8 81

To these 81 clauses we must add three independent (unintroduced) that-clauses (already mentioned ab贸ve) and one case of split subject. The independent that-clauses are, aH of them, subjects of omitted matrices containing a copulative verb be and an adjective functioning as Cs. This is why they have not been included in the general classification. In any event, their structure could be both S V C -- non-extraposed S

BABEL-AFIAL, 6/0to単o de 1997

v C s -- extraposed S (with anticipatory it as diseussed in seetion 2.) On the other hand, our only instanee of split subjeet is: (37) I. 524 A bettre preest, 1 trowe that nowher noon is.

Noon and a bettre preest have the same referent though the former is a noun phrase and the latter is a personal pronoun. This splitting, that at first sight eould be eonsidered to be an apposition, does not take place inside the matrix, but inside the S ofthe ComplCI. Consequently, we could consider that the matrix is the fragment stretching fram the comma onwards with S V O word order. This is, however, a slippery question due to the ambiguity of interpretation of the whole line. Sorne other peculiar cases found in our corpus such as that expressed below deserve being mentioned: (38) I. 280 Ther wiste no wight that he was in dette.

Existential there functioning here as an anticipatory subject makes the verb (wiste) precede the real subject (no wight where wight is a nominative substantive meaning "person"). The fact that the verb precedes the S begins to be rare by the time the Canterbury Tales were written and this V S order is mostly found in interragatives or whenever any emphasis is given to the sentenee. Certainly, what has been said before and the figures shown in the list aboye, are suggestive of a trend: that by this stage of development of the English language the common, almost fixed word arder in matrix c1auses was that in which the S has to precede the verb and where any other elements sueh as objects, complements or adverbials follow it. In this respect, 1MB word order patterns were very similar to the ones we can apply toPE. As for word order inside complement elauses the more representative patterns in our corpus are shown in list 2. One substantial difference between this table and the one referring to matrices can be observed, to wit, the faet that this has ineorporated a new

Isabel Moskowich A Study 01Finite Complementation in late 14th Century English

word order pattern, S V, corresponding to the second more numerous group of clauses, intransitive constructions ofthe type: (39) l. 4285 1 see that thou wont heer abyde.

List2 WORD ORDER IN CLAUSES

INSTANCES

s v o/c s ole v v s o/c v ole s o/c v s o/c s v

52 1 O 1 2 1

24 TOTAL

Though it is surprising that no clause follows the V S pattern typical of interrogatives - not even interrogatives themselves -, most outstanding is the fact that the pattern V S O/C which both MossĂŠ and FernĂĄndez identify with subordinate noun clauses (the type of ComplCls we are dealing with) is not represented in our corpus at all. This may suggest that, by the end of the 14th century, word order inside ComplCls (at least, as regards this text) was identical to the one we find now in PE, this is to say, S V O/e. Apart from the two main groups (S V O/C and S V), the rest of the cases seem to obey to the necessity to adequate themselves to prosodic requirements which may produce sorne alteration in the "normal" word order. Lastly, a few instances need be dealt with separately. Let us consider (40) below: (40) 1. 4503 ... how that ther was a cok.

where ther is an existential form whose referent is a cok This, once more, makes the copula precede the real subject (this point has been discussed earlier in the section devoted to word order in matrices). (41) 1. 4592 Now, gode men, 1pray you herkneth alle!

where the vocative gode men is doubled in the subject pronoun you and in the reinforcing form alfe. This could be considered as a case of split subject, though the vocative does not belong in the ComplCI and aUe is

BABEL-AFIAL, 6/0to単o de 1997

not functioning as a subject properly, but as a complement or modifier of you in the noun phrase you alle. (42) l. 785 ...it was noght worth to make it wys. In (43) an anticipatory S it is filling in the gap left by the extraposition of the non-finite subject to make it vrys that is preceded both by its copula and by its Cs. (43) I. 4131 ...ne do no fors of dremes! Contrarily, the structure illustrated in (43) does not correspond to any of the word order patterns mentioned before since it is an imperative form that, exactly the same as in PE, lacks a subject, thus resulting in the pattern V C which has not been included in our scheme. All that has been said leads liS to consider that ME word order at the moment the text was written (late 14th century) was already almost fixed and very similar to PEboth in matrices and in ComplCls, leaving behind a period during which declensions favoured a more flexible collocation of syntactic units.

10. TYPES OF PREDICATES IN MATRICES AND THEIR FREQUENCY AS DETERMINERS OF STYLE In order to investigate the inf1uence of the different types of predicates on style, a careful consideration of such types is required. As was stated in section 1, the theoretical framework and, consequently the terminology adopted for this semantic study are based on Noonan's (1985). However, to the list he proposes 1 have added others. Predicates not mentioned by Noonan such as existential be, nominal predicates and complex predicates, for instance, have been included inside this particular group. Table 11 shows the absolute number of each type of predicate9 found in my material whereas Table 12 presents this same information in more detail, since it includes the distribution of type of predicates depending also on the type of complementiser introducing the ComplC!.

Isabel Moskowicll A Study 01 Finite Complementation in late 14th Century English

Table 11 INSTANCES

TYPE OF PREDICATES

16 15 15

kak predicates pap predicates Utterance predicates Other predicates Commentative predicates Manipulative predicates Immediate perception predicates Achievement predicates

10 9 9 6 1

Table 12. This table shows the distribution of semantic predicates according to the type of predicates they belong to in Noonan's c!assification and to the complementiser they take TYPE OF PREDICATE

Utterance Propositiona1 attitude Pretence Commentative Kak Modal Manipulative Desiderative Fearing Achievement Phasal Immediate Perception Others

THAT

OTHERS

ZERO

9 5

1 (how that) 1

5 9

O 2

O 1

O O 3 O O O O O O 3

7 7

O 5

O O 1

O 4

O O O O 2 3

I daresay that the presence or absence of certain kinds of predicates is directly related to the style and intention of the author. Though in this paper I examine the Prologue and the Nonne Preestes Tale together, we cannot forget that every single tale has its morais and that even the Prologue wants to enhance the sense of justice and social arder of the time. In the Nonne Preestes Tale something is learned on the part of both characters and this may be the reason for the abundance of kak predicates. Pap predicates or predicates "expressing an attitude regarding the truth of the proposition expressed as their complement" (Noonan, 1985: 113) are second. This seems to be extremely natural for the texts we are dealing with contain

BABEL-AFIAL, 6/0to単o de 1997

-mainly the tale itself - logical argumentations which many a time are defended or answered with such predicates. For the same abundance of logical discussion do utterance predicates appear, mostIy being a part of an argument. The characters look back at History to find sorne support for their ideas as in (44): (44) 1. 4313-4316: Macrobeus, that writ the avisioun in Affrike of the worthy Cipioun, affermeth dremes, and seith that they been warning of thinges that men after seen.

This logical nuance of the tale - and of the Prologue according to the logical social order of the time - may account for the larger number of sorne types of predicates such as the mentioned aboye compared to others of the irnmediate perception type. Not only "what" is said but also "how" it is said are inevitably linked since words do always convey something and this is probably the reason why one particular type of predicates is used and not other. The subject matter determines the style, so to speak, though there is sorne parody on style in the particular case of Chauntecleer's speech.

11. SEMANTlCS OF THE COMPLEMENT CONSTRUCTlON My major interest in this section, will not be the semantics of ComplCI on its own, but modality as well considering modality a semantic feature - and the relationship established between mood of the verb phrase inside the ComplCI and that of the verb in the matrix clause. Mood will be, thus, regarded here as a grarnmatical category. For the purpose of investigating how mood or any other feature of the matrix clause's verb determines the mood of the ComplCl's verb, I have distinguished Indicative, Subjunctive, and Neutralised forms. Indicative and Subjunctive are recognisable due to the inflectional differences (still existing, though certainly weakened in ME) between them. Notwithstanding this, there are occasions in which a form cannot be safely ascribed to the indicative or subjunctive paradigms according to its inflectional ending. Such cases, normally originated by the weakening of unstressed vowels, are considered "neutralised forms" (Warner,1982: 188-ff).

Isabel Moskowich A Study 01 Finite Complementation in late 14th Century English

Though 1 do not reject Visser's proposal to use "modally marked form" and "modal1y zero form" respectively (1970: @786), 1 use the traditional nomenc1ature "indicative-subjunctive". This is so because 1 study modality regarding mood as a grammatical category and the terms "Indicative" and "subjunctive" can perfectly refer to inflectional entities inside verbs though they affect the content of the whole utterance from a semantic point of view. The difference between indicative and subjunctive moods was not new in ME though their usage was not the same as in ĂźE. Generally speaking, we can say that ME used the subjunctive in a matrix c1ause in the fol1owing situations (MossĂŠ, 1952: 97-ff): 1.- to express a realisable wish (present tense)

2.- to express an unrealisable wish (past tense) 3.- equivalent to an imperative with the 3rd person 4.- if it was fol1owed by a hypothetical ComplCI. In any case different from the aboye mentioned, the indicative was the expected mood of the verb in the matrix c1ause (for instance, to express facts, verification or reality). In ComplCls, the use of subjunctive or indicative depended on the characteristics of the matrix c1ause's verbo Thus, an object c1ause in ME took a subjunctive after verbs of wishing, commanding, asking or after verbs of doubt and estimation. If the ComplCI belonged to a second level of embedding, this is to say, if it was not functioning as a primary constituent of the matrix, the subjunctive was used when fol1owing an imperative in the matrix with 0 complementiser. This same phenomenon has been observed to take place with indirect questions. Warner (1982, 189) affirms that subjunctive appeared in ComplCls "when not apparently motivated by the complement c1ause construction" either after a word expressing "thinking" or in a ComplCI which, had it been a matrix, the subjunctive Would have been used (conditionals, wishes, etc). Warner mentions three types of ComplCls with subjunctive, only two of which - those referring to finite that c1auses - are of any significance

BABEL-AFIAL, 6/0toĂąo de 1997

for our purpose. On the one hand, in that-clauses after verbs of ordering, requesting, wishing and ensuring. This idea has been also supported by Visser (1970: vol n, @ 869; vol III, @ 1546). On the other, subjunctive appears also in that-clauses with verbs of evaluation taking a subject complement. After checking my material, present indicative was found to occur in 31 matrix verbs, of which: 1] 11 exhibit present indicative in the CompCl. All matrices-contain kak and utterance predicates. 2] Only 1 has a neutralised form, the matrix verb expressing vention (kepe).

pre~

3] 5 clauses contain periphrases expressing tense such as shal han (future), wolt abyde (future), is ago (past), and are shapen (past). 4] 3 clauses contain periphrases expressing modality: is lor fo drede, mote be and can clepen. All of them depend on kak and utterance predicates. 5] 6 clauses contain a past indicative form in the complement because the matrix expresses the present inf1uence that the past (the clause) has on the speaker as in: (45) He says that Peter went there.

6] 4 clauses have a subjunctive verbal form due to the conditional character of the matrix in one case and to the presence of manipulative predicates in the other. Table 13 contains data concerning the distribution of mood in complement verbs, being the verb in the matrix in its turn always inf1ected for present indicative. Table 12 also proves that MossĂŠ's and Warner's affirmations on the use of the subjunctive (as inf1ectional category) are certainly accurate as we have seen in 6] and shall see below when dealing with periphrases expressing subjunctive mood.

Isabel Moskowich A Study o/Finite Complementation in late 14th Century English

Tab1e 13 %

CLAUSES

Present Indicative Past Indicative Periphrases tense Past Subiunctive Periphrases moda1ity Neutralized forms

36.7 20 16.7 13,3 10 3.33

More abundant in our corpus matrices is the past indicative (39 instances). This can be attributed to the nature of the corpus itse1f (narration). Of these past indicative verbs, 7 can be said not to be overt1y expressed, for instance, in those cases where two or more Comp1C1s are coordinated. Witness: (46) 1.711-712: For we1 he wiste, whan that song was songe, he moste preche, and (we1 affy1e his tonge). 61.5% of aH these clauses depending on matrices with past tense verbs a1so contain a verb inflected for the past indicative denoting facts or opinions considered as facts in the matrix. Though MossĂŠ and Warner have different theoretica1 bases, they both conclude that the use of the subjunctive in ME is 1imited. Butmoda1ity cou1d be expressed in ME a1so by resorting to ana1ytica1 constructions as evidenced by severa1 examp1es from our corpus. In fact, clauses depending on past indicative verbs in the matrix which take periphrastic forms are 12 in aH. There are three periphrases expressing tense or aspect: gan calle, was come, and gan granen. The rest of them - 9 - express modality or mood. The re1ationship between the mood in the verb of the matrix and that of the Comp1CI, is, in this case, represented in Tab1e 14 where aH the matrices considered (39) have a verb inflected for the past indicative. Tab1e 14 VERB IN CLAUSES

Past Indicative Periphrases tense Periphrases mood

INSTANCES

3 9

% 69.2 7.7 23.1

BABEL-AFIAL, 6/0to単o de 1997

But the possibility of expressing modality is not exclusive of ComplCls. As regards matrices, modality is also expressed in different ways. Sorne of them also contain these periphrastical constructions. Those expressing modality such as the eight fol!owing: Matrix hadde lever mayseen maist lere wolde shewe dorste seyn dar leye dorste make dorste swere

Clause hadrad been to drede shade been coulde pleyne mighte make shul have wiste weyeden

As can be seen, the last four instances express factual matrices and correspond to factuality in the ComplCI (2 of them expressed in the indicative with wiste and weyeden). The other four examples are non-factual and their ComplCls refer to hypothetical situations such as: (48) 1. 4310-4311: By god, 1hadde 1ever than rny sherte that ye had rad his legende, as have 1. where the idea conveyed by the complement clause could have existed, but has noto Al! through the corpus 1 have only found 1 imperative (suasive, if we use Quirk's terminology) matrix with a subjunctive in the ComplCI. The imperative expresses a manipulative predicate. As regards the 3 cases of independent that-clauses that we mentioned many a time before, they all contain verbal forms or periphrases expressing subjunctive modality. In the light of the evidence exarnined we can say that modality in Chaucerian English seems to perfectIy cOlTespond to the strictest ME canons.

Isabel Moskowich A Study 01 Finite Complementation in late 14th Century English

1 2. CONCLUSIONS The impersonal constructions of the type me mette, us thoughts dealt with in section 8 when discussing ditransitive constructions are very frequent in ME and typical of this periodo They are central in the discussion of finite complementation in ME first, because they always take finite ComplCls and, second, because such constructions have disappeared from the language. Less common is the type it seemed to me that was only beginning to be used by the end of the 14th century and that does always need a that-clause functioning as its extraposed subject (Quirk et al., 1985: @16.34). Our corpus has rendered one single example of this second type of impersonal construction only recently beginning to be used. As regards periphrases sorne final remarks have to be made. In the first place, perfective tense was still expressed with different auxiliaries depending on the transitivity of the verbo However, the paucity of instances in which ben or habben are differently used according to the transitivity or intransitivity of the verb (coromon in OE) shows that this difference begins todisappear by this time and habben is used in every case except with ginne. Second, the extensive use of periphrastical verbal forms which were pretty rare in OE but are very frequently used nowadays is also worthy of mention. This means that certain verbs were losing their lexical content in arder to convey grammatical meaning only accompanying other uninflected verbal forms. Thus, it could be affirmed that ME was the period which saw, among many other changes, the transformation of sorne OE verbs into modals. By way of conclusion, and though sorne partial considerations have been already announced aH along this paper, Chaucerian English can be said to be modern as regards its use of finite complementation. In fact, that is the complementiser more frequently used by Chaucer in these two pieces of writing. Of course, this does not exclude other types of complementisers slightly more archaic such as how that.

That is almost always introduced by verbal predicates. This is due to a clear majority of verbal predicates as well as to the totallack of adjective predicates in this corpus. But what may be most outstanding is that that can never be supressed when introducing a clause in subject function exactly the same as in PE.

BABEL-AFIAL, 6/0to単o de 1997

Moreover, anticipatory elements were becoming more and more frequent in cases of extraposition, thus marking another important difference with OE. Likewise, ME resembles PE in the fact that apposition realised by clauses follows, raughly speaking, the same rules as nowadays. As for the opposition Indicative vs. Subjunctive it has already begun to fade due to the weakening of final unstressed vowels in inf1ections. Mood distinctions (as well as tense and aspect) are now more and more often expressed by means of periphrases formed with verbs which were not yet considered modals in OE (i.e: wolde, shade). The abundance of periphrases expressing modality such as hadde lever shows a tendency to the PE use of analytical verbal forms. One more similarity with PE shown in our examples is that word order begins to be fixed in Chaucer's time. Generally speaking, this Chaucerian English of the late 14th century can be said to share more features typical of PE than of OE, since the Norman inf1uences are settled by this period as well as some other intrasystemic mechanisms that will be charateristic of PE and make it so different fram OE and other Germanic languages in its syntactical organisation exactly the same as many other elements that have made ofEnglish the language it is today.

Isabel Moskowiclt A Study o[Finite Complementation in late 14th Century English

NOTAS

4. 5.

7. 8.

Though this aspect has not been treated 1 would like to point out that both the syntax of the narrator of the Prologue and of Chauntecleer are much more complex (according to their level of embedding) than that of Pertelote, for instance. This corroborates the idea that Chaucer interrupts the tradition of "high subject, high style''. This discourse deixis is not considered as such by Huddleston (1984: 274-284) who makes a distinction between anaphora, as something textual, and deixis, as something with an extra-textual reference. This type of clauses are discussed separately since 1 do not consider they are similar to the two last ones except because they aH contain nominal predicates. Where x is any adverbialdifferent from complements. Let us not confound this with the kernel clause in which x is a necessary element (Huddieston,1984: @ 1.4) because in the cases analysed it is not always so. Factitive refers to a verb which takes a complement clause, and where the speaker presupposes the truth of the proposition expressed in that clause. This example is intended as an imitation of the bifel construction. For its drawing-up 1 have resorted to both MossĂŠ's and FernĂĄndez's patterns, a mixture of which, l think, gives the most accurate idea we could have of what ME word order was. Examples have been also taken from both authors. Noonan's abbreviations have been also adopted here.

Isabel Moskowich A Study 01 Finite Complementation in late 14th Century English

REFERENCES CRYSTAL, D.1987. A Dictionary of Linguistics and Phonetics, Longman ( 2nd ed.). ELSNESS,1. 1984. "That or Zero? A look at the choice of object clause connective in a corpus of American English", English Studies, n. 65. FERNANDEZ, F.1982. Historia de la lengua inglesa, Madrid: Gredos. HUDDLESTON, R.1984. Introduction to the Grammar of English, Cambridge University Press. - 1987. The Sentence in Written English, Cambridge University Press. JESPERSEN, O. 1909-49. A Modem English Grammar on Historical PrincipIes, Allen and Unwin. KERKHOF,1. 1966. Studies in the Language olGeoffrey Chaucer, Leiden U. P. MATTHEWS, P.H. 1977. Syntax, Cambridge University Press. MOSSE, F. 1952. A Handbook 01 Middle English, The Johns Hopkins Press, Ma. NOONAN, M. 1985. "Complementation" en T. Shopen, ed., Language Typology and Syntactic Description, vol.ll. Cambridae University Press. QUIRK, R. et al. 1985. A Comprehensive Grammar of the English Language, Longman. ROSEBOROUGH .1970. Outline 01English Grammar, Greenwood Press. RYDEN, M. 1979. "An introduction to the historical study of English Syntax", Stokholm Studies in English, vol. Ll. TRAUGOTT, E.C.1972. The History 01English Syntax, Stanford University. VISSER, F. Th. 1970. An Historical Syntax olthe English Language, Leiden University Press. WARNER, A. 1975. "Infinitive marking in the Wyclifite Sermons", EnglishStudies, n.56. WARNER, A.1982. Complementation in Middle English and the Methodology of Historical Syntax, Croom Helm.

Jorge Figueroa Dorrego An lnfroducfion fa fhe Presence and Influence 01 fhe Sevenfeenfh-Cenfury...

An Introduction to the Presence and Influence of the SeventeenthCentury Spanish Novel in the English Restoration Period Jorge Figueroa Dorrego Universidade de Vigo

La narrativa inglesa anterior al siglo XVIII ha sido erroneamente infravalorada o ignorada por criterios nacionalistas, políticos, moralistas, y/o anti-idealistas. Sin embargo, fue una importante manifestación cultural de la época, especialmente en el periodo de la Restauración, que preparó el camino para la novela dieciochesca. La presencia e influencia de la narrativa española del siglo XVII durante la Restauración fue más importante en calidad que en cantidad, y a menudo a través de traducciones y adaptaciones francesas. Novelas como Lazarillo, Guzmán de Alfarache, y las de Cervantes y Quevedo tuvieron varias reimpresiones e imitaciones en inglés. Géneros como la picaresca, la novela cortesana, y el antiromance fueron muy populares y modelaron gran parte de la narrativa inglesa producida desde la segunda mitad del siglo XVII. Estas obras necesitan más atención por parte de los críticos. El presente artículo intenta establecer un corpus y realizar un estudio introductorio en el que basar futuras investigaciones.

English prose fiction written before the eighteenth century has general1y been undervalued or simply ignared because it was considered too inferior to and influenced by other European literatures, too political1y and moralIy incorrect, and/ar too idealising. However, despite the disregard of scholars and critics, and the subsequent lack of knowledge of the general public, prose fiction was extensively written, translated, and read in the English Restoration period (1660-1700)1. It was an important manifestation of the culture of the time, and prepared the way for the novel to come. Therefore, it should not have been neglected. Besides new and old native material, there were plenty of translations from Classical and modern Continental narrative, which were very popular and influentia1. The Spanish novel of the seventeenth century became so either directIy or through its Franch adaptations. But this presence and influence on the English narrati2 ve of the period has not been appropriately analysed • This paper attempts

BABEL-AFIAL, 6/0toño de 1997

to establish a corpus and give an introductory insight into the matter, in which further research may be grounded. The impact of Spanish picaresque novels in England was importane. The anonymous Lazarillo de Tormes (1554) had been well-known sínce Elizabethan times4 , and had inspired English works such as Nashe's The Unfortunate Traveller (1594) and Nicholas Breton's The Miseries of Mavillia (1599). The former gave a vivid description of low life told in the first person by the protagoníst, a1though the protagonist was not really a pícaro but a gentleman. Jack Wilton did not suffer poverty or hunger, and did not serve several masters, as he himself said at the beginning of the story: "1, Jack Wilton, a gentleman at least, was a certain kind of an appendix or page, belonging or appertaining in or unto the confines of the English Court; where what credit was, a number of my creditors that 1 cozened can testify" (Steane ed. 1972: 254). Breton wrote and episodic auto-biography told by a suffering girl in a plain style and with realistic detail, inc1uding sorne unpleasant and grotesque situations. However, none of these works reaehed the end of the century, whereas Lazarillo was reissued five times between 1669 and 1693. The eombination of moralistie and entertaining material together with its rieh and vigorous Baroque style made Mateo Alemán's La vida de Guzmán de Alfarache (1599-1604) have an extraordinary suecess, the book being several times reprinted in Spain, and soon translated to the main European languages. James Mabbe did the English version, entitled The Rogue, or the Lifé ofGuzman de Alfarache, in 1622, which was reissued at least six times until 1661, though often ornitting the moral discourses. Mabbe emphasised the rhetorical and encyc10pedic quality of the novel, and presented it as a reliable source of information about Spanísh customs and language 5. Quevedo's Historia de la vida del Buscón (1626) was translated into English by John Davies of Kidwelly in 1657 under the title The Lifé and Adventures of Buscon, the Witty Spaniard, and with a second edition in 1670. An anonymous shortened version translated from the French and entitled "The Pleasant Story of Paul of Segovia" was added to Céspedes y Meneses's The Famous History ofAuristella (1683), taken from his Poema

Jorge Figueroa Dorrego An Introduction to the Presence and Injluence 01the Seventeenth-Century... 63

Trágico del español Gerardo (1622)6. However, Davies used La Geneste's French version, which transformed Pablos into a clever, handsome, young man capable of true love and friendship, who is rewarded for his nobility, being thus closer to the protagonists of romans comiques than to a pícaro? Other minor works of Spanish picaresque were published during the Restoration. Salas Barbadillo's El necio bien afortunado (1621) was translated by Philip Ayres as The Fortunate Fool in 1670. The author was already known in England because La hija de la Celestina (1612) had been adapted· through Scarron's version by John Davies as The Hypocrites (1657). The witty Elena was a good example of the tradition of picaresque heroines started by López de Úbeda in La pícara Justina (1605): beautiful, lively, cunning, and with a strong character. Castillo Solórzano's La garduña de Sevilla (1642) was translated from the French by John Davies in 1665 as La Picara, or The Triumphs of Female Subtility, and had an abridged version by Edward Waltron under the title The Lifé of Danna Rasinna (1700?). This tradition of pícaras heralds the creation of autonomous, ambitious, non-virtuous female protagonists by later English novelists such as Aphra Behn and Daniel Defoé. Although not pícaras due to their social background, Behn's Miranda is a vain, treacherous, greedy woman who finally repents in The Fair Jilt (1688), and her Silvia is an example of conceit, selfishness, and inconstancy who is left in search of "new Prey" in Love-Letters Between a Nobleman and His Sister (1684-7) (Todd ed. 1993: 439). Spanish picaresque novels, then, were well known and appreciated in Restoration England, and they surely helped to change the attitudes of readers and writers towards prose fiction. But few native authors of that time actually wrote what can be called picaresque novels. The most famous was Richard Head's The English Rogue Described in the Life of Meritan Latroon (1665), continued by Francis Kirkman in 1668 and 1671, and published several times in both full-Iength and abridged editions. Like the Spanish models, it was an autobiography of a rogue, from his· boyhood to adulthood in prison and his departure for the East Indies, where he had further adventures. Head borrowed from various Spanish picaresque novels 9, and Kirkman's prologue mentioned Guzmán and Buscón (1928 ed.: 269), but it also owed much to the native tradition of jest-books, criminal lives, and coney-catching pamphlets.

