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international social science

Journal

Volume XIX 1967

unesco

international

social science journal Published quarterly by Unesco

Vol. X I X , No. i, 1967

Linguistics and communication

Editorial 7 A . J. Greimas The relationship between structural linguistics

and poetics 8 Morris Halle O n the modern study of speech sounds 17

Jane B. Lancaster Communication systems of Old World monkeys and apes 28

A . R . Luria Problems and facts in neurolinguistics 36 Solomon Marcus Mathematical aspects of linguistics 52 Igor A . Melchuk Linguistics and automatic translation 64

Nicolas Ruwet Musicology and linguistics 79 Thomas A . Sebeok Animal communication 88 Gerold Ungeheuer Language in the light of information theory 96

The world of the social sciences

Research and training centres and professional bodies

N e w institutions and changes of address 109 Haïti Centre Haïtien d'Investigation en

Sciences Sociales n o Hong Kong Social Survey Research Centre, Chinese

University 111 United States Center for Research on Language and Language

of America Behavior, University of Michigan 112 T h e Inter-University Case Program Inc., Syracuse 115

Approaching international conferences in the social sciences 117

Announcements 121

Documents and publications of the United Nations and Specialized Agencies 123

Books received «35

Linguistics and communication

Editorial

T h e International Study on the Main Trends of Research in the Sciences of M a n , which is currently being pursued under Unesco's auspices, was first brought to the attention of readers of this journal at the end of 1964. In V o l u m e X V I , N o . 4, eleven articles appeared under the general title of 'Problems of Surveying the Social Sciences and Humanities'. These papers constituted an initial contribution by a number of scholars concerning the conception planning and carrying out of such a survey.

Since then, considerable progress has been m a d e with the first part of the study covering the 'law-seeking', as distinct from the interpretative or norm-setting, sciences of m a n . As foreseen, a large number of 'auxiliary contributions' have been commissioned. These concern a variety of sub­jects, their purpose being to obtain, in succinct form, the views of eminent specialists throughout the world on the current state of knowledge in their particular fields and on the main problems facing further research work, from the methodological, conceptual and practical points of view. Each group of auxiliary contributions is submitted to a chief consultant for that discipline to assist him in the preparation of a comprehensive chapter on the subject.

T h e articles in the present issue were originally commissioned as aux­iliary contributions for the chapter of study on linguistics which is being written by Professor R . Jakobson, of Harvard University, and are repro­duced here with minor alterations.

Other sets of auxiliary contributions covering anthropology, the theory of systems and cybernetics, models, economics, sociology, simulation, comparative and interdisciplinary research, political science and field-induced research will probably be published also, although not in this journal.

T h e relationship between structural

linguistics and poetics

A . J. Greimas

T h e specific nature of poetry

Structural linguistics and poetics

There must inevitably be a close relationship between structural linguistics and poetics. Not only the identity of the object being described, which is linguistic in both cases, but also the fact that both have the same w a y of looking at the form of existence of this object, regarded as a system of relationship—i.e., as a complex structure—justify us in thinking that w e can use the same basic methodology for analysing linguistic and poetic objects, and that the descriptive procedures used in poetics—at least in the first phase—are merely an application and extension of procedures worked out in linguistics.

The semantic universe and the world of literature

It is acknowledged that poetic objects, while they have their specific nature belong to the world of literature, which has its o w n articulation and forms a separate section of the semantic universe embracing the entire range of meanings capable of being expressed by a natural language. But the world of literature is distinguished from the other self-contained spheres (religion, law, etc.) by the fact that it has no special subject area of its o w n . O n the contrary, the 'forms' of its content, which at first sight seem to characterize this field (tropes and genres), are metalinguistic in relation to natural languages and form part of the general structural properties of h u m a n speech.

Broadly speaking, linguistic communication involves a very large measure of redundancy, which w e m a y regard as 'wasted effort' as far as information is concerned. But the originality of 'literary' objects (to use a completely wrong term) seems to lie in another particular feature of communication— the gradual exhaustion of the information as discourse proceeds. This

Int. Soc. Set. J., Vol. X I X , No. i, 1967

The relationship between structural linguistics and poetics 9

general phenomenon is institutionalized in the form of the close of the discourse, which checks the flow of information and thus gives a fresh meaning to the redundancy which, instead of amounting to a loss of infor­mation, serves to give value to the matter selected for utterance and duly brought to its close. Thus the closing utterance turns the discourse into a structural object and the story into a lasting record.

It will be seen that 'literature', whether written or oral, is not a field of semantics but a set of linguistic structures—still to be defined—which are used either as constructional categories or as rules for a coherent arrange­ment of the material contained in sequences brought to a close.

Literary research and poetic research

Whereas 'literary' research is directed towards the description of structural patterns and models based on the form of the content and serving to organize its substance, poetic research starts out from a sub-structure of duly completed sequences in which there is also a parallel organization of the form of expression. H e n c e poetics, although operating on a body of material which is empirically more restricted, appears to be a bigger and m o r e complex undertaking; it has to create its o w n methodological and technological tools with which it cannot only describe the articulation patterns of the two planes of the signifiant and the signifié, but also take into account the specific correlation which the poetic object establishes between these two planes.

Poetic communication

Linguistic and poetic units

T h e poet's message can be transmitted in the form of articulated discourse in any natural language. However , alongside the linguistic units proper into which this discourse can be divided, there are n e w poetic units dupli­cating these units, which m a k e their appearance on the two planes of expression and content respectively. T h e y have the following character­istics: (a) they can be recognized by a syntagmatic redundancy (within a closed text) or paradigmatic redundancy (where several similar texts are superimposed); (b) they do not follow the same pattern as the syntactic or prosodie articulations of natural speech; their distribution is such that they overflow the framework of sentences and they affect—and form— substantial sequences; (c) they are structural units—i.e., one of their features is that there is a relationship between at least two terms.

This kind of conception of poetic communication (a synthesis of the definitions of style given by Bloch and Hill) disregards the problem of the content of the poetic message transmitted thanks to these units (which is normal at this stage), but it still raises the problem of the meaning of the expression structures which form part of the same message and, while

10 A . J . Greimas

asserting the linguistic nature of the poetic units, says nothing as to their size or their internal articulation; thus it raises the problem of the levels of poetic communication and of the structural typology of its units.

Poetic units: syntagmatic patterns

If w e take as our starting point the distributional interpretation (Levin) according to which poetic units are only projections of syntagmatic patterns recognized on the plane of sign analysis, w e can distinguish an upper and a lower level of poetic communication, for expression and content respectively, each of which contains poetic units with different original syntagmatic dimensions:

^ ^ ^ ^ Plane of

Dimensions ^^^>

Syntagma Utterance

Expression

Phonemic patterns Prosodie atterris

Content

Grammatical patterns Narrative patterns

It will be seen that there appears to be a certain isomorphism between the expression patterns and the content patterns, and that this occurs w h e n units of comparable dimension are placed in parallel: broadly speaking, the syntactic or morphological patterns (Levin's 'couplings') correspond to the phonemic patterns formed by the particular distribution of phonemes making up the syllable groups; the prosodie patterns, which sometimes use modulating phrases and sometimes the stresses of syllable groups (with an intermingling of the two levels of expression in the case of the institution­alized patterns of poetry using both rhythm and rhyme) are matched by the narrative patterns, which appear to be merely the application of the constituent categories of the utterance to sequences that overrun the sentence. It is obviously possible to have, and even to expect, sub-divisions within the levels described above and a more subtle classification of poetic patterns: both of these are based on the well-known principles of linguistic analysis into immediate constituents.

Analysis of syntagmatic patterns

At this stage of analysis, poetics have a twofold task, in addition to drawing up an inventory of poetic patterns. They have to describe the levels of poetic communication, taking each of these levels separately, and they have to establish correlations between each of the poetic levels and the corresponding linguistic level as it appears on the plane of signs. T h e distortion of communication which can be observed as a result of this comparison (considered by some to be a factor that m a y have to be taken into account in defining style) is inevitable, because the same patterns always have a dual function: within the confines of the sentence (in ordi-

The relationship between structural linguistics and poetics li

nary communication) and within wider speech units. It will, therefore, be the task of analysis to recognize these distortions and to determine their relevance. But this analysis should not be confused with research into the correlations between the different levels of poetic c o m m u n i ­cation.

The transformation of hypotaxes into equivalences . .

O n c e the inventory of poetic patterns has been drawn up, there can be no escaping the problem of their meaning. All that can be said on this subject comes directly from the revolutionary impulse given to research in poetics by the definition of poetic language as the projection of equivalences on to the syntagmatic chain (R. Jakobson). If w e consider that the discursive function of language normally shows itself in the establishment of hier­archical relationships, these hypotactic relationships are transformed by poetic communication,into relationships of equivalence—i.e., substantially, into relationships of conjunction and disjunction. Hence the phonemic and grammatical patterns are transformed into poetic matrices, and pros­odie and narrative patterns are transformed into models of genres. This dual function of the poetic units—which are both syntagmatic patferns and paradigmatic models—only confirms Lévi-Strauss's observation that every metaphor ends in a m e t o n y m y and vice versa.

The paradigmatic structure of poetic material

T h e full significance of this fact only becomes apparent w h e n w e consider that the relationships which have been thus transformed are metalinguistic —that they link up the classes of phonemes and lexemes (morphèmes) and not the occurrences. Hence w e can interpret these transformations of relationship, w h e n they affect two phonemes or two lexemes, as disarrange­ments of the internal structure of these units; disarrangements which neu­tralize the hypotactic or hypertactic relationships between the phemes or semes within the phonemes and lexemes, and, on the other hand, lend added importance to those distinctive features which are either identical (conjunctive) or opposite (disjunctive).. Such restructuring of the material can be recognized and recorded by the general procedure of standard­ization, according to which A : A ' :: B : B ' , and of which Levin's 'coupling' is only one example.

Hence it is the function of poetic relationships to produce a paradigmatic organization of the material employed, both its content and its expression. Thus , in the first stage, the patterns m a d e up of assonances and alliterations or semantic resemblances and approximations can be analysed and recon­structed by manipulating the appropriate features such as pheniic or semic matrices, which are m a d e up of identities and oppositions. But redundancy, which involves a repetition of substance as well as of form, is at the same time a constituent part of a fundamental isotopy which is a characteristic of poetic communication both in regard to content and expression.

12 A . J. Greimas

Poetic isotopy and the plane of discourse

T h e concept of isotopy of communication seems to be an indispensable foundation, on the plane of content, not only for tropology but also for the canonics of closed narrative structures. T h e isotopy, defined as the redun­dant bundle of semic categories, is in fact the basis for assessing the distance separating this isotopy from the individual discursive manifestations and for determining, from this distance, the structure of the tropes in order to prepare a complete inventory of them by means of a typology of poetic relationships (synecdoches, metonymies, antiphrases, etc.) which are already recognized in the syntagmatic manifestation of speech. It was by determining the isotope level of the narrative that Lévi-Strauss was able to m a k e his analysis of the Œdipus myth, and a sonnet by Louise Labé m a y seem to consist of a series of transformations of a single isotopic utter­ance 'I love you' (Ruwet).

T h e same descriptive procedures can be applied even more easily on the plane of expression, enabling us to create from a phonetic isotope, built up of distinctive features and not of phonemes, both the structures of'general tonality' of poetic objects and a 'tropology' of expression.

'Writings'' and poetic 'codes'

This reversal of the relations between the isotopy of poetic (or 'literary') communication and the plane of discursive manifestation, which returns to the ancient tradition of poetics (and of rhetoric), has recently led to a revival of studies in this field.

At the formal level of the constituent relations of poetic units, the concept of writing (Barthes) seeks to encourage the classification of literary and poetic forms of a collective nature so as to pave the w a y to a typology of'styles'.

At the substantive level of the isotopy of the content, various converging lines of research have stressed the importance of certain categories of semantic isotopy (categories of genre and n u m b e r , of animate and inan­imate, of material and moral), based on the projection of the m o r p h o -syntactical relationships of the utterance (agreement and rection). But these researches are also leading to recognition of the existence of semio-logical isotopies arising from the use by poetic communication of organized codes which derive from the various sensory orders largely isomorphic and capable of translation from one to the other (Bachelard, Lévi-Strauss), thus conferring a structural status on the old metaphysical idea of 'corre­spondences'.

T h e likely development of poetic research in these two parallel directions and the transposition of the same concepts on the plane of expression will further underline the plurilinear nature of discursive communication.

The relationship between structural linguistics and poetics [3

The correlation between expression and content

The restriction of the combinatorial and the co-occurence of forms

It is generally agreed that the distinction between the literary and the poetic is not merely a quantitative one; that poetry, in its relationship with literature, cannot be defined by the addition of a supplementary plane of expression, even if the articulation of the latter runs parallel to and is sometimes isomorphic to the plane of content, but that—on the contrary— it results from the 'close fusion' of the two planes. T h e latter concept, which is very vague, needs to be translated in terms of structural linguistics.

T h e first element of interpretation is formed by the closure of every poetic object: the closed poetic universe has two limited inventories of phemic and semic categories and two structures of expression and content. These two closed inventories form the only possible starting point for a poetic combinatorial process producing a discursive poetic manifestation on the plane of signs. Hence any poetic discourse is a manifestation of two restricted parallel combinatorial processes; there is therefore a theoretically strong probability of positional equivalence of the poetic patterns of expression content. T h e co-occurrence of the forms of two planes is one of the factors in the definition of poetic language.

The structural adequation of expression and content

T h e co-occurrence must, in addition, be defined in its structural status. It seems clear that, if its linguistic character is to be maintained, it must not be placed at the level of interjections, where there is a complete merger of sense and sound (Ruwet); nor must it take on all the characteristics of double articulation: it would then assume the arbitrary nature of the signs of natural languages. H e n c e it is at the level of the phemic and semic matrices, themselves the result of transformations of the phonemic and grammatical patterns, that w e see the structural adequation between the controlled distribution of expression and content. These matrices, which are obtained by means of an interplay of identity and contrast of categories, are, of course, formal structures linking the substance of the expression on the one hand and the substance of the content on the other.

W e can therefore say that the co-occurrence of the forms of expression and of content becomes transformed into adequation w h e n the phemic and semic matrices, identical in their formal structure, articulate symmetrically the substances of expression and of content. T h e adequation of the matrices (very fully illustrated by the analyses of sonnets m a d e by Jakobson and Lévi-Strauss and by R u w e t ) has also been brought to light in the field of etymology (Guiraud) not only at the level of the taking-over of onomato­poeias with a view to their linguistic articulation, but also at the level of the underlying structures which under the n a m e of 'popular etymologies' redistribute into new classes the etymons coming from various sources.

«4 A . J. Greimas

T h e same phenomenon is found at another level and with less subtlety of treatment, in plays on words and in puns.

T h e c o m m o n factor in all these phenomena is the shortening of the distance between the signifiant and the signifié; it would seem that the lan­guage of poetry, while still a language, is seeking to find its w a y back to the original cry of the h u m a n voice and hence lies halfway between simple articulation and double linguistic articulation. This produces a 'sense effect' c o m m o n to the different examples quoted, which is that of a 'redis­covered truth'—original in one or other sense of the word. T h e problem of anagrams, amongst others, could be included in this illusory meaning of 'profound sense', concealed and inherent on the plane of expression. Unfortunately, poetic research is not yet sufficiently advanced to enable us to find a solution to the problem (posed by R . Jakobson) of the meaning of poetic forms: one w a y of solving it would be to confer the meaning 'truth', for instance, on the adequation of content and expression.

This adequation, whose structural status becomes progressively clearer in intra-sentence poetics, must also be sought at the supra-sentence level, where the science of poetics will find itself reviving the old problem of the poetic genres, which are also traditionally defined by the adequation of form and substance.

The poetic object

The convergence of constraining structures

Poetics has a twofold aim: on the one hand it attempts to understand and describe poetic communication in structural terms; on the other hand, it must be capable of doing justice to the structural essence of any individual poetic object.

A poetic object of any kind (a couplet, sonnet or epic) is at one and the same time the point of convergence of all levels of poetic communication and the place at which certain poetic units are selected and others rejected. There appear to be two kinds of constraints which condition this choice: (a) those which take as their basis the natural language employed and hence restrict the choice of possible content and expression; they can be expressed as social writing which is an a priori requirement (this writing can be rejected but not ignored); and (b) those which are based on the same natural language, learnt and adopted idiolectally by individuals, and which can be considered as the product of an individual style imposed by the linguistic structure of the personality; the originality of the per­sonality being due also to the equivalent or distorting articulations of the other semiotic structures, parallel and not linguistic, which are particular to each individual.

It will be seen that these constraints (formulated by R . Barthes) constitute a very loose form of determinism: the convergence of two types of complex diacritical structures gives rise to an event—a poetic object of a probab-

The relationship between structural linguistics and poetics 15

ilist character. Hence an analysis of the poetic object presupposes, in theory, a knowledge of the underlying social writing and a prior description of the linguistic structure of the poet's personality. In practice, the two types of research are carried out in parallel and are complementary.

In view of our inadequate knowledge of these conditioning factors and in view of the probabilist nature of the manifested object, it would appear to be impossible at present to formulate correctly the problem of the aesthetic value of the poetic object, at least if an attempt is m a d e to deduce it either from the choice of poetic levels or units, or from the correlations, sym­metrical or asymmetrical, which are found between the levels recorded.

Description of form and of substance

At the level of the analysis of particular poetic objects, poetry inevitably confuses the description of patterns and structures deriving from the form with those deriving from the subject-matter treated, thus drawing close to the fields of semantics and phonetics. T h e result of this is that the best examples of recent descriptions {Les Chats) involve both poetical exploration in the strict sense of the term and semantic exploration. Similarly, there are complete schools (such as the French neo-critical school) which devote themselves—though lacking the structural ability—to semantic descriptions of the closed universes of poetry.

This shift of ground is only the logical extrapolation of Jakobson's conception of poetry as a projection of equivalences on to the discourse: poetic discourse, considered as a self-contained entity, can thus be i m m e ­diately grasped and easily memorized as a simultaneous structure—a 'total object'. Partial analyses reveal the existence of paradigmatic matrices; standardizing them has only one purpose and can only lead to the de­scription of poetic discourse in the form of a hierarchical structure whose formal articulation is—or soon will be—foreseeable and which is rendered unique by the linguistic subject-matter treated. T h u s poetics, in so far as it intends to study not only poetic communication but also the structure of poetic objects, has to widen its field of investigation and include in it the description of the linguistic, semantic and phonetic material shown in the poetic objects and at the same time to consider the possibility of estab­lishing a typology of the contents and of the 'musical tonalities' of the closed systems which constitute poetic objects.

Synchronic and diachronic structures

A s far as w e are aware, the most substantial progress m a d e in recent times has been in the analysis of semantic content. Let us hope that the description of the expression, abandoning the impressionist phonemic level, will seek to identify the comparable phonetic structures based on the analysis of distinctive features.

Recent research work (that of Jakobson and Lévi-Strauss in particular),

i6 A J. Greimas

has d r a w n attention to the existence, in closed works, of the possibility of a dual reading of a single poetic (or 'literary') object at the level of content articulation. In the first case, the object seems to take the form of a 'closed system', whose partial articulations are integrated in a paradigmatic structure. In the second case, an object can be read as an 'open system' which, at a particular m o m e n t of its discursive development, will offer a solution of continuity capable of being interpreted as a diachronic trans­formation of content forming a semantic front a n d rear. This possibility of a double reading, which appears strange at first sight, is matched by a dual patterning of the p o e m . Poetics is thus provided with a n e w — a n d functional—distinction separating the poetic units, m a k i n g use of content analysis and taking as its starting point the implicit or explicit isotopy of the object. It will also be seen that the concept of isotopy, postulated at communication level, has its pendant in the concept of taxonomy, which deals with the poetic object considered as a closed system, and that the breaks in the isotopy can be interpreted as linguistic transformations operating on taxonomic entities.

Poetic euphoria

The euphoric and dysphoric connotation

While it cannot be denied that poetic communication, taken as a whole, produces euphoria, there is n o doubt that the phonetic and semantic material communicated is denoted, at every level of articulation, b y the proprioceptive category displaying itself sometimes as euphoria and sometimes as dysphoria. T h e apparent contradiction could be resolved if it were to be accepted, as w e have suggested, that poetic forms have a meaning which is quite distinct from that of the subject-matter: that whereas the subject-matter is denoted by isotopic variations which are both euphoric a n d dysphoric, the poetic form, which is basically a manifes­tation of redundancy and of an adequation of expression and content, producing 'sense effects' which give an impression of permanence and truth, is entirely euphoric.

Algirdas Julien Greimas has taught French linguistics at the universities of Alexandria, Ankara and Poitiers. Since igß^, he has been study director of general semantics at the Ecole Pratique des Hautes Etudes, Paris. His book, Sémantique Structurale, was published in Paris in ig66.

O n the modern study of speech sounds

Morris Halle

Phonetics is the study of the physical actualization and the perception of speech. Although concern with these questions has a long history, some of it going back to classical antiquity, or even earlier, phonetics is in m a n y ways a field of inquiry that only n o w is beginning to emerge from its infancy. T h e underdeveloped state of the field manifests itself perhaps most clearly in the fact that questions of the most rudimentary type have yet to be finally settled. Questions such as what is the nature of the framework in terms of which speech sounds are to be characterized, or whether speech sounds can even be said to exist and if so, in what sense, continue to be debated to this day. Since these are clearly very basic issues a large part of this survey will be devoted to them.

In the view that is held probably by a majority of phoneticians and linguists, speech events or utterances are thought to be sequences of discrete entities, the speech sounds, of which each language possesses a reasonably small number . T h e speech sounds themselves are composed of specific phonetic properties (or features) such as nasality (a feature possessed by the sounds [m] and [n], but lacking in [b] and [d])> voicing (a feature possessed by [v] and [z], but lacking in [f] and [s]), lip rounding (a feature possessed by French and G e r m a n [ü] and [ö], but lacking in [i] and [e]), etc. These features are related to different physiological mechanisms whereby the sounds are produced (and perhaps also perceived). Because the number of such mechanisms available to an organism is restricted, it is to be expected that the total set of features will not be very large and that there will be considerable overlap a m o n g features utilized by different languages.

T h e view just outlined has considerable surface plausibility. It is sup­ported by such facts as that utterances of all languages can be represented by means of an alphabet, or that the sounds of widely different languages show striking resemblances. Moreover, it seems also to fit well with other, less obvious facts of linguistic behaviour. T o cite just one a m o n g m a n y , consider the formation of the regular plurals of English nouns, e.g.,

Int. Soc. Set. J., Vol. XIX, No. i, 1967

i8 M . Halle

i u m

buses caps cabs cans roses cuffs caves plays bushes cats cads rims garages fourths lathes pills beaches tacks cogs judges names

A s can be seen from the examples above, English has three distinct plural suffixes, [az], [s] and [z], which are distributed in accordance with the following rule: If the stem ends in a hushing or hissing sound (column I), the suffix is [az]; otherwise, the suffix is [s], if the stem ends in a voiceless sound (column II), and [z], if the stem ends in a voiced sound (column III). It is important to note that the rule just stated makes sense only if speakers can, in fact, isolate the last sound of a word , and if they can determine whether or not the sound possesses certain phonetic properties. All accounts of the formation of English plurals and of morphological processes in general involve crucially thé assumption that speech is composed of discrete Sounds, and accounts that are not based o n this view of speech are all but incon­ceivable. If speech is to be regarded as a quasi-continuous signal, facts such as the English plural formation could be explained only by supposing that the different forms are memorized. This, however, is clearly impossible since speakers can produce plural forms—in accordance with the above rule—of nouns they have demonstrably never heard before, e.g., newly coined words. In s u m , speakers appear at least in this case to act as if speech consisted of sequences of discrete speech sounds which themselves are complexes of phonetic features.

W h e n phoneticians began to investigate wha t actually transpired in the vocal tract during speaking it was discovered, however, that the picture of language outlined above did not fit the facts quite as simply as had been supposed. If speech were literally composed of sequences of discrete sounds one might expect the vocal tract to m o v e from one fixed configuration to the next. Instead, it w a s found that the vocal tract m o v e s smoothly from one configuration to the next so that it is quite difficult to tell where the 'fixed' configuration corresponding to a given sound ends and the transition to the next sound begins. Since transitions are such a major part öf the actual speech event, it w a s asked w h y phonetics paid so little attention to the transitions and concentrated almost exclusively o n the sounds, the fixed configurations. Moreover , w h e n radio-cinegraphic records of speech b e c a m e available, it w a s seen that there were relatively few intervals in a normal utterance w h e n the vocal tract could truly be said to be in a fixed configuration, for everything appeared to be in continuous motion.

T h e notion of discrete speech sounds w a s further put into doubt by the p h e n o m e n o n of co-articulation, a terni which designates the influence that one speech sound exercises on its neighbours. For instance, it has been observed that in sequences consisting of a voiceless obstruent followed by a

O n the modern study of speech sounds 19

voiced sound, the vocal cords are m o v e d into the position appropriate for voicing while the voiceless obstruent is still being produced. T h e speaker seems to anticipate the configuration required for the voiced sound while still articulating the voiceless sound. Such a picture is not readily compatible with the traditional view of speech as a linear sequence of sounds.

Finally, the picture outlined above assumes that the sounds of a given language are quite few in number . It is a fact, however, that an acute observer can distinguish a great m a n y degrees of intensity in the manifes­tation of a given feature. This observation again fits rather poorly with the picture of speech as a sequence of discrete entities belonging to a strictly limited set.

T h o u g h on the surface these difficulties look formidable, they are, in actual fact, more apparent than real. T h e y are largely the result of mis­conceptions about the nature of phonetic inquiry. Since phonetics studies speech it must be concerned above all with understanding the phonetic behaviour of normal speakers, with the skill, the competence, that a normal speaker exhibits in producing and perceiving utterances, and with the ways in which this skill is acquired. Since these phenomena can best be understood in terms of discrete speech sounds and of a particular set of phonetic features that can assume only a very limited n u m b e r of values, it is these entities that must play a basic role in the study of phonetics, and it is in terms of these entities that the apparently contradictory evidence briefly cited in the preceding paragraph must (and can) be explained. T h e fact that these basic entities—the speech sounds and features—may not always be directly observable in particular utterances, but m a y have to be inferred from the directly observable data—often by rather complex chains of logical reasoning—-in no w a y affects the- reality of these basic entities. They are fully as real as the abstract, theoretical entities of other fields of inquiry—-as electrons, gravity, valence or conditioned reflexes.

Regarded in this light the highly varied, quasi-continuous speech signal is a physical actualization of a relatively restricted set of abstract entities. Such a situation is quite familiar from cursive script. A given word or sequence of letters can be physically actualized by infinitely m a n y different two-dimensional curves: it can be written small or large, the letters can be slanted at innumerable angles, and the shapes of the letters themselves —the size of the loops, the form of the different concave and convex arcs, etc.—can differ in myriad ways. Yet in spite of all this variability, the curves represent the same sequence of letters both for the writers and the readers, provided that certain elements of the signal are not distorted. Thus , for example, the sequences '11', 'ee', 'le', 'el' cannot be distinguished unless relative sizes of letters are maintained; or 'le' cannot be distinguished from 'li' unless 'i' is dotted or care is taken to m a k e 'e' with a loop and 'i' without it; etc. In quite analogous fashion, in the study of speech it is clearly necessary to distinguish a m o n g properties of the signal that are controlled by the speaker in order to produce the appropriate utterance

20 M . Halle

and such properties as are due to other, extra-linguistic factors, to the inertia of his vocal organs, to personal idiosyncrasies, etc.

T h e recognition of the necessity to distinguish between these two types of factors was one of the m a n y contributions to the understanding of language that w e owe to the various structuralist schools which arose in different countries in the period between the two wars. While the structu­ralist schools were obviously correct in their insistence on the need to draw this distinction, they were not altogether successful in proposing an appro­priate criterion. As is well k n o w n the major structuralist schools proposed that the distinction would be properly drawn by determining whether or not a given physical property of an utterance was capable by itself of rendering distinct two utterances that otherwise would be regarded as being repetitions. They declared those properties of the signal that did not function in this w a y in a particular language as having only marginal interest for an understanding of the normal speaker's linguistic behaviour. This appears n o w to have been a mistake, for it can be shown that the line thus drawn excludes from consideration properties of the signal that are clearly part of a normal speaker's linguistic competence, in that they have to be learned by anyone w h o would have complete c o m m a n d of a given language. T h e proposed criterion fails to distinguish, e.g., the following two, vastly different, types of situation:

i. As the articulatory organs m o v e from one configuration to another they naturally will pass through a series of intermediate stages and these intermediate stages will be determined in general by the two terminal configurations; thus, w e have a different transition from consonant to vowel in the syllable [tu] than in the syllable [pu]. Since this is part of the normal behaviour of the vocal tract the nature of the transition is never a cue that distinguishes by itself one utterance from another. In view of this fact, information about the transition is excluded from linguistic consideration by the proposed criterion.

2. In English, vowels are shortened and laxed in position before voiceless consonants, but not elsewhere; thus the vowel in pat is shorter and laxer than the vowel in pad. Since all English utterances are subject to this rule, the laxing and shortening of vowels cannot be used by itself to signal that two utterances are distinct. Information about shortening and laxing of vowels in position before voiceless consonants must, therefore, also be excluded from linguistic consideration if the proposed criterion is to be taken seriously.

These examples, however, illustrate quite different situations. In the first example, the vowel transitions are the result of physiological limitations under which speech is produced; they reflect the w a y in which the vocal mechanism operates and say nothing about the language. In the second example, on the other hand, the laxing and shortening of vowels are not necessary consequences of the normal physiological limitations on speech production, but are rather language specific facts about h o w utterances in English are to be produced. T h e differences in vowel transitions are found

O n the modern study of speech sounds

in all languages and under all conditions, whereas shortening and laxing of vowels before voiceless consonants are not found in all languages, and even in English they are found only when the voiceless consonant belongs to the same word as the vowel (compare, for example, the italicized vowels in 'lay speaker' and 'lace pillow'). T h e proper distribution of vowel tenseness and length is, therefore, part of the skill that a fluent speaker of English must acquire, it is part of what w e m e a n by his ' c o m m a n d of English'. T h e proper distribution of vowel transition is not similarly learned, it is an inherent property of a person's speech mechanism. In s u m , the features discussed in example i reflect not linguistic facts, but rather physiological facts. T h e features discussed in example 2 on the other hand mirror lin­guistic facts. If phonetic investigations are to characterize a fluent speaker's linguistic competence, they cannot be restricted in the manner proposed, but must take into account all properties that in principle could have been actualized by the speaker in a different fashion from the w a y they happen to be actualized in the language under discussion. T h e total set of these properties constitutes the phonetic capabilities of m a n as a producer of speech. Since these properties or phonetic features are part of the physio­logical endowment of the h u m a n species, they are linguistic universals.

Limitations of space m a k e it impossible to describe each of the universal phonetic features. For present purposes it will be quite sufficient to state that the total number of features in the set is not large (perhaps thirty), but is larger than it was thought to be some years ago (see Chomsky and Halle for a more extensive description).1 T h e features include such c o m m o n phonetic properties as voicing, nasalization, lip rounding (examples of which have been cited above), as well as less c o m m o n features such as suction (utilized in the production of South African clicks), tongue retro-flection (involved in the production of special types of consonants found,, e.g., in the languages of India),, or various prosodie properties such as stress, length, high pitch, etc. Rather than describe the different phonetic features in detail, w e shall attempt to deal here with certain general properties of phonetic features.

Phonetic features are the dimensions in terms of which speech is processed in the h u m a n organism. These dimensions are specific to language and are not normally invoked w h e n the organism processes auditory stimuli other than speech. T h o u g h the existence of a special speech node of signal processing is not implausible in view of the well-known effects on perception of what psychologists of the Gestalt school have called 'set' (Einstellung), the evidence for it provided by recent work is of sufficient general interest to merit discussion here. Workers at Haskins Laboratories have found a basic difference between the perception of certain types of consonant stimuli and that of vowel stimuli2. In one experiment subjects were presented with synthetic stop-vowel syllables, in which the stop part was produced

i. N . Chomsky, and M . Halle, The Sound Pattern of English, New York, 1967. (In press.) 2. D . Fry et al., 'The Identification and Discrimination of Synthetic Vowels', Language and.

Speech, Vol. 5, 1962, pp. 171-89.