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The first part of The English Rogue offered the relatively unified story of Meriton Latraon, full of vivid incidents and situations taken fram other similar works. Meriton always moved on, playing tricks on everyone, outwitting society. Bis joyous recounting of past crimes seems to conflict with the occasional moral comments included. Kirkman complicated the plot with inset stories, so that it became somewhat chaotic and contrasts with Head's much more linear narrative sequence. Neither of the two authors managed to reach the level of the Spanish models, particularly in satire, characterisation, observation of manners, dialogues, and scenery. Nevertheless, this book had many imitations: The French Rogue (1672, and 1694), The Dutch Rogue (1683), The Yorkshire Rogue (1684), and The Irish Rogue (1690). Picaresque elements can be found in other Restoration narratives. George Fidge's The English Gusman; or the History 01 the Unparallel'd Thiel James Hind (1652), Thomas Dangerfield's Don Tomazo (1680) and Elkannah Settle's The Complete Memoirs 01 the Lije 01 that Notorious Impostor Will Morrell (1694) have sorne similarities with rogue fiction, but bear more relation to native forms of criminal biographylO. John Dauncey's The English Lovers (1662) integrates romance and picaresque. Charles Croke's Fortune's Uncertainty, or Youth's Unconstancy (1667) and Francis Kirkman's The Unluc1()i Citizen (1673) combines rogue narrative with autobiography. Strictly speaking, it can be said that there are no real picaros in the English prose fiction of the seventeenth century. The rogues and gusmans are never presented as sympathetic characters of humble origins that trick their masters out of sheer necessity and wander from place to place in stoic resignation, but as antisocial characters who enjoy outwitting people or whose greed leads them to crime. That is why it is so close to the native tradition of jest-books and criminal biographies. Dangerfield expains it in Don Tomazo: "See here the difference between a Spanish and an English gusman; the one pursuing a poor, hungry plot upon his penurious master's bread and cheese, the other designing to grasp the riches of the fourth part of the world by the ruin of a national cornrnerce" (Salzman ed. 1991: 390). Social conditions are certainly to be taken into account to explain this. In England, the Poor Law developed fram Elizabethan times provided

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relief for the needy and work for the able-bodied. Therefore, as Trevelyan (1967: 245) stated, "The worst horrors offailure, ofunemployment, and of unprovided old age were not suffered by the poor in England to the same extent as in the continental countries of the ancien régime". There were no regiments of beggars nor of hungry youngsters who needed to outwit their masters to be able to eat something, i.e. there were no pícaros in seventeenth-century English society. That is the reason why contemporary rague fiction was different from the Spanish picaresque. Another important narrative genre with Spanish origin that became popular and influential during the English Restoration period was the novela modelled by Cervantes in 1613. In Eng1and, the Novelas ejemplares were known thanks to James Mabbe's excellent trans1ation of six of them in Exemplary Novels (1640), and Walter Pope's choice in Select Novels (1694). Know1es (1969: 283 & 287) has remarked that both trans1ators chose five "Italianate" tales: "Las dos doncellas", "La señora Comelia", "El amante liberal", "La fuerza de la sangre", and "La española inglesa", instead of "El coloquio de los perros" or "Rinconete y Cortadillo". They prabably thought that those stories were closer to their readers' idea of the novela. But considering the popu1arity of picaresque fiction, I think the other two wou1d have also been successful in England. Knowles has also pointed out that Cervantes's novels were known before Mabbe's translation, mostlike1y thanks to the 1615 French version, as sorne Jacobean dramatists borrowed plots for their plays (see p. 283). Moreover, The Jealous· Gentleman 01 Estremadure appeared separately in 1681, and Sir Roger L'Estrange included five in The Spanish Decameron: or Ten Novels (1687), the other five being works of Castillo Solórzano (three nove1s and two chapters from La garduña). According to Salzman (1985: 311 and 368), the book published as Quevedo's Novels (1671) was, in fact, a version of Salas Barbadillo's Don Diego de Noche (1623). The Famous History 01 Auristella (1683) by Céspedes y Meneses was taken fram Poema trágico del español Gerardo. And, finally, The Perplex'd Princess (1683) was ascribed to María de Zayas, but this title does not resemble that of any of her novels. Sorne of her works were known in England thraugh Scarron's adaptations trans1ated by John Davies 11 in 1665 • Direct imitations of the Spanish novelas in English were, for instance, the anonymous collection of three stories of love and intrigue entitled

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Triana; or, a Threelold Romanza 01Mariana, Paduana, and Sabina (1654, reprinted ten years later), Cox's Lisarda, or the Travels 01 Love and Jealousy (1690) and also Philip Ayres's The Revengelul Mistress (1696). The influence of the Spanish novelas can be noticed in the Restoration novels in general, particularIy those by Aphra Behn, William Congreve, and those inc1uded in The Gentleman's Journal edited by Peter Motteux. Either directly or through their imprint on French fiction, that influence is noticeable in their penchant for brevity, realism, lively plots, and familiar settings. Todd (1995: xiii)has remarked that Behn's "The Unhappy Mistake" is in sorne aspects reminiscent of Zayas's "El traidor contra su sangre". AIthough it is not sure that Behn may have read Zayas's works, her novels have sorne points in cornmon in spite of their differences. The beginnings ofmany oftheir stories are similar, e.g.: "En Nápoles, insigne y famosa ciudad de Italia por su riqueza, hermosura y agradable sitio, nobles ciudadanos y gallardos edificios, coronados de jardines y adornados de cristalinas fuentes, hennosas damas y gallardos caballeros, nació Laura, peregrino y nuevo milagro de naturaleza, tanto, que entre las más gallardas y hennosasfue tenida por celestial extremo; (...)" C'La fuerza del amor", in Novelas ejemplares y amorosas (Rincón ed. 1968: 63). "The River Logre has on its delightful Banks abundance of handsome, beautiful and rich Towns and VilIages, to which the noble Stream adds no small Graces and Advantages, blessing their Fields and Plenty, and their Eyes with a thousand Diversions. In one of these happily situatued Towns, called Orleance, where abundance of People of the best Quality and Condition reside, there was a rich Nobleman, (...) he had one only Son, caIl'd Rinaldo, now grown to the Age of Fifteen; who having aIl the excellent Qualities and Grace ofYouth, by Nature, he would bring him up in aIl Vertues and Noble Sciences, (...)" (The Lucky Mistake, in Todd ed. 1995: 167). There are other similitudes between Zayas and Behn. One is their attempt to create an impression of verisimilitude by mentioning historical events and personages, setting the stories in contemporary, familiar locations, and insisting on their authenticity. Here are sorne examples: "(...) Este caso me refirió quien le vio por sus ojos, y que no ha muchos años que sucedió me afinnó por muy cierto. Y más os digo, que no se ha disimulado en él más que la patria y nombres, porque aún viven algunas de

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las partes en él citadas," ("La más infame venganza", in Yllera ed. 1983: 195). "Todo este caso es tan verdadero como la misma verdad, que ya digo me le contó quién se halló presente". ("La inocencia castigada", Yllera oo. 1983: 288). "1 do not pretend here to entertain you with a feign'd Story, or any thing piec'd together with Romantick Accidents; but every Circumstance, to a Tittle, is Truth. To a great part of the Main, 1 my self was an Eye-witness; and what 1 did not see, 1 was confirm'd of by Actors in the Intrigue, holy Men, of the Order of St Francis: But for the sake of sorne of her Relations, 1 shall give my fair Jilt a feign'd Name, that of Miranda; but my Hero must retain his own, it being too illustrious to be conceal'd" (The Fair Ji/t, in Todd ed. 1995: 9). "1 cannot omit giving the world an account, of the uncommon villainy of a Gentleman of a good Family in England practic'd upon his Sister, which was attested to me by one who lív'd inthe Family, and from whom 1 had the whole truth of the Story". ("The Unfortunate Happy Lady", in Todd ed. 1995: 365). Moreover, both writers deal mainly with love, conceived as a powerful passion which can have dangerous consequences; focus on the feelings of their characters; and often present active, resourceful women, and many characters that determine to escape from worldly life and enter a religious order. Another narrative genre initiated by Cervantes was anti-romance. This time the model was El ingenioso hidalgo don Quijote de la Mancha (1605-15). Its int1uence on the English realistic novelists of the eighteenth century, like Defoe, Fielding, Smollett and Sterne, has generally been 12 acknowledged , but its presence in the previous century has been by and large ignored.

Don Quijote has had several interpretations through history, but it seems that for the seventeenth-century readers the book was comic, a parody of chivalric romances. And to a great extent at least, this was actually Cervantes's intention, as he expressed openly at the very end of the Second Part: "(...) pues no ha sido otro mi deseo que poner en aborrecimiento de

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los hombres las fingidas y disparatadas historias de los libros de caballerías (...)" (J.J. Allen ed. 1981: 578). But other approaches soon turned up. AIready in the eighteenth century, English authors like Peter Motteux and Samuel Johnson, stated that everybody had thoughts and visions somehow similar to those of Don Quixote.. Alexander Pope and Sarah Fielding asserted that the Spanish hidalgo could be mad, but at the same time was a moral and judicious person l3 . But the first literary int1uence was to produce other narratives that criticised the excesses of romance. Thomas Shelton translated Cervantes's masterpiece between 1612 and 1620 under the title of The History olthe Valerous and Wittie KnightErrant Don Quixote 01 the Mancha, a version which reached its fourth edition in 1675. John Philips's translation, entitled The History olthe Most Renowned Don Quixote olLa Mancha and His Trusty Squire Sancho Panza, appeared in 1687; Motteaux's and Stevens's versions were published in 1700, and five abridgments were brought out between 1686 and 1699. This bears witness of the popularity of this work in the Restoration. A few English imitations of Don Quixote were produced in the seventeenth century. The first part inspired the general idea of Robert Anton's Moriomachia (1613), which satirised chivalric tradition, particularly Henry Robarts's Pheander the Mayden Knight (1595), which gave name to the 14 protagonist • But perhaps being a simple parody with little characterisation was the reason why this book was not reprinted. Samuel Holland's Don Zara Del Fogo (1656) was a more highly developed and substantial antiromance in general. Holland mocks chivalric books, pastoral romances, Classical epic, travellers' tales, and literary and historical scholarship l5. It appeared in the same year as Wit and Fancy in a Maze, and in 1660 as Romancio Mastrix. The anonymous Don Samuel Crispe (1660) and The Knight- Adventurer, or, The Infamous and Abominable History of that Terrible TroubIesame and Vain-glorious Knight Sir Firedrake (1663) continued the line of social satire and burlesque chivalric romance found in Moriomachia l6 . But Don Juan Lamberto: or, A Comical History of the Late Times (1661), was an amusing, satirical account of the intrigues of sorne Commonwealth leaders in the time of Cromwell. Written in the archaic language of the romances, this work aimed its satire at recent political events, and also parodied contemporary secret histories. It was published under the pseudonym of "Montelion", and has been attributed to Thomas Flatman and

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John Phillips. Williams (1978: 85) records a burlesque of Cervantes's masterpiece, precisely by John Phillips, entitled The Life and Atchievement of ... Don Quixote (1686), where the Spanish novel is adapted to an English scene and a lower social and literary level. Apart from these prose imitations, the influence of Don Quijote was also noticeable in English drama. The story of "El curioso impertinente" is the basis of the subplot of Behn's The Amorous Prince; or, The Curious Husband (1671) and Thomas Southerne's The Disappointment (1684), and of the plot of John Crowne's The Married Beau; or The Curious Impertinent (1694). Thomas DUrfey's trilogy The Comical History 01 Don Quixote (1694-6) is a mediocre, immodest version of sorne episodes of Cervantes's novel 17 . All this bears witness to the popularity and influence of Cervantes's Don Quijote, to which we should add those of the anti-romances and romans comiques written by French writers such as Sorel, Scarron, and Furetiere. They created a tendency to avoid the absurdities of old romances, and to teH stories about contemporary, familiar characters and settings. This trend, noticeable also in other narrative genres, such as the Spanish novela cortesana and the French nouvelle historique and nouvelle galante, influenced the English Restoration novel. Many English prose fiction writers working in the last two decades ofthe seventeenth century, such as Aphra Behn, Alexander Oldys, Richard Blackbourn, William Congreve, and Peter Motteaux, determined to write a kind of narrative that was characterised by its penchant for brevity, verisimilitude, brisk }'llots, dramatic structure, intrusive narrators, and familiar settings. These practices were inspired not only from coeval French and Spanish narrative, but also from the native Restoration drama. The result was a group of novels which bear the sign of the time, prepare the ground for future prose fiction, but that have been disregarded by most students of English Literature. Sorne of them have interesting features and do not deserve the oblivion they have suffered. Of these Restoration novels, Congreve's Incognita (1692) is that which has received more general acc1aim by twentieth-century critics, at least until the 80s when Behn's works were reassessed. This was so mainly due lo the interesting theory of narrative set out in the preface "To the Reader", where Congreve distinguished between novel and romance, defended

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the former, and proposed the use of dramatic conventions to improve prose fictioll. Thus he rnanaged to write a very tightly-plotted novel, with unity of time and space, and fulI of surprise and intrigue. It certainly recalls many seventeenth-century Spanish novels and comedies, yet Congreve is more directly indebted to French narrative. Incognita cannot be considered an anti-romance nor aroman comique, but features substantial rnockery of romantic love and is c1earIy inf1uenced by Scarron. The ironic cornments of the narrator are all-important for the interpretation of the novel. The Quixotic delusions of his heroes are mainly amatory but occasionally chivalric, as we may see, for instance, after Aurelian's idealising description of Incognita: n(...) Nay, so particular were their allotments in her service that Aurelian was very positive a young cupid, who was butjust pen-feathered, employed his nakOO quill to pick her teeth. And a thousand other things his transport representOO to him, which none but lovers, who have experienced such visions, will believe n (Salzman 00.1991: 492).

AIso when Aurelian and Hippolito speak about being in love: n(u.) There arose another sigh. A sympathy seized Aurelian immediately (for, by the way, sighing is as catching among 10vers as yawning among the vulgar). Beside, hearing the name of love made him fetch such a sigh that Hippolito's were but fly-blows in comparison "(p. 495).

And, finalIy, when the two friends rnistake a joust "only designed for show and forrn" for a real one, making themselves look ridiculous in front oftheir beloved ladies and many other honourable people (p. 503)18. Three other important seventeenth-century Spanish works were known in England during the Restoration periodo Francisco de Quevedo's Sueños was first translated by Richard Croshawe in 1640 under the title of Visions, and then in 1667 by Sir Roger LEstrange, which reached its tenth edition in 1696. La hora de todos y lalortuna con seso was englished as Fortune in her Wits, or The Hour 01Al! Men in 1697. Sir Paul Rycaut, who studied in Alcalá, translated Baltasar Gracián's El criticón in 1681 as The Critick. It appeared at a time when allegories were in vogue in Britain and, no doubt, this contributed to its irnmedate success. The alIegorical journey of Critilo and Andrenio to the "Isle of Irnmortality" surely reminded many English readers of John Bunyan's The Pilgrim's Progress (1678)19.

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To conclude, it can be said that the presence and influence of seventeenth-century Spanish prose fiction during the English Restoration period was more important in quality than in quantity. Only around fifteen different works were translated into English between 1660 and 1700, and very often from their French versions, but they were works as important as Lazarillo de Tormes, Guzm谩n de Alfarache, El Busc贸n, Novelas ejemplares, Don Quijote, Los sue帽os, and El critic贸n. Most of them had several reprints, and also imitations of sorne kind or other. England did not avoid the infiuence that the Spanish narrative of the Golden Age had in Europe. Either directIy or through French literature, the imprint of the aforementioned works was left in English prose fiction of the seventeenth century, and mainly during the Restoration. Narrative genres such as the picaresque, the novela, and anti-romance were very popular at the time and modelled much of the English prose fiction produced from the second half of the century onwards. It is my purpose to draw the attention of scholars to the fact that there is considerable number of narrative works written before Defoe, which have been wrongly disregarded but can help us understand the development of English prose fiction more thoroughly. The translations of Spanish novels were very influential in the production of those works, and this deserves much more critical attention.

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NOTES

5. 6. 7. 8.

9. 10.

11. 12. 13.

The variety of narrative genres and the 1arge number of publications, reprints, and chapbook versions bear witness to the statement. See Esdaile 1912, Baker 1929 & 1936, Mish 1952, 1963,1969, & 1970, and Salzman 1985 & 1991. The aforementioned scholars make a few references to this presence and influence, but there are no systematic studies as far as 1 know. However, the influence of Spanish narrative on the English novel of the eighteenth century has been extensively analysed. Many studies on the picaresque in general, such as Chandler 1907, Parker 1967, Whitbourn ed. 1974, Bjornson 1977, Sieber 1977, and Dunn 1979; and papers such as Kearful 1970 and Blanco 1983 mainly deal with the influence on eighteenth-century novelists. It was first translated into English as The Marvelous Dedes and Lylol Lazara de Tormes (1568), although this version was lost, and then by David Rowland in 1576 with the title Pleasaunt Historie 01Lazarillo de Tormes. On these, see Bjornson (1977: 146). See Thomas 1933. See again Bjornson (1977: 148-61). For other English versions of La garduña, see Tucker (1952). On the possible influence of Spanish picaresque heroines in English narrative, Cunningham 1971 and Welles 1986 see these pícaras as predecessors of MolI Flanders, but Soons 1978 thinks that they belonged to different moral worIds. See Chand1er (1907: 214). Notice Fidge's use of the word gusman to refer to a rogue, common at the time due to the popularity of Alemán's novel. In his preface "To the Reader", Dangerfield mentions Guzmán and Lazarillo as famous rogues whose "cheats and cunning contrivances" were translated "as well to instruct as to delight" (Salzman ed. 1991: 351). Sorne of WiII Morrell's exploits resemble those of Buscón, but Settle's narrative is told in the third person, and shows no character development (see Peterson ed. 1961: 287-8). See Yllera (1983: 87-91). See, for instance, Watt 1963, W. Allen 1958, J.J. Allen 1969-79, Levin 1973, McKeon 1988, and Riley 1990. See 1.J. Allen's introduction (1980: 25-6).

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14.

15. 16.

17. 18.

19.

Anton ridiculed conventional situations of the chivalric and pastoral romances, and underneath those absurd situations, there occasionally lay a touch of social satire. Anton used a witty, ironical, extra-heterodiegetic narrator which provided humour by telling absurd adventures and plays on words. The knights' elevated language makes a funny contrast with that of the lower characters. However, n,either Pheander nor Sir Archmoriander were developed psychologically through the narrative, they were merely ridiculed and treated ironically, never human enough to win the reader's concern. The story is included in Mish (1963: 43-78). See Salzman (1985: 178-80). Samuel is dubbed Knight of the Order of Fond Love by an ale-house owner, tries to court a sensible lady unsuccessfully, and finally puts off knight errantry as he is laughed at by everyone. Set in the year two thousand eight hundred ninety ten (sic), Sir Firedrake's first-person narration is a parody life of a highwayman told in the style of a chivalric romance. For more information, see Mish (1969: 272-3 & 321-2). For further details, see Knowles (1969: 286). For further information on Congreve's theory of prose fiction, and the role of the narrator in lncognita, see Simon 1968, Novak 1969, and Westcott 1976, among others. On the similarity between both works, see Wilson 1959.

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REFERENCES ALLEN, John 1. 1969-79, Don Quixote: Hero or Fool?, 2 Vols, Gainesville: U of FloridaP. - ed. 1980-1, Don Quijote de la Mancha, by M. de Cervantes, Madrid: Cátedra. ALLEN, Walter 1958, The English Novel, London: Penguin. BAKER, Emest 1929, The History ofthe English Novel, Vol. I1I, New York: Barnes & Noble. - 1936, The History ofthe English Novel, Vol. JI, New York: Bames & Noble. BJORNSON, Richard 1977, The Picaresque Hero in European Fiction, Madison: U of Wisconsin P. BLANCO, Carlos 1983, "Picaresca española, picaresca inglesa: sobre las determinaciones del género", Edad de Oro, 2: 46-65. CHANDLER, Frank 1907, The Literature ofRoguery, Vol. 1, Boston & New York: Haughton, Mufflin &Co. CUNNINGHAM, Malcolm 1971, "Castillo Solórzano. A Reappraisal", Unpubl. Diss., Tulane University. DUNN, Peter, 1979, The Spanish Picaresque Novel, Boston: Twayne. ESDAILE, Arundell 1912, A List of English Tales and Frose Romances Printed Before 1740, London: Bibliographical Society. HEAD, R. & KIRKMAN, E 1928, The English Rogue, New York: Dodd, Mead & Co. (orig. publ. 1665-71). KEARFUL, EJ. 1970, "Spanish Rogues and English Foundlings: On the Disintegration ofPicaresque", Genre, 4: 376-91. KNOWLES, Edwin 1969, "Cervantes and English Literature", in Flores & Bemardette eds, Cervantes Across the Centuries, New York: Gordian Press, 277303. LEV1N, Harry 1973, "Cervantes, el quijotismo y la posteridad", in Avalle-Arce & Riley eds, Suma cervantina, London: Tamesis Books, 377-96. McKEON, Michael 1988, The Origins ofthe English Novel. 1600-1740, London: Radius (John Hopkins UP., 1987). MISH, Charles, comp. 1952, English Prose Fiction 1600-1700. A Chronological Check List, Charlottesville: Bibliographical Society of the University of Virginia. - ed. 1963, Short Fiction ofthe Seventeenth Century, New York: N.Y.UP. - 1969, "English Short Fiction in the Seventeenth Century", in Studies in Short Fiction,3 (Spring): 233-330. - ed. 1970, Restoration Prose Fiction. 1660-1700, Lincoln: U. of Nebraska P. NOVAK, Maximilian 1969, "Congreve's Incognita and the Art of Novella", Criticism, 11, 4 (Fall): 329-42. PARKER, Alexander 1967, Literature and the Delinquent. The Picaresque Novel in Spain and Europe, 1599-1753, Edinburgh: E.UP. PETERSON, Spiro ed. 1961, The Counterfeit Lady Unveiled and Other Criminal Fiction ofSeventeenth-Century England, New York: Anchor Books.

Jorge Figueroa Dorrego An Introduction lo the Presence and Influence ofthe Seventeenth-Century...

RILEY, E.e. 1990, Introducción al"Quijote", Barcelona: Crítica. RINCÓN, Eduardo ed. 1968, Novelas ejemplares y amorosas, by M. de Zayas, Madrid: Alianza Editorial. SALZMAN, Paul 1985, English Prose Fiction. 1558-1700, Oxford: O.U.P. - ed. 1991, An Anthology of Seventeenth-Century Fiction, Oxford: O.U.P. SIEBER, Harry 1977, The Picaresque, London: Methuen. SIMON, Irene 1968, "Early Theories of Prose Fiction: Congreve ánd Fielding", in Mack M. & Gregor 1. eds. Imagined Worlds. Essays on some English Noveis in Honour 01John Butt, London: Methuen, 19-35. SOONS, Alan 1978, Alonso Castillo de Solórzano, Boston: Twayne. STEANE, lB. ed. 1972, The Urifortunate Traveller and Other Works, by T. Nashe, Harmondsworth: Penguin. THOMAS, H. 1933, "The English Translation of Quevedo's La vida del Buscón", Revue Hispanique, 81: 282-99. TODD, Janet ed. 1993, Love-Letters Between a Nobleman and His Sister, Vol 2. of The Works ofAphra Behn, London: WilIiam Pickering. - ed. 1995, The Fair Jilt and Other Short Stories, Vol. 3 ofThe Works of Aphra Behn, London: William Pickering. TREVELYAN, G.M. 1967, English Social Hislory. A Survey 01 Six Centuries. Chaucer to Queen Victoria, Harmondsworth: Penguin (Longmans Green, 1942). TUCKER, Joseph 1952, "Castillo's Garduña de Sevilla in English Traslations", Papers ofthe Bibliographical Society 01America, 46: 154-8. WATI, Ian 1963, The Rise 01 the Novel, Harmondsworth: Penguin (Chatto & Windus 1957). WELLES, Marcia 1986, "The pícara: Towards Fernale Autonorny, or the Vanity of Virtue", Romance Quarterly, 33: 63-70. WESTCOTT, 1.M. 1976, "The Role of the Narrator in Congreve's Incognita", Trivium, 11 (May): 40-8. WHITBOURN, Christine ed. 1974, Knaves and Swindlers. Essays on the Picaresque Novel in Europe, London: Oxford U.P. WILLIAMS, loan 1978, The Ideal of the Novel in Europe, 1600-1800, London: Macmillan. WILSON, T.P. 1959, "Two Allegorical Journeys: a Comparison between Bunyan's Pilgrim's Progress and Gracián's El Criticón", Bulletin ofHispanic Studies, 34: 28-36. YLLERA, Alicia ed. 1983, Desengaños amorosos, by M. de Zayas, Madrid: Cátedra.

AfercedesBengoechea Poetry in Patois: Applying a Sociopsychological Approach to the Analysis... 77

Poetry in Patois: Applying a Sociopsychological Approach to the Analysis and Interpretation of British Afro-Caribbean Poems Mercedes Bengoeehea Universidad de Alcalá de Henares

El Caribe anglófono suele describirse como una sociedad diglósica cuyos textos literarios están escritos en inglés estándar. Sin embargo, encontramos textos en lengua criolla (Patois, Patwa, Creole, Nation-language) en diversos géneros. Si nos centramos en analizar aquellos poemas donde la lengua criolla aparece con mayor frecuencia, observamos que se trata de textos escritos fuera de las Indias Occidentales, principalmente en Gran Bretaña. El artículo sugiere que para entender las causas, el alcance y el significado de ese hecho es conveniente un marco sociopsicológico: la Teoría de la Identidad Etnolingüística propuesta por Howard Giles. Aplicando la teoría de Giles a los poemas escritos por autores británicos afro-caribeños, vemos, en primer lugar, que el contenido de los mismos es una excelente ilustración de la teoría. Y en segundo lugar, nos permite llegar a la conclusión de que el uso de la lengua criolla es una respuesta (no homogénea) a la identidad social negativa de los afro-caribeños en Gran Bretaña. Para lograr una identidad social más favorable, el grupo afro-caribeño busca dimensiones en las que salgan favorecidos en la comparación, adoptando para ello diversas estrategias lingüístico-sociales que surgen moti vadas por las decisiones y estrategias de otro grupo: el de la comunidad blanca británica.

1. THE QUESTION OF THE LANGUAGE IN WEST INDIAN LlTERATURE In postcolonial anglophone Afriea oI Asia, the problem of ehoosing a language fOI their literary production is impossible to obviate for nonwhite native writers. It has been said that if the choice falls on their mother tongue, writers renounee international readership and reeognition, as to reach a wider public requires generally intelligible forms of internationally

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accepted language. But if they decide upon standard English, the consequences for them rnay range from being accused by ultranationalist critics of "whoring after foreign gods" (Sridhar, 1982: 293), to considering themselves traitors while they feel theyare "sucking their native comrnunity dry but giving nothing back to it in its own vernacular" (Le Page, 1969: 1). The linguistic situation in the West Indies would seem to make the dilemrna non-existent because standard English is part of the repertoire of non-white members of the !iterare middle cIasses (Lawton, ]982: 269) West Indian authors (and readers) writing (and reading) in the twentieth century are the educated products of the dialect-speaking group, which rneans that they have a familiarity with the dialect and a competence in the standard English of their education (Ramchand, 1974: 201). In the diglossic Caribbean society the Low language, the so-caIled 'dialect', is Creole, also referred to as Patois' or Patwa', which is the language of everyday life, the horne, farnily and neighbourhood; the High language, standard English, is used in governrnent administration, state schools and the media (Gramley and PĂĄtzold, 1992: 386). In spite of the seemingly rigid divisions between the functions of the two varieties, as a matter of fact both languages forge the vernacular of literate Black West Indians, whose 1 linguistic competence ranges from standard English to Creole â&#x20AC;˘ Both varieties are constantly interacting in speech. But not necessarily in writing. Writing is another matter. Until the 1940s English was almost the sole language of literary expression for the West Indian writer2 , Creole being relegated to a marginal position in literature: more for comic and satiric purposes, or to provide local colour or build up a character, than to reflect the authentic Caribbean voice. The political transformations Caribbean societies have undergone in the last part of the century have complicated the matters further. From the beginning of the ]950s, dialect began to be consciously used in poetry, mainly as a medium of social protest, struggle for political revolution and ethnic resistence. The folIowing extract, taken from a poem published in one of the new rnagazines of the period, caIls for po!itical change CFederation') through the rhythrn of drums and the Caribbean dialect: {. ..} So beat dem drums Boys beat dem drums,

Mercedes Bengoecltea Poetry in Patois: Applying aSociopsychological Approach lo the Analysis... 79

'Ti! Federation come Den we go jump in time To the Creole rhyme Around de town. [..] (La Fortune, 1958).