22 M . Halle

by appropriate transitions in the first and second formants. T h e transition of the first formant was kept fixed, but the transition of the second formant was varied in a number of steps from sharply positive to sharply negative. Subjects were presented with groups of three such stimuli of which the third was identical with either the first or the second, and were required to state which of the two cases obtained. It would be expected that the reliability of the subjects' performance would depend upon the difference in the transitions of the two comparison stimuli. W h e n the difference is large, subjects should respond reliably; w h e n the difference is small, the discrimination should suffer. Instead, it was found that in certain regions rather large differences could not be reliably discriminated, whereas in certain other regions, quite small differences were discriminated with a high degree of precision. This behaviour can be explained if it is assumed that the physical continuum of formant transitions was divided by the subjects into discrete regions associated with particular speech sounds. W h e n the test stimuli fell within one and the same region, they were not discriminated—i.e., they were identified as the same consonant—regardless of their physical differences; w h e n they fell into different regions, they were discriminated. In other words, the perception here was categorial: subjects judged the stimuli as, exemplifying one or another consonant and seemed quite unaware of difference in the physical actualization of a given consonant.

In a previous experiment it had been found that vowels did not exhibit this type of 'categorial' perception; their discrimination seemed rather to be primarily a function of the physical difference between the test stimuli. It was, therefore, suggested that there is a fundamental difference between the m o d e of perception of vowels and that of consonants. This suggestion is hardly acceptable as it implies that while listening to speech, the subject constantly switches back and forth between two radically different modes of signal processing. Moreover, when the experimental design was examined in detail, it was seen that the stimuli used in the vowel experiment differed from those used in the consonant in one very significant respect. Whereas in the former the stimuli always sounded like actual syllables of speech, the stimuli in the vowel experiments required a conscious effort to be perceived as speech sounds; without such an effort they sounded rather like complex tones.

This observation suggested immediately that the tests be repeated with vowel stimuli embedded in speech-like contexts. W h e n this was done by Stevens,1 it was found that the responses of subjects were categorial, and thus formally resembled those obtained in the experiment with consonants. Given these facts it would appear that the difference in the m o d e of per­ception noticed by the Haskins group was not correlated with a difference a m o n g classes of speech sounds, but rather indicated a different m o d e of

I. K . N . Stevens, 'On the Relations between Speech Movements and Speech ¡Perception', pp. 68-74. Paper presented to Symposium 23: Models of Speech Perception, eighteenth International Congress of Psychology, Leningrad.

O n the, m o d e m study of speech sounds 23

perception in the case of speech than in the case of other types of acoustical stimulus. It is important to stress that the stimuli and the task of the subjects were identical in both experiments. W h a t was different in the Stevens experiment was that the stimuli were embedded in speech-like contexts, whereas they were presented in isolation in the Haskins experiment. Hence in the Stevens experiment subjects were forced to perceive the stimuli as speech. O n c e they were forced into this m o d e of perception they naturally m a d e only categorial judgements, for a speech sound belongs to a restricted set of categories and can only be identified in such a manner.

T h e existence of a specific speech m o d e in the perception of acoustical stimuli explains w h y so little has been learned about the perception of speech from experiments with non-speech stimuli. T h e essential difference between the speech m o d e and the non-speech m o d e (or modes) is that in the former the subject can bring to bear in the analysis a great deal of information that is not available to h im in the analysis of non-speech stimuli. In particular, w h e n processing speech stimuli, the hearer can utilize not only his 'knowledge' of such facts as that the stimuli are dis­crete, that they are produced subject to the physiological constraints of the h u m a n vocal tract as a producer of speech, etc., but he can also invoke his 'knowledge' of the phonological rules of the language.

A n interesting illustration of the influence of this type of knowledge on perception is provided by the perception of stress by speakers of English. It has long been k n o w n that English utterances manifest a great m a n y distinguishable levels of stress. Thus, the syllables of the compound noun 'lighthouse door' have the stress pattern 1-3-2, where 1 represents primary stress, 2 secondary stress,.etc. T h e noun phrase 'light house door' (i. e., a house door that was not heavy) on the other hand, has the stress pattern 2-1-3.

Although at present there is still some question about the precise physical property that signals the phonetic feature of stress, there is no doubt that it is independent of those properties that signal what D . Jones has called the 'tamber' of the vowel; i.e., those properties that allow us to distinguish an [i] from an [e], and an [o] from a [u]. It is possible by a special electronic technique to process utterances so as to eliminate from the signal all information about vowel 'tamber' while leaving all other information virtually unchanged. Utterances so processed have pitch, length and stress variations, but are, of course, incomprehensible because there is no infor­mation about the segmental phonemes that constitute them. W h e n utter­ances so processed were presented to highly trained phoneticians w h o were asked to transcribe their stress patterns, it was found that only the location of primary stress could be determined with any degree of reliability; the indications of secondary, tertiary and lower degree of stress were completely unrelated to what was on the signal. There was, of course, no problem about locating these stresses correctly w h e n the original utterances were played back to the subjects.1

1. See P. Lieberman, 'On the Acoustic Basis of the Perception of Intonation by Linguists', Word, Vol. 21, No . 1, 1965, pp. 40-54.

24 M . Halle

This result is not surprising, in view of the notorious difficulty that naïve subjects experience in locating non-main stresses in English. However , it is still necessary to explain w h y there was such a great discrepancy in performance in the two cases.

T h e most obvious difference between the two experimental situations is that in the first situation the subjects did not k n o w the utterances and hence were unable to utilize in their analysis their knowledge of the stress relations that normally hold in English utterances, whereas they were able to do so in the second situation. T h e results would appear to suggest that physically, subjects could distinguish no more than two levels of stress in the signal. If they were able to respond reliably to additional levels of stress w h e n the signal was speech this must be attributed to the peculiar manner in which stress distinctions are processed in speech. W e must, therefore, turn briefly to an examination of these.

It has been shown by C h o m s k y and Halle1 that the stress contour of an English utterance can be derived completely given the sequence of sounds that constitute the utterance and its syntactic (immediate constituent) structure. T h e rules which are required for this purpose have three properties that are of importance in the present discussion, (a) Like all phonological rules, the stress rules apply in a definite order which takes account of the constituent structure. A given rule applies first to the smallest constituent, then to the next largest constituent, etc., until the process stops at the boundaries of the so-called 'phonemic phrase', (b) W h e n primary stress is assigned to some syllable in a string, the stresses on all other syllables in the string—if any—are lowered by one level; i. e., primary stress is lowered to secondary, secondary to tertiary, etc. (c) T h e stress rules of English basically assign only primary stress or alternatively, determine the location of primary stress in the string. T h e first two properties of the stress rules are universal, they are principles that hold true of such rules in all languages; the third property, on the other hand, is specific to the English language. It is readily seen that, given the fact that rules apply to constituents in order and the principle of stress lowering, complicated stress contours can be produced by repeated application of a simple rule such as the following that governs the stress relations in English c o m p o u n d nouns: i. In c o m p o u n d nouns primary stress is assigned to the rightmost syllable

bearing primary stress that occurs in a noun preceding the last noun of the compound .

Since monosyllabic nouns in English are assigned primary stress by another rule that applies first, a c o m p o u n d noun such as 'light house' will contain two nouns with primary stress at the point where rule i applies. Rule i will then assign primary stress to the noun 'light' and the general principle of stress lowering will lower the stress on 'house' to secondary. A compound noun 'light house door' has a constituent structure ((light house) door). Consequently, rule i will apply first to the innermost constituent 'light

i. Chomsky and Halle, op. cit.

O n the modern study of speech sounds 25

house' yielding the stress contour 'light house' where the integer above the nouns represent the relative stress levels. In accordance with the universal ordering principle rule 1 will apply next to the string 'light house door', where 'door' has primary stress by virtue of being a monosyllabic noun. Rule 1 will assign primary stress to the noun 'light' and simul­taneously lower the stresses on the other nouns, producing thus the stress

1 3 2

contour 'light house door'. Since compound nouns can have more compli­cated constituent structures than the examples just reviewed, m u c h more complicated stress contours will be generated by repeated application of rule 1.

W e return n o w to the results of Lieberman's experiment on the perception of stress. Since the experimental subjects were speakers of English it must be assumed that they had at their disposal knowledge of the stress assignment rules of English and that they were able to bring this knowledge to bear w h e n responding to English utterances.1 W h e n the utterances were processed, however, so that the subjects could no longer understand them, the knowledge of English stress rules was of little use to the subject, and they were forced to fall back on the stress information that was directly available in the signal. This, however, proved inadequate except in order to determine the location of primary stress. T h e situation thus is rather similar to the one that would prevail if a person were asked to determine whether a given letter was a script 'e' or '1' without being provided with enough context to m a k e a unique decision possible.

T h e preceding suggests a possible explanation for the puzzling fact that although the average speaker's ability to distinguish different stress levels is notoriously poor, he is s o m e h o w able to learn a language such as English in which a great m a n y levels of stress are, in fact, distinguished. Let us assume that a naïve speaker, in particular, a child learning English, is not able to distinguish more than two levels, i.e., that he can determine reliably only which vowel in an utterance bears primary stress. As a result the rules of stress assignment which the child will construct himself in the course of learning English will deal with the location of primary stress in phrases of all different types; i.e., he will construct for himself rules such as 1. Let us n o w assume further that it is a universal principle of language that when primary stress is assigned to a given syllable the stresses on all previously stressed syllables are lowered by one level. If this assumption is correct, then the rules that the child constructs, in order to account for the location of primary stress only, will automatically assign also lower stresses to syllables not bearing main stress. (An example of h o w such rules operate is given above.) A certain amount of support for this speculation comes from the fact that the stress rules of English, which has extremely complicated stress contours with numerous intermediate

1. It is clear that the type of knowledge under discussion here is tacit rather than explicit and conscious. Tacit knowledge underlies m a n y , if not all, manifestations of skill. Thus, the inability to state Archimedes principle of buoyancy has not prevented people from learning to swim or from building seaworthy boats.

26 M . Halle

levels of stress, are almost exclusively m a d e up of rules assigning main stress. T h e few rules that assign non-primary stresses are basically devices for determining whether or not a given vowel is to be reduced.

T h e case just discussed is significant in that it brings out rather clearly certain details of what w e have called the speech-mode of perception. In the last example w e saw perception influenced by two distinct components, one belonging to the universal properties of language (i.e., the principle of stress lowering) and the other to the specific properties of English. It is to be expected that if the same stimuli were presented to subjects unfamiliar with English their performance would differ from that of English speakers w h e n given utterances in the clear, but should be the same w h e n given the processed utterances. T h e differences in performance would have to be ascribed to the differences in linguistic background. Precisely h o w differ­ences in linguistic background would affect performance cannot at present be predicted. This would, therefore, seem to be an area where additional data are likely to materially advance our understanding.1

T h e preceding has concentrated almost exclusively on the perception of speech. Phonetics, however, is equally concerned with the production of speech, the physical actualization of utterances, and a great m a n y significant advances have been m a d e in this area. Perhaps the most notable advance is that m a d e in the understanding of the relation between vocal tract behaviour and acoustical signal. As a result of the work of Fant2 and others, w e are able n o w to calculate the acoustical signal from a description of the gross motor behaviour in the vocal tract. Progress has been m u c h slower in understanding the manner in which the vocal tract is controlled in speaking. This slow advance has been due in large part to the fact that phoneticians have tended to regard phonetics as a discipline whose main task is to gather data rather than develop theories about speaking. A m o r e enlightened attitude toward the role of theories in phonetics has become evident in the last few years and the first results of this attitude are beginning to appear.

It is a well-known fact that parts of the articulatory behaviour associated with a given speech sound are frequently to be found in the articulation of adjacent sounds. As noted above this co-articulation phenomenon has tended to cast doubt upon the existence of discrete speech sounds. Recent research conducted by K . N . Stevens and his co-workers at M I T has provided a rationale for co-articulation. Stevens and his associates have

i. Interesting experiments showing the effects of prior linguistic knowledge on the perception of signals have been performed also by J. Fodor and T . G . Bever, who have shown that speakers tended to perceive a click superimposed on an utterance as being located between major constituents. Thus in the recorded phrase 'She fed her dog biscuits' the click was located before the word 'dog' when the story in which the stimulus sentence was embedded required the interpretation that 'dog biscuits' was a compound noun, whereas it was located after the word 'dog' when the story required a major constituent break between 'her dog' and 'biscuits'. See J. Fodor and T . G . Bever, 'The Psychological Reality of Linguistic Segments', Journal of Verbal Learning and Verbal Behavior, Vol. 4, 1965, pp. 414-20.

2. G . Fant, Acoustic Theory of Speech Production, The Hague, i960.

O n the modern study of speech sounds 27

been interested especially in the co-articulation effects o n the feature of voicing. A s is well k n o w n , voicing can be produced in the vocal tract only if the following t w o conditions are m e t : the vocal cords must be approxi­m a t e d , rather than held apart, and air m u s t flow past the vocal cords with a certain min imal velocity. Consider from this point of view the production of a sequence such as [ata], w h e r e a voiceless obstruent occurs between two vowels, w h i c h are voiced. Since the vocal tract is closed during the articulation of the stop, the pressure in the m o u t h builds u p very rapidly (in 20 msec , or even faster) to a point w h e r e the air flow from the lungs stops a n d vocal cord vibrations cease.1 In other words, in the production of voiceless stops the cessation a n d onset of vocal cord vibration will coincide with the closure a n d release of the occlusion and will not require any special gesture such as widening or narrowing of the glottis.

This effect is m a d e use of by speakers to control the onset of voicing very precisely without precise timing of the requisite articulatory gestures. Consider, for instance, a sequence of voiceless obstruents followed b y a (voiced) vowel. If at the beginning of the sequence the vocal cords are far apart, they must be approximated b y the time the vowel is articulated. T h e timing of this approximation m o v e m e n t , however , is not especially critical. It suffices that it take place at a n y time before the onset of the vowel , since during the articulation of the obstruents, the presence of the obstruc­tion in the vocal cavity will suppress the air flow sufficiently to prevent vocal cord vibration from arising prematurely.

It appears that m a n y instances of co-articulation are of this type: they are m e c h a n i s m s w h e r e b y certain phonetic events are m a d e to coincide precisely without at the s a m e time requiring precise co-ordination of the articulatory gestures that produce t h e m . S u c h behaviour, however , is understandable only if the process of speaking is viewed as the production of a continuous physical signal from a n abstract representation to w h i c h the speaker has access in its entirety so as to enable h i m to preset his articulators w h e n e v e r necessary and appropriate. Since such an abstract representation of speech as sequences of discrete entities appears to play also a fundamental role in other aspects of language, it is hardly surprising that discrete speech sounds have been the focal entities in the study of phonetics.

1. Stops produced with voicing during the stop occlusion require a laxing of the supra-glottal musculature which allows the vocal cavity to expand during the period of closure. This expansion of the cavity lowers the pressure sufficiently for air to continue to flow past the vocal cords.

Morris Halle is professor in the Department of Modern Languages and Linguistics at the Massachusetts Institute of Technology. He is the author o/"The Sound Pattern of Russian (The Hague, 1959), and co-author, with Roman Jakobson and Gunnar Fant, of Prelimi­naries to Speech Analysis (Cambridge, Mass., 1952) and, with N . Chomsky, of The Sound Pattern of English (New York, 1967).

Communication systems of Old World monkeys and apes1

Jane B . Lancaster

Studies of primate communication

The study of the communication systems of Old World monkeys and apes is a new and rapidly expanding field. Until recently most studies of communicative gestures and sounds were done either on caged animals in an impoverished social environment or in a group of free-ranging animals, as a preliminary part of a larger study of social behaviour. Valuable infor­mation has come from both these kinds of studies. Workers such as Andrew (1962, 1963a, b, c, d), Bolwig (1964), and van Hooff (1962) have, been able to record a variety of sounds, gestures and facial expressions of caged monkeys and apes. They have been successful in sampling a wide variety of genera and species and in gaining useful insights into the possible evolutionary history of particular gestures or vocalizations. M a n y recent field workers have also attempted to describe the communication system of a single species and to show h o w it relates to the social system of the group under study (Hall and DeVore, 1965; Goodall, 1965; K u m m e r and Kurt, 1965; Jay, 1965; Schaller, 1963). These field workers have had to present the communication system as a given, and their focus was neces­sarily on patterns 'that tended to be of high frequency and often on those that were least variable. Their interest lay in regularities in social inter­actions and in social systems—to them understanding the communication system provided a means of entrance into the workings of the social system but it was not an object of study in itself.

Only a few workers have focused on the communication system itself— recording a large sample of sounds, gestures and expressions and struggling seriously with the infinite variety of problems of description and analysis. A number of studies have n o w been m a d e on colonies living in outdoor compounds (Goustard, 1963; Hinde and Rowell, 1962; Rowell, 1962;

1. This paper is part of a programme on primate behaviour supported by Grant N u m b e r M H 8623, United States Public Health Service.

Int. Soc. Sei. J., Vol. X I X , No. I, 1967

Communication systems of Old World monkeys and apes 29

Rowell and Hinde, 1962; Zhinkin, 1963), on free-ranging groups that are artificially fed (Altmann, 1962, 1965; Itani, 1963) and on free-ranging groups living in their natural habitats (Struhsaker, 1966). With the single exception of Struhsaker's work on vervets, all these studies have been on either baboons or macaques—two closely-related genera of terrestrial Old World monkeys. A second sampling bias has also developed because of the comparative ease of recording and describing the morphology of communicative sounds through the use of electronic recording equipment and the sound spectrograph. Although photographic equipment is easily used, there is no photographic equivalent of the sound spectrograph w h e n it comes to describing and analysing complex patterns of movement. T h e result of these two biases in sampling is that w e know a fair amount about the nature of the vocalizations of two genera of Old World monkeys and m u c h less about the communication systems of most of the Old World monkeys and apes.

The social context

Most acts of communication in a social group of primates occur in a context of long-term social relations (DeVore, 1965; Washburn, Jay and Lancaster, 1965). M o n k e y and ape societies are usually composed of animals of both sexes and all ages. Most members of the group have spent their entire lives within the same social context. Even in species where there m a y be no encompassing stable group, there are still stable sub­groups with continuing, long-term social relationships. Communication rarely occurs between strangers but for the most part is between animals that have k n o w n each other as individuals over long periods of time. T h e context, then, of any communicative act includes a network of social rela­tions that have a considerable history behind them, all of which is relevant to the message and how it is received and responded to.

The form and nature of the signals^

Marler (1965) presented a summary "and interpretation of the nature of primate communication systems based on field "accounts and laboratory studies published before 1963. O n e of the most significant generalizations, which he found demonstrated over and over again, is that the communi ­cation systems of higher primates are extraordinarily complex compared to that of a gull or rat, for example, and that they rely heavily on multimodal signals. A vocalization, a gesture or a facial expression in jtsejf usually does not represent a complete signal but is only a part of a complex constellation of sound, posture, movement and facial expression. Parts of such a complex pattern m a y vary independently and m a y help to express changes in intensity or level of motivation. Sometimes olfactory elements are also present in the signal pattern but in monkeys and apes and in m a n the senses of vision, audition and touch are important in receiving

3° Jane B . Lancaster

communicative signals. Marler (1965) has emphasized that the complex multimodal signal is eminently suited tô the kind of social system typical of monkeys and apes, where groups or at least sub-groups are in relatively con­tinuous; long-term contact. Most group members are within sight of the rest of the group most of the time. This close-range continuous contact with other group members means that complex multimodal signals can be easily received and comprehended. W h e n signals have to pass over greater distances or between animals that m a y be strangers, multimodal constella­tions of signal elements become difficult to receive and interpret correctly. In such situations unambiguous signals sent in a single optimal modality are likely to evolve. Furthermore, vocalizations that are often very important in long-distance signals are m u c h less significant in close-range systems. M a n y field and laboratory workers (Hall and DeVore, 1965; Rowell, 1962) have emphasized that vocalizations do not carry the major burden of meaning in most social interactions but function instead either to call visual attention to the signaller or to emphasize or enhance the effect of visual and tactile signals. In other words, a blind monkey would be greatly handicapped in his social interactions whereas a deaf one would probably be able to function almost normally. r

-Another important generalization that has emerged from the field studies of higher: primates is the major role that context plays in the total meaning of the signal pattern (Altmann, 1965; Marler, 1965). T h e receiver of a signal is presented with an extremely complex pattern of stimuli. Not only are the posture, gestures; vocalization and facial expression of the signalling animal important, but also the total context of that pattern is an essential part of the message. T h e immediately preceding events, the social context and the environmental context, all play major roles in! the way , a signal is received, interpreted and responded to. A threat display given by a juvenile m a y bë ignored in one context, whereas if the same display is given again w h e n he is near his mother, and if she shows some interest in what he is doing, it m a y produce an entirely different response in the animal receiving the threat. T h e major /unction of context in the total meaning of the signal makes the study of primate communication systems, very difficult. Responses to a signal pattern m a y seem highly variable and erratic until a large number have been sampled and the relevant aspects of the varying contexts of the signal have been taken into account.

Besides being multimodal, primate signals are often graded in form (Marler, 1965),- that is, variations that reflect differences in meaning occur in a. single behaviour pattern, 1 such as a threat: gesture. In a graded or continuous system of behaviour patterns each grade or degree has at least the potential for expressing slight differences in intensity of motivation. T h e advantage of discrete non-graded signals, of the sort typical of m a n y passerine birds, is that their lack of ambiguity makes them easy to receive and to comprehend. Graded signals place greater demands on the receiver of the signal but they have great value in their ability to express slight

Communication systems of Old World monkeys and apes 31

shifts in motivation. In a complex, enduring social system in which indi­viduals are obliged to m a k e a continuous series of adjustments and accom­modations to each other, it is important to be able to express not just that one is aroused or frightened but also the degree and direction of changes in motivation. A good documentation of graded signals is found in Rowell and Hinde's description of communication in a colony of rhesus macaques (Hinde and Rowell, 1962; Rowell, 1962; Rowell and Hinde, 1962). In this system m a n y signals were not only graded in form but also intergraded with each other. Rowell and Hinde demonstrated this by making spectro­graphs of all sounds that occurred in agonistic situations. They found what they thought were nine harsh sounds ranging from a growl to a squeal. After a large number of these had been recorded and analysed with a sound spectrograph, they discovered that the sounds in fact formed a single intergrading system that seemed to be expressive of the full range of emotions usually associated with agonistic interactions. These agonistic sounds were linked by a continuous series of intermediates and apparently each grade along the continuum potentially expressed a slightly different level of emotion. There was also one example of a multidimensional variation in which the pant-threat graded independently into three other calls. With such a system, a rhesus monkey is able to express quite complex patterns of motivation but most of the variations in signal form rest on contrasts in intensity of one or more of the components of the motivational state. In concert, this use of intergrading signals and of composites from several sensory modes produces a rich potential for the expression of very slight but significant changes in the intensity and nature of the m o o d of the signalling animal. Slight shifts or vacillations in arousal can be expressed by slight shifts in the vocalizations and gestures.

Not all primate signals belong to graded systems, and there are un­doubtedly species differences in h o w m u c h use is m a d e of discrète and graded signals. Struhsâker (1966) has described the vocalizations of ver-veis, w.hich he recorded in their natural free-ranging situation. H e found thirty-six different sounds that were comparatively distinct both to the h u m a n ear arid when analysed by'a sound spectrograph. T h e majority ofvervet sounds seerh to be of the discrete type although there were two groups of sounds that m a y form graded systems. With more and more study on primates it will probably be shown that their communication systems tend to be of mixed type in which both graded and discrete signal patterns are used depending on the relative efficiency of one or the other form in serving a Specific function. In such systems of communication as those of the monkeys and apes, complexity and subtlety of expression are always bought at a sacrifice to clarity and specificity. With complexity comes ambiguity, and greater burdens of reception and interpretation are placed on the nervous System of the receiver of the signal, which in turn places limits on the potential of the communication system.

3* Jane B. Lancaster

The nature of the messages

It is clear that the communication system of monkeys and apes are rich in their ability to express the motivational state of the animals. Most of these messages facilitate social interactions. In baboons and macaques, motivational information, particularly in relation to dominance and subordinance relationships, constitutes the largest category of messages (Itani, 1963: Marler, 1965: Rowell, 1962). Even greetings and other messages exchanged w h e n one animal approaches another often serve to reassert recognized differences in dominance between two animals. Sometimes the dominant animal will gesture or indicate in some other w a y the pacific nature of his intentions at the same time that he displays his dominance. Compared to birds or primitive m a m m a l s , monkeys and apes have developed very highly evolved signal patterns expressing sub­mission, aggression, anxiety, fear, and other motivational states associated with agonistic situations; in addition they also use a limited number of signal patterns in mating and mother-infant interactions. There are also signals that keep the group together and co-ordinate group movement . In most primate species these signals are generally only a small part of the total repertoire compared to the part devoted to agonistic c o m m u n i ­cation (Marler, 1965).

N o n - h u m a n primates can send complex messages about their motivational states but they communicate almost nothing about the state of their physical environments. Marler (1965, p. 584) in his review of research on primate communication systems concluded: 'Environmental information, present or past, figures very little in the communication systems of these animals, and a major revolution in information content is still required before the development of a variety of signals signifying certain objects in the environ­ment and a system of grammar to discourse about them can be visualized.'

It m a y not even be accurate to speak about such a simple reference to the environment as a food call. H u m a n beings possess a communication system that is highly evolved in its ability to m a k e environmental references but this is a distinctively h u m a n specialization that should not be taken for granted in monkeys and apes. Marler was unable to find any clear examples of food calls and it is probable that what have been labelled food calls by m a n y field workers are really expressions of a general level of excitement, which is often associated with food but which m a y be given in other circumstances as well. For example, A n d r e w (1962) reports that in m a n y species of primate the same sounds that are given at the sight of food are also given in greeting a fellow animal. In both instances the animal vocalized upon perceiving a desired object; it was not giving a food call in the sense of making reference to specific items in its environment.

Even in a call warning of a threat of prédation on the group, not m u c h specific information about the danger itself is necessarily given. In baboons w h e n an alarm cry is m a d e the other animals try to see what the calling animal is looking at (Hall and DeVore , 1965). T h e cry itself gives no

Communication systems of Old World monkeys and apes 33

specific information about the form or position of the danger, but only indicates the level of excitement or alarm of the animal that first gave the call. Only by looking does the rest of the group learn what is the cause of the state of alarm in one of its members. Alarm cries of birds and other m a m m a l s are just as informative to a baboon as are the alarm cries given by a m e m b e r of his o w n social group.

There are a few calls given by non-human primates that convey some information about the physical environment. They are rare and they represent important specializations of the few species that use them. In situations where monkeys are preyed upon by different kinds of predators an elaboration of alarm cries m a y occur. Struhsaker ( 1966) describes three high-intensity alarm cries of vervet monkeys that are very different in form and that evoke very different responses: a snake chutter, another call given when an airborne predator is seen, and a chirp that signals a terres­trial predator. There is an appropriate and different response to each of these calls. T h e snake call evokes a mobbing response similar to owl m o b ­bing by birds. O n hearing the call signalling an airborne predator, vervets seek cover either by running into tall grass or by dropping out of the tree branches into the dense thickets below, depending on where they were w h e n they first heard the alarm. T h e response to the chirp warning of a terrestrial predator is exactly the opposite of that elicited by the call for an airborne predator—the vervets run to the trees and go out on to the ends of branches, which would be a dangerous place if the predator were air­borne (a monkey-eating eagle, for example), but which is safe if the predator, such as a lion, is on the ground. This kind of specialization in vervets in which some limited but vital information about the environment is communicated has occurred in m a n y different species of animals ranging from chickens to rodents and can be expected w h e n a species is hard pressed by such different kinds of predators as snakes, birds, and large m a m m a l s (Collias, i960). This differentiation of high-intensity alarm calls to communicate some information about the environment is a special­ization that should not be thought of as pointing toward the kind of major revolution in information content suggested by Marier as a requisite of h u m a n language.

Aside from predator alarms, Old World monkeys and apes probably have little ability to communicate about their environment. T h e ecology of non-human primates is such that communication about the environment can be, and is, very restricted, whereas exactly the opposite is true of m a n and h u m a n language. For monkeys and apes events inside the social group are of great importance and their communication systems, therefore, are highly evolved in their capacity to express motivation of individuals and to facilitate social relations. Without this ability to express emotion, m o n ­keys and apes would not be able to engage in the subtle and complex social interactions that are a major feature of their adaptations.

T h e more that is known about the communication systems of non-human primates the more obvious it is that these systems have little relationship

34 Jane B . Lancaster

with h u m a n language but m u c h with the ways h u m a n beings express

emotion through gesture, facial expression, and tone of voice. There is no

evidence that h u m a n displays expressing emotion, such as laughter, smiling

or weeping, are any less highly evolved than are displays of monkeys and

apes or that they differ in form or function to any significant degree (Bastian,

1965). T h e communication systems of monkeys and apes are not steps

toward language and they have m u c h m o r e in c o m m o n with the c o m m u n i ­

cative displays of other animals and of m a n than with h u m a n language. It

is h u m a n language, a highly specialized aspect of the h u m a n system of

communication, that has no obvious counterpart in the communication

systems of m a n ' s closest relatives, the Old W o r l d monkeys and apes.

BIBLIOGRAPHY

A L T M A N N , S. A . 1962. A field study of the sociobiology of rhesus monkeys, Macaca mulatto. Arm. N. T. Acad. Sei., 102 : 338-435.

. 1965. Sociobiology of rhesus monkeys. II. Stochastics of social communi­cation. J. Theor. Biol., 8 : 490-522.

A N D R E W , R . J. 1962. The situations that evoke vocalization in primates. Ann. N. Y. Acad. Sei., 102 : 296-315.

. 1963a. The displays of primates. In: J. Buettner-Janusch (ed.), Evolutionary and genetic biology of the primates. N e w York, Academic Press, Vol. II.

. 1963Í. Evolution of facial expression. Science, 142 : 1034-41.

. 1963c. T h e origin and evolution of the calls and facial expressions of the primates. Behaviour, 2 0 : 1-111.

. 1963^. Trends apparent in the evolution of vocalization in the Old World monkeys and apes. Symp. £ool. Soc. Land., 10 : 89-101.

B A S T I A N , J. R . 1965. Primate signaling systems and h u m a n language. In: I. DeVore (ed.), Primate behavior: field studies of monkeys and apes. N e w York, Holt, Rinehart.

BoLwiG, N . 1964. Facial expression in primates with remarks on a parallel develop­ment in certain carnivores. Behaviour, 22 : 167-93.

C O L L I A S , N . E . i960. A n ecological and functional classification of animal sounds. In: W . E . Lanyon, W . N . Tavolga (eds.), Animal sounds and communication. Washington, D . C . , American Institute of Biological Sciences.

D E V O R E , I. (ed.). 1965. Primate behavior: field studies of monkeys and apes. N e w York, Holt, Rinehart.

G O O D A L L . J . M . 1965. Chimpanzees of the G o m b e Stream Reserve. In: I. DeVore (ed.), Primate behavior: field studies of monkeys and apes. N e w York, Holt, Rinehart.

G O U S T A R D , M . 1963. Introduction à l'étude de la communication vocale chez Macaca irus. Ann. Sei. Nat., £ool. et Biol. Animale, 12e serie, tome 5, fascicule 4.

H A L L , K . R . L . ; D E V O R E , I. 1965. Baboon social behavior. In: I. DeVore (ed.), Primate behavior: field studies of monkeys and apes. N e w York, Holt, Rinehart.

H I N D E , R . A . ; R O W E L L , T . E . 1962. Communication by postures and facial expres­sions in the rhesus monkey (Macaca mulatto). Proc. Z°°l- S°c- Land., 138 : 1-21.

ITANI , J. 1963. Vocal communication of the wild Japanese monkey. Primates, 4 : 11-67.

J A Y , P. 1965. The c o m m o n langur of North India. In: I. DeVore (ed.), Primate behavior: field studies of monkeys and apes. N e w York, Holt, Rinehart.

K U M M E R , H . ; K U R T , F. 1965. A comparison of social behavior in captive and wild Hamadryas baboons. In: H . Vagtborg (ed.), The Baboon in Medical Research. Austin, University of Texas Press.

M A R L E R , P. 1965. Communication in monkeys and apes. In: I. DeVore (ed.), Primate behavior: field studies of monkeys and apes. N e w York, Holt, Rinehart.

Communication systems of Old World monkeys and apes 35

R O W E L L , T . E . 1962. Agonistic noises of the rhesus monkey (Macaca mulatto). Symp. Z°°l- S°c- Land., 8 : 91-6.

•; H I N D E , R . A . 1962. Vocal communication by the rhesus monkey (Macaca mulatto). Proc. Zool. Soc. Land., 138 : 279-94.

S C H A L L E R , G . 1963. The mountain gorilla: ecology and behavior. Chicago, University of Chicago Press.

S T R U H S A K E R , T . T . 1966. Auditory communication a m o n g vervet monkeys (Cerco-pithecus aethiops). In: S. A . Altmann (ed.), Social communication among primates. Chicago, University of Chicago Press.

V A N H O O F F , J. A . R . 1962. Facial expressions in higher primates. Symp. £00/. Soc. Land., 8 : 97-125.

W A S H B U R N , S. L . ; J A Y , P . C ; L A N C A S T E R , J. B . 1965. Field studies of Old World monkeys and apes. Science, 150 : 1541-7.

Z H I N K I N , N . I. 1963. A n application of the theory of algorithms to the study of animal speech: methods of vocal intercommunication between monkeys. In: R . G . Busnel (ed.), Acoustic behaviour of animals. Amsterdam, Elsevier.

Mrs. Jane B. Lancaster is acting instructor in anthropology at the University of California, Berkeley. She has published three studies on primate behaviour.

Problems and facts in neurolinguistics

A. R. Luria

The process and pathology of speech

During the past few decades a new branch of h u m a n sciences has been developed, on the borderline between the social sciences and the natural sciences, which might be called 'neurolinguistics'. Although preceded by studies extending over more than a century, it has only recently assumed its definitive form. W e propose to deal with a number of questions and facts about neurolinguistics while restricting ourselves essentially to the data obtained in our laboratory over the past thirty years.

It is well known that the formal bases and constituent parts of a lan­guage—the phonic form of speech, the grammatical and semantic struc­ture of the word, and also the syntactic structure of the total statement—are the outcome of a long social and historical process and are dependent upon a whole series of disciplines (phonetics and phonology, morphology, lexicology, syntax and semantics) constituting the different branches of a vast sector of the science of linguistics. It is also known that all forms of a language are expressed in living h u m a n speech by means of an appro­priate system of sounds consisting according to certain laws, of lexical units (words) making up a coherent and explicit statement. Furthermore, it is known that the utterance is formed according to a complex process starting with a total project (the thought underlying the statement) passing through the stage of internal language (or summary pattern of the proposition) and codified (or realized) in explicit speech. For the hearer, the statement follows a reverse pattern: receipt of the message, followed by decoding and. identification of its essential information and finally a total conceptual pattern experienced as 'understanding' of the message conveyed. Study of the various aspects of this process has been m a d e not only by linguists, some of w h o m are world famous, but also by a very large number of psycho­logists (among them such eminent scientists as K . Buhler, L . S. Vygotsky, and more recently, G . Miller, R . Brown, D . Broadbent, etc.). T h e joint efforts of these experts have been directed to breaking d o w n the linear and

Int Soc. Sei. J., Vol. X I X , No. i, 1967

Problems and facts in neurolinguistics 37

continuous current of speech into its constituent parts and to the study of certain essential mechanisms of language.

This latter task was far from easy. In a normal statement all aspects of the speech appeared to be so merged and so homogeneous that it did not always seem possible to break them d o w n into constituent parts or to discover the underlying elements.

For this reason m a n y research workers directed their attention to a field which could not to all appearances be of very great help, but which began to play an increasingly important part in the solution of these problems: the pathology of speech and, in particular, its neurology.

T h e great Russian physiologist, I. P . Pavlov, pointed out that 'pathology, by breaking d o w n and simplifying, often reveals to us that which is hidden, that which exists in the latent and complex state in normal physiology'. (I. P. Pavlov, 1949, volume IV, 18th Lecture.) It is for that reason, a m o n g

' others, that the study of changes brought about in physiological processes by pathological conditions of the brain has excited so m u c h interest and has become one w a y of analysing normal physiological phenomena.

Historical survey

It was over a century ago that, starting with certain lesions of the brain, attempts were m a d e to analyse the mechanisms of speech.

In 1861, the French surgeon and anatomist, P. Broca, established for the first time that a lesion of the rear third of the lower frontal convolution of the left cerebral hemisphere brought about a speech disorder, although the movements of lips, tongue and larynx were not affected. O n the basis of this observation, Broca inferred that localized lesions of this region of the brain m a d e it possible to identify the mechanism on which the 'motor patterns of speech' depend. Thirteen years later, in 1874, the G e r m a n psychiatrist C . Wernicke m a d e a further discovery: he demonstrated that a lesion of the rear third of the upper temporal convolution of the left cerebral hemisphere disturbed speech perception without, however, affecting the ability to pronounce words or phrases. H e was thus able to identify 'sensory patterns of the spoken word' which he designated by the unfortunate term of 'verbal concept' (Wortbegriff) and upon which the perception of the sounds peculiar to speech rests; he was thus able to take an important step towards analysing this aspect of cerebral mechanisms.

At about the same time the celebrated British neurologist Hughlings Jackson (1866-78/79) was conducting his researches. O n the basis of obser­vations concerning speech disorders resulting from localized brain lesions, he advanced the theory that the linguistic unit is not so m u c h the isolated word as the whole statement, and that such statement (proposition) is disturbed w h e n the brain is suffering from localized lesions. T h e G e r m a n psychiatrist A . Pick (1913, etc.) w h o continued Jackson's work, defined a special category of speech disorders which he called agrammatische Sprachs­törungen. It will readily be seen that these discoveries led to a thorough

»

38 A . R . Luria

study of the unit of the sentence, which eminent linguists were later to define as being the main constituent part of language.

Subsequent research by a whole series of eminent neurologists and psychiatrists from various countries has confirmed an important fact: that variously localized lesions of the left cerebral hemisphere disturb various aspects of speech. A large number of authorities have demonstrated that lesion of the temporal areas of the left hemisphere disturbs the receptive aspect of speech, while lesion of the post-frontal areas disturbs speech expression, and lesion of the parietal-occipital regions disturbs speech with a complex semantic structure. S o m e authorities have attempted to describe the lesions causing disorders in the 'verbal', 'nominative', 'syn­tactic' and 'semantic' organization of speech mechanisms and have defined the areas of the cerebral cortex, lesions of which give rise to these different disorders (H. H e a d , 1926). Yet other authorities have been at pains to m a k e a detailed study of the psychological and physiological laws explaining the disintegration of the complex speech levels resultant upon localized lesions of the brain (Isserlin, 1929-32; Lotmar, 1919-35; O m b r e d a n e , 1951, etc.).

All this research has m a d e it possible to accumulate a substantial body of documentation on multiple forms of speech disorders accompanying localized brain lesions, and they have amply demonstrated that cerebral pathology is able to identify the various aspects of complex linguistic combinations which in the normal w a y do not readily lend themselves to separate study.

Nevertheless, all these facts of clinical neurology represent only the preliminary stage in the creation of this n e w branch of science to which w e have assigned the n a m e 'neurolinguistics'.

In order to convert these facts into explanatory principles, it was neces­sary for linguistics proper to pass from the descriptive phase to the exact analysis of fundamental units of speech and that behind the clinical descriptions of speech disorders there should appear the physiological and neuropsychological mechanisms provoking them.

This work has been started only during the past few decades. It has turned upon various aspects of modern linguistics which will also be subjected to further study.

Neurolinguistic analysis of the phonic structure of speech

W e shall first deal with the data obtained by neurolinguistics in analysis of the phonic structure of speech and its basic mechanisms.

Since the classical researches of M . Troubetzkoi (1939) continued by R . Jakobson (1942) it has been k n o w n that speech consists of elementary units, phonemes, organized according to a system of phonological opposites. It is also k n o w n that these opposites are based on certain signs which differ according to the language, and that in addition to the classic opposites between sounds (loud/dull, soft/hard, etc., which are opposites charac­teristic of Russian), there are a number of others.

Problems and facts in neurolinguistics 39

T h e question then arises: to what cerebral mechanisms do these opposites correspond? Is it not possible, by special neurological studies, to isolate some of the psychophysiological factors on which they are based?

In their day, several Soviet research workers, inter alia R . M . Boskis and R . E . Levina (1936), demonstrated that with children suffering from aphasia (congenital backwardness in speech associated with a cerebral deficiency) there m a y be an inability to distinguish contrasting phonemes (b/p, d/t), although the distinction between phonemes remote from one another remains possible. Later (A. R . Luria, 1947), it was shown, on the basis of numerous observations relating to localized lesions of the brain, that such defects of phonological hearing are due to injuries, tumours or haemorrhages upsetting the normal functioning of the posterior upper zones of the left temporal area; the patients retain ability to distinguish and repeat very different sounds (such as R and T , M and J), but cannot distinguish or correctly repeat opposing phonemes, and confuse them both in pronunciation and in writing: they are incapable of differentiated conditioned reactions w h e n confronted by pairs of opposing sounds. (A. R . Luria, 1947-63; L . G . Kabeljanskaya, 1957; etc.) W h e n lesions of the area in question were more serious, phonological deafness was found to be more pronounced, and the patient was incapable of distinguishing even m a n y phonemes which are remote from one another. O n the other hand, lesions in other areas of the cerebral cortex do not bring about such deficiencies.

This important fact shows that the identification of neighbouring pho­nemes brings into play the cortical apparatus of the auditory analyser or, to be more precise, the secondary zones of the left temporal area, which, by their cytological structure (pronounced development of the 'associative' layers which participate in the activity of the layers of projection and reception of the cell) and by their anatomical connexions (pronounced development of the fibre bunches connecting the auditory cortical area with the lower zones of the parietal region and of the posterior frontal region (S. N . Blinkov, 1955), form a system specially adapted to the ana­lysis and synthesis of speech sounds.

Subsequent research has shown, however, that the temporal cortical area (speech hearing zone) is not the only part of the brain involved in phonological analysis.

It is k n o w n , from observations on the precocious ontogenesis of speech (as in the first stages of writing) that the articulation of sounds plays an essential part in learning to identify them and that, without articulatory reproduction of the sounds of speech, it is impossible to distinguish them clearly and to associate them with specific categories—an operation which is characteristic of hearing the phoneme. As the observations of L . K . Naza-rova (1952) have shown, it was sufficient, in the case of first and second year pupils, to omit articulation of a word that they had to transcribe for them to be unable to identify clearly the necessary sounds and to tran­scribe the word. Analogous data demonstrating that deficiencies of the

40 A . R . Luna

motor centres of speech are accompanied by difficulties in writing have been obtained by R . E . Levina (1940).

F r o m these facts it could not but be inferred that the kinesthetic analysis of speech sounds also plays an essential part in the hearing of phonemes, and neurolinguistic analysis has confirmed this hypothesis. It has been found that lesions of the lower zones of the post-central region of the left hemisphere, causing a syndrome of highly localized kinesthetic disorders, not only affect the articulation of sounds which are kinesthetically close to one another, but ultimately cause the patient to begin to experience difficulty in distinguishing phonemes ('articulemes') of kindred pronun­ciation and to m a k e invariably the same mistakes in spelling, confusing b with m , d with 1, writing 'hadat' for 'halat', and 'stol' or 'slon' instead of 'ston', etc. (A. R . Luria, 1947-50). Analogous difficulties have been met with in endeavours to bring about conditioned motor reactions to sounds similarly articulated.

These observations, recently confirmed by Leongardt (1964), have m a d e it possible to show that the kinesthetic factor operates in the auditory analysis of speech sounds. At the same time, they have m a d e it possible to break d o w n the system of phonological oppositions by the neurolinguistic method, defining the elements in opposition both as phonemes (in the restricted sense of the word) which are distinguishable by the ear, and as articulemes which are distinguishable kinesthetically. There is every reason to believe that more advanced neurolinguistic analysis will render it possible to determine with m u c h greater exactitude the part played by these two factors in the formation of the phonological system of a language.

These discoveries have m a d e it possible to identify certain elements of this system and to indicate the various cortical mechanisms ensuring their formation. Subsequent neurological research conducted over the past few years by E . N . Vinarskaya have allowed these same phenomena to be dealt with from the point of view of the analysis of the different levels at which the operation of the phonological system of a language is based.

T h e work of V . A . Kozhenikov and L . A . Chistovich (1965) has shown that the mechanisms whereby speech sounds are perceived m a y be situated at different levels. T h e most elementary level m a y be designated as the level of sound imitation; it comes into play in the rapid reproduction of any sounds (which are not even phonological); its periods of latency are minimal (up to 200 thousandths of a second) and no fine analysis of the sounds in question in their relation to a specific category is required. T h e perception of sounds is situated at a more complex level of generalization, involving their precise phonological classification and their association with a specific category: this operation naturally demands more time (up to 400 thou­sandths of a second) and it is manifested with particular clarity in an experiment where the subject is asked to m a k e a given sound correspond to a certain letter.

F r o m recent research carried out by E . N . Vinarskaya (unpublished) it appears that the cerebral mechanisms involved at these two levels of

Problems and facts in neurolinguistics 41

reception and treatment of phonic information are not identical. It has been possible to note, in several cases of localized lesion of the left hemi­sphere, that only the imitation of sounds was affected, while at the gen­eralized level the perception of the same sounds remained comparatively intact. T h e observations in question have shown, moreover, that localized lesions of the brain can also bring about inverse syndromes, w h e n the patients retain only the imitative level of linguistic activity, whereas there is a disintegration of all aspects of sound analysis at the phonological level. Vinarskaya's researches demonstrated that it is apparently possible to identify specific structures of the parietal-temporal area of the left hemi­sphere (the dominant hemisphere) corresponding to each level of speech sound treatment.

It will be evident from the foregoing that neurolinguistics afford a n e w possibility of describing the two levels ensuring proper functioning of a phonological system, namely, the level of auditory receptions which ensure the simplest imitation of sounds, and a more complex level, where their classification can be effected. Neurolinguistics also m a k e it possible to define the physiological mechanisms involved in these processes and to determine the cerebral structures most actively participating therein. There is no doubt, therefore, that these neurolinguistic researches, which were started only a few years ago, render it possible to take a further essential step forward in the study of the questions raised above.

So far, w e have spoken of cerebral mechanisms enabling identification and pronunciation of the different speech sounds, and providing the physio­logical basis of the phonological system.

It is quite clear, however, that the facts described are only part of the neurolinguistic analysis of the phonic aspect of speech. It is k n o w n that the phonemes unite to form groups (syllables and words) and that the phonetic characteristics of a phoneme vary according to the place it occupies in the syllable or word. In some cases, several characteristics change in relation to the sound following them (anticipated changes of a consonant in relation to the consonant that follows result, for example, in Russian, in different forms of the p h o n e m e ' T ' in the syllables 'tu', 'to', 'ta', 'te', 'ti'); in other cases, there is a smooth passage from one p h o n e m e to the other, ensuring phonetic continuity in the articulation of the whole word. Both processes presuppose a harmonic commutation of certain audio-articulatory signs, which renders it possible to mitigate to some extent the discontinuity of isolated phonemes and is of indispensable importance to harmonious speech.

B y what mechanisms are these processes effected? Neurolinguistic analysis furnishes an answer to that question. F r o m a series of other studies long since published (A. R . Luria, 1947-48)

it appears that harmonious passage from one m o v e m e n t to another, with inhibition (denervation) of the first link in the chain of movement and anticipation of the second link, is effected with the close participation of the pre-motor cortical areas, the lesion of which involves a disturbance of

42 A . R . Luria

the 'kinesthetic melodies' and a disintegration of motor habits (see also A . R . Luria, 1962-63, et al.). It has been shown by observation that this part played by the pre-motor cerebral areas is not restricted to the synthesis of the harmonious movements of the hand, but m a y also be involved in speech mechanisms. Thus, lesion of the lower areas of the pre-motor zone of the left hemisphere m a y leave certain articulemes intact, although passage from one articúleme to another becomes impossible; the patho­logical inertia of the nervous mechanisms of the motor zone, characteristic of these lesions, does not allow the patient to pronounce a complete syllable or a single word, although he remains able to enunciate isolated articulemes.

T h e work of E . P . Vinarskaya carried out during recent years and not all of it yet published, shows that even comparatively less marked lesions of these cerebral areas bring about a disturbance in the harmonious pas­sage from one articulation to another, so that the pronunciation of a word loses its flow. In such a case, for example, the word 'sputnik' becomes 'sput-s-nik' and the word 'pen', 'p-en'.

It is evident that neurolinguistic analysis reveals here the mechanisms on which depends the organization of speech sounds into harmonious sequences; subsequent research will probably m a k e it possible to analyse in greater detail the processes ensuring the melodic structure of the spoken chain.

Neurolinguistic analysis of the logical-grammatical structure of speech

Having dealt with the neurolinguistic analysis of the phonic structure of speech, and leaving aside the morphological analysis of the structure of the word,1 let us n o w deal with the neurolinguistic analysis of the logical-grammatical structure of speech.

Classification of the basic logical-grammatical structures of a language has always belonged to the most important and most voluminous, but also most incomplete, chapters on linguistics.

By the end of the last century, the study of the paratactic and hypotactic structure of the proposition was very advanced and the bases of a scien­tific syntax, to which such workers as F. I. Buslaev (1868-69), A . A . Poteb-nya (1888), A . A . Shahmatov (1921) and A . A . Peshkovskij (192a) and others had m a d e an important contribution, had already been established. For a long time, however, this study was limited to linguistic description and to historic-linguistic investigations, and it is only during the past few years that a powerful impetus has been given to the subject in the form of studies of structural linguistics and, more particularly, analysis of logical-grammatical structures of syntax (N. Chomsky, 1957).

1. Neuropsychological analysis of the morphological structure of the word is a special branch of the study of speech pathology. It has enabled S. N . Blinkov and his co-workers M . M . Sirotkin (1949) and £ . S. Bejn (1947), among others, to establish m a n y valuable facts.

Problems and facts in neurolinguistics 43

However, one aspect of the study of fundamental logical-grammatical forms still remained insufficiently developed: the relation between the form (morphology) and the content (semantics) of the structure of a lan­guage—a field in which the problems of structural linguistics are closely linked up with problems of speech psychology—was not yet clearly perceived.

It is k n o w n that the same grammatical forms (for example the forms to which the same cases or the same propositional constructions correspond) express relations of very varied content and the origin of which sometimes dates back to widely differing periods. Thus , genitive constructions m a y designate part of a whole (the partitive genitive: Kusok hleba, a piece of bread) or represent a m u c h more complex structure (attributive genitive: brat otsa, the brother of the father); constructions using the preposition *ot' m a y have a spatial meaning (ja idu ot doma, I leave the house) or a causative meaning {eta bolezrC ot prostudy, this illness is due to a cold). H o w can these forms be rationally classified? W h a t are the underlying factors and what are the different mechanisms involved in their formation?

Neurolinguistic research m a y be of essential importance in finding an answer to this question.

Already at the end of the last century, the young Swedish linguist Svedelius (1897) expressed the opinion that all kinds of communications could be classified in two large groups of a profoundly different psychological order. In the first group, to which he assigned what he called 'procedural communications', language establishes only certain events which can be expressed by extra-linguistic visual means; 'the little girl is crying' is an example of this construction. In the other group, linguistic means play a special part peculiar to language: they express certain relations by abstract­ing certain signs and using them to define abstract relations which cannot be expressed by extra-linguistic visual means. Svedelius called this the 'communications of relation' group; the construction 'Socrates is a m a n ' is an example of this group.

Are these two categories of constructions radically different? Are they based on different psychological mechanisms and are they arrived at by different cerebral mechanisms?

Neurolinguistic research conducted long since (see Head, 1928; A . R . Luria, 1947, 1962, etc.) has m a d e a contribution essential to the solution of these questions. Observation has shown that, while 'procedural communications' are based on visual representations which are expressed only in the form of language, the 'communication of relation' involves operations of spatial co-ordination, uniting the correlative elements of a total statement in a single (quasi-spatial) simultaneous structure. It is easy to perceive these elements of simultaneous spatial relations in the process of understanding comparative constructions like 'a circle underneath a square', 'spring (comes) after winter', ' s u m m e r (comes) before autumn' or 'Olga's hair is fairer than Sonya's, but darker than Katya's': they can be detected in a whole series of constructions where flectional forms

44 A . R . Luria

represent certain reciprocal relations; a typical example m a y be found in the distinction between two symmetrical constructions such as 'the brother of the father', and 'the father of the brother', and 'master of the dog' and, the 'dog of the master'. Neurolinguistic research has confirmed psychology's clear distinction between the two constructions.

Experience shows that lesion of the parietal-occipital areas of the left cerebral hemisphere, the seat of the cortical system of spatial analysis and synthesis, provokes a syndrome which has a powerful bearing upon neuro-linguistics. Patients suffering from these lesions often lose their sense of orien­tation: they confuse right with left, are incapable of moving in a clockwise direction and, being unable to distinguish between east and west, they cannot read a m a p . They are incapable of constructing figures in three dimensions by correctly assembling the parts thereof, and they start to encounter insurmountable difficulties in arithmetic, not knowing h o w they should place the figures w h e n using them for arithmetical operations involving mental arithmetic 'tables'; the decimal system breaks d o w n and they can no longer numbers with several digits in passing with the necessary ease from one class of figures to another.

Such patients have the following peculiarity: with them, logical-grammatical constructions which differ by their internal structure do not undergo the same process. Whereas the 'procedural communications' as a rule remain intact, the 'communications of relation' break d o w n , and the patients become incapable of using them.

This m a y easily be ascertained by addressing to a patient utterances which are related in construction but are different in psychological struc­ture. T h e construction 'the little girl is crying' is comprehensible to them, whereas it is very difficult for them to grasp the construction 'Socrates is a m a n ' . They understand the words 'a piece of bread', but do not compre­hend at all 'the brother of the father', while the symmetrical constructions 'the brother of the father' and 'the father of the brother' are felt by them to be identical. They do not understand prepositional constructions with a complex space or time meaning, such as 'spring (comes) before summer' , ' summer (comes) after spring' or 'a circle underneath a square' or, again, 'a square underneath a circle'. Yet they continue to comprehend fairly easily constructions where the prepositions do not express these space relations ('illness (due) to a cold').

It is easy to verify the bearing upon neurolinguistic analysis of the constituent elements of various constructions and it is noted h o w easily these patients assimilate the 'procedural communication' (of the type 'the father and mother have gone to the theatre and the old nurse has stayed at h o m e with the children') and at what point it is difficult for them to understand a 'communication of relation' comprising the same number of words (of the type: 'the school where D u n y a studied has received a visit from a female factory worker w h o has come to m a k e a statement there').

All these findings are of the first importance to linguistics. They m a k e it

Problems and facts in neurolinguistics 45

possible to define a special factor on which the structure of complex logical-grammatical forms of speech is based and which conditions the types of grammatical structures which R . Jakobson calls 'operations of reconciling linguistic formations on the basis of a simultaneous (selective) organization'.

There is no doubt, therefore, that neurolinguistic analysis renders possible a n e w classification of logical-grammatical structures, on which there will be based identification of the physiological factors of simultaneity necessary for complex linguistic correlations.

Neurolinguistic analysis of the coherent statement

So far w e have considered only the possibilities of neurolinguistic analysis in the study of the logical-grammatical structures of speech. W e n o w have to deal with what little w e k n o w , thanks to neurolinguistic researches, about the mechanisms of the coherent statement.

As w e mentioned earlier, Jackson already pointed out in 1866 that the coherent statement is the unit of speech. There follows it conversion of thought into linguistic utterance passing through the stages of internal speech, just as the conversion of heard speech into a comprehended thought has constituted one of the principal problems of psycholinguistics.

T h e question arises: has neurolinguistic analysis anything to teach as regards the mechanisms of this conversion?

O f all the forms of linguistic disintegration due to localized lesions of the brain, w e shall consider two from which w e have something essential to learn.

A m o n g the speech disorders with which w e have been dealing and which accompany lesions of the parietal-occipital areas of the left hemisphere and are responsible for so-called 'semantic' aphasia, w e have already encoun­tered the case where the essential conditions for decoding a complex state­ment and for its transformation into a simultaneous logical pattern can no longer be ensured.

T h e opposite case occurs w h e n the lesion is situated in the post-frontal areas of the left hemisphere, closely connected with the temporal region by paths of association. In such a case decoding of the perceived speech is maintained without apparent difficulty, but profound disturbances are noted in the mechanism of transforming thought into coherent speech, in other words in the coding of the statement.

Patients affected by speech disorders which w e have termed 'dynamic aphasia' (A. R . Luria, 1947, 1962, 1963) are capable of understanding what is said to them and do not have any trouble in assimilating the logical-grammatical structures referred to above; they can n a m e objects easily and repeat a sentence spoken to them. Their difficulties start from the m o m e n t w h e n they have to express any thought in words and to m a k e a statement however little developed. In serious cases, the patients are incapable of pronouncing a single word; in less acute cases they have m u c h difficulty in expressing themselves; either they say they cannot give coherent

46 A . R . Luria

form to the scraps of thought in their heads, or they replace the expected statement by a ready-made formula. Thus, one patient w h o had been asked to say something about the Northern regions, declared after a long silence: 'There are bears in the north', and when asked to enlarge on the subject he added after a prolonged silence: ' A n d I bring this fact to your knowledge. . . . '

T h e difficulties of making a coherent statement observed in cases of 'dynamic aphasia' have long been hard to explain, and even today, they remain to a large extent mysterious. It is only in recent years that data have been obtained whch m a k e it possible to explain the mechanisms involved.

Observations by L . S. Tsvetkova (1966) have shown that with these patients not all aspects of the statement are affected to the same extent. Experiment has m a d e it possible to establish that the nominative function of speech remains intact, althought the predicative function is deeply disturbed. This was found to be the case in the course of experiments where patients were called upon, after a short lapse of time (one minute), to repeat the names of objects (nouns) and statements of action (verbs); the second operation proved m u c h more difficult than the first and, in one minute, the patients were found to be capable of repeating four or five times fewer verbs than nouns.

This observation therefore suggests that lesion of the front-parietal regions (areas in front of the speech zone) cause a disturbance of the predicative function of speech, which, as L . S. Vygotsky demonstrated in his day, is an essential aspect of internal speech and represents an important stage in the conversion of thought into explicit language.

This hypothesis compels analysis to go further; what are the stages in the transformation of thought into coherent speech the most affected in the case of these patients, and what exactly is the difficulty in the w a y of coherent utterance?

T h e theory that the main difficulty would seem to arise from the fact that the statement has no theme, or that it is obscure, was rejected straight away! As a matter of fact, the same difficulties were encountered with patients suffering from the same lesion even when the theme of the statement was communicated to them in spoken form or when they were asked to describe in coherent speech a picture put before them. It was not, moreover, the effort to find appropriate names for objects which constituted the principal difficulty, as the patients had no trouble in designating each object indicated. Nor were any difficulties of articulation of motor origin noticed with these patients; the motorial production of the utterance remained intact.

It was to be supposed then that, in this case, the disturbance was situated at the level of the passage of thought into speech—in other words, that the disturbance affected the formation of the 'linear pattern of the sentence', an essential stage following the appearance of the internal language, turned back on itself by its structure and predicative by its function (L. S . Vygotsky, 1934).

Problems and facts in neurolinguistics 47

This hypothesis m a d e it logical to suppose that, if a disintegrated linear pattern could be successfully replaced by aids which themselves bore no particular content, but indicated the m a i n links of the broken chain, the coherence of the statement would to some extent be restored.

This hypothesis has been checked and confirmed by a series of recently published observations (A. R . Luria, 1948-63) and in the course of special experiments carried out b y L . S. Tsvetkova.1

If, in the case of a patient w h o could not even pronounce a simple consecutive sentence—e.g., the sentence containing three elements '(the) boy beats (the) dog'—a series of three cards devoid of any representation, but showing the linear pattern of the sentence, were placed in front of h im, the patient successfully pointed with his finger at each of them and pro­nounced the required statement with comparative ease. If these aids were removed, he w a s unable to pronounce the words. If asked to add a link to the sentence—e.g., (the) b o y - struck- (the) d o g - w i t h a stick'—he himself would add a fourth to the three cards in front of h i m and thus complete the sentence started.

Subsequent experiments by L . S. Tsvetkova2 registering on electromya-grams the impulses administered to the speech centres have shown that the reinforcement of the pattern of the statement by an exterior aid actuates the motor system of speech which until then has been in a state of 'disen­gagement' so to speak; if, in the case of patients asked to formulate a coherent statement, the speech centres were not activated, the reinforcement of the pattern by an exterior aid immediately brought about a series of intense electromyographic impulses, preceding the statement spoken aloud; this indicates that the conditions so created brought into action the motor system which had until then been insensitive to phonation.

T h e study of the p h e n o m e n a just described is only in its beginnings. W e m a y , however, b e sure that w o r k done along these lines will be to succeed in bringing about n e w p h e n o m e n a of essential importance for identification of the mechanisms governing the coherent statement; in this w a y light will be thrown on the essential questions relating to what R . Jakobson (1964) calls the 'gradual process of coding' on which contextual speech depends and on the study of which specialists in 'genetic g r a m m a r ' are b e c o m ­ing increasingly engaged.

Neuropsychological analysis of the pragmatic function of speech

Examination of the problems and facts of neurolinguistics would be incomplete if w e did not in a final section m a k e a rapid examination of neurological data not unrelated to the study of the spoken word . Here , w e are concerned with the regulatory or pragmatic aspect of speech.

t. Unpublished. 2. Unpublished.

48 A . R . Luria

Linguistics, which has studied in detail the phonetic, morphological, grammatical and syntactic aspects of speech has paid only very inadequate attention to the part played by language not only in the transmission of information but also in the influence exercised by it on the m a n w h o perceives speech and, in the last resort, on the speaker himself.

T h e question of the function of signalling or regulating speech has been raised by the physiologists, especially I. P . Pavlov in his account of the two systems of signalling and by psychologists, especially L . S. Vygotsky (1934, 1956, i960), w h o based his theory of the decisive role of speech in the formation of psychic processes on a whole system of scientific psychology; Skinner (1957) has also dealt with the pragmatic function of speech in a special study devoted to the theoretical analysis of speech as a means of affecting the behaviour of the individual. Linguistic research proper has dealt with the pragmatic function of speech only in isolated cases.

For m a n y years, w e have conducted research in our laboratory on the role of language in regulating behaviour, and w e have published the results on several occasions. (A. R . Luria, 1956, 1958, 1959, 1961.) This research has shown that in the course of a child's development speech does not immediately acquire the regulatory role it performs in an adult. Research has also made it possible to describe the stages in the formation of the regulatory function of speech, starting from the period when , addressed to a young child, speech m a y induce specific action, but cannot check an act once begun nor create the basis of a complex programme of behaviour until the period w h e n the function of determining and regulating behaviour begins to be assured by explicit speech, and later by internal speech.

All this research has left two essential questions unanswered: what are the neurological mechanisms which ensure the regulatory function of speech? Are the cerebral mechanisms which take over that function the same as those which ensure the formation of phonetic, nominative and logical-grammatical structures? These questions have been the subject of neuro­psychological study by the author and by the laboratory directed by him over the past few decades. These researches, the fruits of which have been partially published (A. R . Luria, 1962, 1963; A . R . Luria and E . D . K h o m -skaya, 1963, 1966) or which are still being conducted, have led to impor­tant conclusions.

They have demonstrated that lesions of the classic 'speech zones' in the left hemisphere, which provoke disorders in phonological hearing and in the 'motor' patterns of speech, or deficiencies in the decoding of complex logical-grammatical structures, do not further cause disorders in the regu­latory function of speech. Patients suffering from all the lesions enumerated do not lose the capacity to obey verbal instructions given them (to the extent, of course, that they understand them) nor the capacity to control their o w n activities. It is on that account that systematic re-education can, to some extent, compensate for their deficiencies (A. R . Luria, 1948).

O n the other hand, patients suffering from lesions of the frontal or pre­frontal regions betray altogether different symptoms.

Problems and facts in neurolinguistics 49

Such patients preserve the whole of their phonological hearing, which enables them to perceive words distinctly, and remain able to assimilate the meaning of complex logical-grammatical constructions. As a rule, they experience no difficulty in expressing themselves, can n a m e objects, repeat propositions, transmit the substance of a story and even formulate complex statements (in the last case they m a y suffer only from an inability to select what they shall say, accompanied perhaps by accessory associations).