Once independence was achieved in islands such as Jamaica, the acceptability of Creole as a medium of cornmunication began to improve, a110wing instances of dialect in various literary and non-literary gemes 3, albeit standard English stilI is by far the most frequent means of expression in literature. From a political point of view, the birth of new Caribbean nations has put West Indian writers in the dilemma of whether they should write in the wake of the English literary tradition, or whether they must help to create a national Literature of their own. From the personal point of view of economic success, the writer, just like his/her African or Asian colleagues, has had to look to either a regional readership or to an international one when selecting the language. Furthermore, as the agencies who publish West Indian literature are often outside the West Indies (Roberts, 1988: 144) and publishers and readers frequently share Krapp's ideas on literariness4, the options have actualIy been very limited, though sorne times regarded by critics "as resulting in 'authentic' representation for personal and national satisfaction, or 'watering down' to achieve economic success" (Roberts, 1988: 143), a statement not far frOll the accusation of "whoring after foreign gods" that so many African and Indian authors have beenmade. The limitation of choice has entailed that, in actual fact, for the Caribean writer there has been no real option between English and another language (Ramchand, 1970: 82) -one must use English if one writes at a11. And tru1y most novels, poems, journals, magazines, and, of course, essays are written in standard English. But WE DO FIND LITERATURE IN CREOLE, a fact which is not only due to the aforementioned causes, namely an urge for embe11ishment to give local flavour, a search for the comical, the writer's political stance, and his/her desire of economic success (or the lack of it). The reasons for the use of dialect may be those and/or various others, often more complex and mixed up. In the rest of the paper I will attempt to outline them, first listing the types of texts where Creole is more likely to be found. Then, focusing particularly on poetry, I will su-

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ggest that a socio-psychological framework can enrich our comprehension of the phenomenon.

2. CRE端LE IN WEST INDIAN LITERATURE In what type of texts is it more likely to find Patois? To start with, the literary genre usually makes a difference. Creole appears primarily in genres which are performed or recited in front of local audiences: drama, short story (historically connected with the folk tale, which has a long tradition of cornmunal 'recitals' behind it), and sorne types of poetry, a genre which deserves to be analysed separately because of its peculiar characteristics. In fiction, a genre which is not to be performed before an audience, but to be enjoyed by solitary readers, not necessarily West Indian, the occurrence ofPatois is much less. When Creole appears in novels, it is generally kept for dialogue, whereas standard English is employed in other parts of the text -reported speech, descriptions, the speech of the omniscient narrator, ... As a rule and given the markedness of dialect in the West Indies, fictional conversation may have the essential function of transmitting a realistic representation of their societi, as novelists try to reflect actual language variation by putting dialectal forms in the mouths of their characters. Samuel Selvon's A Brighter Sun (1952) is a clear example of language demarking different Trinidadian social and ethnic groups, Negroes and Indians included. Morover, the effect of dialect in conversation may be pragmatical, showing changes of status and relationships, the pressure of emotions, distance or intimacy. But, as Ramchand (1970) noted in his pioneer study of the context of Creole in Caribbean fiction, literary Patwa is a West Indian literary invention "shaped to meet wider expressive needs than the demands of social realism". Sorne novelists have developed a language of introspection which is a brilliant mixture of both standard English and Creole, a very appealing transgression reflecting "the wide spectrum of dialectal usage from very broad vernacular to educated local usage- which is a feature of the verbal behaviour of many West Indians" (Le Page, 1969: 7). The stream of consciousness conveyed in this spectrum from English to Creole has been successfully exploited in the last forty years by a few novelists in

Mercedes Bengoechea Poe(ry in Pa(ois: Applying aSociopsychological Approach (o (he Analysis...

the wake of Samuel Selvon's The Lonely Londoners (1956) with the purpose ofrendering the West Indian's inner experience accurately.

3. THE CASE OF WEST INDIAN POETRY My intention is to focus on poetry because contemporary poetry is an extremely adaptable genre, a form open to meet the writer's personal needs and polititical views. As the poet is subject to few constraints, there are no apparent causes which might compel a poet to use Creole or standard English, although sorne may be outlined tentatively. Broadly speaking, the choice of English or Creole in poetry might be given by its function (whether it is to be performed or not), its theme and its tone. Paula Bennet, editor of the anthology The Penguin Book of Cari-

bbean Verse, discusses in her introduction the language of Caribbean poetry which she aligns in two different traditions, a literary and an oral one, the former associated to the use of standard English, the latter with nationlanguage or Creole. !t cannot be denied that folk tales, riddles, proverbs, childrens' rhymes and folk songs are traditional oral genres that have always enjoyed great popularity in the West Indies; when they are recorded in writing, it is often in the form of poems in Creole. But, important as this factor seems to be, it does nor explain by itself the arnount of poetry in Creole that can be found, although it rnight help us to understand why authors who write poetry embedded in the Caribbean folk tradition (e.g. proverbs), such as Louise Bennett or James Berry, would use Creole. Peter Roberts moves a bit further when he points out that the poetry which is 'performed' (in the broadest sense of the word) is that which is written in the vernacular, whereas that which is written in standard English tends to be treated as cerebral (Roberts, 1988: 147). As 'cerebral' means nonsentimental, Roberts hints at the tone of the poetry as a second aspect to be taken into account in the poet's choice of language.

"If tone in poetry can be taken to include the cornmunication of an attitude to self, to language and craft, to one's raw material and to the readers, then early West Indian poetry has no tone or an extremely nai've and sentimental one" (Ramchand, 1974: 198). The sentimentality which pervaded early Caribbean poetry was self indulgent and compassionate, sometimes grotesque, sometimes ironic and often cornical. The same slightly mawkish tone is still present in part of the poetry of the twentieth century in

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Creole, but now, under the int1uence of literary movements of social realism and social protest, garnished with a growing concern for social thernes and a good praportion of piercing irany: Girl chile darling yuh ole muddah hay Praisin' de Lordfuh 'E blessing an 'E mercies You is many many blessin's an' al! o' me mercies Glory to God! Uh get de 5 pound note an' de Christmas card God bless yuh! But de carpenter ain' come to put on de shed-roof So uh spen' it an uh sen' Rosy pretty to de Exhibition gal, yuh should see she! Next month when yuh sen me allowance again, We wil! see wuh kin happen in de name i' de Lord.

r..}

(Bruce StJohn, "Letter to England". In Brown, 1992: 91).

The mixture of sentirnentality with social concerns in the poetry in 'Patwa' led for sorne time to the undesirable interpretation that there were only two possible modes of perception and expression, one dramatically antagonistic to the other -standard English was wanted to appeal the inteHect, literary Creole to voice emotional political protest贸. Unfortunately these type of cIaims are too na"ive to explain what goes on in the writer's personal choices. Because of all that and related to it, the subject matter may also be a decisive element to explain the use of one or another language. In a way, it is as if the theme, the subject of the poem would dernand one or other language. As the poet Grace Nichols put it: "in writing a poem 1 don't consciously set out to write it in Creole or standard English. The language, like the form and rhythm, dictates itself." (Markham, 1989: 297). In general and prabably because "the middle cIass likes to reserve the fiction of total ignorance of Jarnaican Creole and variously refer to it as patois, braken talk, or 'Iabrish'" (Lawton, 1982: 271), often we find that "poverty and deprivation on the one hand, and the world of praperty and power on the other, are cogently spliced with the deft use of both Jamaican Creole and Jamaican [standard] English to correlate with each phrase of the social scene" (Lawton, 1982: 262). Not only is poetry in standard English treated as

Mercedes Bengoechea Paetry in Pa[ois: Applying aSaciopsychological Approach [a [he Analysis...

'cerebral', as Roberts states, but also as elitist, refined, and non-popular. While standard English intends to represent high' culture, the intellect, and the world of the upper middle classes, Creole he1ps to denounce the harsh living conditions of the lowest social graups. This is so especially fram the 1970s, when political commitment urged a group of poets, the 'dub' poets, to take up the social and political themes, changing the sentimental tone into a combative one, the humour disappeared or transformed into openly subversive irany. Their poetry is heavily infiuenced by music and created to be performed (in fact it is easier to find their poetry in a video than in a book) and is aimed to articulate the needs and hardships of the powerless, using their music and language. Dub' poetry describes people's appalling living conditions as a means of protest and struggle for social revolution. They use the language of the common man as a linking device with the oppressed and their experience. One of its main representatives, the poet Michael Smith, stoned to death by four men in Jamaica in 1983, declared in an interview ayear before his death that he used Creole because he drew his sources from his own people, who widely use Creole. He added: uAnd if me can really spend sorne time ti try learn the Englishman language and so, the Englishman can spend sorne time fi learn wha me seh too, you know -or the American, ti that matter, any one a them, it no really matter. Them can really spend sorne time and understand. That's the only way them can get over sorne of them romanticism that them have bout Jamaica and Jamaican people ... (Markham, 1989: 282). U.

4. THE POETRY OF WEST INDIAN EMIGRANTS

There is another fact which cannot be ignored. If we examine closely anthologies of contemporary poetry such as Ain't 1 a woman!: Poems by Black and White Women (Linthwaite, 1987) we tind that the only instances of Creole are those by West Indian writers who have emigrated to Great Britain: in the tifteen poems by the seven poets born in Jamaica or Guyana, Creole is used only by Dazzly Anderson, Valerie Bloom and Grace Nichols, the only three who emigrated to England in the 1960s ar 1970s. In the book Caribbean Poetry Now (Brawn, 1992), only 34 out of 120 poems are written in Creole, a rough 25%. Onhose, apart from the 'folklorist' Louise Bennett, we tind 'dub' poets as Oku Onuara, Malik, Fred Nunes, A. Hinkson, or the late Michael Smith. The rest of the poets who ever write in nation-Ianguage are living or have lived abroad, most of them in Britain: Edward Kamau Brathwaite, James Berry, Linton Kwesi John-

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son, John Agard, A. L. Hendriks, Amryl Johnson, "Shake" Keane, Valerie Bloom or Grace Nichols. As for the anthology edited by E. A. Markham, Hinterland. Caribbean Poetry from the West lndies and Britain, the only ones who use Creole consistently are, apart from the aforementioned Louise Bennet and the 'dub' poet Michael Srnith, Edward Kamau Brathwaite, James Berry and Linton Kwesi Johnson, the three of them having spent a great part of their lives far from the West lndies. After aH this evidence, one is tempted to say that since Claude McKay moved fram his Jamaican home land to America, where in 1912 he published his nostalgic Songs of Jamaica in a mixture ofCreole and standard English, Creole is used in a much higher proportion by Caribbean poets who write outside their native land, although not aH the poets who emigrated use dialecto Literature is one of those 'institionalized settings' where there are explicit norms regarding the appropriate language to be used, and, because of "lack of motivation or mutual negative intergroup attitudes", it is precise1y only in 'institutionalized settings' that members of different ethnic groups usuaHy encounter one another (Giles, 1979: 255-56). However, against expectations, some Black BRlTISH poetry is flooded with Patois. lt seems as if Black writers from the Caribbean living abroad would need to symbolize their West lndian identity by means of Creole precisely because they are in "London, mother of metropolises" (Markham, 1989: 118). This would not be at odds with George Lamming's statement that the sense of belonging to a West lndian community, the feeling of "West lndian-ness" has taken place out of the Caribbean: It is here [in London] that one sees a discovery actually taking place. No

Barbadian, no Trinidadian, no St. Lucian, no islander fmm the West Indies sees himself as a West Indian unti! he encounters another islander in foreign territory.... In this sense, most West Indians of my generation were bom in England. The category West Indian, fonnerly understood as a geographical tenn now assumes cultural significance. (Lamming, 1960: 214) Edward Kamau Brathwaite, together with Lamming one of the main figures of b1ack Caribbean literature, acknowledges having experienced something similar in Britain (Markham, 1989: 118). Both Brathwaite and Lamming recognize certain common features as be10nging to them and contributing to their sense of unity and "community". One cannot avoid concluding that, because the feeling evolved in Britain, it has arisen when confronting another community, namely, the white British, AGAINST

Mercedes Bengoechea Poe[ry in Pa[ois: Applying aSociopsychological Approach [o [he Analysis...

WHOM THEIR FEELING OF IDENTITY SEEMS TO HAVE TAKEN SHAPE. When they write their poetry in Britain, we immediately realize that the choice of the language is not a stylistic trivial device, but the core of the message, and loaded with ideology. In addition to that, Creole is not only the artistic medium but the subject matter of poetry. Creole therefore serves as both event and medium of cornmunication (Roberts, 1988: 145-46). My suggestion is that a socio-psychological framework (namely, Ethnolinguistic Identity Theory) is needed if we want to fully comprehend both the causes, scope and significance of this fact, and the contents of the very many poems by Black British authors which deal with the issue of the language. I will ground NOT on Nichols' idea that "the language, like the form and rhythm, dictates itself' (Markham, 1989: 297), but rather on the hypothesis that the poet's use of one or other code is a conscious choice which presupposes that a personal decision has been made and a strategy enacted (Giles and Johnson, 1987: 69). These decisions and strategies are part of "intergroup phenomena to the extent that they are being fostered side by side or in conflict with decisions and strategies of mernbers of another group": Non-Black British. Ethnolinguistic Identity Theory, which was originally formulated to study the role of language for ethnicity and intergroup relations, specially the issue of who in an ethnic group uses what language strategy, when, and why, in interethnic encounters7 , can provide us with a valuable tool for my purposes. Ethnolinguistic Identity Theory starts from the assumption that speakers of powerless groups tend to converge towards the speech of the dominant group, that is 'adapt' their speech to the dorninant group's speech. This 'accommodation' is due not only to their desire to gain social approval or attain communicational efficiency, but also to the fact that it is an essential accomplishment for participation in the wider society. The theory is specifically concerned with explaining why it is that in certain situations sorne members of a group accentuate their ethnolinguistic characteristics (be it by dialect, language, or whatever) when conversing with outgroup speakers, while others converge toward them by attenuating their linguistic distinctiveness. They are particularly interested in instances of divergence when the outgroup language is the societal norm and ethnolinguistic differentiation can invoke considerable social sanctions as a consequence.

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If one considers poetry written by British Afro-Caribbean as a special case of 'conversing', and takes into account that the outgroup language -in this case, Standard English- is the societal norm (the language of literature MUST be standard English), the consequences of not adapting may be "socially catastrophic", as deviation from the societal norm may result in discouraging potential readers, diminishing readership, reducing economic prafits and the lack of social recognition as 'artists'. The literary use of Creole in Britain seems a clear instance of interethnic encounters in which the interlocutors are British readers (Black or White), and the artist has chosen to 'diverge'. These type of acts fal! under the scope of Ehnolinguistic Identity Theory, so it seems reasonable to examine it and see what it has tosay on the matter.

5. ETHNOLINGUISTIC IDENTITY THEORY

Ethnolinguistic Identity Theory applies Tajfel's Theory of Intergroup Behaviour8 to language. Tqjfel's central concepts include: a) a sequence which is described as: Social Categorization - Social Identity Social Comparison - Need for Psychological Distinctiveness; and b) a series of Group Strategies. The theory can be outlined as follows: Individuals are active from the moment they are born in defining themselves and the world. In order to achieve this, one of the most important devices they have is categorization- they categorize people as male or female, blacks and whites, ." . Their knowledge of the particular categories or ethnic groups to which they belong, and of the value attached to those categories or groups in positive or negative terms determines their social identity. Social identity is only acquired by comparison with other groups. Intergroup social comparison will induce individuals to perceive and act in such a manner as to make their own group favourably and psychologically distinct from other groups, seeking qualities of their own group which al!ow favourable comparison with other graups. Members of a group will share a satisfactory social identity only when they perceive that their group is positevely distinct fram other groups because it compares favourably with them. In general, groups will struggle to gain a positive linguistic distinctiveness when compared with outgroups, following different sociolinguistic strategies which will depend on the intergraup situation, and on whether they are dorninant or subordinate linguistic groups. Ethnolinguistic Identity

Mercedes Bengoechea Poe'ry in Pa'ois: Applying aSociopsychological Approach

'o 'he Analysis...

Theory is a dynamic model because Giles stresses that relations among ethnolinguistic groups are not 'given', but they may change, and the theory specifies the conditions and strategies that dominant groups may follow to maintain their linguistic superiority (by means of compulsory education in their own language, or legitimising the outgroup's low status, for example), and subordinate groups may adopt to favour change. People who are members of a dominant or superior group will derive a positive social identity, and thus will not be motivated to change the relationship between their group and subordinate groups. On the contrary, in general they will do everything on their power to maintain the present intergroup situation. By contrast, when the existing intergroup situation provides members of a group a negative social identity, they will desire a change in the relationship between their group and the superior group in order to gain a more positive social identity. But that change will only be possible if members of subordinate groups become aware of cognitive alternatives. This awareness would rest on two main factors: the perceived stability-instability of the situation (that is, whether things may be changed), and the perceived legitimacy-illegitimacy of the intergroup relationship (whether it is fair or just). If members perceive that no cognitive alternatives to the existing status relationship arepossible, they will do nothing to change their group situation, but may adopt either of these two individualistic actions as a means of attaining a positive social identity: one would be to compare one's individual condition with members of the ingroup rather than with that of the dominant group; the other is called social mobility, which can be achieved by modifying one's own cultural values, dress and speech style so as to be more like that of the dominant group's. If members of groups with a negative social identity become aware of cognitive alternatives, Tajfel suggests that a subordinate group may adopt four group strategies, non mutually exclusive, to attain a more positive social identity. The first strategy a group will probably adopt will be to assimilate culturally and psychologically with members of the dominant group. If this does not work, a second strategy may be to redefine the previously negatively-valued characteristics of the group (skin colour, language, ...: Black is beautiful, Afro hair-style is cool, ...). As a third strategy, members of subordinate groups might create new dimensions not previously used in intergroup comparisons on which the group may assume a new positive distinctiveness from the dominant group. The fourth strategy

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would be direct competition, something which generates conflict and antagonism between the dominant and the subordinate group. Giles and his associates at Bristol University applied this theary specifically to language, naming it Ethnolinguistic Identity Theory (Giles, Bourhis and Taylor, 1977; Giles, and Johnson, 1987). If we use GilesfTajfel's theoretical framework to the analysis of literary texts by British Afro-Caribbean writers, it is possible to find the sequence of: social categorization e social identity - social comparison - need for psychological differentiation, together with a their group strategies mapped over a series of poems written by Jamaican-born poets who are now living in Britain. At the same time, and because, as 1 remarked befare, language is not only the artistic medium but the subject matter of Caribbean poetry, the contents of those poems will illustrate GilesfTajfel's key concepts and strategies. We shall see that the approach also provides us with a final and definite device to explain the use of one or another language in West lndian literature: the writer's response to BIack West lndian social identity.

6. THE SOCIO-LINGUISTIC IDENTITY OF BLACK WEST INDIANS It has been demonstrated that language is one of the human attributes which can be used as an important marker of group membership: one of the bases to categorize social groups is their distinct speech style. When a group regards its own language ar speech variety as a dimension of comparison with outgroups, the evaluation of its language becomes one of the most important dimensions of their ethnic identity (Giles, 1977). As the group's identity only acquires meaning in contrast with other group's, it is in situation of language contact that people use their own language as a marker of group membership. Often, as Fishman has noted, not only skin colour or religious affiliation, but ethnic dialect is a very important dimension of the group's cultural identity, so important that language often becomes THE symbol of ethnicity (Fishman, 1977). We are now in a position to understand the fact previously noted that it is precisely in Great Britain that sorne West Indian writers prefer to use Creole in their literary works.

According to Giles' approach, in a situation of language contact, the social identity of the group will reflect the ingroup and the outgroup's feelings and evaluation about their language. And how is the speech of the

Mercedes Bengoechea Poetry in Patois: Applying aSociopsychological Approach to the Analysis...

Afro-Caribbean evaluated in Britain? Well, unfortunately, the low status of Black culture in British society is faithfully reflected in the low status of their speech, which the British frequently fcel to be lazy, inferior, careless, slovenly, or 'merely broken English' (Edwards, 1985)9. In "New World Colonial Child", the Jamaican poet James Berry offers us some insights into Black feelings about their speech- the confusion and bewilderment at the contempt towards their language, and the subsequent loss of their social and self identity when living in their mother country: r路.] How can 1 know my voice isn't that grunt ola pig, isn't the squawking ola goose, or the howling olwind?

r.. )

(Berry, 1984: 189). Black West Indian writers are painfully aware of the low status of their own ethnic speech style, Creole, which is not "merely" a dialect of English, but the language of a race of slaves, as Walcott stated at the end of his poem "Gros-Ilet":

r..} There are distinctions beyond the paradise olour horizon. This is not the grape-purple Aegean. There is no wine here, no cheese, the almonds are green, the sea grapes bUter, the language is that 01slaves.

(Walcott, 1987).

7. THE WEST INDIANS' NEED FOR A POSITIVE PSYCHOLOGICAL DISTINCTIVENESS

People who define an encounter with a member of another ethnic group as an intergroup one and value their language as a core aspect of its identity will wish to assume a positive identity by means of adopting various strategies of 'psycholinguistic distinctiveness' such as switching to ingroup language, accentuating ethnic dialect and slang, etc. If despite the poor evaluation of Creole, it is used in literature, it must be as part of a

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process whereby British Afro-Caribbean groups are comparing themselves with the dOllÚnant group and using language as a means of attempting to attain some cultural distinctiveness. Although psychological distinctiveness against a dOllÚnant group does not mean necessarily that an ethnic group has achieved a positive social identity, it may help a loto In fact, Oakes and Turner proved that taking the opportunity of differentiation in an intergroup situation has as a consequence a more positive se1f-concept. The passage from the poem "A Stray from the Tribe", by the Barbadian Rudolph Kizerman, who settled in Britain in 1952, shows how ingroup speech can serve as a symbol of ethnic identity and cultural solidarity. It rellÚnds the group about its cultural heritage, and transllÚts group feelings. The end of the poem demonstrates that, as Giles states, under conditions of ethnic threat, certain lexical terms emphasize and signal ingroup membership (Giles, Bourhis and Taylor, 1977: 307). Every time J ~ee that old-timer intellectual, smooth, aloofand Black, the cat, has lost something and gained something

roo] J remember the days when this cat walked tal! with chunky volumes on Rousseau, Kant and the obligatory Greek and Roman Empires. From the wealth ofhis received philosophical vocab', he'd onlyfind time to expatiate on semantics, dialectics, somebody's empiricism and on that universalist, Shakespeare. NatTurner, Pushkin, Harriet Tubman, Sojurner Truth: he had no place in his repertoire forthem!

Mercedes Bengoechea Poetry in Patois: Applying aSociopsychological Approach to the Analysis...

[..} Anyway, now, he turned on to familiar Black scenes; he switches on such hipjive you'd hardly believe: cool it, swing it, groove it, dig it, screw it, knock it, rip off, pig, motherfucker, right on, keep yer cool, don't blow yer gig, don't blow yer stack, don't yer thing, shit, baby! Let the brother be; the cat'sjust trying to find his way back to the tribe onanew word train.

(Rudolph Kizernam, "A Stray from the Tribe". In Berry, 1984: 126-129). Giles proposes that people wilI accentuate their speech style, diverging from the outgroup, when (among other things) they perceive their own group's vitality to be high, and identify themselves subjectively and strongly as members of the group, and regard its status as changeable (Giles, 1987). When the poet Michael Srnith in the passage quoted aboye stresses that the English and the Arnericans must take the trouble to learn sorne Creole, remarking the powerful appeal that the Caribbean peoples have for the Americans, he hints at the high West Indian vitality (or attraction). He makes thus cIear that linguistic divergence, that is, differentiating psycho-

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linguisticaIly fram the Americans and the Bristish, implies a political resistance to the oppression of the English-speaking group by making the British and the Americans see them on their own terms. This psychological distinctiveness might entail a more favourable social identity.

8. LINGUISTlC STRATEGIES OF SUBORDINATE GROUPS FOR POSITIVE PSYCHOLINGUISTlC IDENTITY: A) WHEN COGNITlVE ALTERNATIVES ARE NOT PERCEIVED Ethnolinguistic Identity Theory claims that although subordinate graups derive a negative social identity fram the existing intergraup situation, as in the case of Black British, they will not struggle for that change if they perceive that the situation is unchangeable and impossible to transform, or if they consider the intergroup relationship legitimate or just. In that case, members of subordinate groups, as individuals, may either compare their speech style with members of the ingroup rather than with members of the dominant group, or modify their speech style so as to be more like that of the dominant group's. It is interesting the fact that individuals who adopt linguistic strategies of social mobility are not always viewed favourably by members of their own group, and are often considered traitorso . A poem by Jimi Rand, "Is You", iIlustrates both an individual strategy of social mobility, and the contempt that the Black comrnunity feels towards this type of strategic lack of solidarity. Its author, a Barbadian playwright and poet who lives in London, sneers at these 'traitors' coloured, as they are mocking and scornfuIly named-. He tells of the encounter with an old Caribean acquaintance of a Black West Indian immigrant who has changed his Caribbean name and adopted an English one. As the latter is with an English girl with posh voice an money fo hum, real middle class, he feels obliged to pretend that he did not know him, uttering in Oxbridge accent, that is, diverging from the speech of his own comrnunity, as if he had a hot potato in his mouth that he was mistaken. The humorous effect is achieved precisely by the writer's ability to portray the insecure condition of those Black individuals who try to mark themselves off the Black community denying their membership in the Afro-Caribbean linguistic group, whose vitality they probably underscores, or whose status they may regard as 'serving them right':

Mercedes Bengoechea Poetry in Patois: Applying aSociopsychological Approach lo the Analysis...

Ah walk de street de odder day; Ah hea aman bawl an shout, is I name him atek liberty wid: 'Gubba, Gubba, Gub '. Him acall to I so me stop in I track, wonderin who know me so. Tis long, long time now me astop use dat name; ever since Ah did come to Hinglandfrom back home Ah use a diffĂŠrent handle, just like de Hinglish people dem. First, mister, den J two Christian name; den 1 surname, den a dash, den I odder surname. Afier dat 1put J title, ESQjust like dato It does look good on a letter see. So dis man him acome run-in up to 1, real hardfoot, pantin' an out a bret, breathin'fast fasto 'Gubba, Gubba, is you, is you!' him sey. Grabbin' 1 by 1 hand, but me apull way an pretend notft know him. 'Awful sorry old chap, but J'm afraid you're somewhat mistaken'. Me atell him in Hinglish voice: not Cockney, but in Oxbridge accent, like me had hot patato in 1 mout; Ya see a does tek offde voices dem. Well him adraw back an peer up in I face. 'Is you, is you: him sey. 'Me notforget notin: me know youface anywhere. Is thiefI an you athieftogedder wen we was back home.' Well ya can imagine I consternation nice word dat eh? Dere me was, dressed up fit fe kill in I best Sunday go-to-meetin' suit. Only it was Wednesday. An ah had dis gal wid 1. Hinglish gal dat, posh voice an money to burn, real middle class. { ..} (Jimi Rand, "18 You". In Berry, 1984: 106-07).

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The poem also exemplifies the first individualistic strategy the theory mentions: members of a subordinate group may compare themselves with members of their own group, instead of with members of the dominant group, deriving from that comparison a more favourable personal identity. 1 am referring to the cynical insinuation about the Blacks who, out of jealousy, try to berate ("Iowrate") those of their brothers "who are doing better than them" -that is how the member of the cornmunity who has adopted such individualistic strategy would perceive his own group's response: [..] Sa me hav fe tel! she fe ignore he, cause some blackpeople dem so-jealous an tinghal!ways atryfee lowrate dem fela black man, wen dem see ya doin' better dan dem. [..]

(Jimi Raud, "18 You". In Berry, 1984: 108). We can apply the same framework to the behaviour of the Black critics who underrate their brothers' use of standard English, those who accuse Black writers of disloyalty to Black culture or "whoring after foreign gods". The theory illuminates the attitude of both those writers who, as an individualistic strategy, make up their minds to succeed in the world of English literature, and those critics who, as a response to a situaton that they perceive as a sociolinguistic and cultural threat, demand that writers should act in terms of ethnic solidarity rather than conformity to societal norms, otherwise accusing them of being 'sold' to the Whites. 1 have witnessed James Berry's unjustified claims that it is because Wa1cott follows 'classical English tradition' that the white Establishment favours him.

9. LINGUlSTlC STRATEGIES OF SUBORDINATE GROUPS FOR POSITlVE PSYCHOLINGUlSTlC IDENTlTY: B) WHEN COGNITIVE ALTERNATlVES ARE PERCEIVED The four atrategies that, according to the theory, members of a group with a negative social identity who realize that the situation is unfair and/or unstable may adopt to attain a more positive social identity can be applied to Caribbean poets' stance on the language of their works; but they

Mercedes Bengoechea Poelry in Palois: Applying aSociopsychological Approach lo lhe Analysis...

can also be found, sometimes co-occurring, in the message of poems by British Afro-Caribbean authors which deal with the question of language. The first strategy would be assimilation, which is the term to refer to a subordinate group taking on the characteristics of a dominant group to achieve equality with them, to become an accepted part of it. Total assimilation would imply the whole Afro-Caribbean British group using only standard English so as to write within the English literary tradition, and although there are good examples of West Indians who have succeeded doing this, some prefer to use Patois. In arder to understand why some British Black poets did not assimilate and still write in Creole, we must examine the White-Black intergroup situation in Britain. Large numbers ofWest Indians arrived in Britain during the 50's and 60's and accepted pooriy paid jobs, conceiving the hope that their ambitions would be realized by their children. Twenty-five years later, the Commission for Racial Equality reported that most West Indian families lived in crowded, unmodernised conditions (CRE, 1977); also, they held low status positions, with earning substantially below those of other group of workers (Smith, 1976; 1977). By the 70's assimmilation began to be perceived as unsatisfactory because the expected integration with Whites did not occur. The second generation felt dissatisfied. They were young Blacks full of anger and frustration who knew they are likely to occupy the same low status position in British society as their parents. West Indian leaders called for assimilation to end because it had not brought about the expected integration with the White British. If assimmilation was not possible, then a re-assertion of their own identity against White society became imperative. That entailed a redefinition of the previous negative evaluation of their speech. They re-evaluated their language in a more positive direction, and evidenced pride in the maintenance of it. The use of Creole was a way to affirm their Caribbean identity against the wider community, the access to which was restricted for them. They no longer felt ashamed of Creole. The attempts at speaking like Whites were felt now as humiliating and rejected by the black community, as we saw in Jimi Rand's "Is You". Increasingly the language was used in public, which fostered group solidarity and cohesion further. For example, it has been reported that it is now not rare the cases of British-born Black youths who previously showed no evidence of black speech and have started to use Creole in adolesce against their parents' desire. As Desmond Johnson accurately expressed, from being broken talk', a submissive and meek langua-

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ge, Patwa (or Yard Talk', which means for them "the language of Home" , "the language of Jamaica") would finally succeed in bursting through and conquer: [..] miwords like de stammer 01sentences in de bottom 01some people's throat yardtalkinglishintosubmission till mi patt-wa bus tru an conquer [..]

(Desmond Johnson, "Yard Talk" (1984). "Talk, Talk: Nigger Talk Talk" , written by Jimi Rand, is a strong vindication of the speech of the Blacks which attempts to redefine the language of the group more positively, and where the word nigger acquires a very different connotation. Old self denigration is lost and the talk of the nigger is vindicated as located in the very depth of their hearts. It is not grarnmatical, does not contain big words, is not appropriate for high up occasions or important people, liberals or couloured people would not speak like that; but it is the speech of Black people: Listen na, is me tum to talk now ya know Ahna gwine hav ahna tum latero So sit down and let me talk na. Let we rap togedder. Al! we gwine talk: talk nigger talk Me hope ya can understand J Cause me no talk no London talk Me no talk no Europe talk Me talking black, nigger talk; [..] Jfahna got soul Ahna gwine listen. Jfya black, ya dig it. Jfya is a nigger Ya gwine talk it But ifya coloured, ah know ya don't wan it.

Mercedes Bengoechea Poetry in Patois: Applying aSociopsychological Approach to the Analysis...

Fa is talk, talk, nigger talk: Dat's wha J da talk Cause de talk is togedder talk, { ..} Na liberal talk Na grammar talk Na big word talk Na high up talk: People talk Black people talk Black, nigger people talk. { ..}. (Jimi Rand, "Talk, Talk: Nigger Talk Talk". In Berry, 1984: 112-14).

Creole constitutes a badge of group membership and an assertion of the difference from the surrounding British society while it accentuates solidarity among their members. According to this poem, people's linguistic behaviour is a more authentic reflection of their ethnic allegiance than the skin itself -"if you are black, you like and understand it; if you are a nigger, you will talk it; but if you are 'coloured', 1 know you don't want it". It is not surprising, as one cannot exert control over their skin, but one has a choice over their language (Giles, Bourhis and Taylor, 1977: 326). That is the reason why Afro-Caribbean ethnic identity finds its linguistic expression in loyalty to a language which symbolizes not only group membership but adherence to a set of values. If you use Creole, Jimi Rand seems to tell us, you commit yourself to the values of the Afro-Caribbean community. They apparently link values and language in the surprising way the British professor Le Page did: "One cannot realIy write like an Englishman without in sorne sense becoming an Englishman" (Le Page, 1969: 2), a very deterministic (and thus controversial) statement indeed!!. The third strategy the theory puts forward for dominated groups is the search for new dimensions on which to compare themselves favourably with the dominant group. Rastafarians' compulsion to coin a new tongue is probably part of this process of creation, but it is not the only instance. Other British Blacks also use their creativity to establish a positive social identity by means of the use of speech rhythms of the Caribbean together with humour in their literary works. John Agard or James Berry are masters

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on this - directly violating the Cooperative PrincipIe of conversation (at least Grice's maxims of Quantity, Quality and probably Manner). In sorne of their poems we find a voice boasting of what he obviously is not and does not have (something not terribly appreciated by British White culture!). "It is an attack on deprivation, where people overdo what they do, a kind of compensation for what they don't have"10. The standard spelling employed in this particular poem must not lead us to read it as it were a poem in standard English; they are poems to be read aloud with the rhythms and pronunciation of a West Indian voice, otherwise we would misunderstand its tone and sense: At a disco girls cluster and dance me in, at a party everyone knows 1 don't take gin. 1 walk in a room that's tangled with fight 1 coo! it, calm it, make things rightshove a head back on where it came adrift; shove an arm back on where it had lefl. Kisses wash melor that ease in my tough; gifts are piled on me though already Tve enough. Cos -l'm a social rover, 1 overspend -l'm a goldcard lover, but man, you know, rhythm's the thing and gir!, you know, 1 got the style that sings. [. .. }

(James Berry, "Let Me Rap You My Orbital Map". 1988. Pp. 43-44.). As a lot of poerns addressed to the Caribbean youths in Britain it is composed to be recited (or rather, perforrned) in the ragged way reggae sounds, as if 'rapping' (or 'dubbing', as West Indians prefer to call it). But the terrn 'dub' poetry is more accurately referred to the type of reggae rnusic whose lyrics deal with poverty, unemployrnent, rebellion, fights with the police, and everyday experience. Most of them are overtly political, as "Di Great Insohreckshan", written by Linton Kwesi Johnson, which tells the riots in the London district of Brixton in 1981, emphasizing the battles between Black youths and the police: it woz in April nineteen eighty-wan doun inna di ghetto alBrixtan dat di babylan dem cause such africkshan

Mercedes Bengoechea Poetry in Patois: Applying aSociopsychological Approach to the Analysis...

an it bring about a great insohreckshan an it spread al! ovah di naeshan it woz a truly an histarical okayjan

r路.}

Often 'dub' poems, so characteristically Caribbean, constitute the fourth of the strategies of the theory: direct competition not engendering but engendered fram British hostility and antagonismo As Tajfel acknowledges, comprehension of any particular instance requires placing these social psychological dynamics within a sociological contexto If we 100k closely at the context of race relations in Britain from the 1960's, we shall realize that they ref1ect the struggles experienced to maintain the social identity ofWhite and Black British. We can understand, for example, how the discriminatory Immigration Acts of 1962, 1968 and 1971 were the responses to "an intensification of precautions aimed at keeping the superior graup in its position". As Husband states, "for much of the 1960's [oo.] the White population increasingly identified the Black population as a threat. Initially, the West Indian migrants felt themselyes to be 'British'. [oo.] However, more recently, the White hostility has engendered a more direct and militant response from different sections of the Black community who haye achieved new social identities through their experiences of this hostility" (Husband, 1977: 231-232). Their Yiolent challenge is conveyed in their poetry as well. For example, the aboye poem continues: it woz event afdi year an 1 wish i ad been dere wen wi run riot al! ovah Brixtan wen wi mash-up plenty police van wen wi mash-up di wicked wan plan wen wi mash-up di swamp Eighty-wan jiwha? ji mek di rulah dem andahstan dat wi naw tek noh more a dem oppreshan

r路.}

(Linton Kwesi Johnson, "Di Great Insohreckshan". In Berry, 1984: 65).

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10. CONCLUSIONS

Using Ethnolinguistic ldentity Theory as a framework to understand the reasons, range and significance of poetry in Creole, l have tried to prove that it is the Black West lndian response to an unfair inter-group situation which has determined a negative social identity for them. This might account for the fact that it is in Britain, where West lndian dialect is a 'marked' choice, that their preference for Creole seems to be higher. The reaction to their experience as Blacks is in no way homogeneous. This diversity would explain why sorne poets seem to feel at ease writing in standard English, whereas others reject it. As Ethnolinguistic ldentity Theory suggests (Giles and Johnson, 1987), sorne of the poems in Creole express their authors' strong and subjective identification with a group which considers language an important symbol of their identity, a high perception of this group's vitality, and insecure social comparisons with the White British. The accentuation of their ethnic style is partof a process of comparison with the dominant group, which has as a consequence the adoption of strategies to assume a more positive social identity. When poets or literary critics have regarded their own group's status as changeable, a lot of poets have chosen not to use standard English, in spite of possessing a competence in it, and several critics have demanded from Caribbean writers an ethnic solidarity which would entail refusing to use standard English. In this way, more than as a mere defence mechanism or as a symbol of defiance, poets and critics have attempted to establish an altemative social identity by means of Creole. The use of the language of their daily life by sorne Afro-Caribbean British writers may have some effect on the West lndies. The mere existence of some British literature in Creole is likely to have linguistic, literary, cultural and political implications, the major one probably its contribution to the legitimacy, dignification and normalization of Creole. A positive international reaction towards it would undoubtedly be an affirmation of their ethnic and national dignity after so many years of colonialism, "associated with the growth of national culture, and the development of receptivity and consciousness towards that culture" (Le Page, 1969: 1).Those British authors are paving the way for future Caribbean writers and helping to create a potential readership for a new literature in Creole which soon will come of age. Their work is contributing to model a literary language shaped by the mutual influence between dialect and standard; a language

Mercedes Bengoechea Poelry in Palois: Applying aSociopsychological Approach lo Ihe Analysis... 101

which is proving to be a ductile and flexible instrument capable to express West lndian consciousness - the psyche of the former colonized man who rejects being mentally and linguistically colonized any longer. A socio-psychological interpretationof Black British poetry in Patois helps to demonstrate that, as Gumperz claimed (1982: 7), social identity and ethnicity are in large part established and maintained through language, and that the parameters and boundaries within which we create our own ethnic and social identity are communicatively produced, also through literature.

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NOTES

1. 2.

In sociolinguistic terms, they would move along the mesolect continuum. The colonies adopted the literary values of the metropolis, where by definition Standard English is the dialect of English which is normally used in writing. The universal recognition of this function of standard English has resulted in a scarcity of other dialects in the literature in English. Due to the fact that from the sixteenth century, non-standard features were adopted to depict qualities such as simplicity or roughness (Leith, 1983: 41) when non-standard dialects appeared in literary works of the 17th, 18th, and even 19th centuries, they were used simply for the conversation of certain characters, mainly for comic and satiric purposes or to give rural flavour, while standard English was used for prose, poetry and for the dialogue of most characters. Newspapers daily carry sections written in non-standard English which are invariably comic in nature, deriding customs, behaviour or politics and also giving the latest gossip. (Roberts, 1988: 144). For examples of scholarly texts in Creole, the essays by the Guyanese linguist Hubert Devonish may be consulted, e.g. Devonish, 1991: 594-95. George Philip Krapp, in his much quoted paper "The Psychology of Dialect Writing" (1926), stated that as a general rule, ÂŤthe more faithful a dialect is to folklore, the more completely it represents the actual speech of a group of people, the less effective it will be from the literary point of view." (p. 523) According to Ramchand (1970), "West Indian literature would seem to be the only substantialliterature in which the dialect-speaking character is the central character [...]. This [...] reflects the more obvious new event -the centrality of the Black or Colored character". Sorne poets though warned of the dangers of leaving the possibilities of a different mode unexplored, and advocated the testing of the whole range of voices, modes, personae, themes and territories (Markham, 1989: 194). It has already been used to explain why low-prestige language varieties persist: Ellen Bouchard Ryan, "Why do low-prestige language varieties persist?". In H. Giles and R. N. St Clair (eds.), Language and Social Psychology (Baltimore: University Park Press, 1979), pp. 145-157. H. Tajfel and J. C. Turner, "An integrative theory of intergroup conflict". In W. C. Austin and S. Worchel (eds.), The Social Psychology olInter-

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10.

group Relations (Monterey: Brooks/ Cole, 1979), pp. 33-53. An excellent summary of their ideas can be found in H. Giles, R. Y. Bourhis and D. M. Taylor, "Towards a theory of language in ethnic group relations". In H. Giles (ed.), Language, Ethnicity and Intergroup Relations (London: Academic Press, 1977), pp. 307-348. In the USA until the 1930 a frequent hypothesis put forward to account for Black American speech was that it was "the blind groping of minds too prirnitive in modes of speech beyond their capabilities" (M. Herskovits, Suriname Folklore (Oxford: Oxford Universify Press). Quoted in Edwards, 1986: 7). James Berry reading his poems at the University of Alcalรก de Henares, 26 February 1993.

REFERENCES Berry, 1. (ed.). 1984. News for Babylon. TheChatto Book of Westindian-British Poetry. London: Chatto and Windus. Berry, J. 1988. When 1 Dance. London: Harnish Hamilton. Brown, S. (ed.). 1992 (1984). Caribbean Poetry Now . London: Edward Arnold, 2nd edition. Bumett, P. (ed.). 1986. The Penguin Book of Caribbean Verse. Harmondsworth: Penguin. Commission for Racial Equality. 1977. Urban Deprivation, Racial Inequality and Social Policy: A Report. London: HMSO. Devonish, H. 1991. "Standardisation in a Creole continuum situation: The Guyana case". In 1. Cheshire (ed.), English around the World. Cambridge: Cambridge University Press, pp. 585-595. Edwards, V. 1985. "Expressing Alienation: Creole in the Classroom". In N. Wolfson and J. Manes (oos.), Language ofInequality. Berlin: Mouton, pp. 325-334. Edwards, V. 1986. Language in a Black Community. Clevedon: Multilingual Matters. Fishman,1. 1977. "Language and Ethnicity". In H. Giles (ed.), Language, Ethnicity and lntergroup Relations. London: Academic Press, 1977), pp. 15-57. Giles, H. (ed.). 1977. Language, Ethnicity and lntergroup Relations. London: Academic Press. Giles, H., Bourhis, R. Y. and Taylor, D. M. 1977. "Towards a Theory of Language in Ethnic GroupRelations". In H. Giles (ed), Language, Ethnicity and lntergroup Relations. London: Academic Press, pp. 307-48.

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Giles, H. 1979. "Ethnicity markers in speech". In K. R. Scherer and H. Giles (eds.), Social markers in speech. Cambridge: Cambridge University Press and Editions de la Maison des Sciences de l'Homme, pp. 251-290. Giles, H. and Johnson, P. 1987. "Ethnolínguistic identity theory: a social psychologica! approach to language maintenance". International Journal 01 the Sociology olLanguage 68: 69-99. Gramley, S. and Patzold, K-M. 1992. A Survey of Modern English. London: Rout1OOge. Gumperz, J. 1982. Language and social identity. Cambridge: Cambridge University Press. Husband, C. 1977. "A Case Study in Identity Maintenance". In H. Giles (ed.), Language, Ethnicity and Intergroup Relations (London: Academic Press, 1977), pp. 211-40. Johnson, D. 1984. Deadly Ending Season. London: Akira Press. Krapp, George Philip. 1926. "The Psychology of Dialect Writing". The Bookman 63: 522-527 La Fortune, K. S. 1958. "Carnival Rhapsody". Caribbean Quarterly 5(3): 173. Lamrnimg, G. 1960. The Pleasures olExite. London: Michael Joseph. Lawton, D. L. 1982. "English in the Caribbean". In R. W. Bailey and M. GÓrlach (eds.), English as a World Language. Ann Arbor: The University of Michigan Press, pp.251-280. Lázaro, L. A. (ed). 1994. Colonialism and Post-Colonialism in English Literature. Alcalá de Henares: Servicio de Publicaciones de la Universidad de Alcalá de Henares. Leith, D. 1983. A Social History olEnglish. London: Routledge and Kegan Paul. Le Page, R. B. 1969. "Dialect in West Indian Literature". Journal 01 Commomwealth Literature 7: 1-7. Linthwaite,I. 1987. Ain't i a woman!: Poems by Black and White Women. London: Virago. Markham, E. A. (ed.). 1989. Hinterland. Caribbean Poetry from the West Indies and Britain. Newcastle upon Tyne: Bloodaxe Books. Oakes, P. and Turner, 1. C. 1980. "Social categorization and intergroup behaviour: does minima1 intergroup discrimination make social identity more positive?". European Journal olSocial Psychology 10: 295-301. Ramchand, K. 1970. The West lndian Novel and Its Background. London: Faber and Faber. Ramchand, K. 1974. "The West Indies". In B. King (00.), Literatures olthe World in English. London: RoutlOOge and Kegan Paul, pp. 192-212. Selvon, S. 1952. A Brighter Sun. London: Alan Wingate. Reprinted in 1985. London: Longman Selvon, S. 1956. The Lonely Londoners. London: Alan Wingate. Reprinted in 1979. London: Longman. Smith, D. 1976. The Facts olRacial Disadvantage. London: Política1 and Economic Planning. Smith, D. 1977. Racial Disadvantage in Britain. Harrnondsworth: Penguin.

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Sridhar, S. N. 1980. "Non-Native English Literatures: Context and Relevance". In B. B. Kachrn (ed.), The Other Tongue: English across Cultures. Urbana: University ofIllinois Press, pp. 291-306. St John, B. "Letter to England". In S. Brown (ed.). 1992 (1984). Caribbean Poetry Now. London: Edward Arnold, 2nd edition, p. 91. Walcott, D. 1987. The Arkansas Testament. London: Jonathan Cape.

Laura Lojo RodrĂguez Virginia Woolf's "Monday or Tuesday": An Approach

107

Virginia Woolfs "Monday or Tuesday": An Approach Laura Lojo RodrĂguez Universidade de Santiago de Compostela

In 1921, Virginia Woolf publishes a collection of short stories entitled Monday or Tuesday which comprised different impressions of the everyday life, or the life of Monday or Tuesday. "Monday or Tuesday", the story which gives title to the collection seems to mark a borderline as far as technical experimentation is concemed as well as a point of inflection in Woolfs literary career. The story is the literary reflection ofWoolfs concems with literature, explicitly posed in her essay "Modem Fiction" (1919): at this point, Woolf started to experiment with the fragmentation of the subject by means of achieving different perspectives offered from a multiplicity of angles and filtered through voice and vision, through language and imagery, through words, elements which convey beauty in themselves.

Virginia Woolf (1880-1942) has been considered to be one of the major British writers of the twentieth century in the western literary canon. Her novels are widely known and read in most countries in the world, and they constitute a significant part of university and high school curricula for students of English literature. Critics have also focused on her life and work as one of the main exponents of British Modernism to such an extent that it proves a hard task to study any aspect which has not been touched on yet by scholars. Her works have been translated into most of the European languages as her reputation as a writer has increased. However, her short fiction has often been neglected both by the critics, reading public and by translators: on the one hand, short fiction, in spite of the growing interest it is now arousing in scholars, continues to be an underrated art and is stil1 seen as a "minor genre" when it comes to be compared to the novel, especially if the writer in question is the author of masterpieces such as Mrs. Dalloway, The Waves or To the Lighthouse. Gn the other hand, most of Virginia Woolfs short fiction has a highly experimental quality: she often

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rehearsed in her short pieces many of the innovative techniques she would distil for further development in longer works, such as the interior monologue and similar experiments as far as the narrative voice is concerned, the treatment of time and space, the possibility of dialogue as a defining device and the development of what later carne to be known as "moments of being", this being one of the intrinsic and defining features of each one of her short stories. The aboye mentioned experimental quality of this kind of fiction obviously represents an extra difficu1ty for the critic to the already complicated prose of this writer. Woolf herself was aware of the newness and innovation of this kind of writing, which may have aroused opposition. In this respect, she returns a letter to Ethel Smith acknowledging the complexity and strangeness of "Monday or Tuesday" and "Blue and Green", the latter being a story which reached the border of complexity and represented the limits to which Woolf could go as far as experimentation was concerned: You are perfectly right about Green and blue and the heron one [i.e. "Monday or Tuesday"]: thats mainly why 1 won't reprint. They are mere tangles of words; balIs of string that the kitten or Pan [Ethel' s dog] has played with ... Green and blue and the heron were the wild outbursts of freedom, inarticulate, ridiculous, unprintable mere outcries l . Any reader should bear in mind those words which probably allude to the reception of her short stories, and which on the other hand, point to the fact of their being not on the whole comprehensible or readable - as other pieces of writing - but the expression of a writer seeking freedom fram literary convention, experimenting and subverting traditional genre, form and content. Its experimental character is the very essence of "Monday or Tuesday" and therefore, the first thing to be apprehended, should be the awareness of its being different to what had been done before. Woolf herself points out that "they don't see that I'm after something interesting... And there was Roger [Fry] who thinks I'm on the track of real discoveries"z. She might be implying that her narrative works on, at least, two levels: the lineal structure, undoubtedly confusing and unusual and, on the other hand, what is under surface, the workings of a new form, especially latent in the specific disposition of words and the references to what is left unsaid, im-

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plied beyond writing, The fact that it was Roger Fry - one of the most talented, open-minded members of the Bloomsbury graup - who perceived "something interesting" in her stories may also be significane. Indeed, they were utterly different in form and content fram the more traditional The Voyage Out (1915), and incomprehensible beyond aH question if compared with Night and Day (1919), the novel which she published in the same year as "Monday or Tuesday" in a collection which bore the same name, and which represented, according to sorne critics, a step backwards as far as innovation was concerned. Leonard Woolf decided to compile, posthumously, eighteen of the stories written by his wife, sorne of which were never published during her lifetime. In the foreword to the collection, A Haunted House and Other Short Stories, he alludes to Virginia Woolfs need to free herself fram the harness of convention, which she did in sorne of her short stories: Al! through her life, Virginia Woolf used at intervals to write short stories. It was her custom, whenever an idea for one occurred to her, to sketch it out in a very rough forrn and then to put it away in a drawer. Later, if an editor asked her for a short story, and she felt in the mood to write one (which was not frequent), she would take a sketch out of her drawer and rewrite it, sometimes a great many times. Or if she felt, as she often did, while writing a novel that she required to rest to rest her mind by working at something else for a time, she would either write a critical essay or work upon one of the sketches for short stories4â&#x20AC;˘ The tit1e of the short story, "Monday or Tuesday" is apparent1y unrelated to what comes afterwards in the narrative. There is nothing in the text which could be direct1y related to that expression. However, the phrase "Monday or Tuesday" does occur somewhere else in Virginia Woolfs writing, and in this respect the publication date of the story could be useful for overall perspective. According to a postcript in a letter that Virginia W oolf wrote to her sister Vanessa Bell on 31 sI October, 19205 , the writer seems to have planned the expression "Monday or Tuesday" as a title for the collection to be published in 1921 before she actually wrote the story of the same name: I'm getting doubtful whether 1 have time to write the story cal!ed Monday or Tuesday - if not, 1don't know what to cal! the book.