In the case of these patients, the essential disorders are manifested only in the regulatory function of speech.

W h e r e there are serious lesions of both frontal lobes, even the simplest verbal instructions fail to elicit the desired response. Understanding easily and retaining for a long time the order 'raise your hand' or its more compli­cated form ' W h e n you hear a knock, you will raise your hand', these patients perform the requested movement only once or twice and, after several attempts, they react to the signal by echoing the verbal instruction— 'yes, yes, w h e n there is a knock, the hand must be raised'—but they m a k e no m o v e to accomplish the gesture. Patients suffering from less serious lesions of the frontal lobes understand without difficulty still more compli­cated orders such as 'when you hear a knock, you will raise your right hand, and w h e n you hear two knocks you will raise your left hand', but this order also readily loses its regulatory effect and the patient, although retaining the m e m o r y of it and repeating it without difficulty, starts to raise one hand after the other whichever the given signal; or, instead of choosing the correct hand, he raises both in a stereotyped gesture. This deficiency is particularly pronounced where the immediate occurrence of a situation conflicts with the conditioned meaning attributed to it by speech; if, for example, these patients are asked to respond to a raised fist by raising a finger and to a raised finger by raising the fist, they retain the m e m o r y of the verbal order, but adapt their o w n movements to the stim­ulus and reproduce immediately, by echopraxia, the gesture of the fist or the finger perceived by them.

In all these cases, speech, which retains its phonetic, lexical and gram­matical structure, loses its function of signalling and even its regulatory function, and the high level of organization of the psychic process at which 'the second system of signalization' plays a decisive part, breaks d o w n .

W e cannot yet state with sufficient precision the physiological mecha­nisms on which the break-down of this signalling and regulatory function of language depends. However, the facts mentioned, which denote a possible dissociation of the fundamental functions of speech and demonstrate the role of the frontal lobes of the brain in the function of regulating the spoken word, m a y play an essential part in explaining certain phenomena of importance to linguistics.

50 A. R. Luria

Conclusion

W e have illustrated s o m e of the results of contemporary neurolinguistic

research and have defined the problems presented in describing them.

Neurolinguistic research presents great difficulties, since the due assembly

of the relevant facts calls for the recording of data belonging alike to

neurology, psychology and linguistics.

It is a subject the preparatory studies of which have extended over a

century, but which is nevertheless still in its infancy. H o w e v e r , the little

that has been done, on the basis of which it has been possible to describe

observations undertaken in the course of the last few decades, gives reason

to suppose that n e w series of facts will b e c o m e accessible to science and

that they will be as important to neurology and psychology as to linguistics.

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ceskoj afazii (in the press). . (1966). Narusenie shemy aktivnogo vyskazyvanija (in the press).

In other languages

B R O A D B E N T , D . E . (1958). Perception and communication. Pergamon Press, London. B R O C A , P. (1861). Remarques sur le siège du langage articulé. Bull. Soc. Anthrop., 6. B R O W N , R . (1958). Words and things. T h e Free Press. Glencoe. B U H L E R , K . (1943). Sprachtheorie. Fischer, Jena. C H O M S K Y , N . (1957). Syntactic structures. Mouton. T h e Hague . H E A D , H . (1926). Aphasia and kindred disorders of speech. I-II. Cambridge University

Press. ISSERLIN, M . (1929-32). Die pathologische Physiologie der Sprache. Ergebn. d.

Physiol., 29, 33, 34. J A C K S O N , H . (1866). Notes on the physiology of language. In: Selective writings,

vol. II. Basic Books. N e w York, 1958. p. 121-8. . (1878). O n the affections of speech from disease of the brain. In: Selective

writings. Basic Books, N e w York, 1958. p. 154-204. J A K O B S O N , R . (1964). Towards a linguistic typology of aphasie disorders. In:

Disorders of Language. Ciba Foundation Symposium, Churchill, London. ; H A L L E , M . (1956). Fundamentals of language. Mouton , T h e Hague .

L O T M A R , F . (1935). Zur Pathophysiologie der erschwerten Wortfindung bei Aphasischen. Schweiz. Arch. Neur. Psychiat., 15.

L U R I A , A . R . (1959). T h e directive function of speech in development and disso­lution. Word, vol. 15, p. 341-52, 453-66.

. (1961). The rôle of speech in the regulation of normal and abnormal behaviour. Perga­m o n Press, London.

. (1964). Factors and forms of aphasia. In: Disorders of language. Ciba Foun­dation Symposium, Churchill, London.

. (1966). T h e regulatory function of speech in development and dissolution. In: Conference on verbal behaviour. N e w York, 1965 (available).

; K H O M S K A J A , E . D . (1963). Le trouble du rôle régulateur du langage au cours des lésions du lobe frontal. Neuropsychologia, I, p. 1, 9-26.

M I L L E R , G . (1951). Language and communication. McGraw-Hill , N e w York. O M B R E D A N E , A . (1951). L'aphasie et l'élaboration de la parole explicite. Presses Uni­

versitaires, Paris. S K I N N E R , B . F. (1957). Verbal behaviour. Appleton-Century, N e w York. S V E D E L I U S , C . (1897). L'analyse du langage. Uppsala. T R O U B E T Z K O I , N . (1939). Grundriss der Phonologie. Prague.

A. R. Luria is professor at Moscow University and at the Bordenko Neurosurgical Hospital, Moscow.

Mathematical aspects of linguistics

Solomon Marcus

T h e development of mathematical methods in linguistics is the outcome of a long process of development which is taking place simultaneously in linguistics, mathematics and technology and in other branches of knowledge besides. Mathematicians such as V . I. Bunjakowski ( 'When dealing with a language, w e must first assume that w e have its detailed arithmetical description or, to put it another w a y , its statistics . . .'), A . A . Markov and E . Borel ('The systems which w e claimed to be entirely logical are always based on the postulate of the existence of the vernacular; this lan­guage, c o m m o n to millions of m e n , by means of which they manage more or less to understand one another, is given to us as a fact, which would imply a large number of vicious circles if it had to be created ex nihilo'), J. H a d a m a r d ('Linguistics is a bridge between mathematics and h u m a ­nities') and linguists such as Baudouin de Courtenay and Ferdinand de Saussure ('The simple expression will be either algebraic or nothing'), L . Bloomfield ('Mathematics is merely the best that language can do'; 'Mathematics, the ideal use of language') and L . Hjelmslev have long had the feeling that it is both possible and necessary to study linguistic structures with the aid of mathematical structures.

Linguistics was for a long time exclusively a science of observation, in which results were obtained through induction and generalization, by comparing the different phases in the development of a language or phenomena found in different languages. But this one-sided attention to the problem of the evolution of languages, and the accumulation of a great mass of individual facts, generally to be explained by semantics, psy­chology or sociology, led to m a n y unsatisfactory situations and, indeed, to contradictions and vicious circles. People felt the need for arranging the facts into an ordered scheme, with the idea that this should m a k e it possible to isolate the basic notions of linguistics, to understand the order of com­plexity of notions and facts, to distinguish between what is assumed as given by intuition and what results from things already k n o w n , and to explain the facts by reference to certain general principles.

Int. Soc. Sei. J., Vol. X I X , No . I, 1967

Mathematical aspects of linguistics 53

A t the s a m e time, linguistics w a s increasingly presenting mass p h e n o ­m e n a , m a d e problematical b y the multiplicity of parameters involved, so that they could only be studied statistically.

Efforts are being m a d e , m o r e a n d m o r e , to treat linguistic facts as rela­tional p h e n o m e n a , i.e., to describe a linguistic fact b y its relations with other linguistic facts. F r o m the p h o n e m e , w h i c h is a mainly psychological a n d intuitive reality, w e m o v e on to a systematic study of the functional aspects of the sounds of the language a n d prepare the w a y for a n e w branch of study—phonology (N . S . Troubetzkoy, R . Jakobson) . T h e conflicting, semantic, descriptions of grammatical categories (as, for example , those concerning the parts of speech a n d gender) are dropped a n d replaced b y m o r e complex descriptions in w h i c h , while semantic references are retained, a major place is given to syntactic a n d paradigmatic factors. T h e use of the commutat ive proof provides a m o r e satisfactory description of syntactic subordination.

T h e basic language-speech distinction introduced b y F . de Saussure (in fact, the distinction be tween linguistic system a n d linguistic behaviour) a n d the highlighting of the fact that the p h e n o m e n a of language a n d not those of speech are the object of linguistics, o p e n u p a n e w avenue for the mathematicization of linguistics. T h e p h e n o m e n a of speech d o not inherently lend themselves to study based o n mathematical structures. H o w e v e r , just as, in h u m a n medicine, the experimental m e t h o d can b e used thanks to the analogies between the h u m a n system a n d that of other animals, the study of language p h e n o m e n a can take advantage of the axiomatic-deductive m e t h o d , thanks to the analogies between certain aspects of these p h e n o m e n a a n d certain mathematical constructions. It is in this w a y that the m e t h o d of mathematical m o d e l construction is being introduced into linguistics.

But , while paving the w a y for the introduction of mathematical m e t h o d s in linguistics, structural linguistics developed for m a n y years without in fact using such m e t h o d s . A few attempts at reducing our knowledge in this field to a b o d y of axioms, such as Bloomfield's [8]1 a n d Bloch's [7] fall far short of the exactitude d e m a n d e d for mathematical description. Hjelmslev's ideas o n the subject of introducing algebra into linguistics [31, 32] h a v e gone n o further, for algebra is wanting in his descriptions. But all these works are nonetheless preparing the w a y for the gradual linking-up of linguistics a n d mathemat ics .

T h e development of cybernetics a n d the advent of large computers are playing a most important part in this respect. Efforts are being m a d e , increasingly, to adapt linguistic messages to the properties of channels o f communica t ion (radio, television, telephone, etc.) other than the h u m a n voice, a n d to encode these messages so that they can b e understood b y a c o m p u t e r (with a view to m a c h i n e translation, mechanical documentation, data processing, etc). T h e formalization of linguistic descriptions is ceasing,

1. The figures in brackets refer to the bibliography at the end of this article.

54 Solomon Marcus

to be solely a matter of theoretical speculation; it is becoming an obligatory premise of applied linguistics. T h e criterion of the formal character of a linguistic description is n o w objective and precise—the ability to be under­stood by the machine. T h e birth of mathematical linguistics in fact dates from the time w h e n this criterion was so defined, i.e., from the beginning of the second half of the twentieth century.

At the same time, structural linguistics is continuing to develop m u c h more rapidly, in the context of a n e w scientific revolution. T h e sixth decade of this century is witnessing two.events of great importance for the mathe-maticization of linguistics—a n e w stage in linguistic binarism, namely phonological descriptions based on the theory of binary distinctive features (Jakobson, Fant, Halle, Cherry [9, 34]), and the n e w advance in descrip­tive linguistics (Harris [26], Hockett [33], etc,).- Linguistic binarism, developed especially in phonology, enables this science to m a k e use of the theory of Boolean algebras, as Belevitch has shown [6], and of code theory (a n e w branch of cybernetics), as Apostel, Mandelbrot and M o r f [1] have shown. While following the indications given by R o m a n Jakobson, most of the mathematical models of the phoneme that have been proposed in recent years are based essentially on binary descriptions, and place binary distinctive features in the forefront as elements of a phonological code [44]. Furthermore, by directing attention to distribution and context, the de­velopment of descriptive linguistics is opening up the w a y for applying algebra (including the theory of free half-groups) to linguistics. This is where the analytical models of grammar , introduced by Kulagina [36] and developed by Dobrusïn [15], Uspenskií [55], Revzin [53], Marcus [43], Gladkii [18, 19], Nebesky [47, 48], Novotny [49, 50], M a y o h [45] and others come in. A few of the basic notions and results in this field are outlined below.

Let F be a finite set (the vocabulary) of elements called words and P a par­tition (decomposition into disjoint sets) of V. Let us designate by P(a) the P term which contains the word asV. Let L be a collection of sentences on V (finite sequences of words). A n y sentence in L is said to be marked. A sequence P1 P2 • • • Pn of terms of P is said to be a P-structure. T h e series P(a1) P(a2) . . . P(an) is the P-structure of the sentence a1 a2 . . . an (here n is the length of the sentence). T h e P-structure of a sentence in L is said to be marked. Given two terms P(a) and P(b) of P it is said that P (a) P-dominates P(b) and w e write P(a) ->- P{b) if, whatever the P-structures Qi1 and @ 2

such that @ x P(a) ® 2 is marked, the P-structure @ j P(b) ®2 is also marked. If P(a) P-dominates P{b) and P{b) P-dominates P(a), P(a) and P(b) are said to be P-equivalents and w e write P(a) < > P(b). Let us designate by P1(a) the join of all the terms of P which are P-equivalent to P(a). T h e sets P1(a) define a n e w partition of P denoted by P 1 and called the derivative partition of P . If P(a) is interpreted as the set of the flexional forms of the word a, P 1 (a) is a model (therefore an approximation) of the part of speech of a.

Let us designate by E the unity partition of V; w e therefore have E(a)

Mathematical aspects of linguistics 55

= { a }, whatever aeV is. T h e ¿^-domination has special linguistic sig­nificance—if a ¿^-dominates b, then the morphological h o m o n y m y apparent a m o n g the flexional forms of a is less than or equal to that occurring a m o n g the flexional forms of b. If a ¿^-dominates b, but b does not ¿^-dominate a, the morphological h o m o n y m y in P(a) is less than in P{b). For instance, in written French, the word beau is ^-equivalent to the word laid, beau ¿?-domi-nates the word maigre, but maigre does not ¿^-dominate beau.

T h e derivative partition E1, usually designated by S, is the partition of V into distribution classes. T h e distribution class of a word a contains all the words with the same distribution (that is, which are possible in the same contexts) as a. Given a set A of words, let us designate by G(A) the set A u Alt where Al is the set of words b such that, whatever aeA m a y be, the word a ^-dominates the word b. G(A) is the grammatical category gener­ated by A. If A is a distribution class and if there is no word foreign to A which dominates every word of A, G(A) is said to be an elementary gramma­tical category, in this case, G(A) exactly contains the words a such that all the grammatical values of any word in A are also grammatical values of a. For instance, in written French, if A = S {beau), w e have G (A) = S (beau) u S (heureux) u S (analytique) u S (kaki). T h e masculine and singular values of beau belong to all the other words of G(A). A n y g r a m m a ­tical category in the traditional sense is a join of elementary grammatical categories. For instance, the masculine category of French qualifying adjectives is the join G (S [beau]) u G (S [beaux]). It can be shown that any join of grammatical categories is another grammatical category, which proves that grammatical categories in the traditional sense are also grammatical categories in the sense defined above.

T h e various types of subordination and syntagm that w e find in the structure of a proposition can be described with the aid of the notion of configuration. There are various notions in linguistics expressing the fact that certain groups of words behave, in certain contexts, like one word (or morpheme) . W e would mention the notion of syntagm (see, for example, MikuS [46]), constituent (Bloomfield [8], Pike [51], Wells [56]), etc., construction (Gleason [20]), and so on. A configuration is not identical with any of them, but has something in c o m m o n with each. T h e notion of configuration makes it possible to detect, by recursion, various degrees of syntactic subordination. A configuration of rank one is a sentence f with a length greater than or equal to 2 , possessing the following property—there is a word a such that, whatever the sentences g and h m a y be, the sentences gfh and gah are both marked or both unmarked. T h e word a is a resultant of the configuration. A n y sentence containing no configuration of rank one is a structure of rank one. Let us assume that the configurations and structures of every rank below n have been defined. A configuration of rank n (with a resultant a) is a sentence/, greater than or equal to 2 in length, such that there is a word a possessing the two following properties: (1) whatever the sentences g and h m a y be, where gfh is a marked structure of rank n-i, the sentence gah is also marked; (2) whatever the sentences <p and ty m a y be,

56 Solomon Marcus

where the sentence <p a I|I is marked, the sentence <pf<\) is also marked. A n y sentence containing no configuration of rank n is a structure of rank n. Syn-tagms of the type of secondary adverb + main adverb (such as very clearly) in English are configurations of rank one (with a main adverb resultant); those of the type adverb + qualifying adjective (such as très beau in French) are configurations of rank two (with a qualifying adjective resultant); those of the type qualifying adjective + noun or noun + qualifying adjective (such as homo bonus in Latin) are configurations of raffle three (with a noun resultant) ; those of the type transitive verb + direct object (such as litaet knigu in Russian) are configurations of rank four (with a transitive verb resultant).

T h e typological classification of languages finds its models in some of the above notions. A few examples will suffice. A language with a paradig­matic -structure is a triplet T — { V, P, L }. T is adequate if S(a) ç P' (a) for any asV. A n y natural language is adequate, but there are parts of natural languages which are not. T is said to be isolating if P(a) = { a } for any aeV. T is said to be homogeneous if P(a) n S(b) # o implies P(b) n S(a) # o. Isolating languages like Chinese or Vietnamese are always homogeneous. Factors producing non-homogeneity are the existence of the singularia or of pluralia tantum and the existence of the neuter gender. French, Italian and Spanish are less homogeneous than English, R o m a n i a n is less homogeneous than French, Russian and Polish are less homogeneous ihan Romanian .

While structural linguistics introduced mathematical methods fairly late, it must be said that these methods have a m u c h older history in non­structural linguistics, particularly with regard to probabilistic and statistical methods. T h e mathematician V . I. Bunjakowski foresaw the importance of these methods for linguistics ove^- a hundred years ago (see above). T h e celebrated Markov chains, introduced into the theory of probability at the beginning of this century, were suggested by linguistics (succession of the elements in the spoken chain). A few decades ago, Z^Pf's ^aw established that, in a sufficiently long text, the frequency of a word's occurrence in the text is inversely proportional to that word's rank in a list in which the words in the text are ranked in decreasing order of frequency. This empirical relationship brought to light by a psychologist (Zipf) and a stenographer (Estoup), was subsequently defined more precisely and improved by Mandelbrot [41] and today its justification is strictly established (see also [31]). A large n u m b e r of statistical studies on vocabulary and style have been started in the twentieth century. Dictionaries of frequencies have been compiled for most of the major languages. A m o n g the books setting out the notions, methods and results of statistical linguistics, mention m a y be m a d e of those by Yule [57], Guiraud [23, 24], Herdan [28, 29, 30], and Frumkina [16]. T h e last fifteen years have seen the introduction of the methods of information theory into linguistics. T h e already classic study by Shannon [54] started a n e w trend in linguistics concerned with the study of the entropy and redundancy of natural language. While the study of lexical entropy is fairly far advanced for m a n y languages (here

Mathematical aspects of linguistics 57

the assistance of computers is vital), the study of grammatical entropy is still relatively little developed.

There is no cause for surprise in the fact that statistical methods are in advance of non-numerical structural methods. T h e mass phenomena of linguistics readily lend themselves to statistical investigations, even in their pre-structural state, whereas non-numerical mathematical methods— concerning various types of structures (order, metric, topology, group, hull, ring, lattice, diagram, category)—call for m u c h greater maturity from structural linguistics, a maturity acquired, though partially, only very recently. But there is still hesitancy over tackling one crucial problem, that of basing statistical research on the results achieved by structural analysis.

Let us n o w turn to another important branch of mathematical linguistics: generative grammars. While its linguistic antecedents go back to the g r a m m a r of Port Royal, its true origins are to be sought in the development of mathematical logic and mathematical machines.

T h e development of set theory—a vast synthetic branch of sludy—in the nineteenth century m a d e it possible to give nearly every branch of mathematics n e w foundations and a n e w formulation. Studies on the mathematical infinite m a d e great strides. But these studies soon led to paradoxes and antinomies. Methods of demonstration which were strict enough for the study of finite collections of objects turned out to be in­sufficiently strict, for the study of infinite collections. Such very c o m m o n reasonings as 'if A is true then non-A is false', based on the millennial experience of the h u m a n race applied, however, to finite collections, led to contradictions as soon as they were extended to infinite collections. For centuries, the last word in mathematical rigour was the axiomatic-deductive method. T o remove the difficulties which had arisen as a result of the development of set theory, Hubert (between 1917 and 1924) introduced and studied the notion of formal system. W e shall n o w proceed to outline some of the features of the theory of formal systems, for it is in this theory that w e find the origins of the generative grammars introduced and studied by Chomsky [10, 11, 12, 13] (see also [5]).

A n y collection of sentences on F is a language on V. Let us consider, using the notations already introduced, a decomposition of L into two disjoint sets Lx and L2. T h e sentences of Lx will be terms, whereas those of L2 will be relations. Let us take a part T of Z,a; any sentence of T will be a theorem. T h e system 2 = ( V, L 1 ; L„, T) is a formal system. W e thus see that to define a formal system is first of all to define a language L on V, then three sub-languages Lx Z,2 , and T ofL such that Lx u L2 = L and T c £,„ which shows the linguistic aspect of a formal system. This is not by chance; the concerns of meta-mathematics m a k e it necessary to consider mathe­matics as a language whose structure will reveal the fundamental nature of mathematical reasoning.

Given a scientific theory T , an interpretation of S in T is defined a sa correspondence linking up with any term of S a concept of T , and with

58 Solomon Marcui

any relation of S a proposition (true or false ) of T , in such a w a y that any theorem of S is matched by a true proposition in T . In this case, it is said that the theory T has been formalized (with the aid of the system 2j . Here w e have the strict concept of formalization, which is so important today in linguistics.

T h e theorems of a formal system are usually defined with the aid of two auxiliary notions—the notion of axiom and the notion of demonstrative text. Let A be a part of L2; any sentence of A will be an axiom. A demons­trative text is denned as a sequence of relations (that is to say, of sentences of Z,2) such that any relation in that sequence either is an axiom or can be obtained from the preceding relations in the sequence by using a definite set R of rules. A theorem is then a relation contained in at least one demons ­trative text.

It is the introduction of theorems with the aid of axioms and demons ­trative texts which constitutes the mathematical model for generative grammars . A g r a m m a r G of a language L is a finite set of finite rules generating the sentences of L and these sentences only. In the rules of g r a m m a r w e m a y introduce elements other than those in V (to simplify the datum of the grammatical rules, for example); w e shall designate by W the set of these elements of which there is a finite n u m b e r , and w e shall call V terminal vocabulary and W auxiliary vocabulary. G r a m m a r and language are denned on the vocabulary U — V u W. In these circum-tances, w e can give the rules of g r a m m a r the form: (R) : <p ->- dy. Here , cp and 41 are finite sequences of elements of U, the arrow between cp and <\i meaning 'is rewritten'. W contains a symbol P distinguished as the axiom of the grammar. W e shall say that a sequence <\i derives from a sequence cp and w e shall write cp -*- tp, if there is a set cp^ . . . , cp¿, . . . , cpn of sequences on ¿7 such that cpt = cp, <pra = <\i and if for i < i < n, w e have cpi — i ->-cpí. W e shall call such a set of cpt a (^-derivation of <\i. A sequence <\i is said to be terminal if it comprises no symbols of W. T h e language L enumerated (generated) by g r a m m a r G is the set of terminal sequences that can be derived from P 6 W by means of the rules of G. These definitions are in fact those of the formal systems used in the formulation of mathematical theories. A g r a m m a r G consisting of axioms and rules is a theory consisting of axioms and productions, a sentence generated by G is a theorem, a derivation of such a sentence is a demonstrative text containing this theorem (Gross [32]).

T h e purpose of a g r a m m a r is to be able to generate, with the help of a finite set of rules, an infinite set of sentences. This possibility is to be explained by the existence, in natural languages, of recursive processes making it possible to understand even sentences heard for the first time (but constructed with the aid of processes used before).

There are various classes of generative grammars . A g r a m m a r is said to have a finite number of states if, for any rule cp -*- <\i, cp is an element of W, whereas <]> is either of the form aB or a, with a e V, B 6 W, or of the form Ba or a, with aeV,BeW. W e therefore have two types of grammars with

Mathematical aspects of linguistics 59

a finite number of states: A ->- aB, A ->- a or A -*- Ba, A-*- a. A n y language generated by a finite state g r a m m a r is said to be a regular language. For these languages see, in particular, Kleene [35] and Chomsky-Miller [12]. A n y finite language is regular, but the converse is not true.

A grammar is said to be context-free if, for any rule cp ->- <\i, <p is a single symbol of W (9 = A e V), whereas <|; is any sequence of V. T h e axiom of the grammar is P 6 W. A language is said to be context-free if it is generated by a context-free grammar. A n y regular language is context-free, but not vice-versa.

T h e linguistic origin of context-free grammars is to be found in the models of immediate constituents of Wells [56] and Harris [26].

Each type of generative grammar is equivalent to a certain type of mathematical machine. T h e most general mathematical machine (which is at the same time an electronic computer model) is the Turing machine. It is an idealized machine m a d e up of the following parts: a finite automaton characterized by a number of finite states Sj, the automaton being able to change state under the influence of information fed in from outside; a reading, writing and erasing head operating on a cell which can be occupied by a symbol of a finite vocabulary V = { at }, that m a y be considered as universal—that is to say, on which all finite automata will be defined; a potentially infinite tape consisting of juxtaposed cells which, under the influence of the automaton, can be shifted by one cell at the most, to the right or left of the input-output device.

A state of the machine is defined by a<, Sj, which means: en is read w h e n the machine is in state Sj.

T h e operation of the machine is linked to a finite number of rules determining the permitted movements for the permitted state of the machine: these rules give the symbol at which must be written in place of ai, the next state Sm in which the automaton must be, and the movement ( M ) of the tape—left (G) or right (D) or no movement (O) . W e shall therefore have rules: (ai,Sj) ->- (a¡c,Sm,M). A n initial state S0 is distin­guished in which the machine starts up by acting on a piece of information represented on the tape by a series of symbols of the vocabulary ai (Gross

[22]). T h e most significant aspects of regular languages derive precisely from

their equivalence to a certain type of Turing machine, namely the finite automaton [52, 4]. A language L on the vocabulary V is regular if—and only if—the sentences on V are distributed, in relation to L, solely in a finite number of distribution classes. With the aid of this characterization, it can be shown that certain syntactic constructions, e.g. co-ordination, arc compatible with the regularity of a language; in other words, if L is a regular language, the language L, obtained by adjunction to L of the sentences constructed by co-ordination (starting from L) is also a regular language [4, 42]. This phenomenon is capable of very wide application. However, m a n y syntactic structures, e.g. conditional constructions, go beyond the possibilities of a finite state g r a m m a r .

6o Solomon Marcus

T h e context-free grammars correspond to a m o r e general type of Turing machine than the finite automaton, namely the pushdown store automaton. A n essential property of context-free languages which distinguishes them from regular languages is the 'nesting' or 'self-embedding' property of a structure. A symbol A 6 W is self-embedded if w e have a derivation of A such that A =#- <pv A <p2, where <p1; and <p2 are non-empty sets on U. It is this property which enables us to formulate recursive rules for natural-language sentences such as The garden where the cabbage that the goat that the wolf that the hunter is looking for, hankering after, eating, growing is well fenced in, whereas that was not possible with the regular languages. T h e importance of context-free languages stems, a m o n g other things, from the fact that they m a k e it possible to effect sequence-nesting recursively. T h e syntax of computer languages such as ALGOL, LISP and FORTRAN is of the context-free type, while that of COMIT is indeed a finite state syntax. Most of the grammars used in machine translation are also context-free (Gross [22]).

There is a great variety of g rammars equivalent to context-free grammars , W e would mention here the categorial grammars and projective grammars.

T h e categorial grammars , introduced by Bar-Hillel, Gaifman and Shamir, originated with the mathematical logic research conducted by Ajdukiewicz and Lesniewski on syntactic types, with Bar-Hillel's syntactic model of quasi-arithmetical notation [2], and with L a m b e k ' s calculus of syntactic types [37, 38]. L a m b e k observes that in physics it is possible to determine whether an equation is correct by comparing the dimensions of the two m e m b e r s of the equation, and raises the question of linking up with the words of a natural language certain syntactic types such that the grammatical correctness of a proposition can be checked by a calculation on the syntactic types of its terms. Categorial grammars retain the genera­tive aspect of this question. T h e equivalence of categorial grammars and context-free grammars has been shown by Bar-Hillel, Gaifman and Shamir [3].

A g r a m m a r is said to be projective if the language that it generates is projective. A language is said to be projective if all its sentences are projective. A sentence a1,ai . . . OÍ . . . a» is said to be projective if, whenever ûj is subordinate to a¡, (1 < i,j < n), at is also subordinate to OJ, whatever k m a y be, so that min (i,j) < k < m a x (i,j). T h e notion of projectivity has been introduced and studied by several authors [25, 27, 39, 40 , 43]. Mos t sentences of natural languages are projective. T h e projectivity of a sentence is equivalent to the continuity of its constituents. T h e equivalence between projective grammars and context-free grammars has been established by Gaifman [17].

There are languages which are not context-free. For example, if flrfa, . . . , sn are substantives, while a1}a2, . . . , an are adjectives, in sentences of the form The where s^s^ . . . , s„ are respectively aua2,..., an, the constraints between s¡ and a¡ ( 1 < i < n) are context-free only for limited values of n. But languages which are not context-free are as yet very little k n o w n .

Mathematical aspects of linguistics 61

It is to b e expected that a m o r e thorough study will be m a d e of the

links between the analytical models and the generative models of language.

Moreover , transformational g rammars , setting out to supplement immediate

constituent g r a mmar s , will probably fit into the frames of mathematical

rigour (see, for example, Öulik [14]).

BIBLIOGRAPHY

1. A P O S T E L , L . ; M A N D E L B R O T , B . ; M O R F , A . Logique, langue, théorie de l'information. Paris, Presses Universitaires de France, 1957.

2. B A R - H I L L E L , Y . A quasi-arithmetical notation for syntactic description. Language, vol. 29, 1953, p. 47-58.

3. ; G A I F M A N , H . ; S H A M I R , E . O n categorial and phrase structure grammars. Bulletin qfthe Research Council of Israel, vol. 9 F , i960, p. 1-16.

4. ; S H A M I R , E . Finite state language: formal representation and adequacy problems. Bulletin of the Research Council of Israel, i960, p. 155-66.

5. ; P E R L E S , M . ; S H A M I R , E . O n formal properties of simple phrase structure grammars. Zeitschrift für Phonetik, Sprachwissenschaft und Kommunikationsforschung, vol. 14, 1961, p . 143-72.

6. B E L E V I T C H , V . Langage des machines et langage humain. Collection Lebigue, 1956.

7. B L O C H , B . A set of postulates for phonemic analysis. Language, vol. 24, 1948, p . 3-46.

8. B L O O M F I E L D , L . A set of postulates for the science of language. Language, vol. 2 , 1926, p . 26-31.

9. C H E R R Y , E . C ; H A L L E , M . ; J A K O B S O N , R . Toward the logical description of

languages in their phonemic aspects. Language, vol. 29, nos. 1, 2, 1953, p . 34*47-10. C H O M S K Y , N . Syntactic structures. T h e Hague , Mouton & C o . , 1957. 11. . Formal properties of grammars. In: R . D . Luce, R . R . Bush, E . Galant-

ner (eds.), Handbook of mathematical psychology, vol. 2, N e w York-London, Wiley, 1963, P- 323-4I8-

12. ; M I L L E R , G . Finite state languages. Information and control, vol. 1, 1958, p. 91-112.

13. ; . Introduction to the formal analysis of natural languages. In: R . D . Luce, R . R . Bush, E . Galantner (eds.), Handbook of mathematical psycho­logy, vol. 2, N e w York-London, Wiley, 1963, p . 269-322.

14. C U L Í K , K . O n some transformations in context-free grammars and languages. Text presented at the S u m m e r Seminar of Linguistic Mathematics (June-August 1965). Massachusetts Institute of Technology, February 1966.

15. D O B R U S I N , R . L . Matematiéeskie metody v lingvistike. Prilozenie. Matemati-ceszoe prosvescenie, vol. 6, 1961, p. 52-9.

16. F R U M K I N A , R . Statisticeskie metody izucenija leksiki. Moscow, 1964. 17. G A I F M A N , H . Dependency systems and phrase-structure systems. Information

and control, vol. 8, no. 3, 1965, p. 304-37. 18. G L A D K I I , A . V . Konfiguracionnye harakteristiki jazykov. Problemy kibernetiki,

vol. 10, 1963, p. 251-60. 19. ——. O b o d n o m sposobe formalizacii ponjatija sintaktièeskoi sviazi. Problemy

kibernetiki, vol. 11, 1964, p. 199-213. 20. G L E A S O N , H . A . Jr. A n introduction to descriptive linguistics. N e w York.