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Probab1y in the same period of time, Virginia Woolf was rewriting her essay "Modern Novels" for inc1usion in The Common Reader (1925) as "Modern Fiction", which is one of her most emblematic essays. "Modern Fiction" deals basically with what Woo1f thought to be the basis ofthe new 1iterature being produced, as opposed to more traditional 1iterary tendencies. Issues such as the task of the writer, and of the artist by extension, subject-matter and 1iterary techniques are central e1ements to the essay: They [James Joyce and other young writers] attempt to come c10ser to life, and to preserve more sincerely and exactly what interests and moves them, even if to do so they must discard sorne of the conventions which are commonly observed by the novelist. [... ] Let us not take for granted that life exists more fully in what is commonly thought big than in what it is com6 monly thought smal1

It seems c1ear that, in coming c10ser to life, anything would be suitable stuff for fiction, not just events in themselves, but mere impressions or perceptions, as is the case in "Monday or Tuesday" where "nothing happens": The mind receives a myriad of impressions - trivial, fantastic, evanescent, or engraved with the sharpness of steel. From al1 sides they come, an incessant shower of innumerable atoms; and as they faH, they shape themselves into the life of Monday or Tuesday, the accent fal1s different from old; the moment of importance carne not here but there.? The expression "Monday or Tuesday" is unusual enough to occur in two texts, although different in their nature, written roughly in the same period and, therefore, the idea of a mere coincidence should be discarded. It seems obvious that, to Virginia Woolf, the subject of "modern fiction" should be ordinary life, things considered unimportant by traditional writers or, in her own words, "the life of Monday or Tuesday". That was initially intended to be the title of her collection of short stories, probably because they would deal with everyday life, with those ordinary perceptions otherwise discarded by more traditional points of view. The short story "Monday or Tuesday" is constructed upon ordinary, everyday images, perceptions and thoughts coming from different angles, with no coherent shape or sequential order, because that is the way in which they occur:

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Life is not a series of gig-Iamps symmetrically arranged; life is a luminous halo, a semi-transparent envelope surrounding us from the beginning of consciousness to the end. 1s it not the task of the novelist to convey this varying, this unknown and circumscribed spirit, whatever aberration or complexity it may display with as little mixture of the alien and extemal as possible?8 This paragraph seems to justify the apparently chaotic arrangement - or disarrangement - of elements in sorne ofVirginia Woolf's writings, but it applies especially to "Monday or Tuesday". The translator has to bear in mind that the story is to differ a great deal fram more conventional pieces belonging to the same genre. What is more, most of it is not going to have a linear meaning, is not going to "make sense" in the conventional use of the phrase, and is even going to subvert the most traditional constrictions of earlier writing: [...] if a writer were a free man, and not a slave, if he could write what he chose, not what he must, ifhe could base his work upon his own feeling and not upon convention, there would be no plot, no comedy, no tragedy [...{ Woolf is, however, aware of the implications that freedom from convention would have. She is prabably alluding to publishing houses and editors, a problem that Woolf herself did not share with other writers, since the Woolfs owned the Hogarth Press and were publishers themselves. In this way, "Monday or Tuesday" is as free fram convention as possible, deals with ordinary experiences and perceptions, and subverts the traditional conception of fiction and even of literary genre, as will be seen later on. The short story puts into practice the literary issues idealistically posed in "Modero Fiction", but using a different narrative vehicle: this time the essay is to be substituted by the short story, the pamph1et is to become art itself. The genre, significantly chosen to develop for the first time those innovative conceptions as mentioned earlier, is going to differ fram the traditional short story which had been written so far. As an obvious consequence of the intention of directly representing the nature of experience itself, chaotic and heterogeneous in itself, the modernist short story, and Virginia W oolf s in particular, is to reject the traditiona1 conception of plot, of the well-wrought tale, constructed to achieve eventually a "unity of

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(1. 8), "for ever desiring -" (1. 11), "- for ever desiring truth" (1. 14), "- and truth?" (1. 16,27), "-truth?" (1. 34). AH of these expressions are introduced as a sort of coda, or even conclusion after the different perceptions described in the story. It is significant that all of them are either preceded or followed by a dash, as a sort of afterthought which, paradoxically, is the underlying subject-matter that gives shape to "Monday or Tuesday": the narrator's anxious and agonic search for truth.

The second paragraph starts by progressively developing this Iast e1ement: "Desiring truth, awaiting it, laboriously distilling a few words, for ever desiring -" (ll. 8,9.). The -ing forms mark a process which seems to be endless, stressed by the adding of "for ever" (1. 9). On the other hand, they also leave the agent of the action unknown, although the narrative voice may correspond to the narrator's. "Laboriously distilling a few words" (ll. 8,9) introduces a key aspect to the narrative. On the one hand, and due to the sequential order, "words" seems somehow to be coupled with "truth", asa factual ref1ection. of the narrator' s desire and search. It may not be adventurous to assert that the anxiety to find the right word, namely poetic truth would correspond to the task of one who somehow uses words as a daily instrument of work: a writer. Could the narrative voice, therefore, be 12 characterised as SUCh ? What comes in brackets is going to produce a disruption in the narrative: the narrator interrupts his thoughts on the problems of aesthetic creation and introduces a different perspective, a different focaliser. This time it is not going to be the heron offering an aerial perspective, but an unknown focaliser introducing perceptions apprehended by the senses: "a cry starts to the left, another to the right. Wheels strike divergently. Omnibuses conglomerate in conf1ict" (11. 9 -11). These sensations are especially related to the semantic field ofsound: "cry, strike, conglomerate in conflict", aH ofthem suggesting the idea of a rush, of the movement of a city, probably offered by the point of view of a passer-by. The language used differs a great deal from what has been previously recorded. These impressions are arranged in syntactically simple utterances, lacking the elaboration of the previous part of the discourse, giving the impression of an anxiety to provide as much information as possible with few words. The sequence works, therefore, in the guise of stage directions, very similar to them both in language and in function. In

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spite of their brevity, they succeed in defining in a clear and rapid way space and time in the story, working as a traditional description would. The setting seems to be a large city, for its number of cars and omnibuses, "conglomerating" in a traffic jam; the time therefore could correspond to the rush hour. Before actually continuing with the factual description provided by the "stage directions", the typography of the dashes marks again the narrator's comments on the nature of truth. The brackets reopen again defining more clearly the space and time frame within the story: it is midday, the sun is shining and children are probably coming out of school. As was earlier mentioned, the information in brackets provide what a traditional description would do in terms of function, but in fact, because of their belonging to a different literary genre - drama - it works by introducing One genre within another one - the short story, or even poetry, as discussed aboye. The tenses used in the stage directions belong also, as in the rest of the text, to the simple present. This points out to the idea of those actions taking place repeatedly every day, any day, ordinary events and ordinary habits which make up every day routine, every day existence. The closing of the second paragraph is of a slightIy different nature. Typagraphical1y, the next lines are not presented in brackets, but they are also quick descriptive assertions separated by semi-colons, descriptive strokes which keep on sketching the spatial frame. Again, the focaliser provides a vision which is obviously apprehended by the senses, being on the ane hand predominantly visual ("Red is the dome; coins hang on the trees; smoke trails from the chimneys", 11. 14, 15) or they reproduce the different sounds heard in the street, introducing also the direct speech of an ironmonger: "Iron for sale" (1. 16). This description, however, and unlike the previous one, is interiorised by the particular vision of the focaliser by using metaphors: "Red is the dome" may refer to the sun reflecting on a cathedral's dome, "coins hang on the trees" might refer to the light filtering through the leaves of a tree, in the particular perception of the focaliser. Finally, the paragraph ends with the narrator's rhetorical question on truth, typographically preceded, as usual, by a dash. The next paragraph presents a change in the setting and situation. Two simultaneous perspectives are presented, filtered through the eyes of

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the same focaliser; on the one hand, there is a description of a setting which is fixed, static. By contrast, the paragraph closes with a collection of images and perceptions taken from different angles and different settings, all taking place at the same time. The expression "while outside" on line 21 provides the key for the spatial trame: "while" underlines the fact that what has been previously described and what comes rightly after are simultaneous in terms of time. "Outside" makes a clear distinction in terms of space location: the description of the preceding lines may correspond to some place "inside" a building where the focaliser is also situated: the "outside" may refer to the recollection of descriptive images of the street. The paragraph opens with a particular description offered by the focaliser who, again, interiorises the images perceived through his eyes using codified language: "Radiating to a point men's feet and women's feet, black or gold-encrusted" (11. 17, 18), "the firelight darting and making the room red" (1. 20), and the use of -ing forms points to a process taking place in a particular moment or period of time. The focaliser directs his eyes to the floor of a room, where it is possible to see the shoes of the people there, either black for men or more colourful for women. The room seems to be illuminated by a fire, whose flame leaves red reflections on the objects seen there and which provides a contrast between light and darkness ("black figures and their bright eyes", 1. 21). The focaliser's perceptionis interrupted by a sequence presented in brackets similar to those in previous paragraphs. It is endowed with the same nature as the preceding ones, namely to provide a substitute for a traditional description of place, time and situation. This time they are not going to be stage directions, but fragments of conversations in direct speech which may probably have been heard - or overheard - in the room: "- (This foggy weather -Sugar? No, thank you - The commonwealth of the future) - ", (11. 18, 19). "This foggy weather" points directly to a precise location of the action in terms of space: it may be referring to London, widely regarded as "the" foggy city. "Sugar? No, thank you" is even more exact; the action may be taking place in a coffee-shop where people are having their morning tea. Finally, politics are a recurrent topic in everyday conversation, so "the commonwealth of the future" would be an assertion quite likely to be heard in a coffee-shop. "While outside" (1. 21) is the mark to present, as has been argued earlier, a group of images which are simultaneous to the scene described in

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the coffee-shop. The focaliser offers an account of the sight which a window to the ~reet presents: "while outside a van discharges, Miss Thingummy drinks tea at her desk, and plate-glass preserves fur coats -" (ll. 21, 22,23), the rush of the street, a break at an office and a shop. The sights are described in the simple present, again as the usual sight of every day, any day in London, with a generalising perspective reflected in the language by the lack of definite articles ("plate-glass preserves fur-coats", 1. 23) or the allusion to "Miss Thingummy" (1. 22), an educated and slightly archaic variant for "Mrs.-what's-her-name". The next paragraph presents a conglomerate of adjectives and past participles functioning as predicative complements of a subject which is not explicit in the text and has to be supplied by association. The sequence is especially complicated, not only for the ambiguity which the elision of the subject provokes, but also because it works in terms of rhythm, stress pattern, internal rhyme and oppositions. Sandra Kemp13 suggests for this paragraph the influence of the poet Gerard Manley Hopkins, whose poems were first published in 1918. Virginia Woolf wrote to Janet Case on 23 July, 1919: Rave you read the poems of aman, who is dead, called Gerard Ropkins? 1 liked them better than any other poetry for ever so long; partly because they're so difficult, but also because instead of writing mere rhythms and sense as most poets do, he makes a very strange jumble; so that what is apparently pure nonsense is at the time very beautiful, and not nonsense at 14 all â&#x20AC;˘ The first line of the paragraph has an alliteration of the sounds If/, JlI and ItI ("Flaunted, leaf-light, drifting at corners, 1. 24), a device which is repeated in the next one with the sounds 11/, Isl Idl ("wheels, silversplashed, home or not home, gathered", 1. 25), Isl and Ik/ ("scattered, squandered in separate scales, swept up" 1. 26) and In! ("down, torn, sunk, assembled", 1. 27), together with a rhythmical stress pattern. The paragraph ends with the narrator questioning on truth, which opens the possibility of considering the whole sequence as a reference to the natme and state of it. However, it would be feasible to consider that the whole paragraph may be referring to the nature of the perceptions described in the preceding paragraphs, to the different sights and sensations which have been gathered and interiorised by the different angles that the various focalisers have

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experienced, "gathered" at a certain stage of perception, "scattered" in the different arrangements which occur in the text, recolIected "home or not home", fragmented by the different possibilities of visualisation and therefore "squandered in different scales", "assembled" in the act of writing, representative alI of them oflife and truth. The last paragraph provides the key for decoding sorne of the elements which have been scattered through the whole text and which are going to put together to make them fit to the frame of "Monday or Tuesday". The narrator is going to give details about the nature of the story and to unveil him/herself as a character; it is the writer looking for truth, for the right word, sitting by the fire ("now to recolIect by the fireside on the white square of marble", 11. 28, 29), reading a book ("from ivory depths words rising shed their blackness, blossom and penetrate", 11. 29, 30), falling asleep and leaving the book aside ("fallen the book" 1. 30) and letting the mind fly in search of new perceptions ("or now voyaging, the marble square pendant, minarets beneath and the Indian seas, while space rushes blue and the stars gline, ll. 32,34), summarising sights which are going to be recollected in this final effort to cornmunicate. The narrator eventually becomes a character in the story, recollecting by the fire the previous sights described in earlier paragraphs, pravoked by the reading: "fram ivory depths words shed their blackness, blossom andpenetrate" (ll. 29, 30). The narrator's characterisation takes place in terms of setting - the fireside -, thoughts - the writer's search of truth - and perceptions - those earlier pravided fram different angles - , but not physically. This fact is underlined by the use of impersonal verb forms which do not correspond to a specific person: "now to recollect", "fallen the book", "or now voyaging". The paragraph ends paradoxically with a literal reluctance to C!osure, "or now, content with c!oseness?" in a rhetorical question which leaves the paragraph open, not only by its form, but also by the ambiguity provoked by the use of the word "content", which changes the meaning of the sequence according to each one of the possible positions of the stress. Finally, "Monday or Tuesday" ends as it had earlier started: "Lazy and indifferent the heron returns; the sky veils her stars; then bares them" (JI. 35, 36). The third person narrator retakes the figure of the heran coming

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back from his flight, of the sky showing the stars, completing the vital cycle, endlessly returning to the same point only to begin again incessantly. From all that has been said, it would be possible to argue that the structure of "Monday or Tuesday" is arranged in a multiplicity of levels. Gn the one hand, there is a "time of the story", the actual period of time in which what has been narrated takes place, and "a space of the story", the place where the story is toldo Gn the other hand, there. exist a number of focalisers imagined by the narrator, which offer fragmented perspectives taken from different angles. Finally, the narrator questions himself on the nature of truth, on the difficulty of literary creation, which points to the narrator's characterisation as a writer. These concerns cannot be located in terms of time or space, since they are thoughts and intuitions supposed to develop in the artist's mind, only made explicit by a device of the narrative. Thefirst level, the place and time of the story, is only made c1ear in the last paragraph. There appears a figure sitting by the fire, reading a book, and iettingthe imagination fly literalIy by either borrowing theeyes of a heron - traditionally regarded as a symbol for theimagination - and crossing space or using different focalisers which offer a multi-perspective of ordinary life in a city such as London. The use of this variety of vision belonging to different fields - an aerial panoramic view from the sky, the rush of a town, the overhearing of different conversations - gives the story a fragmented appearance due to the juxtaposition of perceptions apprehended by the senses - sight, sound, smell- and taken from different angles of vision, which are not "syrnmetrically arranged" as in traditional writing, but violently put together in a chaotic and disordered appearance, just as they occur in everyday, ordinary life, linguistically reflected by the use of the simple presento The narrator disrupts the narrative thread by gradually introducing, by means of a process of variation of the same theme, his own vital thoughts and concerns, which makes it possible to identify him with a writer. The obsession is put in terms of a quest-myth for truth, identified with a search for the right word, the perfect referent. The task of the writer is to represent, to reflect the "sublime" through his artistic creation, that is, to find beauty and truth in a perfect referent which would perfectly match object and thought. These "digressions" appear typographically marked from the rest of the narrative by a dash, and syntactically differentiated by

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the use of -ing forms which both point to a process, emphasised by the constant use of the expression "for ever" and cannot be subscribed to a particular agent. FinalIy, the narrator introduces and closes the story by describing, in the guise of a traditional third person narrator, the figure of a heron respectively beginning and ending his daily flight. The repetition of this figure in an ordinary vital cycle, the exact reproduction of elements and syntactic structures both at the opening and closure of the story, the use of the simple present to describe daily events give the story a circular structure literalIy underlining the subject-matter of the story, "the life of Monday or Tuesday", ofan ordinary day, an endless search, an endless return. "Monday or Tuesday", in this way, may be taken as a point of inflection in Virginia Woolfs creative process. More traditional narrative techniques have been left behind, her concerns about literary creation, explicitIy posed in "Modern Fiction" are interiorised and converted into fiction in "Monday or Tuesday". She had started to experiment with the fragmentation of the subject, by means of achieving different perspectives offered from different angles, through voice and vision, with language and imagery, with words, in themselves conveying beauty regardless of their referents. She had also started to question herself on the "proper stuff of fictionIS", which she said was everything and nothing at the same time. She also thought that smal1 matters were the expression of big issues, a macrocosm reflected in a rnicrocosm, that the ordinary life of Monday or Tuesday could reflect the concerns of truth, beauty and the process of literary creation.

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NOTAS

1. 2. 3.

4. 5. 6.

7. 8. 9.

10. 11.

12.

Virginia Woolf to Ethel Smith, Letters, IV, 16 Oct. 1930, p. 231. Woo1f, Virginia (1959). A Writer's Diary. Leonard Woolf ed. London: The Hogarth Press, p. 31. Roger Fry was an eminent art critic open to the challenges of innovation. Along with Clive Bell - Woolfs brother-in-1aw - and Leonard Woo1f among others, Fry organised the Post-Impressionist exhibitions (1910 and 1912) held at the Grafton Gal!eries in London, a fact which largely contributed to the spread of the Post-Impressionist painters (CĂŠzanne, Van Gogh, Gauguin, and Picasso among others) in Britain. Woolf, Virginia (1967). A Haunted House and Other Short Stories. Leonard Woolf ed. London: The Hogarth Press. VW to VB, Letters, n, p.445. Woolf, Virginia. The Collected Essays 01 Virginia Woolf. Leonard Woolf ed.. London: The Hogarth Press, 1966. CE henceforward. CE, quoted supra. CE, quoted supra. CE, quoted supra. James Joyce first proclaims his theory on the "epiphanic moment" in Stephen Hero (1904). All references henceforward be10ng to the following edition: Woo1f, Virginia. A Haunted House and Other Short Stories. Leonard Woo1f ed. London: The Hogarth Press, 1967. Virginia Woolf has often used in her works the voice and figure of the writer to express her own struggle with language to find the right word, the exact referent of thoughts. A language which has been inherited, and therefore not invented, does not seem to be the suitab1e vehicle for this purpose, as Bernard points out in his final monologue in The Waves (1931): "What is the phrase for the moon? And the phrase for love? By what name are we to cal! death? 1 do not know. 1 need a litt1e 1anguage such as lovers use, words of one syl!able such as children speak when they come into the room and find their mother sewing and pick up some scrap of bright wool, a feather, or a shred of chintz. 1 need a howl, a cry. When the storm crosses the marsh and sweeps over me where 1 lie in the ditch unregarded 1 need no words. Nothing neat. Nothing that comes down with al1 its feet on the floor. None of those resonances and lovely echoes that break and chime from nerve to nerve in our breasts, making wild

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music, fa1se phrases. 1 have done with phrases. How much better is siIence [...]". Woo1f, Virginia. The Waves. Harmondsworth, Penguin Books, 1992, p. 227. Woo1f, Virginia. Selected Short Stories. Edition, introduction and notes by Sandra Kemp. Harmondsworth: Penguin Books, 1993, p. 110. VW to lC, Letters, I1, p. 379. CE, quoted supra.

BIBLIOGRAPHICAL REFERENCES Baldwin, Dean. Virginia Woolf: A Study o/ the Short Fiction. Boston: Twayne Publishers, 1989. Davenport, Tony. "The Life of Monday or Tuesday", Virginia Woolf. London: Vision Press, 1983. Freedman, Ralph (ed.). Virginia Woolf: Revaluation and Continuity. California: University of California Press, 1980. Guiguet, lean. Virginia Woolfand Her Works. London: The Hogarth Press, 1965. Hanson, CIare. "Moments of Being: Modernist Short Fiction", Short Stories and Short Fictions 1880-1980. London: MacMilIan Press, 1985. MacLaughin, Ann L.. ''The Same Job: The Shared Writing Aims of Katherine Mansfield and Virginia Woo1f', Modern Fiction Studies, nÂ° 24, pp. 369-87. Woolf, Virginia. The Collected Essays o/Virginia Woolf. Leonard Woo1f ed. London: The Hogarth Press, 1966. - A Haunted House and Other Short Stories. Leonard Woo1f ed. London :The Hogarth Press, 1967. - The Complete Virginia WoolfShorter Fiction. Susan Dick. ed. London : The Hogarth Press, 1985. - Selected Short Stories. Sandra Kemp ed. Harmondsworth: Penguin Books, 1993. - The Waves. Harmondsworth: Penguin Books, 1992. A Writer's Diary. Leonard Woolf ed. London : The Hogarth Press, 1959.

Cristina Caruncho Michinel La Importancia del Lenguaje. El Doble Discurso Ético-Político en la...

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La Importancia del Lenguaje. El Doble Discurso Ético-Político en la Obra de J. Stuart Mili Cristina Camncho Michinel Universidad de Vigo

An adequate and complete understanding of an author's thought requires both a deep knowledge of the historic-cultural context from which the thinker writes and an evaluation of his personal biography; equally as important as the aforementioned considerations is the adequate interpretation of the language used. In fact, regarding the work of the nineteenth century English author, J.S. Mill, it is necessary to study his ethical-political theories to determine the precise meaning that he gives to concepts such as justice, freedom, equality, the individual and so on in each work. This necessity is even more urgent if we take into consideration that there are many fragments of his thought where ambiguous "naturalizations" of certain "moral desiderata" are displayed. Clear implications of the polernic "naturalistic fallacy" and the inadequate change from is to ought can be detected behind these ideas.

Cuando decidí aproximarme al estudio de la obra milliana fui consciente desde el primer momento del problema que suponía la lectura y comprensión adecuada del pensamiento de un autor que había escrito su obra hacía más de un siglo, en un contexto histórico-cultural lejano, la Inglaterra de su época y como no en un idioma que yo había intentado aprender pero que no era mi lengua materna. Tales consideraciones me obligaron a tener las precausiones que cualquier hermeneuta debe conocer cuando decide Ilevar a cabo un estudio condicionado por los determinantes señalados. La primera precaución imprescindible debía ser el conocer al detalle el contexto histórico-cultural en el cual el autor había vivido y recreado su obra. Sin lugar a dudas tal hecho fue tenido en cuenta en mi investigación y tratado con peculiar esmero, ya que cada vez que me iba adentrando en el estudio de las obras millianas compredía con mayor claridad lo profundamente arraigado que estaba el discurso de MilI en las peculiaridades poIíti-

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ca, sociales y culturales de la encrucijada histórico-social de Europa (y no solo de Inglaterra aunque fundamentalmente de ella) de su momento. Obviamente acerté a descubrir que también los datos que configuraban su biografía personal marcaban los trazos fundamentales sobre los que se construía su pensamiento utilitarista. Todo ello se unía a la prevención que desde un primer momento yo había tenido ante el hecho de que sus obras originales hubiesen sido escritas y fielmente reproducidas en inglés. Tal hecho me enfrentaba ante la cuestión -común para los investigadores de habla hispana que desean aproximarse al pensamiento anglosajónde utilizar con precaución las traducciones al castellano de las obras de lS.Mill y la necesidad de utilizar como fuentes indispensables la edición de los Collected Works de las obras millianas 1• No obastante, en un primer momento esta prevención purista, o dicho de otro modo, esta desconfianza hacia los textos reinscritos en otro idioma, junto al miedo de no captar con precisión los pensamientos que leía en una lengua que no era la mia, me parecían los aspectos del lenguaje fundamentales a tener en cuenta para un desarrollo adecuado de la investigación. Poco a poco iría descubriendo con sorpresa que el problema del lenguaje para una interpretación adecuada de la obras del autor iba a tener otras implicaciones que no se reducían al problema de llevar a cabo una traducción correcta. Ciertamente otros intérpretes de la obra milliana en lengua castellana han señalado en trabajos de notable interés la necesidad de ser precisos en la traducción y las dificultades que esto presenta en algunas ocasiones. Un ejemplo de este hecho lo tenemos en la traducción que de la obra El Utilitarismo hizo para Alianza editorial Esperanza Guisán, quien señala en una nota al capítulo segundo de la obra mencionada que en la traducción que ella ha llevado a cabo "se ha utilizado, "correcto" e "incorrecto" como traducción aproximada de "right" y "wrong", respectivamente, términos para los que no existe en lengua castellana equivalentes que hagan justicia a sus matices peculiares en contextos morales"z. Sin embargo no es esta probemática la que deseo analizar en este trabajo. La aportación de este estudio pretende ceñirse a un aspecto lingüístico que hace referencia a la importancia que para la comprensión adecuada de los términos adquieren los universos de discurso o los contextos lógico-formales desde los que se desarrolla una determinada reflexión.

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LA BÚSQUEDA DEL SIGNIFICADO CORRECTO

La necesidad de valorar con rigor y precisión los distintos niveles de discurso marcados por contextos específicos al analizar la obra de J.S.Mill, surgió en mi mente como inevitable tras haberme adentrado en el estudio del pensamiento ético-político de este autor con el fin de encuadrarlo como representante del pensamiento liberal o por el contrario valorarlo como defensor de un modelo de socialismo democrátic0 3. Mi pretensión no era excesivamente novedosa ya que la lectura detenida de los textos de J. S. Mili suele despertar en el lector cierta curiosidad por el tema del trasfondo ideológico de su pensamiento. La revisión y el análisis de algunos de los trabajos sobre el pensamiento de Mili favorece claramente esa curiosidad. De hecho, es frecuente encontrarse con autores que consideran a Mili un representante del pensamiento liberal clásico, pero tampoco es extraño descubrir estudios sobre el pensamiento de este autor, en los que se le hace aparecer como un defensor del socialismo democrático. Estudiar el tema de la encrucijada ideológica en la que se asienta el pensamiento milliano es, sin lugar a dudas, una tarea apasionante. Dicha tarea no puede realizarse con cierta seriedad si previamente no se investiga en torno a las señas de identidad que caracterizan a las ideologías liberal y socialista. De ambas cabe proponer unos esquemas sencillos: El liberalismo supone: (a) El reconocimiento del individualismo posesivo, o del individuo como un egoísta racional; (b) La visión de la sociedad como una estructura compleja resultado de las relaciones de competencia que se establecen entre los hombres y (c) La defensa de la libertad en una amplia gama de formas político-sociales. Por lo que respecta al socialismo, cabe destacar: (a) Que el individuo es fundamentalmente un ser solidario, (b) que la sociedad es un cuerpo heterogéneo, resultado de la costumbre y la tradición de cooperación entre los hombres y (c) La defensa de la igualdad, como criterio ético que regula los actos de los hombres y legitima la necesidad de las instituciones entendidas desde un hacer subsidiario. Una vez estudiadas las ideologías con las que Mili toma contacto parecía conveniente centrarse de lleno en el estudio de su obra. Una hipóte-

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sis de trabajo que ha tenido mucha aceptación es la de pensar que Mili, formado en el espíritu de la filosofía liberal y radical, acepta este pensamiento en su juventud, pero que en el transcurso de su vida y, debido a diversas influencias, cambia de opción ideológica volcándose en la defensa del socialism04• Ante este planteamiento se hacía necesario una revisión cronológica de las obras del autor. El objetivo de este estudio de los textos millianos se centraba en buscar las definiciones de conceptos como individuo, sociedad, libertad e igualdad. En definitiva, aquellos conceptos que habíamos descubierto como las claves de análisis para comprender el sentido de las ideologías antes mencionadas. Esta tarea se vuelve, a veces, compleja, dado que en algunos textos de Mill no se encontraban explícitas las definiciones que buscábamos. No obstante, siempre existía una referencia, más o menos oculta, a un determinado modo de pensar al hombre, a la sociedad, y las relaciones que se dan entre las personas. Buscando las definiciones de los conceptos mencionados se llega a la conclusión de que, por una parte, estos conceptos están directamente relacionados con otros muchos, de tal modo que el investigador debe detenerse en precisar el significado de conceptos tales como simpatía, justicia, deberes, derechos, propiedad, etc. Sólo así, podrá comprenderse porque Mill opta por un determinado modelo de individuo y de sociedad. Por otra parte, sorprende el hecho de que no se encuentra en las obras de MilI una única descripción de los mismos. Curiosamente el individuo era considerado unas veces egoísta y posesivo, otras solidario y en consecuencia, la sociedad resultante del juego de relaciones que se entablan entre los ciudadanos respondía a la idea de competencia (cuando los individuos son considerados egoístas) y a la idea de cooperación (cuando los individuos son vistos como solidarios). La libertad pensada era (negativa o positiva) según se hablase en términos de posibilidad real o en términos de lo deseable5 . El grado de desarrollo alcanzado por las sociedades en su momento histórico permite , según Mill, el que se pueda reclamar una libertad como ausencia de obstáculos que garantice la libertad de pensamiento y acción para los individuos, sin que existan interferencias por parte de la sociedad o de sus instituciones. Sin embargo, aún no es posible exigir la puesta en práctica de un modelo positivo de libertad; la libertad positiva sólo acarrea consecuencias deseables cuando los individuos que disfruten de ella hayan alcanzado un alto grado de desarrollo ético.

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Ante el problema de la igualdad, Mill también juega con dos modelos alternativos. La situación de su momento histórico le parece altamente conflictiva. Por una parte, es necesario seguir favoreciendo una política capitalista basada en las inversiones particulares y la propiedad privada, y por otra, no pueden olvidarse las exigencias justas que reivindica una clase trabajadora que se encuentra en una situación muy precaria. Esta situación típica de la fase productiva hace necesario que, sin alterarse el mecanismo de la producción para favorecer la acumulación. de riqueza, se promueva una política de justicia retributiva que contente a los trabajadores con el fin de preservar el orden social. Podríamos hablar en este caso de un concepto "operativo" de igualdad. No obstante, en otros momentos de su obra, Mill se muestra más idealista. Según este autor, llegará un momento en que los hombres consideren necesario vivir juntos como iguales. En este sentido, un modelo retributivo y economicista de la justicia ya no será suficiente y se tenderá a buscar un modelo de justicia como imparcialidad. Podríamos hablar, en este caso, de un principio regulativo de igualdad. Obviamente, alguna razón habrá para que, en la filosofía de Mill, se aprecie esa variación de los significados asociados a conceptos tan importantes como son el de individuo, sociedad, libertad e igualdad. Intentando buscar una explicación, era necesario comprobar, en primer lugar, si funcionaba un criterio cronológico, que nos permitiese hablar de un cambio de paradigma ideológico en la evolución del pensamiento milliano. Esta tesis sería adecuada si, una vez revisadas las obras millianas con este criterio cronológico, pudiésemos pensar en una secuencia lineal con un punto de inflexión. De ello cabría deducir la existencia de lo que podría llamarse "un primer período", caracterizado por un determinado uso connotativo de los conceptos examinados, y un "segundo período" en el que habría variado el significado de tales términos en el sentido que hemos señalado con anterioridad. La tarea de estudiar a fondo las obras millianas requiere un gran esfuerzo, tanto por la gran cantidad de textos que el autor ha escrito, como por la variedad de temáticas que en ellos se abordan. Ante esta ingente producción, es frecuente que el estudioso juzgue el pensamiento milliano a través de aquellas obras que se consideran más significativas y en las que, de un modo u otro, se recogen las líneas fundamentales de su filosofía. Es por ello por lo que una primera aproximación al análisis de sus obras, atendiendo al año en que han sido publicadas, puede hacerse pensando sólo en

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sus obras más conocidas: Principios de Economía Política, Sobre el Gobierno Representativo, Capítulos sobre el Socialismo, El Utilitarismo, Sobre la Libertad y la Autobiografía. Valorando la idea general que pretende transmitir cada uno de los escritos mencionados, podría señalarse como punto de inflexión la obra: Capítulos sobre el Socialismo. Frente al liberalismo económico, que inspira Principios de Economía Política, y al proteccionismo paternalista de Sobre el Gobierno Representativo, la obra Capítulos sobre el Socialismo supone una seria reflexión sobre el socialismo político y la solidaridad, que abre, en cierto modo, un camino hacia la utopía6 . Las obras posteriores siguen, en mayor o menor grado, esa línea abierta hacia la utopía. El Utilitarismo es un tratado ético sobre las posibilidades de desarrollo moral que tiene el hombre; un hombre que necesita y desea la libertad, como defiende el autor en Sobre la Libertad y que pretende llegar a construir una nueva sociedad basada en la armonía de intereses, propuesta en la Autobiografía. Un estudio más riguroso del pensamiento milliano exige incluir en la revisión bibliográfica otros muchos textos del autor (incluso aquellos considerados menores, como artículos de periódico, cartas, actas de los debates parlamentarios...). Analizados éstos, podemos situar como obras clave, para hablar de los dos períodos en el pensamiento milliano, los ensayos que integran el volumen que, en los Collected Works, se titula Law, Education and Equality (escritos todos ellos entre mediados de la década de los cuarenta y finales de los cincuental No obstante, hay algo que llama poderosamente la atención del investigador cuando éste lleva a cabo un estudio detenido de los textos escritos por MilI. Se llega a descubrir que, con frecuencia, atribuye significados diferentes a los mismos conceptos, aún dentro de la misma obra. Como consecuencia de ello, cabe pensar que el criterio cronológico, aunque pudiese ser aplicado, no es definitivo, o al menos no funciona como un criterio independiente. Una vez considerado como insuficiente el criterio cronológico, convenía profundizar en el análisis de contenido de cada una de las obras de Mill, con el objeto de estudiar el cambio de significado de estos conceptos, intentando analizar, al mismo tiempo, los contextos específicos que permi-

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tían O favorecían la variación de significados, sin forzar el discurso a contradicciones evidentes. Es posible constatar que existía en todos los casos un denominador común. En efecto: la referencia al presente histórico y a la realidad de hecho(alusivo al momento y circunstancias de la sociedad inglesa en la que MilI vivió) siempre se identificaba con ciertos significados de los conceptos estudiados; concretamente con la concepción egoísta de individuo, competitiva de sociedad, negativa de libertad y operativa de igualdad. Tales significados variaban cuando se hablaba en términos de futuro y a lo que se aludía era a la construcción teórica de un mundo posible. Pensado en términos de futuro Mill escribe a cerca de un individuo solidario, una sociedad cooperativa, una idea positiva de libertad y un concepto regulativo de igualdad. Intentando hacer una valoración en torno a lo que se ha puesto de manifiesto cabe pensar en un nuevo criterio para explicar la variación de significados. En este sentido parece adecuado reflexionar en torno a la separación entre la política y la ética. La separación entre un discurso apegado a la praxis y que incluso en su dimensión más teórica intenta buscar las mediaciones para incidir en la acción social y un discurso valorativo desde el que se piensa lo deseable. De hecho, aún reflexionando en torno a una ideología, que aparece como un cuerpo doctrinal uniforme y compacto , pueden separarse a nivel analítico distintos planos: el plano político, el plano de la teoría jurídica y el plano de la teoría ética. El primero determina (o aspira a determinar) una situación de hecho; el segundo, la regula a través de la ley (lo jurídico tiene, como límite inferior, lo político y, como límite superior, lo ético) y el tercero, establece un marco de regulación axiológica. Si bien, lo jurídico y lo político no pueden separarse, sí puede haber una separación entre lo ético y lo político. La separación de planos tal y como ha sido explicada responde a una estrategia de análisis. Mili no fue consciente de que estaba creando un doble discurso, ni de que alteraba el significado de ciertos conceptos al variar de plano. El uso de la metodología analítica que aquí se ha propuesto permite enjuiciar el pensamiento milliano dentro de un determinado momento

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histórico. Con ello se intenta evitar la descontextualización de las propuestas morales y políticas que MilI formuló en su dia. Evitar esa descontextualización parece de gran importancia, dado que en el momento filosófico actual existe cierta tendencia a poner de actualidad las filosofías de los clásicos, sin valorar en su justa medida la determinación histórica a la que el pensamiento de todo autor está sujeto. Al aplicar la tesis de la separación entre lo ético y lo político, como criterio principal para explicar la variación de significados aludida , se puede llegar a configurar el siguiente esquema de correlaciones. En el plano político, Milllleva a cabo una valoración del individuo como egoísta, de la sociedad como competitiva, de la libertad como libertad negativa, y de la igualdad como igualdad operativa. En el plano ético, se juega con un concepto solidario de individuo, cooperativo de sociedad, positivo de libertad y regulativo de igualdad. A nivel jurídico, se prevé un sujeto de derecho y una sociedad legalmente ordenada, desde la cual se regule la no intervención del Estado, y sus instituciones, en aquellas decisiones de los ciudadanos, que solo afectan a sí mismos (favoreciendo la libertad negativa y fortaleciendo el ámbito de lo íntimo). A nivel económico, debería regularse un mecanismo de justicia distributiva, que sin alterar el mecanismo asociado a la producción, favorezca la posición de los más pobres, salvaguardando el orden social mediante un principio de igualdad operativa. Corrobora este punto de vista el hecho de que cuando Mill piensa en un modelo de gobierno representativo, como el más eficaz y adecuado al momento histórico en el que vive, se ve forzado a utilizar una doble concepción del ser humano: a) La concepción del hombre tal y como se comporta espontáneamente en el ejercicio de la acción política (egoísta, insolidario...). b) La concepción del hombre ético, es decir, racional, prudente y moralmente desarrollado. Dado que existen estos dos tipos de hombre, Mill considera legítimo que los individuos que, ya han alcanzado la madurez ética, ejerzan un tipo de paternalismo cualificado que irá modificando las pautas de comportamiento adoptadas por los sujetos más egoístas e inmaduros. No obstante, la ventaja del modelo representativo de gobierno es que además de permitir una acción pedagógica de las élites respecto al pueblo, ofrece a

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todos los individuos la posibilidad de participar en política. Esta participación debe entenderse como un modo de ejercitar la responsabilidad y la libertad moral. Para comprender todo lo que hasta aquí se ha venido diciendo es necesario tener en cuenta que, en la filosofía milliana, se adopta un concepto progresista de la historia de corte comtiano. Tal concepto implica que el análisis sincrónico de una sociedad específica, en un tiempo y lugar, puede y de hecho debe ser interpretada bajo claves distintas de las que cabe aplicar para el estudio de una sociedad diferente. Mili sostiene, además, una idea evolucionista del individuo, que permite contemplar a la persona de modos radicalmente diversos, según el grado de desarrollo cognitivo y moral que haya alcanzado.

A MODO DE REFLEXIÓN

Este discurrir entre dos niveles de análisis que le permite a 1. Stuart Millutilizar términos claves para la construcción de su discurso éticopolítico adjudicándoles significados diversos está íntimamente ligado a la polémica que surge a principios del siglo XIX en el pensamiento anglosajón cuando Hume escribe su famoso pasaje del "is" al "ought" conocido en el lenguaje al uso como la falacia naturalista8. Con los términos "is" y "ought", o dicho de otro modo, con la comprensión y traducción exacta de estos términos nos encontramos ante una situación similar -aunque con matices distintos- a la que planteaba Esperanza Guisán (y citábamos en la introducción a este trabajo) cuando hacíamos alusión a las dificultades de traducción de los términos "right" y "wrong". Si con estos se produce en la lengua inglesa una peculiar superposición de significados que aluden a la vez al plano moral y al jurídico -superposición o coimplicación que no se recoge en la traducción al castellano- a través de las palabras "correcto" e "incorrecto"- en el caso del uso de los términos "is" y "ought" el problema cobra matices de peculiar relevancia en el ámbito de la teoría moral. El problema de la naturalización de ciertos desideratas morales (como puede ser el considerar deseable aquello deseado por los hombres, algo que según ciertos críticos realiza Mili en su famoso ensayo El Utilitarismo) es una temática muy presente en la teoría moral anglosajona de los siglos XIX y XX.

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En este caso, o dicho en otras palabras, en torno a la falacia cometida en el paso del "is" al "ought" el problema no adquiere matices distintos, desde el punto de vista lingüístico cuando utilizamos los términos castellanos que le corresponden, a saber: "es" y "debe". No obstante si es cierto que el uso de las palabras "is" y "ought" cobra matices peculiares en contextos morales. De hecho, la contraposición entre "is" y "ought" marca la radical separación entre lo político y lo ético separación reconocida, aceptada y asumida en el marco de la filosofía moderna y que desafía la unión entre estos dos planos pensada en la filosofía anterior al siglo XIX- pero a la vez el uso ambiguo de estos conceptos cn contextos entremezclados donde el referente o universo de discurso no se sabe muy bien si es de orden "factual" o "contrafactual" tiene importantes consecuencias, que van más alla de la coherencia del discurso filosófico, por ejemplo pueden ser utilizadas -y posiblemente lo han sido- para justificar o legitimar moralmente el orden socio-político imperante en un determinado contexto socio-cultural. Es obvio, que es muy distinto apelar al "is" que al "ought", porque el segundo como vocablo moral posee como diría Stevenson una capacidad emotiva (una fuerza locucionaria, ilocucionaria y perlocucionaria) mucho mayor que el primero que se circunscribe al ámbito de la descripción.

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NOTAS 1.

2. 3.

Colledted Works es una colección formada aproximadamente por una treintena de volúmenes, en los que se recopila la obra completa de J.S.Mill. El trabajo de recopilación y organización ha sido llevado a cabo por el profesor J. Robson, autor que realiza una "introducción textual" a cada volumen. Guisán,E.,lntroducción, traducción y notas a Mill,J.S., El Utilitarismo, Alianza editorial, Madrid, 1984, p. 45. Entre los autores que defienden el punto de vista de que Mill es un liberal consistente destacan Wolheim, 1978 y Ten, 1968, 1980. Por el contrario una lectura de Mill como defensor del socialismo democrático se encuentra en los trabajos de Brown, 1981 y Gray, 1983. Entre 1848 y 1869 (período en el que el autor realiza su obra en torno a este tema, si tenemos en cuenta que en 1848 aparece la primera edición de sus Principios de Economía Política -aunque su correspondencia con D'Eichthal, Newman y otros autores demuestra que ya en los años 30Mill sentía preocupación e interés por el tema del socialismo- y ya que es en 1869 cuando redacta -según señala Helen Taylor- los Capítulos sobre el socialismo) hay una variación ostensible en los análisis que lleva a cabo Mill en torno al concepto de socialismo. Quizás sea necesario señalar el año 1852 como el punto de inflexión en este cambio, ya que será precisamente en 1852 cuando salga a la luz la tercera edición de su obra Principios de Economía Política. Esta ambivalencia respecto a como debe definirse el concepto de libertad en la obra milliana produjo un debate muy intenso que resurge con inusitada fuerza a partir de los estudios en torno a esta temática realizados por Berlin en su obra Cuatro ensayos sobre la libertad de 1969. Entre los trabajos más interesantes acerca de esta polémica véanse: Gray, 1980, pp. 507 Y ss.; Maccalum, 1967, pp. 312-334; Semmel, 1984, pp.166-l67 Y 196-197; Canavan, 1979, pp.366; Smith, 1980, pp.448. Se recomienda para apreciar las diferencias de enfoque en torno a esta temática una lectura detallada de los capítulos II y IV de la obra Capítulos sobre el socialismo, contrastándolo con el capítulo IV del libro m y el capítulo VII del libro IV de la obra Principios de Economía Política. Resulta muy ilustrativa la lectura de la introducción temática que Collini realiza al tomo XXI de los C.W. titulado Essays on Equality Law and Education, para poder valorar en su justa medida la trascendencia que

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para la valoración del problema de la encrucijada ideológica en el pensamiento milliano tienen los Ensayos recopilados en dicho volumen. Véase el famoso pasaje del "is" al "ought" en el Tratado de la naturaleza humana, libro I1I, parte 1, sección 1 (Hume, traduc. al castellano, 1981, pp. 689-690). Véase además Moore, capítulo III de sus Principia Etica (Moore, 1903, traduc. al castellano 1959, capítulo III, pp. 69-70.

BIBLIOGRAFÍA BERLIN, 1., Four Essais on Liberty, Oxford: Oxford University Press, 1969. Traduc. castellano, Cuatro ensayos sobre la libertad, Madrid, Alianza Universidad, 1988. BROWN, "MilI on Harm to Others Interest". Political Studies. XXVI, 1978. CANAVAN, F., "J.S.MilI on Freedom of Expression". Modern Age, 1979. GRAY, J., Mil! on liberty: A Defence, Londres: RoutlOOge and Kegan Paul, 1983. MACCALUM, G., "Negative and Positive Freedom". Philosophical Review, Ni 76, 1967. MOORE, Principia Ethica, Cambridge: Cambridge Uni versity Press, 1971 (lO oo. 1903). SEMMEL, B., Jhon Stuart Mil! and the Pursuit ofVirtue, New Haren: Yale University Press, 1984.

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Wer einmal aus dem BlechnapffriBt... Una Proyección Autobiográfica María José CorvoSánchez Universidad de Vigo

Característico da obra de Hans Fallada, pseudónimo de Rudolf Ditzen, igual ca doutros escritores identificados coa fin da República de Weimar, é a reproducción de existencias reais e de pequenos destinos individuais. Wer einmal aus dem Blechnapffrif3t recolle a historia de Willi Kufalt: a súa liberdade e o seu presidio. Coñezendo a personalidade e a vida do autor, resulta directa a identificación del co seu protagonista. A equivalencia entre os sucesos e as experiencias de duas entidades distintas, unha real, R. D., e outra ficticia, W. K., só é un dos factores imprescindibles que nos permitenc!asificar esta novela como autobiográfica. A sua expresión, a forma na que o narrador regula e presenta a información, confirmaa identificación de Hans Fallada coa súa obra e máis concretamente co seu protagonista Willi Kufalt.

1. INTRODUCCIÓN La novela Wer einmal aus dem BlechnapffrifJt... 1 narra la historia de Willi Kufalt, una historia que recoge el enfrentamiento de su protagonista tanto ante la libertad física que implica su salida de la cárcel, como ante la espiritual que esta liberación conlleva y el posterior proceso de desmoronamiento de todas sus esperanzas e ilusiones, que le conduce finalmente a la negación de su propia libertad y nuevamente al punto de partida, el presidio. Es un relato existencial, reflejo de la vida de su autor, Hans Fal1a-

di. Su contenido, principalmente autobiográfico, le sirve de base además para la exposición de gran parte de las directrices ideológicas que se mantienen en mayor o menor medida a lo largo de toda su producción literaria, como es su insatisfacción, su dificultad personal para entablar relación con otras personas, la sexualidad como un medio de liberación, etc.

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Conociendo la personalidad y la vida de su autor, resulta directa la identificación de éste con su protagonista WiIIi Kufalt. Pero una posible equivalencia entre los sucesos y las experiencias de dos entidades distintas, una real, Rudolf Ditzen y otra ficticia, WiIIi Kufalt, sólo es uno de los factores imprescindibles que nos permiten clasificar una novela como autobiográfica; la forma en que el narrador regula y presenta la información narrativa es el segundo factor que evidencia y confirma la identificación de Hans FaIlada con su obra y, más concretamente con su protagonista, WiIIi Kufalt.

2. AUTOBIOGRAFÍA EN LA NOVELA Las primeras experiencias de privación de libertad de Rudolph Ditzen fueron en sanatorios y en clínicas psiquiátricas privadas, por recomendación médica, por su enfermedad nerviosa y voluntariamente, para someterse a curas de desintoxicación: en Bad Berka en 1911 yen Tannenfeld en 1912, tras el trágico suceso del duelo con su amigo Hans Dietrich von Necken, un caso de doble suicidio faIlido del que éste último resultaría muerto. Las estancias en dichos centros le sirvió para conocer la soledad de las celdas de aislamiento y para descubrir que la sociedad también posee sus propias instituciones cerradas, repercutiendo negativamente en la concepción que tanto de la vida como de sí mismo tenía y agravando su autodesconfianza y su desconfianza en los demás. Volvería a ingresar en TannenfeId en 1919. Y en el sanatorio de Car1sfeld enBrehna en 1917, para someterse a una nueva cura de desintoxicación. En la cárcel ingresa por primera vez en 1924 con una condena de seis meses en prisión acusado por fraude: Für die Mittel greift er im Sommer 1923 zum erstenmal in eine fremde Kasse und begeht auf dem Gut Neuschonfeld bei Bunzlau in Schlesien eine Unterschlagung. Das Vergehen wird schnell entdeckt und er in Bunzlau am 12. Juli schnell zu einer Strafe von sechs Monaten Gefángnisverurteilt... (Fallada, 135)

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Un año más tarde se vería obligado a cumplir una condena de dos años y medio en la cárcel de Neumünster tras reincidir en el mismo delito. Su paso por los sanatorios y por las clínicas psiquiátricas, corno decíamos, constituye su primer contacto con centros de reclusión; pero son sus vivencias en prisión, primero en Greifsfeld y luego en Neumünster, así como sus respectivas consecuencias, las que principalmente se reflejan en la obra que nos ocupa. Por ello, intencionadamente, podríamos pensar, la novela comienza dos días antes de la puesta en libertad de la cárcel de su protagonista, Willi Kufalt -un hombre cerca de la treintena corno el escritor en el momento de su composición- permitiéndonos conocer así el mundo de la prisión, con sus ordenes y sus desórdenes, corno lo viviera su propio autor. En la figura de W.K., quien acaba de cumplir una condena de más de dos años por el mismo delito que cometiera Rudolph Ditzen, "Unterschlagung und UrkundenfaIschung" (Fallada, 14), es sobre la que principalmente recaen los datos autobiográficos que encontramos en la novela. El comportamiento de W. K. en la cárcel es el de un recluso correcto: Sein Pensum hat er immer gestrickt, oft zwei, manchmal sogar drei, er hat sich Zusatzlebensmittel kaufen k6nnen und Tabak. Er ist in die zweite Stufe gekommen und in die dritte, ein vertrauenswürdiger Mustergefangener, in dessen Zelle die Kommissionen geführt wurden und der stets angemessen und bescheiden geantwortet hat. (Fallada, 14) De esta manera refleja R. D. su propia conducta en la prisión, corno le sería reconocido al ser puesto en libertad: Am 3. November 1924 wird er vorzeitig entlossen. Dem Haftling Rudolph Ditzen wird »gute« Führung bescheinigt. .. (L. Werner,152) El presidio en las cárceles de Greifswald y Neumünster generan y acrecientan en R. D. un mismo temor: que esa experiencia pasada se llegue a saber y pueda perjudicarle en el futuro. Esto le lleva a ocultar su condena en Greifswald incluso hasta a su familia, recurriendo a su amigo Kagelmacher, quien falsifica varios certificados de trabajo para ayudarle a justificar su ausencia durante el período de prisión (L. Werner, 152). Tiempo des-

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pués, al salir de la cárcel central de Neumünster, la solución que encontraría para deshacerse de su pasado sería la de marcharse a Hamburgo buscando refugio en el anonimato de la gran ciudad (L. Werner, 158). Este mismo temor es el que atormenta, ante la salida de la cárcel, a W.K. Por ello, buscando la manera de velar su estancia en prisión como lo hiciera R. D, solicita que en su orden de baja no conste el sello de la cárcel: ... es gibt eine Bestirnmung in der Vollzugsordnung, das aus dem Abmeldeschein nicht hervorgehen darf, das der Entlassene aus einer Strafanstalt kommt. (Fallada, 63)3 Es la salida de la cárcel de Neumünster del expresidiario Rudolph Ditzen laque se recoge en la novela, pues el destino que le depara a nuetro protagonista es prácticamente idéntico a lo acontecido en el vida del autor a su llegada a Hamburgo y que, simplificadamente, puede ejemplificarse con el siguiente fragmento: In Hamburg kornmt Rudoph Ditzen in einem christlichen Wohnheim unter undarbeitet in dem dort angeschlossenen Schreibbüro. Ausgebildet ist er für eine solche Tiitigkeit gerade nicht, und Atmosphare des Wohnheims erinnert ihn fatal an das Klima der Anstalten und Gefangnisse.... findet er etwas anderes, eine Frau...vermittelt ihm ein Zimmerchen, und dann kauft er sich...eine gebrauchte Schreibmaschine. Mit Adressenschreiben für Hamburger Exportfirmen hofft er duchkornmen und sich dabei nach anderen Chancen umsehen zu k5nnen. (L. Werner, 161) La marcha a Hamburgo encierra un doble propósito: llllCIar una nueva vida que anule su pasado, implica al mismo tiempo, romper con los lazos familiares para pder conseguir la propia independencia lejos de la familia y de sus padres. Esta separación, necesaria para él, le resulta fácil, pues nunca mantuvo buena relación con ellos: Der Vater korrespondiert über Jahre nur in Ausnahmefállen mit ihm, und die Mutter behandelt diesen Mann in der Mitte der DreiBig nicht nur als verlorenen, sondern für lange Zeit auch als unmündigen Sohn. (L. Werner, 161) Este aspecto de la vida del autor también queda maniesto en la obra. y lo hace en forma de crítica y de omisión, pues las escasas referencias

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familiares que encontramos en la novela sirven sólo para confirmar la carencia de afecto y las desaveniencias familiares que sufrió él mismoo Critica la estricta y seria educación burguesa que recibiera de niño en la única alusión que en toda la novela se hace de la infancia de su protagonista: Vielleicht dachte er an alles mogliche, vielleicht sogar an die Zeit, da er ein Kind gewesen war, und seine Mutter· war naeh dem Abendessen in sein dunkles Sehlafzimmer gekommen, hatte sich über sein Bett gebeugt und gesagt: «Traume gut. Aber gleich einsehlafen!» (Fallada, 220) El único familiar mencionado por WoKo es su cuñado Werner, en quien finalmente no encuentra apoyo al salir de la cárcel. Hermanos, primos, padres, etc, no cuentan para él, como si no existieran, como puede observarse en el siguiente fragmento, que recoge la entrevista mantenida entre W.K. y el párroco de la prisión y que, posiblemente sea el que mejor ejemplifique lo que estamos exponiendo: «.. o Sehen Sie, man muB doeh wissen, aus welehen Kreisen Sie stammen."AIso was ist der liebe Herr Vater?» « Tat» «o.. Aber die Mutter, die lebt noeh, nieht wahr? Die ist Ihnen noeh geblieben?» «Herr Pastor...ieh bitte, mir die Fragen kurz und knapp, wie sie dort vorgedruckt sind, vorzulesen!» «Aber, mein lieber, junger Freund, was haben wir denn? Ich verstehe Sie nicht. la, doch, doeh, ieh weiB, es ist eine wunde Stelle, wenn man mit seinen Nachsten auseinander ist. Daran darf nicht gerührt werdeno Aber sie schreibt Ihnen doeh, Ihre Mutter, sie schreibt doeh?» «Nein, sie schreibt nicht!» schreit Kufalt.. o» (Fallada, 51) Igualmente, atraído por la gran ciudad y protegido por su anonimato, W.K. decide marcharse a Hamburgo tras· su puesta en libertado Las primeras semanas vive en Friedensheim, una residencia interconfesional que funciona a modo de centro de acogida y de reinserción social, a la que pueden acudir exconvictos y parados, bajo la supervisión del Sro Seidenzopf y la dirección del Pastor Marcetuso Su ambiente es triste, oscuro y 4 muy semejante al de la cárcel :