Holt, Rinehart and Winston, 1961. 21. GoTUSSO, L . U n a dimostrazione elementare della legge sperimentale di Estoup-

Zipf. Rendioconti di Mathematica e Appl. 5e série, vgl. 22, 1963, p. 273-81. 22. G R O S S , M . Linguistique mathématique et langages de programmation. Revue

française du traitement de Vinformation. Chiffres, vol. 6, 1963, p. 231-53.

62 Solomon Marcus

23. G U I R A U D , P . Les caractères statistiques du vocabulaire. Paris, Presses Universitaires de France, 1954.

24. . Problèmes et méthodes de la statistique linguistique. Dordrecht (Holland), 1959. 25. H A R P E R , K . E . ; H A Y S , D . G . T h e use of machines in the construction of a

g r a m m a r and computer programme for structural analysis. Proceedings of the International Congress on Information Processing. Paris, Unesco, 1959.

26. H A R R I S , Z . S. Methods in structural linguistics. Chicago, University of Chicago Press, 1951.

27. H A Y S , D . G . Dependency theory: a formalism and some observations. Lan­guage, vol. 40, no. 4 , 1964, p. 511-25.

28. H E R D A N , G . Language as choice and chance. Groningen, M o u t o n & C o . , 1956. 29. . Type-token mathematics. The H a g u e , M o u t o n & C o . , i960. 30. . The calculus of linguistic observations. T h e H a g u e , M o u t o n & C o . ,

1962. 31. H J E L M S L E V , L . Prolegomena to a theory of language. Baltimore, 1953. 32. . L a stratification d u langage. Word, vol. 10, 1954, p . 163-88. 33. H O C K E T T , C . F . A course in modem linguistics. N e w York, Macmillan, 1958. 34. J A K O B S O N , R . ; F A N T , G . M . ; H A L L E , M . Preliminaries to speech analysis: the

distinctive features and their correlates. Technical report, no. 13, chap. II, Boston, Massachusetts, 1955, p. 16-155.

35. K L E E N E , S. C . Representation of events in nerve nets and finite automata. In: C . E . Shannon, J. McCarthy (eds.), Automata studies, Princeton, Princeton University Press, 1956, p . 3-41.

36. K U L A O I N A , O . S. O b o d n o m sposobe opredelenija grammatioeskih ponjatii na baze teorii mnozestv. Problemy kibemetiki, vol. 1, 1958, p . 203-14.

37. L A M B E K , J. T h e mathematics of sentence structure. American mathematical monthly, vol. 65, 1958, p. 154-70.

38. . O n the calculus of syntactic types. Proceedings of the Symposia of Applied Mathematics, vol. 12, Structure of language and its mathematical aspects. American Mathematical Society, 1961, p. 166-78.

39. L E C E R F , Y . Programme des conflits-modèles des conflits. Rapport C E T I S , Euratom, no. 4, i960, p. 1-26.

40. ; I H M , P . Éléments pour une grammaire générale des langues projectives. Euratom, Rapport C E T I S , no. 1, i960, p. 1-19.

41. M A N D E L B R O T , B . Théorie mathématique de la loi d'Estoup-JZipf Paris, Institut de Statistique de l'Université, 1957.

42. M A R C U S , S. Gramatici si automate finite. Bucarest, Editura Academiei R . P . R . , 1964.

43. . Algebraic linguistics; analytical models. N e w York, Academic Press, 1966. 44. . Le modelage mathématique en phonologie. Méthodes, résultats et

significations. Cahiers de linguistique théorique et appliquée, vol. 3, 1966. 45. M A Y O H , B . H . Simple structures defined on a transitive and reflexive graph.

Revue roumaine de mathématiques pures et appliquées, vol. 11, no. 1, 1966, p. 43-51. 46. M I K U S , R . F . Die klassische Gramatik und des syntagmatische Strukturalismus.

Zeitschrift für Phonetik, Sprachwissenschaft und Kommunikationsforschung, vol. 15, no. 1-2, 1965.

47. N E B E S K Y , L . Conditional replacement of words. The Prague bulletin of mathema­tical linguistics, no. 3, 1965, p. 3-12.

48. ; S G A L L , P . Algebraická (lingvistika, dans P . Sgall a kolektiv, Cesty moderni jazykovedy. Mala modemi encyklopedie. Praha, Orbis, 1964, p. 72-102.

49. N o v o T N Y , M . O b algebraizacii teoretiko-mnoiestvennoi modeli jazyka. Problemy kibemetiki, vol. 15, 1965, p. 235-44.

50. . O n some algebraic concepts of mathematical linguistics. Prague studies on mathematical linguistics, vol. 1, 1966, p . 125-40.

51. P I K E , K . L . Taxemes and immediate constituents. Language, vol. 19, no. 2, 1943, p. 70.

Mathematical aspects of linguistics 63

52. R A B I N , M . ; S C O T T , D . Finite automata and their decision problems. I.B.M. Journal of research development, vol. 3, no. 2, 1959, p. 114-25.

53. R E V Z I N , I. I. Modeli Jazyka. M o s c o w , Izdatelstvo Akademii N a u k S S S R , 1962. 54. S H A N N O N , C . E . Prediction and entropy of printed English. Bell system

technical journal, no. 30, 1951, p. 50-64. 55. U S P E N S K I Í , V . A . K opredeleniju èasti reâi v teoretikomnozestvennoi sisteme

jazyka. Bjulleten Obedinenija po problemam masinnogo perevoda, no. 5, 1957, p. 22-6. 56. W E L L S , R . S. Immediate constituents. Language, vol. 23, ig47,p. 81-117. 57. Y U L E , U . G . T h e statistical study of literary vocabulary. Cambridge (England),

1944-

Solomon Marcus is professor at the Faculty of Mathematics and Mechanics of the University of Bucharest and chief of a research section at the Mathematical Institute of the Romanian Academy of Sciences. He has published over eighty articles on the function of real variables in many countries, and over thirty on mathematical linguistics. The first of his several books Mathematical Linguistics, was published in Romanian in ig6s; Algebraic Linguistics: Analytical Models appeared in English (New York ig66) and Introduction Mathé ­matique à la Linguistique Structurale is to be published in French shortly.

Linguistics and automatic translation

I. A . Melchu^k

Twenty years ago the very expression 'automatic translation' (or machine translation) would have seemed meaningless to the linguist and, no doubt, to any reader.

T e n years ago, 'automatic translation' (AT) was discussed only by a small circle of specialists, while the scientific general public viewed it with curiosity, amazement and even perplexity. Today it has become a familiar concept; it is k n o w n and discussed everywhere; scientific works and popular articles are written about it; the main linguistic journals of the world publish papers on A T and the universities of at least ten countries include it in their philology courses.

However, familiar does not m e a n comprehensible. So far there is no single, universally adopted conception of A T and its place a m o n g other disciplines. Moreover, there is a very widespread, very narrow and, in our opinion, mistaken attitude, which consists in regarding A T purely as an applied discipline and primarily as a technical problem with a practical orientation (i.e., directed towards industrial and economic purposes). In other words, while A T is acknowledged to be of great value and no less scientific interest, it is conceived as a kind of linguistic engineering, somewhat analogous to the manufacture of a n e w type of electric razor or the technical development of a n e w product.

T h e purpose of this paper is to give a methodical and well-founded exposition of another conception of A T , without presenting an all-round view or going into all the fundamental problems and concrete results achieved in recent years. Without being too technical, with the m i n i m u m of references and concentrating solely on the ideological aspect, w e shall try to demonstrate, on the basis of well-known facts and c o m m o n ¡sense, that in principle the solution of A T problems m a y be reduced to the construction of exhaustive operational models for language in general and a series of natural languages in particular, regarded as means of c o m m u ­nication, and this seems to us to coincide with the central problem of synchronic linguistics. A n d so there appears to be no clear-cut natural

Int. Soc. Set. J., Vol. X I X , N o . i, 1967

Linguistics and automatic translation 65

boundary between A T in the broad sense and synchronic linguistics (both theoretical and descriptive linguistics).

In the early years of A T , linguists working in this field stated their problem as follows: ' W e want to teach a universal electronic computer to translate texts (mainly technical texts) from one language into another. T h e h u m a n translator can do this by making use of the information he possesses on the two languages and their word equivalents (such data—the s u m total of all essential data—are contained in full in grammars, dic­tionaries, etc., and are assimilated by the student during his study of the language). Translation m a y be regarded as a simple elementary operation. Accordingly, all w e have to do is to present the data in our possession on a pair of languages, word equivalents and the translation process, in a form accessible to the machine, namely in the form of an algorithm adapted to a particular pair of languages and to a given machine. T h e task of the linguist working on A T m a y be s u m m e d up in the elaboration of algo­rithms of this type.'

Let us consider the principles implicit in this view: 1. There are in existence entirely acceptable theories of language and

translation and in addition sufficiently complete and adequate de­scriptions of natural languages; it is not necessary to modify them in essence, but merely to adapt them to the practical problem of A T .

2. Translation is a fairly simple linguistic operation, perhaps even the simplest of all; consequently it is here that w e should start with the mechanization of linguistic activity and in general of intellectual activity.

3. All necessary data concerning a language should be presented by the linguists in the form of special descriptions—algorithms capable of the process of analysis or synthesis of given linguistic objectives (as opposed to the 'static', 'classificatory' descriptions of traditional linguistics). For this reason linguists have concentrated on c o m m a n d routines and on details of text processing, as manifested in the search for 'operational morphology' and 'operational syntax'.

4. W h e n constructing an algorithm, the linguist must have in mind a given computer or at least the performances of existing computers. For this reason linguistic descriptions were established in the light of low-capacity machine memories and/or c o m m a n d routines for specific machines (which explains the frequency of the terms 'cell', 'address', etc., in early linguistic papers on A T .

However, even in the first years of research on A T it was realized that the problem could not be tackled in this manner.

At present most researchers start from quite different premises, which m a y be summarized as follows.

In the first place, there is no 'ready-made' theory of language and no 'ready-made' descriptions of natural languages which merely have to be applied, or to some extent adapted to A T . Moreover, in linguistics little attention has been paid to h o w a m a n understands the meaning of a text and h o w he expresses the thought he needs. But this is of vital importance

66 Igor A . Melchuk

for A T . In addition, the degree of strict logic and accuracy in traditional linguistic work was below the level required by A T .

In the second place, translation is not a simple linguistic operation: it m a y be divided into two stages, comprehension (analysis) and expression (synthesis). In order to translate a text, w e must first understand it (if only superficially), that is to say, w e must extract from it a certain message which must be conserved in translation; and this message must then be expressed appropriately in the target language. All A T algorithms elab­orated so far (several dozen!) break d o w n into analysis and synthesis, which is not a matter of chance, but corresponds to the nature of things. For this reason, before there can be any question of elaborating high-quality algorithms for automatic translation proper, it is necessary to start by developing satisfactory algorithms for automatic analysis and synthesis. For this purpose a convenient notation system must be devised, in order to record the results of analysis and the initial data of synthesis, which makes it necessary to define the required depth of analysis (and therefore of the beginning of synthesis). In other words, the most urgent problem facing linguists working for A T , after choosing a satisfactory practical depth of description from the syntactic or semantic standpoint, is to elab­orate formal rules for passing from text to description and vice versa, i.e., to construct dynamic models of comprehension and expression.

In these circumstances translation at syntactic level only is often impos­sible; in order to obtain high-fidelity A T it is necessary somehow to detect the message so as to secure 'meaningful' translation and to create models of comprehension (analysis) for the transition 'text -*- meaning' and models of expression (synthesis) for the reverse operation 'meaning ->- text'. It is quite clear that at present most research on A T concentrates on auto­matic analysis and (to a less extent) on synthesis. Translation as such remains at present on the fringe of scientific attention; in fact, automatic translation is left without any translation!

In the third place, it seemed reasonable to separate the description of language units proper, their meaningful (or syntactic) characteristics, and the equivalences between the two, from the description of the process of moving from units to characteristics, and vice versa.

W e have in mind the breakdown of A T systems (and in general the automatic processing of a text) into 'grammar' and 'mechanism', or 'grammar' and 'universal algorithm', or 'table of linguistic constants' and 'algorithm proper', etc. This breakdown is in fact adopted and practised everywhere. M o r e specifically, the first part, 'grammar' , is concerned with the description of the actual language (units, characteristics, equivalences) and belongs entirely to the linguist's province. T h e second part, ' m e c h ­anism', models the processing which the h u m a n user does on the data in his head, and this part has to be studied not only by linguists, but also (perhaps even in the first place) by psychologists and mathematicians. In particular, the search for the opt imum process for moving from objects of one type to objects of another type (e.g., from natural language sentences

Linguistics and automatic translation 67

to their syntactic structures) m a y be interpreted as a strictly mathematical problem, analogous to problems of linear p r o g r a m m i n g or discrete analysis.

A t the present time, linguists working on A T rightly concentrate o n the construction of natural language ' g r a m m a r s ' a n d their theory. Accordingly, in the most important, purely linguistic sector of A T there are no algorithms in the strict sense, although even quite recently these seemed to be the dominant feature of linguistic research on A T .

In the fourth place, while working on natural language description and/or language theory for A T purposes, the linguist should not restrict himself to one particular computer or even, m o r e generally, accept the limits of existing computer performances. Such limitations prove artificial; they deform reality a n d , however paradoxical it m a y appear, m a k e the achievement of computer linguistic descriptions m o r e difficult.

T h e only d e m a n d m a d e on the linguist is that his descriptions shall be formulated logically, strictly and exhaustively; the practical side, adaptation to a given computer, constitutes a separate problem, which the m a t h e ­maticians will solve all the m o r e easily if the basic description is not de ­formed by taking into consideration the n u m b e r of 'bits' in a m e m o r y cell or the specific range of computer routine. Linguistic research o n A T does not as a rule depend, at least as regards theory, o n the actual computer; the logical machine is felt here as a necessary scientific abstraction; potential computer performance is an adequate prerequisite ensuring the strict logic (though not the truth!) of linguistic descriptions.

[N.B. Collaboration between mathematicians a n d linguists has h a d interesting results of quite another kind; it develops habits of precision in the latter and teaches t h e m to observe facts correctly. Moreover , it must not be forgotten that in linguistics a computer has an irreplaceable role as a powerful instrument of research—rather like a telescope in astronomy; this point will be discussed later.]

A n d so automatic or machine translation (at least in its linguistic aspect) subsists even without a machine 1 .

Automatic translation with n o translation, no machines and no algo­rithms?

W h a t then should be the content of subsequent linguistic w o r k on A T ? In the author's view, there is only one possible answer: the elaboration of operational models of language, logical systems giving multiple-meaning equivalences between text and m e a n i n g in both directions. That is the problem which linguists working o n A T are in fact n o w trying to solve a n d o n their success will depend the practicability of A T in the strictest sense of the term.

It seems difficult to deny that the above problem is essentially one of linguistics. T h e study a n d description of the relationship 'text-meaning' in all its aspects (including the historical, social, psychological and other

1. This is one reason why we prefer the term 'automatic translation' to 'machine translation'.

68 Igor A . Melchuk

aspects) has always been recognized as the central problem of the science of language.

It is not by chance that in recent years the main efforts of linguists (apart from A T ) have been concentrated on the elaboration of operational models of language (cf. the most authoritative trend in modern linguis­tics—the theory of formal grammars, primarily associated with the n a m e of N . Chomsky) . T h e problem of A T thus coincides in principle with the problem of synchronic linguistics as such. This is confirmed, in particular, by the fact that most linguistic papers on A T published from 1963 to 1966, even in such highly specialized journals as La Traduction Automatique, "HayqHo-TexHH<iecKan mifcopMauHii" (Scientific and technical information), etc., or in the proceedings of the Conference on Computational Linguis­tics (New York, M a y 1965) are essentially ordinary linguistic work. There is nothing surprising in this. O n the one hand, the development of cybernetics has led quite naturally to the problem of teaching the h u m a n language to logical machines; this is the fundamental w a y of improving them and creating real 'thinking machines'. O n the other hand, the auto­nomous, inherent development of linguistics has led to the conception of operational models of language (generative/recognition grammars). But the first problem can be solved only with operational linguistic models, and these require the use of computers if they are to be verified and improved on a sufficiently wide scale. W e must point out that a computer is also necessary in 'pure' linguistics, as a research tool which not only saves h u m a n labour but can process a previously inaccessible volume of data; moreover (and this is the main point) it can undertake the experimental verification of linguistic models, which can probably not be done by any other means.

In this connexion w e would mention the interesting work on automatic sentence synthesis based on generative g r a m m a r (V. Yngve, D . A . Dinneen, A . G . Satterthwait, N . N . Arsenteva).

Nevertheless, although the fundamental problems of A T and linguistics coincide, A T is still to some extent a separate sector, possibly for the following reasons.

At the present time w e m a y detect two trends in A T — a theoretical one deriving from the conception set out above, and an empirical one aiming at constructing 'direct' (binary) algorithms as quickly as possible, even if they are very far from perfect. Most groups and most experts (in the U . S . S . R . , United States, United K i n g d o m , France and elsewhere) follow the first trend; however, the same countries also have centres engaged in con­structing and testing binary algorithms—without aspiring to solve the general problems of A T , but in the hope of perfecting these algorithms to the point of obtaining usable translations in practice. In so doing, they are accumulating valuable experimental material. Owing to the existence of this empirical 'wing', A T has not been entirely merged with linguistics.

T h e theoretical 'wing' of A T also differs from ordinary linguistics in that it specifically envisages language from the standpoint of translation, i.e., transformation of meaning. This attitude forces A T linguists to concen-

Linguistics and automatic translation 69

trate on equivalences of text and meaning (or at least, meaningful con­nexions—syntactic structure), to study and to describe first of all the 'text-meaning' relationship. O f course the argument asserting the leading role of this relationship is recognized, as w e have already seen, outside the sphere of A T ; but while it is recognized in theory, it is often forgotten in practice. In A T it is impossible to forget it. T h e 'translation approach' imposes a rigid frame of reference, which compels the researcher to m o v e only in a useful direction, to try to model the linguistic behaviour of the speaker precisely in order to conserve the 'text < > meaning' exchange.

In the near future the 'translation approach' will doubtless become essential even in linguistics. Not without reason does an authority like R . Jakobson emphasize the fact that meaning cannot be defined otherwise than by translation ('meaning is what is translated', 'meaning is the in­variant of synonymous transformations, and in particular of translation'), and that translation is one of the basic linguistic operations; N . Chomsky's transformational g r a m m a r also strengthens the 'translation approach' in linguistics (Chomsky's transformations are of a special type; the dynamic process of transforming, of obtaining something from something else, is characteristic of the 'translation approach' as opposed to the static, 'clas-sificatory' approach of former linguistics).

However, at present the systematic use of the 'translation approach' is still a prerogative of A T .

Linguistics cannot be reduced to mere synchrony: a language must be studied as a phenomenon variable in time and space, in its normality and in its pathology, in its social aspect and in its individual aspect, from the standpoint of its aesthetic function, etc.

In the context of A T , however, all these aspects of language study have not yet found their natural place. That is w h y A T remains separate from linguistics as a whole, although drawing closer to and merging with syn­chronic linguistics.

Lastly, w e cannot overlook the special status of A T research centres in all countries with regard to administrative organization.

Moreover, it is clear that there is no impassable natural boundary between linguistics and A T . There is only one science of language, with one main objective: to create an exhaustive operational model of the language in all its aspects. T h e first stage towards this model is to solve the problem of constructing a 'text < > meaning' system, i.e., a language model considered solely in its essential aspect, communication.

W h e n this problem is solved, then and only then shall w e see the birth of 'real' A T as an applied discipline, its subject-matter being to create eco­nomic, and practical translation systems, based on established linguistic theory.

Until then ' A T ' remains a vague (and perhaps even puzzling) term designating a complex research network; summing up what has been said above, w e m a y characterize it as follows.

A T is not an applied discipline aiming at 'practical' results; it quite

70 Igor A . Melchuk

simply has nothing to apply! O n one side it appears to be an experimental sector, but on the other, and most important, side it is a theoretical disci­pline dealing with the construction of operational linguistic models and thereby represents an important trend in modern linguistic theory (similar in m a n y respects to the theory of formal grammars).

W e should emphasize that the very manner in which the problem of A T is presented encourages the researcher to explore a series of ideas of fundamental value to linguistics. In the first place, there is the functional and active character of the models, as opposed to purely descriptive, taxo-nomic and static models. W e do not claim that the concept of generative and recognition grammars in linguistic theory is solely due to the influence of A T . This concept is deeply rooted in linguistics, and derives quite nor­mally from the essence of language. Nevertheless, it has been necessary to clear the w a y and do battle in its defence and it has not yet conquered the main body of linguists; whereas to the A T researcher any other approach seems meaningless and the idea of an operational model perfectly natural and usual. It is not impossible that the influence of A T m a y in fact be helping to establish this concept in its proper place at the centre of modern linguistics.

T h e other concept relates to the exchange 'text < > meaning'. It is not fortuitous that A T should be making the first attempts to develop Chomsky's idea that generative/recognition grammars should be capable of gener­ating sentences corresponding to a given meaning or of discovering the meaning of given sentences. Although this idea has long been mooted a m o n g linguists, it still has to win its rightful place, whereas in A T it derives naturally from the objective (see below).

A T thus appears as an effective catalyst helping to establish important concepts and approaches in linguistics. It is also a kind of experimental 'training ground' where linguistic theories and descriptions can be subjected to thorough detailed verification.

It would n o w no doubt be expedient to ask what A T has achieved in its fifteen years of existence.

O n the empirical side, w e can point to the development of binary algo­rithms for several pairs of languages (English-Russian, Russian-English, English-Japanese, French-Russian, etc.). These algorithms have been programmed and tested on computers in a whole series of experiments. W e give below extracts from some machine translations:

i. French-Russian. U . S . S . R . , "ripo6jieMbi KHÖepHeTHKH*. (Problems of cyber­netics), 1962, vol. 8, pp . 286-7:

Nous venons de dire que la constante: M u TOJibKO m o CKa3ajiH, H T O (ITO-arbitraire, si elle est convenablement 6w) npoH3BOjibHaa nocTOHHHan, ecjiH choisie, entre linéairement dans O H (oHa) HaAJieHcaiiiHM o6pa30M Bbi-l'intégrale générale de l'équation de ÔHpaeTC«, B X O Ä H T JiHHettHO B O Ô I K H H Riccati. En fait, nous avions déjà HHTerpaji ypaBHeHHft Riccati. fleft-obtenu ce résultat par une voie élé- CTBHTeJibHO, Mbi yn<e nojiymuiH 3TOT mentaire, quand nous avons démontré pe3yjn>TaT sjieMeHTapHUM nyteM, K O -

Linguistics and automatic translation 71

que le rapport biharmonique de quatre solutions de l'équation précé­dente est une constante. O n peut remarquer que les intégrales de cette équation ont non seulement leurs points critiques fixes, mais aussi leurs pôles fixes.

raa M U ÄOKa3ajiH, m o ( H T O Ó H ) O T H O -

uieHHe biharmonique 4 peuieHHft npe-ÄHAymero ypaBHeHH« e d b nocTo«HHan. Mbl MO>KeM 3aMeTHTb, 1TO (MTOÔbl) HH-Terpajibi SToro ypaBHeHH» HMeioT, HeT (He) TOJIbKO HX (¡)HKCHpOBaHHbie KpHTHHeCKHe T01KH, HO TaiOKe HX

4>HKCHpOBaHHbie nOJIIOCbl.

2. Russian-English. United K i n g d o m , N o v e m b e r 1964, National Physical

Laboratory, personal communication of J o h n McDanie l :

HcnoJib30BaHHe C B O H C T B O KOMMyiauHH MarHHTHoro noTOKa BHytpH pa3Bet-BJieHHoro MarHHTonpOBOÄa 3HaiH-TeJibHo ynpomaeT KOHCTpyKUHio ycTpoflcTB H yiueHbiuaeT MHCJIO B X O Ä H -

IUHX B HHX 3JieMeHT0B. OflHaKO, He-

CMOTpH Ha TO, 1TO CJIOHCHaSI (J)OpMa

pa3BeTBJieHHoro MarHHTonpOBOÄa no3BOJineT jierKO nojiyiHTb MHoro-(JjyHKUHOHaJibHbie ycTpoflcTBa, 3aMe-HdHDiuHe óoJibuioe MHCJIO npocTbix 3jie-MeHTOB, Ha npaKTHKe umpoKoe pac-npocîpaHeHHe noJiyqnjiH B O C H O B H O M ycTpoflcTBa c ÄByx- H TpexÄwpoMHofl 4>opMOH MarHHTonpoBoaa. TaKoe no-jiwKeHHe oó-bHCHüeTcfl 3HaiHTejibHbi-M H TpyAHOCTHMH, B03HHKaK)UlHMH npH Bbiöope onniMajibHOÄ KOH(})HrypauHH pa3BeTBJieHHoro MarHHTonpOBOÄa.

Allocation of properties of commuta­tion of magnetic flow inside branched magnetic circuit considerably sim­plifies structure of devices and decreases number of elements entering into (in) them. However, despite that (then), that (that) multiple form of branched magnetic circuit allows lightly to receive mnogofunccionalic devices, replacing big number of simple ele­ments, in practice wide propagation received in the main device about (from, with) two (other, few)— and trech-dyrent by form of magnetic circuit. Such position is explained by consid­erable difficulties, springing up in (with) selection of optimum configu­ration of branches magnetic circuit.

3. Russian-English. United States, University of Georgetown, Computers

and Automation, N o . 5, 1963, p . 29 (the original Russian text is not given) :

If compared words do not coincide, as a result this operation receives which anyone a number, but not o. In this case occurs switching on the following word of a dictionary, and so up to these being time, meanwhile upon a subtraction does not receive o. . . . N o w necessary to k n o w which corresponds to it in by friend a tongue. Side-by-side with each word of converted tongue is indicated the number of the cell, containing the corresponding combination of this tongue, on which convert. A when subtraction gives as a 'result o, switching occurs already not on the following word of a dictionary, but on this cell of the second tongue, a number which is side-by-side with the given word.

4 . Russian-English. United States, R a m o Wooldridge Inc., Fulcrum Tech­

niques to Languages Analysis, R A D C - T D R - T D R - 6 3 - 1 6 8 , M a r c h 1963,

p. 59-60 (the original Russian text is not given) :

M o o n from immemorial times (periods) attracted the attention of the m a n . Still (yet) into ancient times (periods), philosophers expressed the correct idea, that m o o n the independent celestial body, the practically spherical form, can be similar to ground (earth). The new period in the study of our natural satellite began in (into) (NTS) the year, when (in which) Galileo directed on m o o n ones (its, m y , our) first primitive telescope. H e (it) discovered on m o o n of the plain and m o u n ­tains. From this moment (momentum) , it began the creation of new science is

72 Igor A . Melchuk

(are) the selenography, occupied (engaged in, concerned) by the study of forma­tions (productions at surface of m o o n ) .

O f course the quality of these translations leaves m u c h to be desired. However, since they were produced, algorithms have gradually been improved and the standard of quality has obviously risen (unfortunately the author has no recent texts available).

Far more important and more significant for the future are the theor­etical achievements of A T , although it is incomparably more difficult to demonstrate them to the reader. W e shall select and try to elucidate three groups of problems which, in our view, are of great interest in linguistics.

First of all, let us consider the problem of the representation of syntactic structure. It is certainly A T which has given impetus to contrasting studies such as the constituent method ('parentheses') or the dependency method ('arrows')—cf. the work of D . Hays [i, 2]1 and of E . V . Paducheva [3]. It was in connexion with A T that the advantages and disadvantages of these two methods were first seriously considered (e.g., A . Sestier [4]) and other compromise methods proposed. It is with a particular method of structure representation that w e usually associate a given type of formal grammar. Corresponding to the constituent method w e have the IC grammars,2 and to the dependency method the so-called dependency grammars. T h e concept and theory of IC grammars were evolved long before A T ; similarly, the formal study of abstract IC grammars continues outside the field of A T . However, although the idea of dependency gram­m a r derives from traditional linguistics and was developed by L . Tesnière, the detailed study of such grammars is at present carried out in the context of A T . Moreover, it is in this field that formal grammars of a n e w type have appeared—the 'push-down store' type. T h e push-down store was originally proposed by Oettinger as a convenient means of analysing real sentences (cf. below). It is impossible to examine in detail the various methods of syntactic structure representation and the various types of grammars, and w e shall merely point out that it seems to have been in the field of A T that it was felt necessary to distinguish systematically between the method of representing syntactic structure and the method (strategy) of detecting it in the course of analysis.

T h e second problem, to which w e shall devote a little more time, is the detection of the syntactic (or semantic) structure. Hitherto linguistics has taken little interest in determining exactly h o w the user of a given language establishes relationships between textual units.3 T h e individual does it so easily and spontaneously (this refers of course not to the conscious deter­mination of relationships as, for example, in parsing, but to the uncons-

1. Figures in brackets refer to the bibliography at the end of this article. 2. Immediate-constituent grammars. 3. Interest has centred mainly on how the linguist can discover the syntactic laws of a language

he does not know, i.e., modelling the behaviour of the researcher rather than of the language user.

Linguistics and automatic translation 73

cious use of such relationships in the process of understanding a text) that w e have the impression that there is no special problem.

However, w h e n the syntactic structure of a sentence has to be discovered by a machine (which is inevitable in A T ) , w e are forced to inquire exactly h o w the information available to the machine is utilized.

It is natural to imagine the following process: for any class of words, all syntactic possibilities are recorded in a special table; the algorithm scans the phrase from left to right consulting the table, and gradually establishes the syntactic relationships. In Russian, for example, for the substantive in the genitive case (S gen.), w e state that it m a y act as attri­bute to a preceding non-pronominal substantive S, as complement of a verb of the type H36eraTb (avoid), as complement of a negative transitive verb, as adverbial complement of time (name of a month accompanied by an ordinal number) , etc. O n meeting S gen. the algorithm checks whether it is preceded by S; if it is, it relates that S to S gen. (or verifies some other more complex condition); otherwise it looks for a verb of the H36eraTb type, etc. At each step the algorithm takes one decision; that is to say, a m o n g the multiple syntactic functions of a word, it must choose only one, after exhausting the information available at this stage.

In some cases, the algorithm makes mistakes, but in subsequent stages of the analysis it must elucidate and eliminate them. At step n -f- i, the algo­rithm will have utilized all the information accumulated during the pre­ceding n steps, the aim being at each m o m e n t to determine the structure as precisely as possible, before continuing the analysis. Such strategy m a y be called sequential or progressive or local (in so far as the sentence is not examined in its entirety, but only locally). Most syntactic analysis algo­rithms developed in the early 1960s were of this nature.

However, a situation is possible (at least in Russian) where an algorithm of this type is unable to m a k e a correct analysis (or at least no one has yet managed to construct a local algorithm capable of handling this situation). Take, for instance, the sentence beginning as follows:

1. .HJIH 9Toro MHCJia... (For this number . . . ) (For this [the] numbers . . . ) . T h e local algorithm will establish the link between preposition and noun (as in ÄJI« 3Toro Hcjia M M HMeeM... [for this number w e have . . .]), but this m a y prove incorrect.

2. JXnn 3Toro iHCJia pa3ÔHBaioTCn Ha T P H rpynnu. (For this [the] numbers are classified in three groups). In order to avoid the mistake w e must introduce the restriction 'the preposition is connected with the noun following it:

S gen. sing./nominative-accusative, plur. only if the clause contains no plural verb requiring a subject'. In these circumstances sentence 2 will be analysed correctly. However, there is the possibility of a sentence such as:

3. Run 3Toro iHCJia Haxo,nHTCH Bee ÄeTepMHHaHTbi. (For this number are obtained all determinants) where our restriction does not work. W e must specify further ' . . . and if there is such a verb, it must be possible

74 Igor A . Melchuk

lo find another S plur. capable of being the subject'. But even that is not enough: in Russian the noun 'number(s)', the corresponding verb, and its potential S plur. subject m a y be separated from each other by any n u m b e r of clauses containing both verbs and S plur. and also S plur. of the type 'number(s)', for example:

4. HJIH 3Toro MHCJia, KaK yKa3biBajiocb B rjiaBe 4, KOTopaa, ecjiH M M . . . , . . . , HaxoÄHTCH c noMombK) MeToaa, KOToputt. . . , Bee ÄeTepMHHaHTW. (For this [the] number(s), as indicated in Chapter 4, which, if w e . . . , . . . , are obtained by the method which . . . , all determinants).

It does not seem clear h o w w e can describe such a situation (should it be possible) within the limits of a local algorithm. O f course, such complex sentences are practically never encountered in a real text, and it is possible to construct a local algorithm to handle only fairly c o m m o n phrases. This algorithm will, however, be of only limited scientific value. It is incapable of a certain important h u m a n faculty, namely, the ability to understand phrases correctly (though perhaps only slowly), whatever their degree of complexity. A syntactic analysis algorithm must be able to analyse sentences as complex as are desired (including those not encountered in the text, but grammatically quite correct); just as a multiplication algorithm will supply the correct product of any numbers (including such large numbers that in fact no one has ever multiplied them). However paradoxical it m a y appear, an algorithm of this kind, because of its greater generality, m a y prove not only more powerful but even simpler than an algorithm designed solely for sentences encountered in practice.

It is this very tendency to m a k e algorithms more powerful and at the same time simpler, to get rid of the m a n y restrictions, application condi­tions, restrictions on application conditions, etc., which leads to another idea—global or general strategy. Such strategy consists in the following procedure: at first w e apply to each word in the phrase all hypotheses regarding its possible syntactic relationships—that is, w e relate the word hypothetically to all words to which it is in principle capable of being related. W e thus obtain a set of hypothetical structures, which are sys­tematically checked with the general rules of correct syntactic structure in the particular language. These rules act as filters which reject incorrect structures and let through only those structures which fulfil all require­ments. For this reason it is termed the 'filter method'. Researchers must therefore establish and formulate all general laws governing sentence structure in the particular language. This yields very interesting results for 'normal' syntax. Moreover, the general algorithm is in principle very simple; it is expressed in a series of lists enumerating all conditions required for correct syntactic structure;1 if all these lists are right, the general algo­rithm guarantees correct analysis of any sentence however complex, for all possible structures are examined. T h e filter method proposed in i960

1. In practice, it is necessary to look for an op t imum classification of the hypothetical structure, but this is another matter.

Linguistics and automatic translation 75

by Y . Lecerf and D . Hays was employed in syntactic analysis algorithms by O . S. Kulagina, S. Ja. Fitialov, G . S. Cejtin and L . N . Iordanskaja. T h e description of general conditions for correct syntactic structure in Russian has been published [5]; the results of experiments on mechanical syntactic analysis by the filter method [6] are very satisfactory. It has also been shown that the filter method can be applied effectively not only in analysis but also in synthesis; in the case of multiple-meaning synthesis (for a given meaning all possible expressions are constructed), it is convenient to start by generating all conceivable structures at every level—from meaning to 'depth' syntax, and from 'depth' syntax to 'surface' syntax, etc., up to the string of real word-forms—and then to eliminate unsatisfactory structures by means of various constraints, formulated with separate words and rules [7].

Lastly, apart from local sequential algorithms and filter algorithms, there are the so-called multivariant algorithms or multiple-path analysers (A. Oettinger, and then M . Sherry, S. K u n o , W . Plath); the algorithm scans the phrase from left to right, handling each word in turn, just like a local algorithm; however, in the case of a multiple-function word, it does not seek a single solution, but tests all functions, each in turn ('analysis branches into several paths'); after selecting one of the functions e n u m ­erated for a given word, the algorithm moves on ('takes the next path in the analysis'), and on encountering another multiple-function word, it again tries each of its functions in turn ('the next path divides into several branches'). Finally, after following a given path, the algorithm either arrives at the end of the sentence (i.e., it detects one of the correct struc­tures) or it reaches an impasse, where no other syntactic function can be associated with the word examined (this means that the path followed was wrong, or at least that one of the solutions selected was not right). In both cases the algorithm backtracks to the last branch point where some functions remain untested, and in this w a y reviews all possible paths. In short, the algorithm provides all correct syntactic structures (syntactically polysémie sentences m a y have several) and only these. For the construction of algorithms of this type, there is a remarkably elegant and effective technique—'push-down store'—and a convenient form for describing syntactic possibilities—'prediction pool'—(information regarding the structures which should in principle follow the given word); the analysis takes the form of plausible hypotheses [cf. 8, 9, 10, n ] . At present push­d o w n store grammars are being studied in the abstract, as one of the possible procedures for modelling linguistic behaviour.

T h e problem of finding the optimal strategy for machine analysis cor­responding most closely to real recognition strategy in h u m a n beings can­not yet be regarded as solved. However, a clear definition of this problem and the detailed elaboration of various methods of textual analysis in­dubitably provide a valuable contribution to linguistics.

T h e third sector in which A T has played a leading role is the famous problem of meaning or sense. Although in theory this problem has always been acknowledged to be of exceptional importance, in fact little attention

76 Igor A . Melchuk

has been paid to it. T h e key ideas of structural linguistics on the advisa­bility of detecting elementary sense units, i.e., the description of discrete units of language content (L. Hjelmslev's content figures, Z . Harris's discourse analysis, etc.) were seriously developed in connexion with A T research and automatic information retrieval; w e refer to the so-called semantic factor systems [cf. 12], which were developed most fully in the A T laboratory work of the first Pedagogic Institute of Foreign Languages in M o s c o w [13]. In exactly the same way, it was for A T purposes that fruitful research was started on the description of semantics with special dictionaries called thesauri (cf. the work of the Cambridge A T group, for instance [14]). Contrary to the mistaken view that A T takes account only of the external characteristics of a text and completely disregards the meaning, sooner or later researchers find that meaning occupies the fore­front of their attention; moreover, any translation is before all else the transmission of meaning, i.e., a transformation retaining the sense. That is w h y A T arrives quite naturally at the problem of constructing notation systems (i.e., elaborating means of noting the content of synonymous state­ments in an identical manner) and 'text < > meaning' algorithms. T o our knowledge, the most complete system at present in process of develop­ment (the system of the Linguistics Research Center of the University of Texas [15]) covers semantic analysis (reduction of synonymous phrases to a single type) and semantic synthesis (construction of all acceptable expressions with a given meaning). In the U . S . S . R . , research on semantic synthesis [7] has also been undertaken. In this connexion w e feel it ex­pedient to draw attention to two interesting linguistic results.

T o describe lexical compatibility in any natural language w e introduce 'semantic parameters'—very general elements of meaning, each of which has numerous expressions, the choice of the appropriate expression depending entirely on a given key word. For example, the semantic para­meter Magn (high degree) gives: fierce, bloody (battle); thunderous, prolonged (applause); sworn (enemy); bitter, piercing (cold); driving, torrential (rain); great, grave (prejudice); thick (fog); (know) perfectly, inside out, thoroughly; etc. The parameter Incep (beginning): (the wind) rose; (rain, snow) began to fall; (the fire) caught; (the exhibition) was opened; (the debate) began; (an abscess) forms; to start (a conversation); to strike up (an acquaintance); (revolt) breaks out; to begin to (speak, sing, etc.). The parameter Oper (do (what should be done with the given object)): to exert (pressure); to render (assistance); to bring (help); to m a k e (a phone call, a translation); to have (confidence); to carry out (an inquiry); to sit on (a chair); to take (a step); to provoke (an explosion); to sing (a song); to commit (a crime); to indulge in (debauchery); etc. With two or three dozen general parameters (applicable to all words) and a very few specific parameters (significant for given semantic groups only) it is possible to describe most non-free associations1 in any language; in a

1. Excluding 'true' idioms expressing a global meaning, such as: 'to twiddle one's' thumbs, 'stick-in-the-mud', etc.

Linguistics and automatic translation 77

dictionary, the meanings of all parameters of each word should be shown.1

Parameters m a y be compared to cases: just as in Russian it is possible with six cases to represent the whole variety of case morphemes (for each root w e indicate which ending should be affixed for a given case), with para­meters w e can represent a m u c h larger variety of adjectives, verbs, etc., matching a given word (for each word w e indicate the word to be asso­ciated with it in order to express the parameter in question, i.e., the desired meaning).

O n e of the practical wses of parameters is in translation (not only in A T but also in multilingual dictionaries for h u m a n use). For instance, in English, 'dramatic success' (Magn + success) gives in Russian Magn + (ycnex) ôojibuiott, HeoÓbmaiÍHbitt, luyMHbift, cHorcuiHOaTejibHuft; and in French: {un succès) énorme, considérable, extraordinaire, bœuf, etc.

In terms of semantic parameters which (owing to their semantic char­acter) are universal categories, w e m a y formulate semantic equivalences which are also of universal value. With these equivalences (about thirty are known to date) w e can describe in general form cases of synonymity such as: John helps Peter-<->-John is Peter's assistant; England gave them support < > They were supported by England; John likes to read in the afternoon < > John willingly reads in the afternoon; Set A contains ele­ment x < > Element x belongs to set A ; etc. Semantic equivalence forms the basis of this system of synonymous periphrasis, which permits the construction of all acceptable expressions of a given meaning.

W e have presented here as examples only some of the most outstanding theoretical results obtained in A T . For reasons of space w e are obliged to stop there. W e feel, however, that the examples quoted are sufficient to enable the reader to grasp the author's argument. This article will have achieved its purpose if it has given even an approximate idea of the aims of linguistic research in A T and of h o w such research is related to modern theoretical and descriptive linguistics.

T h e author wishes to express his profound gratitude for the helpful comments and advice of all those w h o were kind enough to read this paper, and in particular to F . P. Filin, L . N . Iordanskaja, L . L . Kasatkin, 0 . S. Kulagina, A . A . Reformatskij, E . M . Wolf and A . K . Zholkovski.

BIBLIOGRAPHY

i. H A Y S , D . Grouping and dependency theories. In: Proceedings of the National Symposium on Machine Translation. . . . Englewood Cliffs, 1961, p. 258-66.

2. H A Y S , D . Dependency theory: a formalism and some observations. Santa Monica, Calif., 1964, 39 p . ( M e m o r a n d u m R M - 4 0 8 7 - P R . )

3. P A D U C H E V A , E . V . [ O n ways of representing the syntactic structure of a clause.] Voprosy Jazykosnanija (Linguistic questions), no. 2, 1964, p. 99-113 (In Russian.)

1. A semantic parameter may be compared to a function (in the mathematical sense): / (*) = y, where / is a given parameter (e.g., Mag»), x a key word (e.g., 'battle'), and y the value of the paramater (in this case fierce, bloody).

78 Igor A . Melchuk

4. S E S T I E R , A . A system of grammatical description of the natural languages using the concept of grammatical function. 39 p .

5. IoRDANSKAjA, L . N . [Properties of correct syntactic structure and an algorithm for detecting it (based on Russian).] Problemy Kibemetiki [Problems of cyber­netics], vol. 11, 1964, p . 215-244. (In Russian.)

6. V A K U L O V S K A J A , G . A . ; K U L A G I N A O . S. A n algorithm for textual analysis. Problemy Kibemetiki [Problems of cybernetics], vol. 18. (In press.)

7. Z H O L K O V S K I , A . K . ; M E L C H U K , I. A . [Possible method and instruments of semantic synthesis.] Naucno-techniceskaja Informacija [Scientific and tech­nical information], no. 6, 1965, p . 23-8. (In Russian.) [A fuller version of this paper is to be published in Problemy Kibemetiki, vol. 19.

8. O E T T I N G E R , A . Automatic syntactic analysis and the push-down store. In: Proceedings of symposia in applied mathematics, vol. 12 : Structure of language and its mathematical aspects. Providence, 1961, p. 104-29.

9. K U N O , S . ; O E T T I N G E R , A . Multiple-path syntactic analyser. In: Information processing, 1962 (Proceedings of International Federation for Information Processing Congress, 1962. Amsterdam, 1963, p . 306-12.

10. K U N O , S. T h e multiple-path analyser for English. Mathematical linguistics and automatic translation. Cambridge , Mass . , Harvard University, 1963. ( C o m p u ­tation laboratory report N S F - 1 1 . )

11. P L A T H , W . Multiple-path syntactic analysis of Russian. Mathematical linguistics and automatic translation. Cambridge , Mass . , Harvard University, 1963. ( C o m p u ­tation laboratory report N S F - 1 2 . )

12. P E R R Y , J. W . ; K E N T , A . ; B E R R Y , M . M . Machine literature searching. N e w York, L o n d o n , 1956, 102 p.

13. Masimyi perevod y prikladnaja lingvistika [Automatic translation and applied linguistics]. M o s c o w , 1964, vol. 8, 252 p . (In Russian.) W o r k of the first Pedagogic Institute of Foreign Languages, M o s c o w .

14. M A S T E R M A N , M . Semantic message detection for machine translation using an inter-lingua. Teddington, 1961, 36 p . (National Physical Laboratory, paper 36).

15. Report No. 16. Final report. Austin, Tex . , Linguistics Research Center of the University of Texas, 1963, 85 p .

Igor Melchuk is senior scientific officer at the Institute of Linguistics of the Soviet Academy of Sciences where he is concerned mainly with problems relating to automatic processing of linguistic data and general linguistics. Since igs4, he has conducted research in the field of automatic translation and his numerous publications include a work on mechanized syntax analysis (Moscow, 1964), as well as a number of articles on automatic translation, the Romance and Semitic languages, Hungarian, etc.

Musicology and linguistics

N . Ruwet

T h e relations between musicology and linguistics m a y be considered from several different, albeit related, points of view.

First, there is the possibility of making a comparative study, of a general semiotic character, of music and language treated as systems of signs or even more precisely, as languages, in the sense in which C h o m s k y and Miller (1963, p. 283) use the term. Their definition: 'a language L is a set (finite or infinite) of sentences, each finite in length and constructed by concatenation out of a finite set of elements' in fact applies to music also, once it is accepted that the piece is the equivalent, in music, of the sen­tence, and that the notion of concatenation is extended to include simul­taneous relations (harmony) and oblique relations (counterpoint).

So far, to be sure, virtually no comparative studies of this nature have been attempted. While it is quite true that the aestheticians of music (Suzanne K . Langer, 1942; B . de Schloezer, 1947) have frequently referred to language, their initial approach is aesthetic rather than semiotic, and they take little account of the contributions of modern linguistics. M o r e recently, various experts (Springer, 1956; Bright, 1963; Nettl, 1958) have investigated this subject, but without going m u c h beyond the programmatic stage. (Some interesting observations are nevertheless to be found in the work of Zhinkin, 1962 and Lévi-Strauss, 1964.)

T h e second point of view is concerned with the possibility of collaboration between the two disciplines wherever they cover more or less the same ground: song (List, 1963), metrics, intonation, the so-called 'tone' lan­guages, 'drum signalling', etc. (for a brief general survey of these areas c o m m o n to both disciplines, see Nettl, 1964, p. 281 et seq.). T h o u g h , in these areas, collaboration between linguists and musicologists is not yet as close as it should be, some important work none the less has been done. There is, for instance, the study on intonation in modern Russian written jointly by a musicologist, J. Buning, and a linguist, C . van Schooneveld (1961); scholars experienced in both disciplines have studied the drum signalling systems of Africa (Herzog, 1945; Rouget, 1964, 1965), and the

Int. Soc. Sei. J., Vol. X I X , No. i, 1967

8o N . Ruwet

relations between linguistic structures and musical structures in vocal music (Herzog, 1950; Laloum and Rouget, 1965); there is also the remark­able study m a d e by Chao (1956) on the intermediary forms between pure speaking and pure singing in Chinese. It is, as might be expected, in the domains of folk-lore and ethnography that exchanges have been most frequent. Here, some of the most eminent specialists have m a d e successful incursions into the neighbouring sphere (Troubetzkoy, 1933; Braïloïu, 1954); recent examples of useful collaboration include the study by Robins and M c L e o d on Yurok melodies (1956), the research carried out by Nettl and Sebeok on the Cheremis, and that conducted by L o m a x and Trager on the vocal line in folk-song (1964). Mention m a y also be m a d e of the work done by Bartok and Lord on Serbo-Croatian folk-song (1951) (follow­ing on earlier research by Jakobson, 1933)

Thirdly, though this is more theoretical, there is the possibility of the two sciences contributing to each other—either because on the general Level of scientific method one happens to be further advanced, or because certain problems c o m m o n to music and language can be dealt with more easily in one domain than in the other, and the less favoured can therefore take advantage of the progress m a d e in its neighbour.

In the present circumstances, it is this third point of view which dominates the other two. In point of fact, it is impossible either to carry out compara­tive semiotic studies of language and music or to institute close collaboration between the two sciences unless they have both attained the same stage of scientific development. But this is far from being the case: the science of linguistics is m u c h more advanced. T h e problem with which w e are chiefly concerned is therefore the following: h o w far can recent developments in linguistics contribute towards the elaboration of a scientific theory of music?

It should be borne in mind that music, if not musicology, has m a d e an appreciable contribution to the development of the h u m a n sciences, often providing material for reflection and useful points of comparison. It is scarcely necessary to remind readers of the paradigmatic value of melody in the first developments of the Gestalt theory. Lashley (1951) in his famous article which had a notable influence on linguistics, used examples from both linguistics and music to illustrate his theory of serial order in behaviour. Saussure, in introducing his theory of the fundamental dichotomy between langue and parole, speaks of the distinction between a symphony, which is a cultural abstraction, and its execution, which is a contingent individual act (cf. Godel, 1957), and this notion is echoed by the theoreticians of generative g r a m m a r (cf. the distinction between competence and per­formance m a d e by Katz and Postal, 1964). T h e n again, w e know h o w Lévi-Strauss, in elaborating his structural mythology, was influenced by re­flections about music (1958, 1964). O n the other hand, certain individual musicological research studies are every bit as rigorous as contemporary linguistic research studies (e.g., Gevaert, 1907; Braïloïu, 1948, 1953, 1956); but they have had no influence at all outside the field of musicology, and

Musicology and linguistics 81

little inside it. It is to be hoped that a coherent system of scientific musicology will some day emerge to contribute to the solution of certain problems which, while also encountered elsewhere, occur in pure form in music— in particular, the problems, c o m m o n to musical study and the analysis of narrative, posed by the logic of what musicians call the 'major form' {la grande forme). It is possible, also, that it will prove easier, w h e n the time comes, to approach the problem of the transition from semeiology to aesthetics by w a y of music rather than by any other w a y .

Let us look briefly at a few points where modern linguistics can assist in the development of musicology—though without for a m o m e n t imagining that the methods and categories used in one field can simply be applied unchanged to the other (as has unfortunately been done, e.g., by Saint-Guirons, 1964). W e must beware of accepting the prevailing myth of linguistics being the key to the h u m a n sciences. T h e methodological character of its most obvious contributions is often very general, and the privileged position enjoyed by the linguists derives from the fact that musicologists and anthropologists alike find their methods more familiar and comprehensible than those used by the chemists or the physicists. Furthermore, the history of the errors committed by structural linguistics, and of the dead ends into which it has sometimes been misled, is no less instructive than that of its successes.

T h e first type of contribution is that of traditional structuralism, and it is connected in particular with the n a m e of Saussure. Emphasis on immanent, relational analysis (description must precede explanation in terms of external causes), the distinction between langue (linguistic system) and parole (linguistic behaviour), between variants and invariants, synchrony and diachrony—all these familiar notions, though requiring qualification, nevertheless constitute a positive contribution, applicable to all branches of the h u m a n sciences. It would scarcely be necessary to mention them but for the fact that they are overlooked in most works on musicology, and this accounts for the speculative tinge possessed by m a n y otherwise valuable works (e.g., Adorno, 1962; Boulez, 1963, 1966). Even so reticent a scholar as Lowinsky (1962), w h e n comparing modality and tonality, indulges in reflections (on the relatively static or dynamic character of the two systems) which are reminiscent of the nineteenth-century speculations on 'primitive' and 'evolved' languages (for which he is criticized in the preface, written by Igor Stravinsky!). B . deSchloezer makes a notable effort to institute an immanent study, but his book is marred not only by weaknesses in the concrete analyses but also by certain presuppositions of an aesthetic nature (e.g., his distinction between built-up composite systems and organic systems, which should follow the elaboration of a formal syntax).

O n the other hand, another notion, which played an important part in the early stages of structural linguistics (cf. Jakobson, 1964), seems to m e to be m u c h less useful for the purposes of musicology. I a m referring to the notion of function, in the non-mathematical sense of the term, i.e., the notion of defining the elements of a language according to the function

82 N . Ruwet

they perform in communication. Apart from the fact that this conception is n o w discredited even in linguistics (in so far as discovery procedures based on function cannot be precisely formulated, cf. Chomsky , 1959), it is difficult to see what part it could play in the study of music; the functions of music, in so far as it is possible to speak of them are far more obscure than the function of communication in language (incidentally, the primacy of the instrumental function of language is also questioned by Chomsky, 1964, p. 60); it is not easy to see h o w function could be used as a guide to formal analysis (at all events, the results of attempts m a d e at transposition —cf. Saint-Guirons, 1964—are not very encouraging).

O n the other hand, the more abstract notion of levels of representation as elaborated by C h o m s k y in 1957 (cf. also Chomsky and Miller, 1963) on the basis of criteria of simplicity and generality, is destined to play an important part in musicology. It might transform the traditional distinc­tions in music (melody/harmony /rhythm, polyphony/monody and so on). It might also throw light on the problems involved in the transcription of non-European music, for the solution of which it is certainly not sufficient to draw an analogy, as has sometimes been attempted (cf. Nettl, 1964, p. 104), on the one hand, between narrow transcription and phonetic representation, and on the other, between broad transcription and pho­nemic representation. This notion would also be extremely useful for the understanding (and even the performance) of ancient music; for instance, it is impossible to have the least understanding of sixteenth to eighteenth century music without discerning in it two different levels of representation, one corresponding to the harmonico-melodic basis (Rameau's 'fundamental base'), the other to what m a y be described, in a very wide sense, as the 'ornaments'. Both levels of representation are coded but, in the notation, the relation between the two is confused: some aspects of the ornaments are not indicated (their coding appears only in treatises on instruments and singing); others are treated by the notation on the same level as the elements of the fundamental base (cf. unpublished works by A . Souris).

Structuralist linguists, American ones in particular, have m a d e great efforts to establish procedures for analytical description ('discovery procedures') whereby the linguistic system can be mechanically ascertained from the given data. T h e best known of these procedures is the distributional method (cf. Harris, 1951). Chomsky has shown that, at the present juncture anyway, there can be no question of linguistic theory being able to provide mechanical discovery procedures. This research has none the less been extremely useful in that it has helped linguists to m a k e their operations explicit and to free themselves from traditional normative models. While it is pointless for musicologists to attempt to achieve what has proved impossible in linguistics, the fact remains that analytical procedures, even partial, would be very useful, for instance, in clarifying such obscure notions as those concerning the scale, or m o d e , of a piece or, again, its hierar­chical structure (breaking up into parts of different levels). Musicologists, even the best of them, have paid practically no attention to these questions.

Musicology and linguistics 83

Treatises on fugue and harmony (including Gevaert's treatise on harmony) are essentially synthetic models, as are Braïloïu's studies on the systems of scales and durations. Ethnomusicologists (Rouget, Nettl) are only just beginning to interest themselves in these questions, to which their attention has, in m a n y instances, Jbeen drawn in connexion with the problems of transcription. I myself have attempted to work out a procedure for the breaking up of pieces into units of various levels ('periods', 'phrases', 'motifs', etc.), basing myself on a principle of repetition: any sequence which is repeated, either immediately or at intervals, is considered as a unit (Ruwet, 1966; also Rouget, 1961).

However, the most promising contributions are those m a d e by the generative, transformational grammar evolved by Chomsky and his collaborators. T h e idea that the g r a m m a r of a language should be conceived, not as a list of elements and combinations of elements but as a system of rules generalizing well-formed (grammatical) sentences in the language, is directly applicable to music where, despite certain reservations, though of a not very specific nature (Gevaert, 1907; Souris, 1958), descriptions have always been conceived in a strictly taxonomic form, confined more­over to certain particular aspects (systems of chords and durations, classi­fications of themes—cf. Ferretti, 1938, etc.); this still applies to modern analyses such as Pierre Boulez's analysis of the Rite of Spring (1953). It is true that the complexity of musical structure, combined with the fact that empirical research is as yet little advanced, rules out the prospect of elaborating, for a long time to come, generative models for any but the simplest music. But it is possible that this procedure might be applied to certain very elementary and familiar forms of music, such as nursery rhymes (cf. Braïloïu, 1956), or to certain aspects of problems, such as that of the transformation relation between the subject and the response in fugue.

O n e point in the theory of generative g r a m m a r which is of special interest for musicology is the importance attached to the problem of creativity, together with the notions of recursivity and of infinite sets of sentences (Chomsky, 1964). A question worth asking is whether all existing musical systems generate potentially infinite sets of pieces. Braïloïu laid great emphasis on the finite number of combinations possible in the systems he was studying and he regarded this as a characteristic of'primitive' types of music. However, his arguments are by no means conclusive, inasmuch as he confined himself to the study of sub-systems, from a purely taxonomic angle. O n the other hand, it is certain that recursive mechanisms occur even in very primitive types of music, though this m a y merely take the form of endless repetition of a short formula which—in some African flute music, for instance—constitutes the whole musical-matter. It would be interesting to study the different types of recursive mechanism which occur in various types of music, to ascertain whether any of them are uni­versal and whether they bear any formal resemblance to the two main kinds of recursive mechanism (conjunction and embedding) which, according

84 N . Ruwet

to C h o m k y , exist in all h u m a n languages. There is, at least in the tonal system, a specific harmonic scheme (tonic—sub-dominant/dominant— tonic) which m a y , by itself, provide the basis of a musical work and m a y , by means of transposition, be self-embedded indefinitely. It thus presents analogies with the embedding of sentences; but it certainly cannot be regarded as a universal mechanism.

T h e development of generative grammar throws further light on the perils to which both linguistics and musicology are exposed, in two related areas: the indiscriminate application of mathematical models, and 'applied science' (in linguistics, in connexion with machine translation or the teaching of languages; in musicology, in connexion with the production of synthetic music). Over the past twenty years, all kinds of mathematic models, some well known, others less so, have been applied to music and language alike: theory of information (Frances, 1958), theory of games, theory of sets (Xenakis, 1963), but without yielding m a n y useful results. T h e fact is, as Chomsky says—and his arguments apply both to music and to language—that 'In order to show the applicability . . . of mathematics to the study of grammatical structure, it is not sufficient to demonstrate that certain formal properties of language enable it to be regarded as a particular case of some well-studied mathematical structure. . . . (If w e wish to obtain significant results) w e must find some aspect of linguistic structure which can be studied abstractly in such a way as to yield conclusions which tell us something n e w about the empirical subject matter . . . it is not obvious that anything of substance will be achieved by simply borrowing and applying familiar and well-studied mathematical notions. It m a y be that the empirical motivations that lead linguists to undertake the study of abstract systems are sufficiently unique to require the development of new and relatively unexplored areas of mathematics. . .' (Chomsky, 1959, pp. 203-4, 218; see also Bar-Hillel, 1964). There is clearly little to be gained from demonstrating (Xenakis, 1963) that music presents an example of the application of the theory of sets; equally, there is little reason to suppose that, in our present state of ignorance concerning the principles of musical syntax, the use of statistical models will enable m u c h progress to be m a d e . O n the contrary, abstract research should clearly be concentrated on what is without doubt the most obvious characteristic of musical syntax, namely the fact that it is a syntax of equivalences (it should be noted that it was R o m a n Jakobson's research on poetics—1963, chapter 11— that refocused attention on this aspect (cf. also Ruwet, 1962)). Repetition is so m u c h a part of music that it tends to be forgotten, with the result that w e see the emergence of certain absurd theories such as those of the 'serial' musicians w h o , at one period anyway, maintained that repetition could be dispensed with entirely (cf. the theories of Boulez on 'irreversible time' (Boulez, 1963)).

I have not touched, so far, on the question of meaning in music. This is, indeed, an extremely difficult question—even more so here, if that were possible, than in linguistics. It is only recently that linguists have felt

Musicology and linguistics 85

themselves qualified to deal with problems of semantics, and there is no reason w h y musicologists should show themselves less cautious. It is cer­tainly not by borrowing from linguistics certain notions such as those of sig-nans and signatum that they can hope to solve age-old problems. Let us say merely that the meaning of music can only b e c o m e apparent in the descrip­tion of the music itself. If w e insist on using these terms, w e m a y say that the signatum (the 'intelligible' or 'translatable' aspect of the sign) is given, in music, in the description of the signans (the 'sensible' perceptible aspect, cf. Jakobson, 1965). T h e only approach to the study of meaning is thus through the formal study of musical syntax, and through the des­cription of the material aspect of music at all levels (production, acoustical transmission, perception, physiological repercussions such as cardiac rhythm, etc.). Here again, it was linguistics which set the example (cf. Jakobson-Fant-Halle, 1952; Jakobson, 1963, chapter 6; an attempt at musical des­cription at the level of both production and acoustics will be found in the work of Rouget, 1964). W i t h regard to the relations between music and the 'outside world', I would point out, in conclusion, that it was perhaps a linguist, E d w a r d Sapir (1918), w h o c a m e closest to grasping their exact nature: the meaning of a work lies in its structure, and the ability of music to evoke images—sometimes explicitly, in p r o g r a m m e music—is due to the existence of an indefinite n u m b e r of realities whose o w n structure presents analogies with that of the musical work in question.

BIBLIOGRAPHY

A D O R N O , T . W . 1962. Philosophie de la nouvelle musique. Paris, Gallimard. B A R - H I L L E L , Y . 1964. Language and information. Reading, Mass., Addison-Wesley ;

Jerusalem, The Jerusalem Academic Press Ltd. B A R T O K , B . ; L O R D , A . B . 1951. Serbocroatian folk song. N e w York, Columbia Uni­

versity Press. B O U L E Z , P. 1953. Stravinsky demeure. Musique russe, vol. I. Paris, Presses Uni­

versitaires de France, p. 151-224. (Re-issued in 1966.) . 1963. Penser la musique aujourd'hui. Paris, Gonthier. . 1966. Relevés d'apprenti. Paris, Éd. du Seuil.

B R A I L O I U , C . 1948. Le giusto syllabique bichrone. Polyphonie, vol. 2, p. 26-57. • '953- Sur une mélodie russe. Musique russe, vol. II. Paris, Presses Univer­

sitaires de France, p. 329-91. . 1954. Le vers populaire chanté. Revue des études roumaines, vol. 2, p. 7-74. . 1956. Le rythme enfantin. Les colloques de Wégimont. Paris-Bruxelles, p. 64-96.

B R I G H T , W . S. 1963. Language and music. Ethnomusicology, vol. 7, p. 26-32. B U N I N G , J. E . J.; V A N S C H O O N E V E L D , C . 1961. The sentence intonation of contemporary

standard Russian. The Hague, Mouton & C o . C H A O , Y . R . 1956. Tone, intonation, singsong, chanting, recitative, tonal compo­

sition, and atonal composition in Chinese. For Roman Jakobson. The Hague, Mouton & C o . , p. 52-9.

C H O M S K Y , N . 1957. Syntactic structures. The Hague, Mouton & C o . • '959- Review of J. H . Greenberg, Linguistic essays. Word, vol. 15, p. 202-18.

—. 1964. Current issues in linguistic theory. The Hague, Mouton & Co. . M I L L E R , G . A . 1963. Introduction to the formal analysis of natural languages.

In: Luce, Bush and Galanter (eds.), Handbook of mathematical psychology, vol. II. N e w York, Wiley, p. 269-321.

86 N . Ruwet

F E R R E T T I , D o m P. 1938. Esthétique grégorienne. Paris. F R A N C E S , R . 1958. La perception de la musique. Paris, Vrin. G E V A E R T , F. A . 1907. Traité d'harmonie. Paris, Lemoine. G O D E L , R . 1957. Les sources manuscrites du Cours de linguistique générale de Ferdinand

de Saussure. Genève, Paris, Droz. H A R R I S , Z . S. 1951. Methods in structural linguistics. Chicago, 111., Chicago U n i ­

versity Press. H E R Z O G , G . 1945. D r u m signalling in a West African tribe. Word, vol. 1, p .