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«Üppig ist das nicht», denkt Kufalt, «das trauliche Friedensheim. Wenigstens sind die Fenster nicht vergittert. Sonst ist es eigentlich Kittchen. Die Betten sind auch nicht besser ». (Fallada, 81) Del mismo modo, con su trabajo en la sala de máquinas de la residencia, escribiendo direcciones a destajo, W.K. se costea su estancia en Friedensheim. No es un trabajo que requiera mucha capacidad, pero, a causa por un lado, de la premura por forzar el ritmo para ganar así más dinero y por otro, de la estrecha y severa vigilancia por parte del supervisor a la que se halla sometido, W. K. siente de nuevo crecer su inseguridad y el sentimiento de miedo que ésta conlleva ante el temor de no poder librarse de su experiencia de la cárcel para conseguir superarse y adaptarse a la nueva vida. En Friedensheim no se halla la recompensa esperada tanto tiempo en prisión y, con el paso de los días, va resultándole cada vez menos soportable permanecer en la residencia: Dieses kIeine, mickrige Leben, diese Kampfen um den Groschen, dieses Streiten mit Seidenzopf, dieses QuaIen an der Maschine, dieser Beerboom, dieser Petersen, dieser Marcetus -soll das die Freiheit sein, auf die er fünf Jahre gewartet hat? (Fallada, 108) Consigue permiso para abandonarla para poder vivir independiente

y, tras ser rechazado de una primera casa por su condición de exconvicto, consigue alojamiento en casa de la señora Behn, a quien alquila una habitación, como también hiciera RD. Sin embargo, pronto la realidad supera las tentaciones de la gran ciudad: sin trabajo, RD. no puede permitirse pagar una habitación, ni seguir viviendo en Hamburgo y decide volver a Neumünster, donde cuenta con algunos conocidos que pueden ayudarle: Von Hamburg bin ich hierher verzogen, weil ich die dortigen Preise jetzt nach Eintritt der K1iIte wirklich nicht mehr erschwingen konnte -die Heizungskosten werfen meinen Etat vollig um--, und weil ich hoffe, durch die hiesigen mir bekannten Gefángnisbeamten etwas Arbeit zugewiesen zu bekommen. (L. Wemer, 165) Al igual que hiciera RD., independizarse totalmente es la única posibilidad que tiene W.K. para romper con los lazos del pasado. Por ello, tras trabajar durante un breve periodo de tiempo en otra sala de máquinas que el Pastor Marcetus posee en la ciudad, decide buscar otra actividad en la que

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no se vea obligado a estar a las órdenes de nadie. Pero la situación laboral no es buena; debe enfrentarse a una sociedad llena de parados -la del propio R.D.- y su condición de exconvicto, un handicap con el que debe convivir, agrava su Kittchenkrankheit, su temor de no poder superarse: Es wird immer sehleehter... Ich will und ieh will, aber je mehr ich will, um so schlimmer wird es. Und platzlieh bin ieh weg, alles leer in mir, als ware ieh gar nieht mehr. (Fallada, 132) Tras una primera experiencia laboral junto a un grupo de colaboradores -todos ellos exconvictos como él- que le conduciría a la cárcel, W.K. inicia su lucha por la independencia en solitario: al igual que RD., se compra una máquina de escribir usada y comienza a trabajar escribiendo direcciones para distintas empresas exportadores. Poco tiempo después, sin embargo, también se ve obligado a volver a lidie kleine schleswigholsteinische Industriestadt" (Fallada, 25),5 donde, entre otros, cuenta con su amigo Emil Bruhm. El motivo, aunque principalmente el mismo, por encontrarse sin trabajo, se halla adornado en la novela por el primer suceso delictivo de su protagonista: colabora con su amigo Batzke en un robo y, siendo consciente del peligro que supone continuar en Hamburgo, decide volver a la pequeña ciudad, de la que unos meses antes había escapado pensando en no volver nunca más. El poco afecto que W.K. siente por la pequeña ciudad -"das k!eine Nest "- (Fallada, 25) es también reflejo del desprecio que RD. sentía por Neumünster, de la que diría: Es ist ein so stupides Nest, van Fabrikarbeitern, die aus aller Herren Ltindern zusarnmengewürfelt sind...., daB es ein Grauen ist. (L. Werner, 165) El día que RD. se marcha de Hamburgo es el día en el que conoce a Anna Margarete Issel, de la que se enamora desde el primer momento, encontrando en ella el sentido de su lucha en la vida: ... das Glüek, wie er sich immer vorgestellt haLdas Madehen, das den basen haBliehen Frosehkanig mit ihrer Liebe van all den Dingen befreit, «die dem Irrenden ein unverstandliehes Leben aufgezwungen» haben. (L. Werner,164)

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y en Neumünster encuentra trabajo como Abonnenten- und Annoncenwerber en el periódico local General-Anzeiger. W.K. conoce a Hildegard Harder en un baile. No se trata de un amor a primera vista como el de RD. con Anna M. Issel y tampoco es tan intenso, pero W.K. cree acercarse a la felicidad igualmente. Al principio le resulta muy difícil encontrar trabajo y se gana la vida con su vieja máquina escribiendo direcciones, cartas y solicitudes. Finalmente, y como le sucediera a RD., entra a trabajar en el periódico local, como W.K. le cuenta a su amigo Emil Bruhm: "!eh darf Abonnenten und Anzeigen werben..." (Fallada, 238) En el amor y en el trabajo encuentra RD. su propia estabilidad. Su relación con Anna M. Issel prospera al mismo tiempo que experimenta un cierto éxito en el terreno laboral. Y en torno a estos dos elementos giran sus principales preocupaciones esas Navidades: su temor, en primer lugar, ante la aproximación del día de la boda, como le haría saber a Anna Margarete: Ein wenig bedenklich wird es mir doch, je naher der feierliche Tag kommt. Nicht meinetwegen, sondem vor allem deinetwegen. Ich hoffe, du bist dir ganzklar, daS ich eine finanziell ungewisse Zukunft erwartet, daS ieh nicht gesund bin, daS du von mir keine Kinder haben wirst und haben darfst, daS ich gesellsehaftlich dekIassiert bin. (L. Wemer, 173) y, en segundo lugar, ante la amenaza siempre latente de terminar en el paro algún final de mes: Die Arbeitsfülle ist nich kIeiner als im Mai und die Gefahr der Entlassung zu beinahe jedem Ersten genauso groS wie ein halbes Jahr zuvor. Der kleine Angestellte steht mit einem Bein immer in der Stellungslosigkeit. (L. Werner, 179) Igualmente el amor de Hildegard Harder llega a la vida de W.K. acompañado por el 'éxito' en el trabajo. Es diciembre, se aproximan las Navidades y W.K. se siente tan seguro de sí mismo y tan feliz, que incluso cree haber superado sus años de presidiario: Dann war er besessen van einem übersteigerten Kraftgefühl und Selbsvertrauen. Jetzt war der Bunker endgültig überwunden, Kufalt taugte was, Ku-

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falt konnte was, und kein...vennochte mit Hinweisen auf die kühle Trehne irgend was bei ihm zu erreichen... (Fallada, 264) Como a RD. le preocupa su estabilidad laboral; pero mucho más su pretendida estabilidad emocional respecto a su compromiso con H.H.. Este día transcurre para él como un sueño, del que cree despertar al llegar a casa por la noche cuando, sin comprender lo que está sucediendo, le invade la duda y el arrepentimient0 6: Und schlieBlich geht er nach Haus in sein Bett und der Traum ist aus und er wacht aufund weint: «Was habe ich getan!» (Fallada, 263) A diferencia de lo que acontece en la relación de RD. con Anna M. Issel, el compromiso entre W.K. y H.H. no llega a concluir en boda. W.K. es acusado de un robo que no ha cometido y el escándalo le obliga a abandonar la ciudad para dirigirse nuevamente a Hamburgo, en busca de otras posibilidades. La vida que le espera allí poco tiene de común con la de RD. tras su matrimonio con Anna M. Issel. Recuerda más bien a unos cuantos años antes, como si de un salto en la vida de R.D. se tratara, a partir del momento en que éste rompe en 1917 su primer compromiso de boda, para evitar así sacar a la luz sus experiencias anteriores ante ella y su familia; renuncia a su compromiso ante nuevas posibilidades y decide dedicarse en serio a su verdadera vocación, la de escritor. Es en este momento cuando cambia su nombre por el de Hans Fallada. Su nuevo entorno comienza a poblarse de amistades? que agravan el desorden e infiuen negativamente en su vida, induciéndolo al consumo de morfina, a la que R D. se aferra, cada vez más, como tabla de salvación para rendir en su trabajo y conseguir superar el gran esfuerzo, tanto físico como psíquico, que éste le supone: ... mein erster Roman war bis zu einem bestimmten Tennin fertigzustellen - all dies verlangte hochste seelische wie physische Leistungsfáhigkeit, die Morphium allein vermitteln konnte... Morphium war mir immer nur ein Mittel, das Arbeit zu jeder Stunde ennoglichte, intensivste Arbeit... (L. Werner, 128) Ya en Hamburgo, W.K. vive como inquilino en casa de la señora Fleege. Se hace llamar Ernst Lederer y dice ser actor de teatro, cuando la realidad es que no tiene trabajo y la mayor parte del tiempo lo pasa con sus

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amigos, el expresidiario Batzke y las prostitutas; con la tentación de reincidir, de cometer nuevos delitos y convencido de no ser un delincuente, vive diariamente en la frontera entre lo correcto y lo incorrecto, entre lo decente y lo no decente, y en la indecisón más absoluta, lo que le genera una tensión interior que sólo consigue mitigar con el alcohol. Sin trabajo, cada vez se deja llevar más por sus debilidades, hasta perder la ilusión y toda esperanza. Echa en falta la vida ordenada de Friedensheim y 'protegido' por el alcohol cede a la tentación y vuelve a delinquir. No obstante, su carácter pusilánime le lleva sólo a cometer pequeños hurtos, como es robarle el bolso a alguna mujer, y finalmente a entregarse a la policías. Esta 'doble vida' de W.K. puede interpretarse como reflejo de la del R.D. de principios de los años veinte, tras salir de la cárcel de Greifswald, período en el que simultanea su trabajo de administrador con el de cronista y abusa del alcohol y de la morfina para satisfacer ambas tareas: Und Rudolph Ditzen durchlauft in immer enger werdenden Spiralen den Teufelskreis seiner Abhangigkeil. Sorgfáltig verbirgt er sie nach auBen, bemüht sich, der korrekte Gutsbeamte oder ein durchschnittlicher Literat aus der Provinz zu sein. Seine bürgerlichen Rollen kosten ihn unendliche Mühe. Morgens braucht er Kognak, damit die Hande nicht zittern, der Magen nicht mehr schmerzt, und er braucht Morphium, und er braucht mehr Geld, als er hal. Er weiB, er wird seine Doppelrolle nicht mehr lange durchhalten kOnnen. (L. Werner, 153)

La inestabilidad y la falta de decisión que en él produce la adicción al alcohol y a la morfina le llevan a cometer su segundo delito de fraude el 12 de septiembre de 1925, buscando un pretexto para volver a la cárcel (L. Werner, 155), pues es consciente de que necesita ayuda para superar su adicción y desconfía de la que ofrecen en los sanatorios, de los que ya ha salido sin éxito en más de una ocasión. Es él mismo quien se presenta en la comisaría de policía y les convence de su delito: ... nach Hamburg... nach Berlin. München, Leipzig, Dresden, KOln gibt er spater noch als Stationen einer verzweifelten Reise an...Er flieht sich ja selbsl. Am Ende ist er in Berlin und sucht die Polizeiwache am Bahnhof Zoo auf, um sich zu stellen. Man glaubt, es mit dem Unfug eines Betrunkenen zu tun zu haben. Ein paar Stunden spater sucht er mit dem gleichen Anliegen den Bereitschaftsdienst der Kriminalpolizei am Alexanderplatz

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auf. Zunaehst erregen seine Erzahlungen unglaubiges Staunen, naeh und naeh kann er die Kriminalbeamten überzeugen. Am 18. September wird er gegen ein Dhr morgens festgenommen. (L. Werner, 154) Como vemos, R.D. expresa a través de su personaje su propia lucha interior, su desconfianza en sí mismo y lá falta de valor para enfrentarse a un futuro y a la vida. E, igualmente, elige para él un mismo destino, la cárcel, un lugar en el que uno nunca se ve obligado a tomar iniciativas ni a decidir, porque siempre te dicen lo que se debe hacer y lo que no se debe hacer, fuera de toda responsabilidad y, en definitiva, donde tanto él como W.K. pueden vivir tranquilos: Kufalt hat die Decke schOn hoeh über die Sehultern gezogen, im Kittchen ist es angenehm still, er wird groBartig sehlafen. (Fallada, 388) Sobre la naturaleza y el destino de W.K. recaen la mayor parte de los elementos autobiográficos de la novela; no obstante, también otros personajes reflejan ciertos aspectos de la vida de Hans Fallada. A la salida del sanatorio, tras su primera cura nerviosa, R.D. escribiría a su amigo Necken, diciéndole: ...ich habe eine furehtbare Angst vor der Zukunft, weil ieh weiB, daB jene Behandlung im Sanatorium mieh erziehungsfahig gemaeht hat, und doeh weiB ich, daB ieh noch sehr erziehungsbedürftig bino In einsamen Stunden paekt mieh immer noeh die Versuehung, naeh dem Revolver zu ergreifen -er sieht sehr verloekend aus- wenn ieh merke, daB ich nieht imstande bin, meine nervose Krankheit selbst zu bezwingen. Dnd ich kann mich das Iiegt im Wesen der Krankheit- niemand anvertrauen. (L. Werner, 48) Pues bien, este miedo al futuro y a la incapacidad de superar el propio instinto criminal, no sólo se manifiesta en la novela a través de la figuradeW.K.. El exconvicto Batzke es consciente de su naturaleza delictiva y la asume: acepta la realidad, sabe que es un delincuente y que lo seguirá siendo cuando sea puesto en libertad, como le dice a W.K.: Ieh bin Ganove und ieh bleibe Ganove. (Fallada, 35)

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Igualmente Emil Bruhm se enfrenta con decisión a su futuro. Sin embargo, y a diferencia de Batzke, rechaza su condición de delincuente; su intención es comenzar desde cero una vida decente y adaptarse a la sociedad: Ich denk' immer, ich krieg' noch mal einanstandiges Madel....und heirate und werde Meister und hab' Kinder. .. (Fallada, 25) Beerboom, por su parte, es un personaje que no supera su Gejangniskrankheit, su índrome de presidiario, y para escapar de su locura debe delinquir de nuevo y volver a la cárcel. La figura de W.K., como hemos visto, es la más compleja de todas, pues escapa de estas posibilidades de identificación recogiendo un poco de cada una de ellas. Para comenzar una nueva vida por el buen camino ingresa en Friedensheim, al ser incapaz de decidir entre seguir los pasos de Batzke o los de E.Bruhm. Pero, al no llegar a superar nunca su Gejangniskrankheit, siempre se siente enfrentado a su pasado en prisión, que le amenaza constantemente y que le culpa incluso de crímenes que no ha cometido. El alcohol no es suficiente para huir de esta 'locura' quena le permite vivir tranquilo y, huyendo de sí mismo, vuelve a la cárcel, el único lugar donde puede encontrar la paz que necesita, al igual que R.D.: Vm seiner Gefangenschaft zu entkommen, geht Rudo1ph Ditzen ins Gefangnis. (L. Wemer, 157)

De todos ellos por separado y de W.K. como compendio de todos, se sirve Hans Fallada para justificar su propia inseguridad y, independientemente de la actiud que cada uno de ellos toma ante la nueva vida tras la cárcel, todos representan los temores del escritor, que, simbolizados implícitamente en el título de la obra: "Wer einmal aus dem Blechnapf friBt ... friBt immer daraus" (Fallada, 72), podrían transcribirse de la siguiente manera: quien elige aceptar su instinto criminal para seguir siéndolo, tarde o temprano volverá a la cárcel; quien, por el contrario, reniega de él y opta por la vida decente e intenta llevarla a la práctica, nunca se verá libre de su pasado y siempre se encontrará con el rechazo de la sociedad. El alcohol y la desconfianza en las relaciones humanas son otros elementos autobiográficos evidentes en la novela.

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R.D. sufrió a lo largo de su vida una doble relación de dependencia: con la morfina y con el alcohol. Es su experiencia con el alcohol la que podemos observar en WBF, en su protagonista -como ya hemos vistoy en otros personajes, incluso como un problemq más agudizado, como es el caso de Berthold, para quien el alcohol es su unico medio de liberación: sólo es libre cuando está borracho, como él mismo admite: Natürlich bin ich besoffen. Nur so wie ihr Kindlein kann ich nicht mehr besoffen sein. Ich bin frei, wenn ich trinke. Ihr seid gefangen, wenn ihr trinkt. Ich kann alles, wenn ich trinke. Ihr gar nichts ... (Fallada, 85) La dificultad constante de Hans Fallada para relacionarse con otras personas aparece plasmada en la novela de modo especial a través de la relación que Batzke, E.Bruhm y W.Kufalt mantienen con las mujeres. Reflejando el carácter desconfiado del autor en las relaciones humanas, los protagonistas no buscan en la mujer a la amiga, sino a la prostituta, a alguien con quien poder entablar una relación libre de toda complicidad e implicación personal. De ello se sirve el autor también para describir su propia visión de la sexualidad como medio de liberación, tal como la concibió durante su periodo de juventud hasta encontrar el amor en Anna Margarete Issel: "Sexualitat nicht als Beziehung erleben zu konnen." (L, Werner, 151)

3. DISCURSO DEL NARRADOR

El relato de WBF está narrado en tercera persona y en su historia no interviene el narrador; es, por tanto, el relato de un narrador heterodiegética. Es, además, un narrador ornmisciente, que conoce toda la información narrativa, tanto del interior como del exterior de los personajes Característico, sin embargo, del narrador de la novela que nos afecta es su actitud meramente informativa de lo que acontece, función que desempeña indistintamente en presente o en pasado, de manera simultánea a los acontecimientos, como si de una historia indeterminada en el tiempo se tratara, que pudo suceder en el pasado y que se ha instalado permanentemente en el presente.

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No alude nunca a un pasado anterior a la cárcel y nunca nos ofrece ninguna visión anticipada de lo que ocurrirá con los personajes; tampoco se trata de un narrador atiborrado de ideas que juzga e interpreta los acontecimientos y las conductas de los personajes, como es propio en el autor de la novela, quien s.obre el papel del narrador en la obra opina lo siguiente: Mit keinem Wort sollte er andeuten, was er selbst über das Erzahlte dachte, das war Sache des Lesers. (L. Werner, 218) Esta es su estrategia: para sumir al lector en la misma ignorancia en la que se encuentra el protagonista, el narrador en el instante en que comienza a narrar 'abandona' todos sus conocimientos. No interesan los acontecimientos pasados y tampoco los futuros; sólo es necesario observar el desarrollo. WBF comienza con el discurso del narrador; es él quien nos presenta a su protagonista, Willi Kufalt, como un prisionero en su celda: Der strafgefangene Willi Kufalt geht in seiner Zelle auf und abo Fünf Schritte hin, mnf Schritte her. Wieder fünf Schritte hin. (Fallada, 5) Nos introduce así en el mundo del protagonista -su pasado y su presente-, convirtiéndolo en el principal foco de la narración hasta el final de la novela. El relato mantiene un orden lineal: comienza en la cárcel unos días antes de que W.K. sea puesto en libertad. Su presencia se da, pues, desde la primera línea de la novela; no se oculta, permitiéndonos observar el mundo creado por él mismo. Y desde la primera línea éste gira ya en torno a su protagonista Willi Kufalt. El narrador es quien percibe toda la acción que se desarrolla en la novela y quien dirige la narración; es decir, no sólo regula la narración de los acontecimientos, también dirige el discurso de los personajes, subordinándolo siempre al suyo y en los que delega directamente: «Na schon», sagt Maack. <<Jeder muS wissen, wie dumm er vertragt. Wir geben dir dann was ab, wenn es soweit ist, kannst dich mal satt futtern auf unsere Kosten». (Fallada, 143)

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o indirectamente, para permitirnos conocer sus pensamientos también a través de ellos mismos. El discurso de W.K., como el de los demás personajes, se halla, pues, subordinado al del narrador. La relación que éste mantiene con él es, sin embargo, mucho más estrecha, provocando en muchas ocasiones que el lector, ante algunas reflexiones, reciba una impresión de ambigüedad o de confluencia de dos voces: la del narrador y la del personaje, lo que lleva a creer que ambos piensan de una misma manera y, por consiguiente, a su identificación. Sirvan de ejemplo las siguientes citas: Der Gefangene steht wieder unter dem Fenster und überlegt einen Augenblick, ob er hochklettem sol! und hinaussehen. Viel!eicht sieht er jenseits der Mauem eine Frau? (Fallada, 6) Ach, das gute Leben jetzt drauBen. Wie wird es schan sein! Keine Entbehnjngen, wenn er natürlich auch sehr, sehr sparsam sein wird. Aber man kann in ein Café gehen und viel!eicht mal in eine Bar... (Fallada, 58) Wir kehren alle wieder heim zu uns. Immer wieder. Nichts b16der als das Geschwatz van dem neuen Leben, das einer anfangen kannte, inuns sitzt es. In uns bleibt es. Da hockt er nun in seiner Stube in der KanigstraBe... 1st der faulige Geruch da aus den Chausseegraben, van Sterben und Vergehen, ist die Einsarnkeit da, mit der man nichts anfangen kann, ist alles, alles wieder da, ein verfehltes Leben ohne Aussicht, ohne Mut, ohne Geduld. (Fallada, 223)

Son muchas las referencias que podemos enocntrar en la novela para ejemplificar esto, pues son muchos los momentos en los que el lector ante ellas experimenta la sensación de navegar entre dos aguas de un mismo río y entre dos mentes hermanas, en definitiva. Teóricamente, el narrador es una entidad ficticia que sólo existe en el mundo irreal de la novela, un mundo creado por un personaje real, su autor, quien funciona como emisor de un mensaje sin comprometerse con la veracidad de los hechos, dirigiéndose a un oyente o receptor que debe aceptar como norma la suspensión de cualquier conexión entre el relato y el mundo exterior empírico, puesto que toda obra literaria siempre es ficción de comunicación. Sin olvidar esto, sin embargo, el hecho, por una parte, de

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que el narrador sea omnisciente y el modo de representar la información, por otra, nos permite establecer la siguiente doble identificación: 1. Una primera entre el narrador y el personaje principal, Willi Kufalt, ya que la fusión de sus voces no permite diferenciar los pensamientos de uno y de otro. 2. Una segunda identificación entre el narrador y el autor de la obra, ya que si pensamos que con lo expuesto podernos caracterizar de alguna manera a su autor, o bien lo que éste pretende, nos es lícito hablar de autor implícito.

4. CONCLUSIÓN A lo largo de estas páginas he intentado exponer mi idea de cómo Hans Fallada está presente en la obra, haciendo referencia no sólo a los muchos elementos autobiográficos que en ella podernos encontrar, sino también a una doble identificación: la del autor real con el narrador corno autor implícito y la de Rudolph Ditzen con el personaje principal, aún sabiendo que teóricamente es imposible identificar al escritor con sus personajes ficticios, ya que como entidades diferentes pertenecen a mundos distintos.

La identificación de R.D. con W.K., sin embargo, resulta evidente: Hans Fallada refleja en W.K. todo lo que su experiencia en presidio había representado y significado para él; la vuelta a la cárcel, igualmente implica para ambos la anulación de una misma voluntad de futuro: una existencia sencilla, cerca del campo junto a una buena mujer y a unos hijos... Este destino fatal del protagonista, corno el del resto de los personajes de la novela, simboliza el sentimiento de culpabilidad de su autor, una culpa que se arrastra desde el pasado y que impide reunir el valor necesario para enfrentarse al futuro: ... das sind gehandikapte Menschen, verdorkste Menschen, in ihnen sitzt mit einer Straftat fing es an, im Kittchen ging es weiter, nach der Entlassung wurde es vollendet-, in ihnen sitzt das Gefühl, daS sie es doch auf dem normalen Wege nicht schaffen, daS sie nie, nie wieder in ein ruhiges, bürgerliches Leben zufÜckkonnen. Sie leben am Rande des Daseins, jeder

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Klatsch bedroht sie, jeder Schutzmann, jeder van der Kripa, Briefe. bedrohen sie, Kittchengenossen bedrohen sie -am schlimmsten bedroht sie ihr eigenes Ich. Sie glauben nicht mehr an sich, sie trauen sich nicht mehr - es geht ja doch einmal schief, wer einmal aus dem Blechnapf friBt, friBt immer wieder daraus. (Fallada, 72)

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NOTAS 1.

7. 8.

En posteriores referencias a esta obra utilizaré la forma abreviada WBF; igulamente, con la abreviatura HFL a la obra Hans Fallada: sein grojJes kleines Leben. Pseudónimo de Rudolph Ditzen. Característica general de sus obras, como la de muchos escritores identificados con el final de la República de Weimer -Irmgard Keun, Erich Kastner, Hermann Kesten, etc. - es la reproducción de existencias reales y de pequeños destinos individuales: "Sie schildern das Dasein und den Lebensweg ihrer Protagonisten jedoch nicht als UiuterungsprozeB wie das expressionistische Stationendrama, die ins gesellschaftliche Abseits und in den Untergang führen, Wege, die im Kreislauf des eigenen verblendeten BewuBtseins oder aber in der radikalen Verweigerung enden". (Buck; Franke & al., 274) La solicitud expresa en la novela, en boca del propio protagonista, la encontramos en la pág. 64: "Ich bitte um eine Abmeldung nach Vorschrift der Strafvollzugsordnung". Son muchas las referencias que pueden encontrarse en la obra a este respecto. Representativa es, por ejemplo, la descripción que W.K. realiza de su habitación: "Das Zimmer ist genau so ein Loch, vier kahle Wande, vier schmale Schranke, vier unbezogene Betten (...) Die Schranktür steht offen, kein Schlüssel steckt darin ... (Fallada, 82) Una ciudad sin nombre en la novela, equivalente a Neumünster en la vida real de su autor. Su compromiso con H.H. aumenta el temor de W.K. de que se descubra su pasado, pues, lógicamente la pretensión de entrar a formar parte de una familia implica a la suya propia y a todo lo que ello conlleva. Y su miedo deriva de la certeza ante la imposibilidad de seguir ocultando su vida anterior en un ambiente tan reducido como es el de la pequeña ciudad donde vive, en la que todo el mundo acaba conciéndose y todo se comenta. Como fueron sus amigos Wolfgang Parsenow y Anne Marie Seyerlen. Su cobardía le impide llevar a cabo el gran robo a la joyería junto a su amigo Batzke y, con la pretensión de traicionarlo, acude a la comisaría de policía. Pero tampoco tiene valor para esto y, sabiéndose observado por los agentes, intenta robar a su casera para que, así, 10 detengan.