217-38. . 1950. Song. Folksong and the music of folksong. Funk and Wagnail Standard

Dictionary of Folklore, Mythology and Legend, vol. II, p. 1032-50. J A K O B S O N , R . 1933. Ueber den Versbau des Serbocroatischen Volksepen. In

Proceedings of the first International Congress of Phonetic Sciences, Amsterdam, p. 44-53. . 1963. Essais de linguistique générale. Paris, É d . de Minuit. . 1964. EiTorts towards a means-ends model of language in interwar conti­

nental linguistics. Trends in modern linguistics. Utrecht-Anvers. . 1965. A la recherche de l'essence du langage. Diogène, vol. 51, p. 22-38.

J A K O B S O N , R . ; F A N T , G . M . ; H A L L E , M . 1952. Preliminaries to speech analysis. C a m ­bridge, Mass. , M I T Press.

K A T Z , J. J.; P O S T A L , P. M . 1964. An integrated theory of linguistic description. C a m ­bridge, Mass. , M I T Press.

L A L O U M , Cl.; R O U G E T , G . 1965. Deux chants liturgiques yoruba. Journal de la Société des Africanistes, vol. 35, no. i, p . 108-39.

L A N G E R , Suzanne K . 1942. Philosophy in a new key. Cambridge, Mass. , Harvard University Press.

L A S H L E Y , K . S. 1951. T h e problem of serial order in behavior. In: Jeffress (ed.), Cerebral mechanisms in behavior. N e w York, Wiley, p. 112-36.

L É V I - S T R A U S S , Cl. 1958. Anthropologie structurale. Paris, Pion. . 1964. Le cru et le cuit. Paris, Pion.

L I S T , G . 1963. T h e boundaries of speech and song. Ethnomusicology, vol. 7, p. 1-16.

L O M A X , A . (with Edith Trager), 1964. Phonotactique du chant populaire. L'homme, vol. 4, no. 1, p. 5-55.

L O W I N S K Y , E . E . 1962. Tonality and atonality in XVIth century musk, Berkeley, Los Angeles, Calif., University of California Press.

N E T T L , B . 1958. S o m e linguistic approaches to musical analysis. Journal of the International Folk Music Council, vol. io, p. 37-41.

. i960. Cheremis musical styles. With a preface by T . A . Sebeok. Bloomington, Ind. Indiana University Press.

. 1964. Theory and method in ethnomusicology. Glencoe, 111., T h e Free Press. R O B I N S , R . ; M C L E O D , N . 1956. Five Yurok songs. Bull, of the School of Oriental and

African Studies (London), vol. 18, p . 592-609. R O U G E T , G . 1961. U n chromatisme africain. L'homme, vol. 1, no. 3, p. 32-46.

. 1964. Tons de la langue en gû et tons du tambour. Revue de musicologie, vol. 50, P- 3-29-

. 1965. Analyse des tons en gû (Dahomey) . Revue langage et comportement, vol. 1,

P- 31-47-R U W E T , N . 1962. Note sur les duplications dans l'œuvre de Claude Debussy.

Revue belge de musicologie, vol. 16, p. 57-70. . 1966. Les méthodes d'analyse en musicologie. Liber Amicorum André Souris.

(Revue belge de musicologie, 18.) S A I N T - G U I R O N S , G . 1964. Recherche d'une analyse musicale distinctive. Études

de linguistique appliquée, vol. 3, p. 12-35. S A P I R , E . 1918. Representative music. The musical quarterly, vol. 4, p. 161-7.

(Reprinted in D . G . M a n d e l b a u m (ed.), Selected writings of Edward Sapir. Berke­ley, Los Angeles, Calif., University of California Press, p . 490-5.)

Musicology and linguistics 87

S C H L O E Z E R , B . de. 1947. Introduction à J.-S. Bach. Paris, Gallimard. S O U R I S , A . 1958. Article 'Forme'. Encyclopédie de la musique. Paris, Fasquelle. S P R I N G E R , G . P . 1956. Language and music: parallels and divergencies. For Roman

Jakobson. T h e Hague , Mouton & C o . , p. 504-13. T R O U B E T Z K O Y , N . S. 1933. Zur Struktur der Mordwinischen Melodien. Sitzungs­

berichte der Azademie der Wissenschaften zu Wien, Phil. Hist. Klasse, B d . II, Abt. 33, p. 106-17.

X E N A K I S , Y . 1963. Musiques formelles. Paris, L a Revue Musicale. Z H I N K I N , N . I. 1962. Four communicative systems and four languages. Word,

vol. 18, p. 143-72.

Nicolas Ruwet studied in Belgium but has been living in Paris since 195g. He has published articles on music, the structural analysis of poems, general linguistics and grammar and trans­lated a book on linguistics by R . Jakobson, into French.

Animal communication1

T h o m a s A . Sebeok

A rapidly developing behavioural science has lately crystallized at the intersection of semiotics, the general theory of signs, and ethology, the biological study of behaviour. Its subject-matter is the ways whereby animals communicate with each other, a full understanding of which requires the co-operative attack of an exceptionally wide variety of disci­plines, ranging from bio-acoustics and biochemistry through anatomy to sensory physiology and neurophysiology, and from comparative psychology and zoology to anthropology and linguistics. T o avoid using an unwieldy phrase where a single term will do, the diverse lines of research which have converged on the study of animal communication—and which, in turn, seems to have constituted the principal axis of synthesis in the entire field of animal behaviour so far—may together be subsumed under the label 'zoosemiotics'. This word has been coined to emphasize the necessary dependency of this emerging field on a science which involves, broadly, the coding of information in cybernetic control processes and the conse­quences that are imposed by this categorization where living animals function as ¡input/output linking devices in a biological version of the traditional information-theory circuit with a transcoder added.

M a n has always been intrigued by the possibilities of communication a m o n g and with animals, as evidenced by his myths and pseudo-scientific literature, but modern developments m a y be said to stem largely—although neither directly nor obviously—from the works of Charles Darwin of almost a century ago.

T h e essential unity of a zoosemiotic event m a y be decomposed, for a field observer's or laboratory experimenter's convenience, into six aspects, and the sphere of animal communication studies has, in practice, tended to divide roughly in accordance with these dimensions, the factors actually emphasized depending on each investigator's training and bias. T h e hexa-

i. This article is an abridged and updated version of the author's contribution, entitled 'Animal Communication', to the International Encyclopedia of the Social Sciences (to appear in 1967).

Int. Soc. Sei. J., Vol. X I X , No. 1, 1967

Animal communication 89

gonal model suggested here entails a communication unit in which a relatively small amount of energy or matter in one animal, (a) the source, brings about a relatively large redistribution of energy or matter in another animal, (b) the destination, and postulates, (c) a channel through which the participants are capable of establishing and sustaining contact. Every source requires a transmitter which serves to reorganize, by a process called encoding, the messages it produces into a form that the channel can accommodate; and a receiver is required to reconvert, by a process called decoding, the incoming messages into a form that can be understood by the destination. T h e source and the destination are therefore said to fully, or at least partially, share (d) a code, which m a y be defined as that set of transformation rules whereby messages can be converted from one repre­sentation to another. T h e string generated by an application of a set of such rules is (e) a message, which m a y thus be considered an ordered selection from a conventional set of signs. T h e physical embodiment of a message is a signal, which is usually mixed with noise, a term that refers to variability at the destination not predictable from variability introduced at the source. Finally, to be operative the message presupposes (f ) a context referred to, apprehensible by the destination.

Although all six factors are normally present whenever communication takes place, one or more sector m a y be abstracted for purposes of analysis and, accordingly, three unevenly matured and somewhat overlapping fields of investigation can be distinguished: zoopragmatics, which deals with the origin, propagation, and effects of signs, in brief (a), (b), and (c); zoosemantics, which deals with the signification of signs, in brief (f); and zoosyntactics, which deals with combinations of signs without regard for their specific significations or their relation to the behaviour in which they occur, in brief (d) and (e).

Zoopragmatics is concerned with the manner in which an animal encodes a message, h o w this is transmitted in a channel, and the manner in which the user decodes it. Since any form of physical energy propagation can be exploited for purposes of communication, a primary task is to specify the sensor, or constellation of sensors, employed a m o n g the members of a given species or between members of different species, and emerging sub­divisions of the field are commonly organized in terms of the properties of the channels used. S o m e organisms have sensors for chemicals in solution or dispersed in air (taste and smell), sensors for light (vision), sensors for pressure changes (tactile perception or hearing), or still other sensors involving, for example, parts of the electromagnetic spectrum besides the visual portion. M a n y animals employ multiple sense organs: thus olfactory, optical, acoustic and other mechanical signals are all involved in mutual communication in the bee society; and a herd of mule deer achieves social integration by hearing, vision, smell and touch.

Chemical systems provide the dominant means of communication in most animal species, with the possible exception of the birds. Analy­sis focuses on the transfer of information by substances referred to as

90 Thomas A . Sebcok

'pheromones'. Chemical signals m a y be emitted by an animal's entire body cover, the skin, or by special scent glands (e.g., in ruminants), and still other methods; and received throughout the body (e.g., in some aquatic invertebrates), or by specialized structures called chemo-receptors, that is, the distal organs of smell and the proximal organs of taste (which often cannot be sharply distinguished). It is as yet unknown whether any animal can modulate the intensity or pulse frequency of pheromone emission to formulate n e w messages. Pheromones tend to function as yes/no signals: a particular scent is either produced or it is not; once emitted, however, the odour is very likely to persist and thus to convey a message after the departure of its source from the site. T h e one great advantage of chemical signals is, therefore, their capacity—exploited for social integration especially by terrestrial mammals—to serve as vehicles of communication into the future. This function, whereby an individual can send messages to another in his absence and, by a delayed feed-back loop, even to himself, is analogous to the h u m a n use of script rather than of speech; its overwhelming evolu­tionary value is confirmed by such facts that herbivores usually leave telltale trails at the risk of revealing their whereabouts to carnivores, while some of the latter broadcast a strong smell advertising their presence at the sacrifice of part of the surprise element in hunting the former.

Optical systems presuppose reflected daylight in the case of diurnal species and bioluminescence in those that dwell in dark but transparent media. Patterns of visual activity are highly variable as to shape and colour, in time and range of intensity. They can also be actively displayed by movements and postures, as in the three-spined stickleback, and by facial expressions, as in the primates; or by intermittent flashing, as in fireflies. Visual signs are thus both flexible and transient: they can be rapidly switched on or off. These capacities allow for precise coding of information, and m a y even be exploited to misdirect, as in protective displays involving 'eyespots' in moths. Ethologists, w h o are often concerned with the origin and evolution of visual and other forms of signalling be­haviour, have described and provisionally classified them into three principal categories: 'intention' movements, that is, those which seem to be pre­paratory or incomplete versions of functional acts (e.g., choking in the kittiwake); autonomic effects (e.g., piloerection in the dog); and so-called 'displacement' movements, that is, those which appear to be irrelevant in the context in which they are delivered (e.g., the courtship preening of pigeons). A n evolutionary process of increased adaptation to the signalling function is referred and discussed in the extensive literature of ethology under the label of 'ritualization'.

Tactile systems comprehend rather disparate phenomena from all corners of the animal world, having in c o m m o n the requirement that the individuals communicating by such means—in suckling, copulating, fighting, social grooming, mutual preening—must be in direct contact with one another. Although communication in this channel is thereby limited to relatively short distances, its effective range can be increased

Animal communication 9«

somewhat by the use of elongated feelers such as antennae, tentacles, barbels, fin-rays, or the like, and considerably further by, for example, lines of silk, as in m a n y spiders. Since tactile signals are subject to wide variations in time and intensity, they are particularly useful for the trans­mission of quantitative information, concerning distance for example. T h e nature of topographic discriminations, achieved through an animal's surface or through more or less sensitive contact receptors, is not well understood; the possibilities of cutaneous message processing are, however, being explored.

Partly because of their immediate appeal to the imagination of m e n and partly stimulated by technological refinements which became available in the decades after the Second World W a r , the study of the mechanical vibrations by which some animals communicate constitutes by far the most advanced branch of the field. Labels such as 'biological acoustics' or 'bio-acoustics' are often applied to this research area, which m a y be further subdivided according to the m e d i u m involved. Acoustical systems m a y operate through the air, as in insects, in birds which, as a class, are the most vocal of animals, and in numerous land m a m m a l s , a m o n g them bats, shrews, rodents, deer, seals, carnivores—especially Felidae and Canidae—and monkeys and anthropoid apes. Acoustical systems m a y likewise operate under water for social communication and display, and have been variously developed a m o n g Crustacea, aquatic insects, fishes and Cetácea; in recent years, whale communication has been receiving increased attention. Finally, rhythmic changes of density in a solid m a y also form an acoustical system, as the quacks of queen honey-bees are transmitted directly through the hive material. Although both visual and auditory perception occur in space and time, vision is pre-eminently the spatial sense, just as audition is the temporal sense par excellence. In acoustic communication, reaction times are typically fast, and sound signals can be received at distances as great as chemical ones. T h e emission of sounds involves a minute output of energy and their transient character makes accurate timing possible. With the proper receiving organs, sounds— especially those in the lower frequencies—can be more or less precisely directional when it is advantageous that information about the sender's location be broadcast; on the other hand, with the use of higher frequencies, the sender's whereabouts m a y be kept concealed. Sound fills the entire space around the source and thus does not require a straight line of connexion with the receiver: a signal can travel around corners and is not usually interrupted by obstacles. This flexibility in frequencies, intensities and patterns is important in that it allows for considerable differentiations a m o n g , as well as within, species for individual variation with m a n y shadings and emphases.

Echo location—where the encoder and decoder of an acoustic (or sometimes electrically coded) message is the same living animal in a situation of rapid feed-back—may be regarded as a special case of c o m m u ­nication. This phenomenon was first discovered in bats, but has since been

92 Thomas A . Sebeok

found in all sorts of other animals, including gynirid beetles, the South American oilbird and the South-East Asian swiftlet, and some seals and porpoises. It has also been shown that moths of the family Arctiidae also emit noisy, ultrasonic pulses w h e n they detect insectivorous bats pursuing them, and that these bursts m a y function to mislead their predators.

It is well k n o w n that certain fishes generate electric fields and it seems increasingly probable that some of the feebler impulses are employed for signalling in at least those species, such as a n u m b e r of mormyrids and gymnotids, where the frequencies and patterns of discharge are distinct. Electric rhythms have even been compared to the song-displays of birds and ascribed an analogous territorial function. While it is suspected that the thermal sense is also employed as a communication channel a m o n g certain animals, there is insufficient evidence to substantiate this so far.

Matter as well as energy m a y serve as a message conductor, as in the honey-bee, ants, and termites, where food and water exchange processes transport not merely calories but also information vital to the survival of the colony. This form of semiotic biosocial facilitation of interindividual stimulative relationships is k n o w n as 'trophallaxis'.

Although at this stage of zoopragmatics it is both necessary and proper to dinstinguish the several channels, to study each in isolation, as it were, the redundancy which prevails a m o n g the multiplicity of bands in natural systems—an effect sometimes referred to as 'the law of heterogeneous summation'—to the user's profit must soon become an object of both theoretical and practical concern. T h e over-all code which regulates an animal communication network often seems to consist of a set of subcodes, grouped in a hierarchy, fluctuations a m o n g which depend on such factors as the kind of information to be transmitted, the availability of alternative channels, or the distance between source and receiver. Thus, in the m o u n ­tain gorilla, vocalizations, employed in dense vegetation, serve to draw attention to the animal emitting them; these sounds notify other gorillas of the specific emotional state of the performer and alert them to watch for gestures which then communicate further information. Postures and gestures, especially facial expressions, co-ordinate behaviour within the group when the distance a m o n g the members decreases, while the visual subcode is in turn replaced by the tactile subcode w h e n the distance is still further diminished, as between a female and her small infant.

In each species, the source of a message must share with its destination a code, the critical element of their communicative commerce constituting a particularized version of the universal 'need-to-know'. Every emitting organism's selection of a message out of its species-consistent code as well as the receiving organism's apprehension of it proceed either in accordance with a 'closed' genetic programme automatically and predictably shaping a wholly prefabricated set of responses, or with reference to the animal's unique m e m o r y store which then directs the w a y in which the genetically precoded portion of the total behaviour programme is acted out. Even in 'open' behaviour programmes, certain releaser mechanisms can begin to

Animal communication 93

function only at predetermined stages of maturation. T h e relationship of learning to instinct in animals in general has been reviewed, including the question of learning from alien species, and especially the capacity of certain birds and m a m m a l s to imitate h u m a n speech—the phenomenon of mimicry. As one would expect, the higher vertebrates tend to be increas­ingly malleable by learning—certain domesticated species can be motivated even by verbal instruction (elephants, for example, can be trained to distinguish a m o n g up to twenty-four different c o m m a n d s by purely audi­tory perception), but information about this topic as a whole, and e.g., as regards the primates, is very sparse, or e.g., as regards dolphins, not altogether reliable.

J. Huxley reports a remarkable example of sound mimicry in the wry­neck, a small, brown, hole-nesting bird related to the woodpecker (and also sometimes k n o w n as 'the cuckoo's mate') . Huxley writes: 'If you look into a nestbox occupied by a sitting wryneck, you will see the bird press itself against the side of the box, then elongate itself upwards to the fullest extent, and finally shoot backwards, scattering the eggs over the bare bottom of the box, at the same time emitting a formidable hiss. T h e resem­blance to a snake is striking. Even the h u m a n observer, looking into an open box and prepared for what is coming, is severely startled. T h e effect on a small animal intruder entering the darkness of the nest must be overwhelming.'

T h e basic assumption of zoosemantics is that, in the last analysis, all animals are social beings, each species with a characteristic set of c o m m u ­nication problems to solve. All organic alliances presuppose a measure of communication: Protozoa interchange signals; an aggregate of cells becomes an organism by virtue of the fact that the component cells can influence one another. Creatures of the same species must locate and identify each other; moreover, they must convey information as to what niche they occupy in territory as well as status in the social hierarchy, and as to their momentary m o o d . Intraspecific and interspecific messages furthering ends such as these can be coarsely categorized in terms of their ecological or functional contexts, and different scholars have devised roughly compar­able, but all more or less subjective, schemes to classify the supposed signification of the signals they have observed. Thus one scholar has noted intraspecific expressions of threat, warning, fear, pain, hunger and—at least in the highest animals—such elemental feelings as defiance, well-being, superiority, relation, excitement, friendliness, submission, dejection and solicitude; and interspecific warning signals, intimidating signals, decoying signals and positive or negative masking signals. Others deal with species identification in aggregational systems (cellular, sessile, mobile, ocial, and interspecific) and dispersal systems (ritualized fighting, aggres­sive displays, and territorial behaviour); social co-operation, involving such items of information as alarm signals (sub classified as indicators of departure, distress, warning and the like) and food signals; sexual attraction and recognition; signals to further courtship and mating;

94 Thomas A . Sebeok

and the ways in which parent-young relationships entail communication. T h e associative ties between signals and their meanings are often arbi­

trary, as opposed to iconic: thus tail movements in a dog denote friendship, in a cat hostility, and in a horse the presence of flies. S o m e signals are 'shifters', that is, their meaning differs according to the situation: thus the honey-bee's tail-wagging dance has more than one denotatum, for it designates either a food source or a nesting site, its pragmatic import depending not upon variation in the form of the expression but solely the attendant physical context of an identical gesture pattern. T h e herring gull's head-tossing has more than one function: it occurs as a pre-coital display, but this is indistinguishable from the head-tossing exhibited by a female begging for food.

At present, zoosemantics consists largely of a heterogeneous collection of ad hoc proposals, and this partly for practical reasons, deriving from the enormous complexity of the structure, psychology and social organization of animals, as well as the relative inaccessibility of the habitats where m a n y of them dwell (including tropical jungles and the ocean depths); but, even more fundamentally, because semantics suffers from lack of a theory adequate to cope with the data of animal communication. Such difficulties have moved some contributors with a theoretical bent to dismiss semantics entirely as being of doubtful value in their field; this being the case, classi­fication schemes such as those enumerated above must be regarded as strictly provisional.

T h e importance of compiling a complete inventory of the behaviour of every species studied has been stressed by m a n y scholars, some of w h o m called collections of raw materials of this sort 'ethograms'. A n ethogram should, of course, incorporate a description of the zoosyntactic properties of the codes peculiar to each species. In this respect, an ethographer plays the role of a cryptanalyst receiving messages not destined for him and ignorant of the pertinent transformation rules. Although there are well over a million species extant, virtually none of the codes in use is fully understood, not even that which regulates the remarkable communication system honey-bees have developed. While the fact that these bees perform intricate movements—the famous 'dances'—in directing their hive-mates to a source of food supply or to n e w quarters has been widely reported and is n o w a familiar story, it is not so well k n o w n that these insects transmit information by acoustic means as well. It has n o w been demonstrated that the length of the train of sound emitted during the straight run of the dance tells the distance of the find, but this discovery is bound to be only a first step in the comprehensive unfolding of the auditory subcode of the bees; investigators in several laboratories, working independently of one another, are currently attempting to complete an account of this hardly anticipated facet of the apiarian ethogram.

It seems useful to m a r k three possible approaches to zoosemiotics as a whole: pure, descriptive and applied. Pure zoosemiotics is concerned with the elaboration of theoretical models or, in the broadest sense, with

Animal communication 95

the development of a language designed to dea scientifically with animal signalling behaviour. Descriptive zoosemiotics comprehends the study of animal communication as a natural and as a behavioural science in its pragmatic, semantic and syntactic aspects. Finally, applied zoosemiotics aims to deal with the exploitation of animal communication systems for the benefit of m a n . Utilitarian applications—tasks, in the main, for the future—may be confidently envisaged in wildlife management, agriculture, and pest control. Applied zoosemiotics is used sometimes even in warfare. Thus the United States A r m y is developing an 'insect personnel detector', consisting of man-sniffing bedbugs, for the discovery by smell of enemy soldiers lying in ambush. O u r knowledge of basic zoosemiotic processes m a y also be put to practical uses to supplement existing h u m a n information-handling devices (in aiding the deaf and the blind, in assisting c o m m u ­nication with m a n in outer space), and to advance bionics, a term that designates efforts to convert living systems into mechanical and electrical analogues. Linguists and psycho-linguists w h o are concerned with animal communication are interested chiefly in disclosing the biological and anthropological origins of h u m a n communication, and, further, seek answers to particular questions such as these: what are the anatomical and physiological correlates of verbal behaviour and what sensory and cognitive specializations are required for language perception; what motivates the onset and accomplishment of language learning in the development of h u m a n infants; w h y do subhuman forms lack the capacity to acquire even the beginnings of language; h o w can present evolutionary theory account for the uniqueness of both form and behaviour of language specialization in m a n ; and what is the genetic basis for language propensity, man's species-specific biological endowment? Zoosemiotics, even though still in its infancy, provides the scientist with a simpler setting in which to search for solutions than does the far more complex socio-biological environment which constitutes the framework of man's communicative behaviour.

Professor Thomas A . Sebeok was born in Hungary but has lived in the United States since 1937. He has been a member of the Indiana University faculty of linguistics since 1943, and for the past ten years chairman of the Research Centre in Anthropology, Folklore and Linguistics. He is the editor of the Uralic a n d Altaic Series, was director of the Lin­guistic Institute of the Linguistic Society of America in 1964, and is currently a senior fellow of the United States National Science Foundation. His major research interest has centred on the Uralic languages and peoples, but his contributions also cover psycho-linguistics and semiotics.

Language in the light of information theory

Gerold Ungeheuer

T h e statistical theory of information

'Information theory' currently designates a wide range of scientific activities. Starting with the familiar publications by Wiener (1948) and Shannon (1948), this field of scientific research has been maturing, generalizing the original concepts, and being supplemented by new ideas beyond the frame of statistics (Bar-Hillel, Bar-Hillel and Carnap, Brillouin, Gabor, Harrah, K e m e n y , Mackay , Mandelbrot, McGill, Schützenberger and others). It is, therefore, necessary to limit our subject to the most significant appli­cations of information theory in natural languages. It is proposed to do this by considering only the statistical theory of selective information, which is the new, widely accepted n a m e of Shannon's 'mathematical theory of communication'.

T h e statistical concepts of the n e w discipline were established through a mathematical re-examination of signal transmission and codification. In fact, it is not surprising that scientists reasonably argue that 'the term information theory has been used by Shannon . . . to denote the theory of coding' (Wolfowitz). It also was clear, however, to m a n y scholars that the schemes and measures introduced by Shannon are of a more general nature than was indicated by the engineering subject. T h e mathematical machinery of information theory can perfectly well be defined as part of pure statistics and the theory of probability (see, e.g., Kullback, Lindley, McGill, McMillan, Schützenberger) and is, therefore, not bound only to engineering interpretations. As was proved in several sciences, it can undergo a variety of applications, of which those in natural languages are preponderant.

Besides the statistical apparatus itself, it was the designed model of transmission, sharing some characteristic features with the processes of linguistic communication, which attracted the linguists' interest. T h e intense search for a linguistic adaption of information theory can be studied in the papers published immediately after the appearance of Shannon's

Int. Soc. Set. / . , Vol. X I X , No. i, 1967

Language in the light of information theory 97

article (e.g., Weaver, Hockett). Misinterpretations can also be traced, which are the result of making too close the connexion between statistical information and linguistic meaning.

In the statistical theory of information, the underlying model of c o m m u ­nication seems to be very simple. It is built up out of five units: i. There is first a source of information emitting signals, sometimes called

messages. T h e information source is described uniquely by the set of all the different signals, or else by all classes of functionally equivalent signals potentially to be transmitted, supplemented by the array of their probabilities of occurrence. In general, the whole message corre­sponds to a sequence of signals out of the given set. If there are statistical constraints for the serial ordering, distributions of compound or condi­tional probabilities have to be added.

O f course, through an empirical approach the probabilities can be approximated by frequencies.

2. T h e messages are directed to a destination, in our list the second unit of the model, sometimes described as a sink of information. In a specified process of transmission an information sink receives the signals according to a distribution of frequencies not necessarily identical with those of the source.

3. Source and sink of information are connected by a m e d i u m of con­veyance, the transmission channel, through which the signals have to pass in their run from the point of generation to the point of destination. In m a n y cases the channel is constructed in hard-ware, but this is not required for the model itself. T h e channel is defined only as a relation between the frequency distributions of the emitted and received signals. A communication channel, therefore, is represented mathematically by a matrix of transition probabilities.

T w o properties of the channel are specially important, the presence of noise, which distorts the transmitted signals, and the existence of a channel capacity, which is a measure for the m a x i m u m flow of infor­mation that can be conveyed through the channel.

4. Information theorists are interested in answering the question, h o w signals should be adapted to the statistical properties of channel noise, in order to transmit an opt imum of undisturbed information. In the model, this point is brought out by two intermediate mechanisms, the one between the source and the channel, the other between the channel and the destination of information. They refer respectively to the pro­cesses of signal encoding and decoding.

Thus w e have the model constructed as a chain of five components in the following order: source of information, encoder, channel, decoder, sink of information. Sometimes the source and the sink are combined with their adjacent component into single units, which could be called respectively sender and receiver.

98 Gerold Ungeheuer

Natural languages and the model of communication

With reference to the described model of communication, one can inquire into the characteristics of natural languages which obviously invite appli­cations of information theory. Although the informational measures are not yet introduced, this procedure seems to be justified because the structure of the model itself is sufficiently adapted for a pertinent comparison, free of mathematical complications. For our purpose, w e must stress the following features. i. Each performance of linguistic communication contains as ingredients

articulatory acts producing acoustic signals which are principally stochastic processes. In this domain of acoustic phonetics, theoretical information analysis must be accompanied by certain fundamental considerations of signal theory (e.g., sampling theorem). There are numerous publications reporting results of this kind of research (espe­cially directed to engineering problems). Because of their scant impor­tance to linguistics, however, w e shall ignore them in what follows.

2. In natural languages w e recognize a principle of hierarchic construction-lower level elements, concatenated or assembled, form higher level units. In written language w e see words composed of letters, sentences composed of words, texts composed of sentences. Exactly the same holds true for spoken language, the lowest level elements of which are speech sounds or phonemes, possibly considered on a still lower level as bundles of so-called distinctive features (Jakobson and Halle).

Besides this principle of construction, w e must take into account the dichotomy between text (in the widest possible sense as written text or speech) and inventory of linguistic units (dictionary, system of phonemes, alphabet) corresponding more or less to the differences anchored in the notions oí parole and langue (De Saussure) as well as of syntagm and paradigm.

F r o m these two points of consideration w e derive two types of frequencies, the distinction between which is crucial for information theory examinations. There are, first, the frequencies of occurrence of the units in a text, the units belonging to a certain category of elements (letters, phonemes, words, etc.). Secondly, related to each inventory save the class of elements at the lowest level, w e obtain a set of frequen­cies measuring the compositional load or efficiency of the lower level elements out of which the corresponding units are built up.

3. A third aspect is introduced with the modes and capacities of h u m a n behaviour in linguistic communication. As demonstrated in experimental psychology, there are some behavioural characteristics which seem to be well covered by an application of statistical concepts, the informa­tion theory approach is, in this case, based once more on the existence of an array of frequencies, mostly connected with serially ordered acts of linguistic behaviour.

Language in the light of information theory 99

T h e statistical concept of selective information

Without rigorous definitions and strictly demonstrated theorems, the mathematics of statistical information theory can only be explained here in its most elementary form with some degree of plausibility.

Let us consider first the source of information consisting of a finite class of informative elements Xi, also called signals or messages. T h e trans­mitting mechanism is determined by a set of sending probabilities p(xi) (or simply pi). Since w e are considering an exhaustive system of n events, the probabilities add u p to i:

S Pi = i. < — i

If w e want to define a measure of information, there exist several possibilities, depending on the assumptions w e want to adopt. O n e of the most funda­mental assumptions of the underlying model of communication is the definition of the source which ignores any specification in the nature of the informative elements Xi. W h a t is needed is only a device guaranteeing their identification and discrimination, e.g., by simple indexing. That means that the model relies only on the diversity of the set of messages. O n e can also think of any classification delivering a set of classes contain­ing elements equivalent in their information-bearing function. This supposition signifies that each possible measure of statistical information must be a non-parametric or non-metric statistic, i.e., a measure indepen­dent at least of physical properties.

T h e calculations of the received information presuppose the k n o w ­ledge of the information emitted by the source. T o describe it metaphorically, the receiver knows in advance the array of the transmitting probabilities by which a measure of uncertainty or rarity can be derived for each signal. T h e less probable the transmission of a signal, the more uncertain is the status of the receiver concerning the outcome of this signal.

T h e concept of information can n o w be based on the idea that the amount of information increases in correlation with the uncertainty removed by the actual outcome of a certain element. Bearing in m i n d this descriptive schedule, one can state that the amount of information Ii, corresponding to the element Xi, should in each case be a function of its inverse probability i//><:

Ii=f{i/Pi). (i) O n the basis of certain reasonable constraints, like additivity, assumed only to facilitate the calculations, the function in equation (i) is identified as the logarithm of the inverse probability:

Ii = log i/pi = —log pi. (2) T h e measure /<, of course, is a stochastic variable or variate; the expectancy or m e a n value H can be calculated in the usual w a y :

H=— 2 PilogPi. (3) < - 1

T h e measure H is, perhaps, the most familiar concept of information

100 Gerold Ungeheuer

theory, k n o w n under different names, as entropy, amount of information, uncertainty, etc. It is the m e a n value of the varíate U and characterizes the transmitting property of the information source. Outside the frames of information theory the measure H is applicable to each probability distribution, expecially to those without parametric ordering. Similarities between i / a n d statistical variance have been demonstrated (McGill, 1955) and H can, in fact, be regarded as a non-parametric measure of dispersion. T h e expression 'selective information' corresponds to the interpretation of the emitting process as a selective mechanism governed by the proba­bilities/»^).

Uncertainty reaches the m a x i m u m , if all Xi have the same probability. n being the n u m b e r of message, H n o w becomes

i/inai = log n. (4) Equation (4) reveals that Hm^x depends only on the size of the given set of informative elements x<. Moreover, log2n gives the minimal n u m b e r of attributes necessary for an unequivocal identification of each message. T h u s a relation is established between the amount of information and classificatory procedures. In order to define the unit of the measures of information, one also uses the basis 2 to the logarithm. T h e resulting unit is called 'bit' (a contraction of 'binary digit'). A source, consisting of two messages, each with probability 0.5, has an entropy of exactly 1 bit.

Evidently, any modification in the distribution of equal probabilities diminishes H . Defining a relative uncertainty H / H m w the difference

r = 1 - -n- (5) J 1 max

determines the loss of uncertainty owing to this deviation. T h e measure r, called redundancy, is for some applications, more important than H itself.