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REFERENCIAS BIBLIOGRÁFICAS Buck, Theo & Franke, Hans-Peter & al. 1985. Van der Weimarer Republik bis 1945. Geschichte der deutschen Literatur. (Band 5.). Stuttgart: K1ett Verlag. Fallada, Hans. 1952. Wer einmal aus dem Blechnapffrif3t... Hamburg: Rowoh1t Taschenbuch Verlag GmbH. Liersch, Wemer. 1993. Hans Fallada: sein grofles kleines Leben. Hildesheim: Chaassen.

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Las Versiones de los Términos "Blanca", "Maravedí" y "Real" en las Traducciones a la Lengua Inglesa del Lazarillo de Tormes Beatriz M a Rodríguez Rodríguez Universidad de Santiago de Compostela

This paper analyses the different versions given by English and American translators of the currencies blanca, maravedí and real that appear in Lazarillo de Tormes. These versions illustrate the methods of translation of currencies proposed by theorists. The sixteen different translations of this novel into English language are taken into account. Translations are divided into three groups, according to the model of translation these three terrns show. The first group comprises the translations that keep the same terrn in the target language, and at the sarne time, its value is explained in a footnote. The second group includes the translations that keep the sarne terrn but do not add any note. Finally, the third group encloses the translations that use equivalent or different terrns. Special attention is paid to the first translation of Lazarillo because it was one of the best-known for sorne centuries.

El objeto de este estudio es el análisis de las diferentes versiones que los traductores a la lengua inglesa del Lazarillo de Tormes dan de los términos "blanca", "maravedf' y "real". En primer lugar, analizaré en detalle las versiones que aparecen en la primera traducción de la obra, la traducción de D. Rowland, publicada por primera vez en 1586\. Me detendré más en esta traducción porque fue considerada durante bastantes siglos la mejor de las traducciones a la lengua inglesa, así como la más estudiada y citada. El paso siguiente será el comentario de los aspectos más relevantes que se pueden observar en las restantes traducciones 2 • Las medidas y monedas plantean importantes problemas de traducción causados principalmente por las diferencias culturales entre la lengua fuente y la lengua meta. Las soluciones que los traductores dan a este problema son diversas. Algunos traductores optan por mantener el mismo término en la lengua meta, es decir, por transferirlo. En algunos casos incluso añaden una nota explicativa sobre el valor de dicho término. En estos casos se aprecia un claro intento de ayudar al lector a superar la laguna cultural existente entre ambas lenguas. Otro modelo de traducción consiste

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en mantener el término (transferirlo, como en el caso anterior) pero sin añadir ningún tipo de explicación. Esto puede causar problemas al lector ya que, aunque éste pueda comprender la traducción, posiblemente no pueda asociar la cantidad exacta de la que se está hablando. Uno de los modelos de traducción más aceptado se basa en la utilización de un término equivalente en la lengua meta. Finalmente, mencionar que algunos autores se limitan a omitir toda referencia a estos términos con la finalidad de evitar el problema. Lógicamente esta opción implica la característica negativa de modificar el texto fuente y perder una parte importante de su significado. Según el modelo de traducción que las traducciones a la lengua inglesa del Lazarillo de Tormes 3 presentan de los tres términos objeto de estudio se pueden clasificar dichas traducciones en tres grupos:

1. Utilización del mismo término con nota. En este grupo se incluyen las traducciones que mantienen en la lengua meta el mismo término que utiliza la lengua fuente, pero explicando el valor de dicho término en una nota a pie de página. Estas traducciones son las siguientes: la traducción de D. Rowland, 1586; las traducciones anónimas de 1726 y 1789; Y las traducciones de C. Markham, 1908;L. How, 1917; M. Lorente, 1924 y G. Markley, 1964. 2. Utilización del mismo término sin nota. Incluye las traducciones que en la lengua fuente y la lengua meta mantienen el mismo término sin añadir ninguna nota explicativa. En este grupo sólo se incluye la traducción de M. Alpert, publicada· por vez primera en 1969. 3. Utilización de un término distinto. Se incluyen las traducciones que utilizan un término distinto pero equivalente, en mayor o menor medida, al término original. Esto se cumple en las traducción anónima de 1688 y en las traducciones de T. Roscoe, 1880; M. H. Singleton, 1957; H. Onís, 1959; J. M. Cohen, 1962; W. S. Mervin, 1962; 1. Parsons, 1966 y R. S. Rudder, 1973. Antes de pasar a estudiar cada uno de los tres grupos cabe destacar que los términos relativos a monedas que aparecen en la novela son los siguientes: "blanca", "maravedf' , "real", "cornada de trueco", "marco de oro" y ''pieza de a dos". Los tres primeros son los más significativos y los

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que más se repiten en la obra. Esta es la razón, junto con la magnitud de los datos a analizar, que hace que el objeto de este estudio sea sólo la traducción de estas tres monedas.

1. UTILIZACIÓN DEL MISMO TÉRMINO CON NOTA.

D. Rowland, 1586, el primer traductor del Lazarillo, mantiene en la lengua meta el mismo término que aparece en la lengua fuente (el término, por tanto, se transfiere), pero al mismo tiempo explica el valor y la posible equivalencia de cada moneda en notas marginales. La primera moneda que se menciona es "blanca". J. C. Santoy04 cree que la palabra que utiliza el traductor, "blanke", puede ser un hispanismo ya presente en la época en la lengua inglesa. El Oxford English Dictionary explica que el término está relacionado con la lengua francesas. Esto lleva a recordar que el traductor utiliza el texto español (Amberes, 1554) y una traducción al francés (L/historie plaisante et facetievse du Lazare de Tormes Espagnol, 1561) para traducir la novela. A la hora de traducir las referencias monetarias el traductor toma como referencia el texto en lengua española ("blanca"), puesto que el traductor francés, Jean Saugrain, había utilizado el término" denier". D. Rowland explica el valor de "blanke" en una nota marginal. Sin embargo, no hace esto la primera vez que aparece la palabra, sino que conserva el mismo término que la lengua de origen y utiliza la nota varias páginas después, ya en el tratado n. Este es el ejemplo: • "to the value of fiue blankes" (p. 41) / "cinco blancas de carne" (p. 49)6. La nota al margen es la siguiente: "A Blanke the xii part of an Englishpenie" (p. 41). Sin embargo, parece más lógico que esta nota hubiese aparecido ya en el primer tratado, cuando "blanke" aparece por primera vez. Existe un único ejemplo en el que Rowland no mantiene el término, sino que, incoherentemente, traduce" blanca" como" denier": "1 had never beene maister of denier" (p. 58) / "no era señor de una blanca" (p. 67).

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La razón de este cambio puede estar en que Rowland, como ya dije, utiliza dos versiones (el texto español y una traducción al francés) al traducir, por lo que la influencia de una u otra versión se intercala en su traducción. La palabra "maravedí" se menciona por primera vez al lado de "blanca": "una blanca y un maravedí" (p. 30). La referencia a "maravedí" se pierde completamente en la traducción, ya que ésta se basa en referencias al término ya conocido: "a whole blanke and sometimes two" (p. 20). El problema está en que, como había sucedido en el caso anterior, Rowland no utiliza una nota marginal la primera vez que aparece la palabra, sino que lo hace en páginas posteriores. La nota hace referencia al sistema monetario británico, en un claro intento de que el lector solucione un problema cultural: "A Maravedí is the sixth part 01an English peny" (p. 29). Esta definición coincide con la explicación que aparece en el OED7 . Santoy08 cree que el término "maravedí:' es también un hispanismo que se encuentra en la lengua inglesa desde mediados del siglo XV. La equivalencia entre las monedas que aparecen en la obra queda de relieve al incluir la nota siguiente: "Two blankes a Maravedí" (p. 41). La traducción utiliza el préstamo "maravedí" en los demás casos, excepto en el ejemplo siguiente: • "1 had had it xii or xv deniers" (p. 58) / tener en ella 12 o 15 maravedís todo en medias blancas" (p. 67). No parece muy coherente la utilización del término "denier" pero la razón parece estar nuevamente en la influencia francesa que presenta la traducción y que ya comenté antes. Tampoco parece bien traducida la equivalencia monetaria siguiente: • "no lesse than a thousande maravedís" (p. 93) / "más de 200 veces mil maravedís" (p. 102). En cuanto a la traducción de "real" señalar que la primera vez que aparece este término el traductor emplea como equivalente una moneda inglesa:

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• "per adventure evill fortune will cause mee spende two or three shillinges (p. 55) / me pondrá en costa de tres o cuatro reales" (p. 64). Se trata del único caso en el que el traductor no utiliza el término "rial (ryal)". Este término también irá acompañado de una nota marginal que aparece en páginas posteriores, más concretamente en el tratado III. La nota que utiliza el traductor es la siguiente: "Sixe pence English" (p. 85). Santoyo, como en casos anteriores, afirma que se trata de un hispanismo que aparece tanto en la versión española como en la francesa9 . El término "rial" aparece sólo en otra ocasión en páginas posteriores. En este ejemplo hay que destacar también que el traductor añade un sintagma nominal, que incluye otra hispanismo y explica el metal· de que estaban hechas estas monedas: • "xii or xiii ryals ofplate" (p. 96) / "doce o trece reales" (p. 106). Todo lo expuesto en páginas anteriores lleva a concluir que Rowlandtransfiere el término original dando siempre su equivalencia en una nota marginal, en un claro intento por solucionar los problemas interculturales que se le plantean al lector inglés. La utilización de la nota marginal debería hacerse la primera vez que se menciona cada término, para lograr una mayor comprensión del texto por parte del lector, y a su vez la traducción no debería ser incoherente al reflejar algún aspecto de la versión francesa. El mismo procedimiento que sigue Rowland en la traducción de los términos objeto de estudio se maneja en otras traducciones: en las traducciones anónimas de 1726 y de 1789, y en las traducciones de R. Markham, 1908; 1. How, 1917; M. Lorente, 1924 y J. G. Markley, 1954. La primera de las traducciones mencionadas, la traducción anónima publicada en 1726, muestra cierta incoherencia en las notas. Al inicio de la obra, en el apartado "The Translator to the Reader", el traductor explica que mantiene los nombres de las monedas pero con explicaciones mediante notas. Estos son los ejemplos: • DENIERS, "A Sort of Foreign Money, of which Twelve go to a penny" (p. 13).

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• DüUBLE, "Twice the value of a Denier" (p. 13). • MARAVEDIE, "A 1ittle Brass Coin, three of which are worth an Halfpenny" (p.l3). • BLANCS, "Two Blancs make a Maravedí" (p. 50). La traducción anónima de 1789 la he incluido en este grupo porque incluye una nota a pie de página relativa a "blanca". A pesar de esto presenta características que la sitúan cerca del tercer grupo, ya que no mantiene el término, sino que traduce "blanca" como "clanes": "half clanes": "a small Spanish coin in value about afourth ofour haljjJenny" (p. 18). Las referencias que se hacen a las demás monedas no incluyen ningún tipo de nota o explicación. Conviene destacar la falta de coherencia entre las equivalencias relativas al "maravedí", ya que se traduce como "maraveda" en casi todos los casos (como en la página 33) mientras que ese término también se utiliza para traducir "una blanca y un maravedí" (p. 19). La traducción de "real" mantiene el préstamo en todos los ejemplos. El siguiente traductor desde el punto de vista cronológico es R. Markham, 1908. Markham utiliza una nota a pie de página que explica el valor de "maravedí:' y "blanca": "The copper maravedí was a coin the value of which varied. It may be taken as a penny. The blanca was so caUed fram the whiteness of the metal of which it was made..." (p. 18)10. El término "real" se mantiene como tal en la traducción y sin ninguna nota. La traducción de L. How, publicada en 1917, sólo incluye una nota a pie de página que explica el valor de las medias "blancas", pero no se mantiene el préstamo, por lo que la traducción presenta características cercanas al tercer grupo: • "half-farthings" (small coins ofwhite metals) (p. 14). El problema que plantea esta nota es que no se hace referencia directa a ella en el texto y además todas las notas se incluyen al final de la traducción.

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Las otras dos monedas objeto de estudio se traducen sin ninguna nota explicativa. El término "maravedí" se mantiene, mientras que el término "real" se traduce por "one bit" (p. 84). Otra traducción que utiliza notas a pie de página es la realizada por Mariano Lorente y publicada en 1924. Las notas aparecen al final de la novela, lo que hace que el lector pueda tener mayores problemas de localización. A pesar de esto, las notas son ilustrativas y ayudan al lector a comprender el valor de cada moneda. Las referencias recuerdan que el traductor es americano. Estas son las notas mencionadas: • MARAVEDÍ, "a coin worth about one twenty-sixth of an American cent" (p. 49). • BLANCA, "a coin of very small value" (p. 48). • REAL, "a coin worth about three American cents" (p. 105). En la traducción de Markley de 1954 también aparecen notas a pie de página. El traductor es americano, como en el caso anterior, pero no establece equivalencias con dicho sistema monetario, sino que insiste en el pequeño valor de cada una de las monedas. Estas son las notas: • BLANCA, "a Spanish coin ofthe period, of a very small value" (p. 10). • MARAVEDÍ, "a coin twice as much as a blanca" (p. 11). • REALES, "Spanish coins worth thirty-four maravedís - not a large sum" (p. 29).

2. UTILIZACIÓN DEL MISMO TÉRMINO SIN NOTA. En este grupo sólo se incluye la traducción de Michael Alpert publicada por primera vez en 1969. Esta es la traducción más reciente de todas las publicadas en lengua inglesa. El traductor transfiere los tres términos en todos los casos y sin añadir ninguna nota a pie de página. Además el traductor marca dichos términos con letra cursiva. La única explicación sobre el valor de las monedas se incluye al inicio de la traducción, después de la introducción ya que incluye una nota sobre el sistema monetario español de la época ("Note on currency"). Esto puede resultarle algo como plicado al lector inglés ya que la única referencia al sistema monetario

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británico es ésta: "Ducat= 375 maravedís (this were about 9s. 8d. sterling) ". Antes de continuar cabe destacar que algunos traductores se encuentran a caballo entre este grupo y el siguiente, ya que transfieren el término al hablar de alguna de las monedas mientras buscan el equivalente inglés al hablar de otras. A pesar de esto creo que están más cerca de las características del tercer grupo, al no utilizar ninguna nota, por lo que los incluyo en dicho grupo.

3. UTILIZACIÓN DE UN TÉRMINO DISTINTO. Los traductores que se incluyen en este grupo no mantienen el término utilizado en la lengua fuente, sino que buscan un término más o menos equivalente en la lengua meta, y que se acerque al valor monetario de las palabras en cuestión. En la mayoría de estas traducciones se parece apreciar que la falta de coherencia entre los términos relativos a monedas o incluso el uso de los términos está relacionado con la mala calidad de la traducciones. Algunos traductores utilizan los mismos términos en inglés, lo que posibilita que las traducciones se puedan agrupar. Estudiaré cada uno de estos términos. El término "blanca" suele traducirse corno ''farthing'' 1I. Esto sucede en las traducciones de T. Roscoe, 1880 (que también lo incluye corno 'no money"), M. H. Singleton, 1957 y J. M. Cohen, 1962. Las traducciones de H. Onís, 1959; W. S. Mervin, 1962 y J. Parsons, 1966, utilizan el término "penny". R. S. Rudder , 1973, utiliza la palabra "copper" aunque también menciona "cent", por lo que nuevamente hay poca coherencia en la traducción. Finalmente, la traducción anónima de 1688 omite la referencia, ya que, por ejemplo, la primera vez que habla de blancas dice "when any one gave him a piece ofMoney... a piece oflesser value" (p. 12). El término "maravedí" presenta mayores problemas debido a que las traducciones no suelen mantener el mismo término en toda la obra. J. M. Cohen, 1962, es el único traductor que mantiene la palabra "penny" en 'ada la traducción.

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Uno de los términos más utilizados es el propio término "maravedr'. Esto lo hacen los siguientes traductores: • M. H. Singleton, 1957 (aunque luego añadirá entre paréntesis una referencia relacionada con otras monedas ya mencionadas). • H. Onis, 1959, W. S. Mervin, 1962 y 1. Parsons, 1966. Estos traductores utilizan este término en cursiva. Los dos primeros utilizan también el ambiguo término "cain" e incluso "larger cain". Mervin hace algo parecido al utilizar" bigger cain". • T. Roscoe, 1880. Este traductor lo utiliza intercalando con los términos"half-penny" y ''farthing''. • R. S. Rudder, 1973, habla generalmente de "twa-pece capper", aunque también menciona sólo la palabra"cain". La moneda "real" presenta pocos problemas ya que se suele mantener el préstamo o calco. Esto es lo que hacen T. Roscoe, 1880; M. H. Singleton, 1957; W. S. Mervin, 1962; H. Onis, 1959 y 1. Parsons, 1966 (los tres últimos traductores lo hacen en cursiva). La traducción anónima de 1688 utiliza el término "shilling", término utilizado también por 1. M. Cohen, 1962. Finalmente, destacar que R. S. Rudder, 1973, utiliza siempre "si/ver piece". De todo lo dicho en páginas anteriores se puede concluir que en la mayoría de las traducciones se observa un intento por salvar la laguna cultural planteada por la diferencia entre dos sistemas monetarios. Los traductores utilizan notas a pie de página con valor aclaratorio, o bien utilizan un termino inglés que se aproxime en la medida de lo posible al original. Además de esto se observa una tendencia por transferir el término, ya que ocho de las dieciséis traducciones analizadas mantienen el préstamo, e incluso varias de las restantes traducciones lo hacen al traducir alguna de las monedas. Esto coincide con la ideas expresadas por Peter Newmark: "Non-English currency is usually transftrred when English is the TL,,12. Frente a esto sólo un pequeño número de las traducciones utilizan el término equivalente en la lengua meta, una de las opciones más aceptadas por los teóricos actuales de traducción 13 • Hay que recordar también la posibilidad de que la incoherencia que presentan algunas traducciones, al no utilizar siempre el mismo término en la lengua meta, esté en relación directa con la mala calidad de las traducciones. Para probar esto último habría que hacer un estudio más completo y detallado de todos los aspectos de cada

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una de las traducciones (análisis gramatical, tipo de lector, época, interés de la traducción...), lo que requeriría un estudio mucho más detallado.

Beatriz M" Rodríguez Rodríguez Las Versiones de los Términos "Blanca", "Maravedí" y "Real" en las...

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NOTAS

2. 3.

4. 5. 6. 7. 8. 9. 10.

11. 12. 13.

Algunos autores, como J. e. Santoyo (1978: 17), creen que existe una edición anterior de 1576. Existen dieciséis traducciones diferentes del Lazarillo de Tormes a la lengua inglesa, exceptuando las diversas reediciones. En este estudio se han tenido en cuenta todas las traducciones. Más detalles sobre dichas traducciones se pueden encontrar, por ejemplo, en le. Santoyo (1978) y R. S. Rudder (1975). VéaseJ. e. Santoyo (1978: 108). "A Small French coin, originalIy of silver, but afterwards of copper" (1994: 260). Todas las referencias al texto español tienen como base la edición de F. Rico (1992). "A former Spanish copper coin and money of account valued at about 116 of a penny sterling" (1994: 355). l e. Santoyo explica también que se solía encontrar en contextos comerciales o históricos (1978: 107). J. C. Santoyo enfatiza también el hecho de que D. Rowland es una de las primeras personas que utiliza este hispanismo (1978: 111). La nota continúa de esta forma: "In the time of Alfonso XI: There were three blancas to the maravedí. From 1497 the maravedí was worth two blancas. The great dictionary of the Spanish Academy quotes Lazarillo de Tormes as the authority for the value of the blanca and the half blanca, or farthing". "The quarter of a penny, the coin representing that value" (1994: 739). Véase P. Newmark (1988: 219). Véase Javier Franco Aixelá (1996: 61-62).

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REFERENCIAS BIBLIOGRÁFICAS Alpert, M. 1969. Two Spanish Picaresque Novels. Lazarillo de Tormes. The Swindler. Translated fram the Spanish by Michael Alpert. London: Penguin. Cohen, 1. M. 1962. Blind man's boyo iVfiguel de Cervantes: Two Cautionary Tales. Newly translated... Four Square Classics: The New English Library. Franco Aixelá, 1. 1996. "Culture-Specific Items in Translation", en Translation PowerSubversion, Román Álvarez y Carmen África (eds.), pp. 52-79. How, L. 1917. The Lije o[ Lazarillo de Tormes and his Fortunes and Adversities done out of Castilian from R. Foulché-Delbosc's... New York: M. Kennerley. Longis, l. y R. Mangnier, eds. 1561. L'historie plaisante etfacetievse du Lazare de Tormes Espagnol. Traducción de Jean Saugrain. Paris: Vicent Sertenas. Lorente, M. J. 1924. Lazarillo o[Tormes. His Lije Fortunes Misadventures. Translated by Mariano Lorente... Boston: John W. Luce and Company. Markham, C. 1908. The Lije o[Lazarillo de Tormes. His [ortunes and Adversities. Translated fram the edition of 1554 by Sir ClementsMarkham... London: A. and C. Black. Markley, G. 1954. The Lije o[ Lazarillo de Tormes His [ortunes and Adversities. Translated by 1. Gerald Markley... New York: The Liberal Art Press. Merwin, W.S. 1962. The Lije o[Lazarillo de Tormes. His Fortunes and Adversities. Trans. by W. Merwin. New York: Anchor books, Doubleday & Co. Newmark, P. 1988. A Texbook o[Translation. Exeter: Prentice Hall. The Compact Ox[ord English Dictionary. ! 994. O.D.P. anís, H. 1959. The Lije o[ Lazarillo de Tormes His Fortunes and Adversities. Translated fram the Spanish by Harriet de anís. New York: Great Neck. Parsons, J. 1966. The Lije o[ Lazarillo de Tormes. His Fortunes and Adversities. Translation. New York: American Corporation. Rico, F. Ed. 1992. Lazarillo de Tormes. Madrid: Cátedra. Roscoe, 1'. 1880. The Spanish Novelists. Translated from the Originals. "Chandos Classis". London: Frederick Warne and Co. Rowland, D. 1586. The Pleasant Historie o[ Lazarillo de Tormes a Spaniarde, where-in... Drawen out of Spanish by Dauid Rouland. London: Abell leffes. Rudder, R. S. y Carmen Rodríguez. 1973. The Lije o[ Lazarillo de Tormes: his Fortunes and Mis[ortunes, ... Trans. by Rudder and C. Criado Puértolas. New York: Ungar. Rudder, R. S. 1975. The Literature o[Spain in English Translation. New York. Santoyo, J. C. 1978. Ediciones y Traducciones Inglesas del "Lazarillo de Tormes" (1568-1977). Victoria: Colegio Universitario deÁlava. Singleton, M. J. 1957. Lazarillo de Tormes. Translated by Mack Hendricks Singleton. En Angel Flores, Masterpieces o[ the Spanish Golden Age. NewYork: Rinehart. The Pleasant Adventures o[ the Witty Spaniard, Lazarillo de Tormes .... . Anonymous. 1688. London: J. Leake.

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The Lije and Adventures 01 Lazarillo de Tormes. Written by Himself Translated fram the original Spanish, and illustrated.... In Two parts. Anonymous. 1726. London: Bonwick and Wilkin. The Life and Adventures 01 Lazarillo de Tormes. In Two volumes. Anonymous. 1789. London: J. Bell. Webster's Third New International Dictionary. 1986. Chicago.

NORMAS PARA LA REDACCIÓN DE ORIGINALES

Se enviará un diskette y cuatro copias del artículo en las que sólo aparezca el título del mismo, es decir, sin datos referentes al autor del trabajo. (Se puede utilizar cualquier tratamiento de textos habitual para PCs o Macintosh. En caso de duda consulte al comité editorial).

En una hoja aparte se incluirá el nombre, la dirección, el número de teléfono y el centro de trabajo del autor, junto con el título del artículo.

En otra hoja ha de aparecer un resumen del artículo, que no exceda las 200 palabras, en una lengua diferente a la utilizada para la redacción del trabajo.

Las lenguas admitidas para la publicación de los artículos son: castellano, gallego, inglés y alemán.

La extensión de los artículos no debe superar las 20 páginas, incluyendo en ellas notas y bibliografía.

Las notas a pie de página deberán aparecer inmediatamente al final del artículo y, a continuación, la bibliografía en orden alfabético.

Las referencias bibliográficas serán elaboradas de acuerdo con los ejemplos siguientes: Culler, J. 1975. Structuralist Poetics: Structuralism, Linguistics and the Study of Literature. London: Routledge and Kegan Paul Graham, J.W. 1975. "Point of view in The Waves: Sorne services of the style" en S. Lewis, ed. Virginia Wollf. A Collection of Criticismo New York: McGraw-hill Guiara, A., R. Brannon y C. Dull. 1972. "Empathy and second language learning". Language Learning. 22: 111-130

TEMÁTICA

1. Lengua Inglesa y Alemana Literatura Inglesa y Alemana Lingüística Aplicada Teoría Literaria Traducción Metodología

2. 3. 4. 5. 6.

Este número da revista BABEL-AFIAI é posible gracias

á axuda financeira prestada por: - Universidade de Vigo. - Dirección Xeral de Universidades e Investigación da Consellería de Educación e Ordenación Universitaria da Xunta de Galicia.

la adquisición)' el desarrollo de dc.:.trezas lingüisticas y comwlicativas en lengua-. cxtranjeras en la ESO

Isabel Mosko\\ ich.............................

A sludy or finite complclllcntation in late 14th CcmUl)' English

Jorge Figueroa OOrrcgo....................

An Introducllon 10 Ihe Presence and Innuence afme Se\'enteenth-Century Spanish No, el in lhe English Restoration Pcriod

Mercedcs Bcngocchca......................

POCIrY in PalOis: Applying a Sociopsycholagical Approoch lo Ihe Analysis and Interprctation or British Arro-Caribbean Poem~

C. SCOlt-Tcnncnl

Laurd Lojo Rodriguez............

105

Virginia \\'oolrs "Monday or Tuesday": An Approach

Cristina Caruncho Mlchincl.....

121

La imponancia del lenguaje. El doble discurso ctico-politico cn la obra de 1. Silla" Mili

Maria José Corvo Sánchel

133

\Ver einmal aus dem Blechnapf friBt .. Una proyección autobiográfica

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Las versiones de lo~ lérmino.:. "blanca". "maravedí" y "real" en las traducciones n la lengua inglesa del

Bealriz

Rodriguez Rodriguez..

La=aril/o de Torme.f

I S S N 1132-7332

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