A loss of uncertainty, for instance, takes place, if the elements x\ are not emitted perfectly at r a n d o m , but under a law of concatenation. T h e result­ing statistical dependencies are represented in a matrix of transition probabilities p(i/j) which can be described as the probability of the out­c o m e of Xi under the condition of the prior occurence of Xj. O f course, matrices of transition probabilities of higher order are possible. W e do not propose to handle entropies of higher degrees (like the rate of transmission), all of which are established on the base of transition probability matrices.

General remarks on linguistic applications

of information theory

O n e thing seems to be certain; the time has gone w h e n linguists, like scientists in other disciplines, expected spectacular results from research work and theories simply by taking over the ideas of information theory. B y virtue of a better understanding of the foundations of information theory, applications of the uncertainty measure and its generalizations are n o w conceived merely as a special part of research into statistical linguistics.

Language in the light of information theory 101

As to the value of the information theory apparatus itself, the remarks of Osgood (1963, p. 266) hold for statistical linguistics as for psychology: 'Strictly speaking, information theory, particularly as it has been used in psychology, is not a theory in the sense of explanation and prediction. It is, rather, an extension of probability theory mathematics which provides some very useful descriptive measures of the distribution of probabilities of occurence of alternatives.'

In the whole of information theory, one must distinguish between two major groups of features, which have attracted the attention of linguists. T h e first comprises the structural pattern exhibited in the model of c o m m u ­nication, e.g., the indicated processing of informative units by w a y of the selecting, transmitting and receiving mechanisms, the general notion of noise, and, last but not least, the concept of information itself, defined without any reference to physical substance or mental acts. Indeed, the last point does bear a remarkable likeness to the fundamental intentions of phonological theories (and it is not astonishing to see Hockett's treatment of information theory in the introductory chapter of his Manual of Phonology (1955), published at a time w h e n the direct influence of information theory on linguistics reached its peak).

T h e original idea of Hartley, one of the most prominent precursors of Shannon, strictly defining information as derivable only by pure inter­relations of the communicative units themselves, perfectly mirrors the pho­nological supposition that the functional units of phonetics (the phonemes) are definable in a rigorous w a y only by reference to the phonemic system as a whole, a condition already assumed by D e Saussure and theoretically elaborated by Hjelmslev. There is still no thorough examination of this concordance.

In order to get a proper picture of h o w the information theory model must be evaluated from other than engineering points ol view, w e need a general theory of communication which, to date, certainly does not exist. Communication research is still split up into a variety of subjects and approaches. W h a t w e urgently require is a unified theory including all phenomena of communication, be it in m a n , the animal or the machine.

T h e second of the above aspects pertains to the statistical nature of the established measures of information also possessing value outside the frame­work of the communication model. As w e already stressed, they should be considered as procedures incorporated into general statistical linguistics. T h e force of their quantitative description of linguistic phenomena rests on the same bases as other techniques in this field of research. In view of the distrustful attitude towards statistical linguistics shown nowadays by some linguists, mainly reasoning in terms of grammatical theory, w e wish to point to the evidence concerning statistical effects in the manifestations of linguistic events which can appropriately be described only by frequency-derived measures. N o linguist seriously interested in such phenomena claims that he can build a stochastic model implying all sorts of linguistic relations. There are, however, mass events in language significantly

102 Gerold Ungeheuer

characterizing linguistic laws, stylistic trends, the balance of patterns and verbal behaviour.

Perhaps the most attractive feature of the mathematical formulae of information theory is their capacity for measuring the statistical depen­dencies of serially ordered units. Until the appearance of the n e w concepts, linguistic statisticians were primarily investigating phenomena represented by univariate frequency distributions (the prominent exception is the work of Markov w h o , on the basis of his statistical analysis of the novel Eugen Onegin, created the theory of Markov chains). A famous example of this kind of approach is to be found in what is called Zipf's law, extensively studied and improved by Mandelbrot, stimulated both by statistical thermodynamics and information theory.

Another source of influence has been the interpretations of certain notions, like uncertainty and redundancy, as possible quantitative correlates of certain slices of verbal behaviour. Expectations and anticipations, dependence on context, selective behaviour, redundant classifications, judgement and m e m o r y have been objects of information theory exam­inations in linguistics and in psychology. T h e aquired insights as well as misleading efforts can be studied in the proceedings of the relevant conferences and symposia (Quastler, Jackson, Cherry (1956)).

Beyond question these applications and interpretations of information theory must be supported by an analytic comparison with related subjects like subjective probability, the role of inverse probability, degree of confir­mation, testing of hypothesis, statistical inference, the concept of utility, and the fundamentals of decision theory. O n the other hand, more research in psycholinguistics should be accomplished in order to test the psychological status of the results obtained by the applications. T h e development of psycholinguistics over the last few years proves the general acceptability of this requirement.

S o m e linguistic applications of information theory

So far as the stochastic nature of speech signals is concerned, there are no information theory studies of special interest in linguistics. Let us mention, however, one figure frequently quoted in m a n y publications. T h e speech signals of telephone quality carry a spectral bandwidth typically around 3,000 cps. and a signal-to-noise ratio of about 30 db. A certain formula in Shannon's theory attaches 30,000 bits./sec. to the flow of information correlated with these signals. M o r e precisely this figure indi­cates the m a x i m u m of information that can potentially be conveyed under the given conditions. At normal conversational speed the entropy of speech, considered as the flow of phonemic information, should not exceed 50 bits./sec, a magnitude also determining the upper limit of the over-all h u m a n information-processing capacity. T h e calculation yields a redundancy of about 99.9 per cent for speech signals and for the speech generating source a linguistically relevant entropy of 0.1 per cent. T h e remarkably high

Language in the light of information theory 103

redundancy of speech signals has been given as the reason for their high resistance against distortions observed in linguistic communications.

T h e linearly concatenated structure of linguistic texts and higher linguis­tic units (i.e., morphemes, words) is the starting point most frequently used in applications of information theory. T h e results are naturally related to the sign-vehicles (signifiant) rather than to semantic characters (signifie).

Shannon (1950,1951) himself initiated the long series of papers treating entropies and redundancies of written language in terms of letter statistics. There should by n o w exist a corresponding examination at least for each European language. Summaries of this type of research are given in several introductions to information theory (e.g., Cherry, Edmundson , Herdan, Luce, Meyer-Eppler, Miller). It is noteworthy that, for all language hitherto examined, redundancy lies between 0.5 and 0.75. With reference to computer calculated results, it must, however, be added that m a n y of the accepted frequency distributions will possibly be changed in the near future.

M o r e interesting from a purely linguistic point of view are calculations referring to phonological systems and texts composed of phonemes. Probably the first effort in this direction was the paper by Cherry, Halle and Jakobson (1953), where the efficiency of phonetic features in their function of characterizing Russian phonemes is investigated. It turns out to be an attempt at connecting Shannon's coding theory with the classical concept of phonemic content (Phonemgehalt) introduced by Trubetzkoy in European phonology and carried on by Jakobson in his system of so-called 'distinctive features' (Jakobson and Halle). T h e most extensive statistical analysis of phonemic texts is contained in the book by Roberts (1965) on American English, including calculations of information measures, which should be complemented by reference to Denes (not mentioned in the otherwise complete bibliography of Roberts).

A n exciting article was published by N e w m a n (1951), in which he applies considerations of information measures and Markov chains not to whole segmental units but only to vocalic and consonantal features. Unfortunately, this avenue of research was exhausted very soon, probably for lack of a large body of texts and computational aids which nowadays could easily be found.

Information theory research in this field can generally be divided into three sections, each centred around one of the main measures of information theory, namely the uncertainty or entropy H, the redundancy r, and the coefficient of constraint D ( N e w m a n and Gerstman), the latter being a measure like redundancy referred to a standard different from the m a x i m u m entropy Hmhx. It should also be noted that Shannon's fundamental theorem, which demonstrates that an information source can be optimally matched to a noisy channel of given capacity by processes of encoding, is beyond the range of this type of investigation.

Several ideas have been put forward in order to use entropy measures at the higher level of words. Without having m u c h influenced the practice

104 Gerold Ungeheuer

of Statistical linguistics their suggestive character remains acceptable. T h e paper by Miller and Selfridge (1950) reported the first study of this type, also demonstrating psychological relevance. Later, the problem was discussed by Wilson and Caroll, whose contribution is published in Psycholinguistics edited by Osgood and Sebeok (1965). T h e structure of the procedure is described therein by Caroll, taking the example of an artificial language. Conclusions of the following type seem to him justified: ' T h e amount of entropy of a message in the language is constant, regardless of what type of units are being analysed. However, the amount of redundancy depends upon the characteristics of the symbols in which the message is coded. . . . T h e amount of entropy of a message with specified structural boundaries is a function of the ensemble of all messages within these boundaries . . .' (p. 107).

A very interesting concept has been established under the n a m e of 'entropy profile' (Wilson and Caroll, Harris, Fry). This term designates the series of entropy values corresponding to each position of a text potentially occupied by one of the units out of which the text is built up. T h e notion, of course, implies the concept of functional load k n o w n in phonology. Harris (1954) explains that the profiles referring to phoneme positions reach a m a x i m u m at the junctures of morphemes. Meyer-Eppler very skilfully extended the concept by the invention of similar measures.

In this review one must also refer to the efforts at stylistic analysis by statistical means, the majority of which are described in the works of Herdan. Taking the concept of style in the most general sense w e can distinguish two directions in statistical linguistics, the one comparing authors, the other comparing languages. T h e publications on both are too numerous to be mentioned here.

T h e element of h u m a n behaviour in linguistic communication charac­terizes another field of information theory application. It stands to reason that psychological implications are unavoidable.

A survey could suitably start with problems of perception referring, for instance, to the article by Miller and Nicely (1955) on the perception of speech sounds masked by white noise. There are other papers by Miller and Miller et al. to be mentioned which are summarized in some of the general reviews of information theory already mentioned.

In this respect Garner's book, Uncertainty and Structure as psychological concepts (1962) is quite certainly one of the corner stones in psycho-linguistics under the influence of information theory. His chapter on ' T h e Use of Language Redundancy', in which he is dealing with subjects like 'redundancy and verbal learning', deserves special attention. Garner's book is especially useful, because he exhaustively assimilates the material published previously.

W e should like to close by apologizing for the incompleteness and in m a n y respects, the fragmentary character of our statements, partly owing to limitations of space, partly to our o w n short-comings.

Language in the light of information theory 105

BIBLIOGRAPHY

B A R - H I L L E L , Y . 1964. Language and information, selected essays on their theory and appli­cation. Addison-Wesley Publishing Company, Jerusalem Academic Press.

; C A R N A P , R . See: B A R - H I L L E L .

BRILLOUIN, L. 1956. Science and information theory. N e w York, Academic Press. C H E R R Y , C . (ed.). 1956. Information theory. London, Butterworths.

• '957- On human communication; a review, a survey, and a criticism. N e w York, London, Wiley.

; H A L L E , M . ; J A K O B S O N , R . 1953. Toward the logical description of languages in their phonemic aspect. Language, vol. 29, p. 34-46.

D E N E S , P . B . 1963. O n the statistics of spoken English. J. acoust. Soc. Amer., vol. 35, p. 892-904.

E D M U N D S O N , H . P. 1963. A statistician's view of linguistic models and language-data processing. In: P . L . Garvin (ed.), Natural language and the computer. McGraw-Hill.

F R Y , D . B . 1950. Communication theory and linguistic theory. In: Report of proceedings, Symposium on information theory. London, Ministry of Supply, p. 120-4.

G A B O R , D . 1946. Theory of communications. J. Instn. electr. Engrs., vol. Ill, no. 93, p. 429-57.

G A R N E R , W . R . 1962. Uncertainty and structure as psychological concepts. N e w York, London, Wiley.

H A R R A H , D . 1958. The psychological concept of information. J. phil. phenom. Res., vol. 18, p. 242-9.

. 1963. Communication, a logical model. Cambridge, Mass. , M I T Press. H A R R I S , Z . S. 1954. Distributional structure. Word, vol. 10, p. 146-62. H A R T L E Y , R . V . L . 1928. Transmission of information. Bell Syst. techn. J., vol. 7,

P- 535-63-H E R D A N , G . 1966. The advanced theory of language as choice and chance. Berlin, Heidel­

berg, N e w York, Springer. . 1964. Quantitive linguistics. London, Butterworths.

H J E L M S L E V , L . 1953. Prolegomena to a theory of language. Baltimore. H O C K E T T , C h . F . 1953. T h e mathematical theory of communication. Language,

vol. 29, p. 69-93. (Rev. C . E . Shannon and W . Weaver.) •. 1955. A manual of phonology. Baltimore, Waverly Press.

J A C K S O N , W . (ed.). 1953. Communication theory. London, Butterworths. L I N D L E Y , D . V . 1956. O n a measure of the information provided by an experiment.

Ann math. Statist., vol. 27, p. 986-1005. L U C E , R . D . i960. The theory of selective information and some of its behavioral

applications. In: R . D . Luce (ed.), Developments in mathematical psychology, Glencoe, 111., The Free Press, p. 2-119.

M A C K E Y , D . 1950. Quantal aspects of scientific information. Philos. Mag., ser. 7, vol. 41, p. 289-311.

. 1950. T h e nomenclature of information theory. In: Report of proceedings. Symposium on information theory. London, Ministry of Supply.

•. 1952. In search of basic symbols. In: H . v. Foerster (ed.), Cybernetics. Transactions of the 8th Conference on Cybernetics. N e w York, p. 181-221.

M A N D E L B R O T , B . 1953. Contribution à la théorie madiématique des jeux de com­munication. Publications de l'Institut de Statistique de l'Université de Paris, vol. 2, p. 1-124.

. 1954. Structure formelle des textes et communication. Word, vol. 10, p. 1-27.

M A R K O V , A . A . 1913. Essai d'une recherche statistique sur le texte du roman Eugène Onegin, illustrant la liaison des épreuves en chaîne. Bulletin de l'Académie Impériale des Sciences de St. Petersbourg, vol. VII.

M C G I L L , W . J. 1954. Multivariate information transmission. Psychometrika, vol. 19, p. 97-116.

io6 Gerold Ungeheuer

M c G i L L . W . J . 1955. Isomorphism in. statistical analysis. In: H . Quastler (ed.), Information theory in psychology, problems and methods. Glencoe, 111., T h e Free Press, p . 56-62.

M C M I L L A N , B . 1953. T h e basic theorems of information theory. Ann. math. Statist., vol. 24, p . 196-219.

M E Y E R - E P P L E R , W . 1959. Grundlagen und Anwendungen der Informations-theorie. Berlin, Göttingen, Heidelberg, Springer.

M I L L E R , G . A . 1953. Information theory and the study of speech. In: Current trends in information theory. University of Pittsburgh Press.

. 1965. Models for language. In: Mathematical and social sciences. Proceedings of a seminar. Paris, T h e Hague, M o u t o n & C o . , p . 283-339.

; C H O M S K Y , N . 1963. Finitary models of language users. In: R . D . Luce, R . R . Bush, E . Galanter (eds.), Handbook of mathematical psychology. Vol. II, Wiley, p . 419-91-

; N I C E L Y , P . E . 1955. A n analysis of perceptual confusions a m o n g some English consonants. J. acoust. Soc. Amer., vol. 27, p . 338-52.

; S E L F R I D G E , J. A . 1950. Verbal context and the recall of meaningful material. Amer. J. Psychol., vol. 63, p . 176-85.

N E W M A N , E . B . 1951. T h e patterns of vowels and consonants in various languages. Amer. J. Psychol., vol. 64, p . 369-79.

; G E R S T M A N , C . J. 1952. A n e w method for analysing printed English. J. exp. Psychol.,, vol. 44 , p . 114-25.

O S G O O D , C . E . 1963. Psycholinguistics. In: S. K o c h (ed.), Psychology: a study of a science. Vol. 6. McGraw-Hill , p . 244-316.

; S E B E O K , T . A . 1965. Psycholinguistics, a survey of theory and research problems. 2nd ed. Bloomington, Indiana University Press.

Q U A S T L E R , H . (ed.). 1955. Information theory in psychology, problems and methods. Glencoe, 111., T h e Free Press.

R O B E R T S , A . H . 1965. A statistical linguistic analysis of American English. M o u t o n & C o . S A U S S U R E , F . de. 1962. Cours de linguistique générale, 5th ed. Paris. S C H Ü T Z E N B E R G E R , M . P . 1964. Contribution aux applications statistique de la

théorie de l'information; Publications de l'Institut de Statistique de l'Université de Paris, p . 1-115.

S H A N N O N , C . E . 1948. A mathematical theory of communication. Bell Syst. techn. J., vol. 27, p . 379-423-

. 1951. Prediction and entropy of printed English. Bell Syst. techn. J., vol. 30,

P- 50-64-; W E A V E R , W . 1949. The mathematical theory of communication. Urbana, Univer­

sity of Illinois Press. W E A V E R , W . See S H A N N O N ; W E A V E R .

W I E N E R , N . 1961. Cybernetics or control and communication in the animal and the machine. 2nd ed. Cambridge, Mass. M I T Press.

W O L F O W I T Z , J. 1964. Introduction to information theory. In: E . F . Beckenbach (ed.), Applied combinatorial mathematics. N e w York, London, Wiley, p . 406-15.

Dr. Gerold Ungeheuer was professor of communications at the Cauca University, Popayan, Columbia, between ig6i and 1963. He is now a research officer at the University of Bonn, where he directs the communication section of the Research Institute on Phonetics and Commu­nication.

The world

of the social sciences

Research and training centres

and professional bodies1

Contributions to this section are invited. Statements not exceeding 1,500 words should be submitted in two double-spaced typewritten copies, in English, French, Spanish, Russian, German or Italian. Particular emphasis on current or planned research activities is desirable.

N e w institutions a n d changes of address

N e w institutions

United Kingdom Social Science Research Council, State House, High Holborn, London, W . C . i .

United States of America T h e Latin American Studies Association, c/o Hispanic Foundation, Library of Congress, Washington, D . C . 20540.

Changes of n a m e and address

Chile Centro latinoamericano de población y familia, Almirante Barroso 6, Casilla 9990, Santiago. [Formerly: Miguel Claro 136, Casilla 3333-10045, Santiago.]

France Centre d'analyse et de recherche documentaires pour l'Afrique noire ( C A R D A N ) , 393, avenue Daumesnil, Paris-12e. [Formerly: Centre d'analyse documentaire pour l'Afrique noire ( C A D A N ) , 293, avenue Daumesnil, Paris- 12e.]

Japan Nihon Shakai Shiso Kenkyusho (Centre for Japanese Social and Political Studies). 4-12-24 Higashi, Shibuya-ku, Tokyo. [Formerly: K u w a n o Building, 2-26 Yoyogi, Shibuya-ku, Tokyo.]

1. For cumulative index to this section, see Vol. X V I (1964), No. 1, p. 117.

Int. Soc. Set. J., Vol. X I X , No. i, 1967

no T h e world of the social sciences

Italy Istituto di Psicología e Sociología, Università di Gagliari, Sa Duchessa, Cagliari. [Formerly: Istituto di Psicología, Università di Cagliari, via Università, 32, Cagliari.]

Netherlands L a n d b o u w Economisch Instituut, Conradkade 175, T h e Hague . [Formerly: 29 van Stolkweg, T h e Hague.]

United Kingdom Centre of African Studies, University of Edinburgh, A d a m Ferguson Building, George Square, Edinburgh 8. [Formerly: 2 Buccleuch Place, Edinburgh 8.] London Institute of World Affairs, 4-8 Endsleigh Gardens, London, W . C . i . [Formerly: Faculty of L a w , University College, G o w e r Street, London, W . C . i . ]

United States of America Minnesota Family Study Center, 1014 Social Science Building, University of Minnesota, Minneapolis, Minnesota 55455. [Formerly: College of Liberal Arts, Minneapolis, Minnesota 55455.] Population Reference Bureau, Inc., 1755 Massachusetts Avenue, N . W . , Washing­ton, D . C . 20036. [Formerly: 1507 M Street, N . W . , Washington 5, D . C ]

Haïti

Centre haïtien d'investigation en sciences sociales

Cité de l'Exposition, B . P . 1294, Port-au-Prince

T h e Haitian Centre was founded in June 1966 by professor Chavannçs Douyon, a psychologist, and professor Hubert de Ronceray, a sociologist.

Its main functions are: (a) to promote and co-ordinate research into Haiti's sociological, cultural and psychological problems; (b) to establish a network of communications and exchanges between Haitian research workers and institutions and those in other countries; (c) to undertake and extend field research in Haiti; (d) to establish a h u m a n sciences documentation service.

T h e Governing Board, consisting of professors Douyon and de Ronceray, is responsible for the centre's general policy and programme. Pending further develop­ment, the centre has a secretariat, a specialized social science library, a documen­tation service for guiding research in the social sciences and providing information on the subjects covered, a psychology section with a laboratory, and a sociology and experimental social psychology section. T h e team of research workers is to be recruited primarily from university circles. T h e centre has organized a training course in research techniques for its o w n team of specialized workers.

T h e centre, which is a private autonomous institution, proposes to include four projects, differing in scope and duration, in its general programme of work for the next two years (1967-68). They are as follows: (a) Differential family structure in Port-au-Prince; (b) standardization of a set of psychological tests for Haitian schoolchildren; (c) some aspects of the philosophy of education in Haiti; (d) some social dimensions of economic development in Haiti.

These four projects were planned by the centre itself, but it is also to take up offers of co-operation from other teaching and research centres in Haiti and abroad,

Research and training centres and professional bodies m

and would like to extend its activities in accordance with the specific requirements of any national or international institutions prepared to collaborate with it.

T h e coverage of the projects is either regional, confined to social units localized in Port-au-Prince and the neighbourhood, or extending to the country as a whole. In every case, the final purpose is to contribute to the general and comparative study of problems concerning the entire country and to co-ordinate as far as possible the activities of social science specialists interested in Haitian problems.

T h e Haitian centre work in close co-operation with the Latin American Social Science Research Centre in Rio de Janeiro, which has offered it a contract for the study of particular aspects of the philosophy of education in Haiti. In general, the aim is to profit from the experience of social science research centres everywhere in order to improve and extend its services and contribute effectively to the develop­ment of cultural, social and economic relations with the other nations of the world.

Hong Kong

Social Survey Research Centre, Chinese University of Hong Kong

O n Lee Building, ioth floor, 545 , N a t h a n R d . , K o w l o o n

In February 1966, the Chinese University of H o n g K o n g created the Social Survey Research Centre in order to serve as a research outlet for the university faculty, to provide training opportunities for students and staff, and to conduct both basic and applied research on the H o n g K o n g population, as well as on Overseas Chinese in South-East Asia. In addition to the research and training services that are being provided the university and the community in H o n g K o n g , this new centre is also prepared to assist scholars in other countries w h o wish to conduct bona fide academic studies in H o n g K o n g .

Established with a grant from the Ford Foundation and with the co-operation of the Survey Research Center and the Center for Chinese Studies of the Univer­sity of California, Berkeley, the centre is n o w developing its sampling, interviewing, data-processing, and other methodological and technical resources in the course of several major studies, including: 1. The Hong Kong urban family life study. This is the first major basic social science

study of the H o n g K o n g population. Sponsored by a grant from the Government Lottery Fund, this two and one-half year project will be investigating the social welfare implications arising from the rapid industrialization and urbanization of the community. Special but not exclusive consideration in this study will be given to changes which have occurred in the Chinese family and in patterns of economic interdependency.

2. The needs of Hong Kong industry for higher level manpower. Sponsored by the Govern­ment's Special Committee on Higher Education, this study is collecting organ­izational charts and related information from manufacturing firms which employ 200 or more workers. In addition, approximately 2,000 lengthy self-administered questionnaires have been distributed to higher level personnel within these more than 300 firms. A m o n g other things, analytical attention will be given to pat­terns of recruitment and promotion, to the relationship between occupational

112 T h e world of the social sciences

skills and occupational tasks, and to determinants of innovative behaviour within different kinds of firms.

3. Patterns and problems of inter-group relations in South-Eost Asia. Funded by a Ford Foundation grant to Berkeley for comparative and international studies, this pilot exploratory project will be investigating a variety of issues related to developments within and between Chinese and non-Chinese populations in South-East Asia.

4. An evaluation of a family planning programme. At the time the Family Planning Association of H o n g K o n g opened a new clinic in one of the resettlement estates, the Association and Church World Service co-operated in experimenting with two different approaches to encouraging w o m e n in the estate to attend the clinic. Except for a preliminary census, the Social Survey Research Centre designed the studies to evaluate these approaches, and the centre also will assume respon­sibilities for analysing the materials.

In addition to these studies, the centre is facilitating the research efforts of foreign scholars w h o are interested in basic social science studies of Chinese populations.

T h e centre welcomes inquiries for assistance, co-operation, and information from scholars and research centres in other countries. Correspondence should be addressed to Dr . Robert E . Mitchell, Director.

United States of America

Center for Research on Language and Language Behavior1

T h e University of Mich igan City Center Building, 320 East H u r o n Street,

A n n Arbor , Michigan 48108

T h e transdisciplinary field of language and language behaviour, developed at the Center for Research on Language and Language Behavior ( C R L L B ) and in which its large staff of research scholars operates, offers a n e w co-ordinated approach to first- and second-language teaching and learning.

T h e idea of the transdisciplinary approach to language developed from the observations m a d e by a small group of linguists, psychologists and representatives of other allied disciplines w h o noted that the integral field of language and language behaviour had been fenced off into disciplinary areas having boundaries that were for the most part arbitrary rather than functional.

N e w techniques and findings were being adopted primarily by those engaged in the same approach to language research, rather than by those w h o were concerned with similar problems. Promising techniques and relevant findings uncovered in the laboratory were rarely utilized as workable instructional practices. Finally, little of the basic research was undertaken with a view to finding a solution for instructional problems in improving language fluency.

These scientists, led by Dr. Harlan L . Lane, director of the Behavior Analysis

1. By Eric M . Zale, Associate Director for Dissemination.

Research and training centres and professional bodies "3

Laboratory (now assimilated by the C R L L B ) , proposed a centre with a threefold objective of comprehensive and closely integrated research, development and dissemination activities that would m a k e it more possible for people of all ages and abilities to learn languages effectively.

BASIC RESEARCH ACTIVITIES

T h e eighteen different disciplines represented at the centre are organized in a programme of four substantive language areas: processes, acquisition, modification and structure.

Research in the area of language processes, conducted under the supervision of John C . Catford, is primarily concerned with inquiring into the mechanisms of perceiving, understanding and generating language. Investigations are conducted at various linguistic 'levels': phonological, syntactic and semantic.

T h e following projects are illustrative: (a) studies of the conditioning of accurate pronunciation of segmental phonemes in foreign languages through the application of selective reinforcement, according to various schedules and criteria; (b) an analysis of the correlates of the vocal response (anatomical, aerodynamic, acoustic), as part of the development of a device that will accomplish, utilizing several kinds of input data, automatic evaluation of pronunciation (using a machine called S A I D ) ; and (c) studies of areas of facilitation and interference in the acquisition of second-language fluency, and their predictability from contrastive analyses of native and target-language structures.

T h e second area of C R L L B research, language acquisition, is under the super­vision of Loren S. Barritt, and is concerned with language learning in the natural setting.

T h e interests of this group are illustrated by the following studies: (a) an investi­gation of the acquisition of abstract linguistic structures by a child in several languages, emphasizing the rapidity and universality of the pattern of acquisition; (b) experiments concerning developmental changes in psycholinguistic functioning, e.g., in the construction of complex sentences, in the comprehension of associative networks, etc.; and (c) an analysis of the development of the prosodie features in the vocalizing of infants and young children.

T h e third area, language modification, is directed by George L . Geis, and its members are interested in producing controlled changes in both first- and second-language behaviour.

Studies by this group have included: (a) research on the role of certain variables, e.g., confirmation, in learning by programmed instruction; (b) studies of the inter­action of teachers and students in foreign language courses, accomplished by molecular behavioural analyses of video-tape recordings; (c) experiments in the control of classroom instruction through the use of behavioural techniques, and the development of an instructional sequence to train teachers and teaching fellows in the use of these techniques; and (d) analyses of the efficacy of second-language materials, including programmed materials and language laboratory materials and devices.

Kenneth L . Pike is chairman of the fourth group of research, language structure. T h e programme of this group is illustrated by the following projects: (a) the

application of modern linguistic theory to the traditional problems of expository prose and rhetoric, providing a new tool for understanding and teaching complex language structures; (b) a report of field research on tagmemic linguistics applied to African languages, resolving some old puzzles, presenting some n e w ones, and extending and verifying parts of this linguistic theory; and (c) an application of the techniques of generative g r a m m a r to resolving certain traditional problems in diachronic and comparative linguistics.

All C R L L B research is currently supported by the United States Office of Education, Washington, D . C .

114 T h e world of the social sciences

DEVELOPMENTAL ACTIVITIES

In addition to its research programme, the C R L L B staff is carrying out a number of developmental projects.

O n e such project carried out in conjunction with the A n n Arbor public school system, and sponsored by the Office of Education, is a planning proposal to develop supplementary educational centres and services in the State of Michigan, based on the development of certain concepts believed to show great potential for improving language education. These concepts include a programme of combined humanities and area studies on second languages; development and conservation of bilingual and bicultural resources in the schools of Michigan communities; and an indi­vidualized approach to modern language learning through the learning laboratory.

A second project, in collaboration with the University of Michigan Department of R o m a n c e Languages, was the analysis of instructional practices by beginning teachers to determine specific skills and errors occurring in the foreign language classroom. Classes were filmed and taped and results were analysed. Additional projects along similar lines are planned to develop this programme further.

A third project is aimed at determining the feasibility of teaching a standard dialect of American English as a second language to students in a southern Negro university. T h e investigators are determined to discover whether southern Negroes differ systematically in their production and perception of speech from their white coevals. Initial discoveries indicate that the 'second-dialect' programme will necessarily involve training in habits of both speaking and listening.

A fourth project is a proposal to the Office of Education for the support of a five-year programme to train graduate students from various departments of language and literature at the University of Michigan in the techniques, findings and strategies of language research, with particular emphasis on second-language learning.

DISSEMINATION ACTIVITIES

The third area of C R L L B operation is dissemination. This programme has kept pace with the successful activities in research and application. C R L L B has developed an active mailing list of about 1,000 scholars, researchers, teachers and organizations in the various disciplines on all levels (from elementary to professional) throughout the world, for both input and output of information.

Projects launched and completed during the first year (1965) included the first annual compilation of convention schedules of all organizations in the world devoted to study and research in the eighteen disciplines of language and language behaviour; and the publication of a survey of language research projects at the University of Michigan. The second edition of the convention schedules was published in 1966, as well as the language survey, which included the entire State of Michigan.

A third project is the establishment of a quarterly journal, Language and Language Behavior Abstracts, scheduled to appear early in 1967. The journal will include abstracts of more than 500 journals from all over the world. T h e Bureau d'Étude pour l'Enseignement de la Langue et de la Civilisation française (BELC) is colla­borating with C R L L B on the journal. This alliance is established through a teletype hookup between Paris and the centre in A n n Arbor, and includes an exchange of personnel between the two organizations.

T h e C R L L B is also developing a closely related computer-based system of storage and retrieval of information in the broad transdisciplinary field of language and language behaviour.

Finally, the C R L L B has a proposal pending with the Office of Education to establish an Education Research Information Center (ERIC) clearing house in A n n Arbor to implement the already-existing programme of collection and dis­semination of language information. It is scheduled to begin operation early in 1967.

Research and training centres and professional bodies 115

ORGANIZATION OF CRLLB

Under the guidance of Dr . Harlan L . Lane, founder and director of the C R L L B , the centre has built up a staff of more than 100 full- and part-time members , including professorial faculty, graduate students, and a technical and secretarial staff.

As for its material resources, the centre has accumulated half a million dollars' worth of equipment, including various electronic devices, and a computing facility needed to carry out research and the proposed storage-retrieval programme. T h e centre has also developed a library of more than 2,000 books, journals and reports, and subscribes regularly to nearly 300 journals, with B E L C subscribing to about aoo more in the foreign-language field. T h e centre moved into new quarters in August 1965, and dedicated its facilities at the first annual Conference on Language and Language Behavior.

A m o n g its members the centre lists John C . Catford, professor of linguistics and director of the University's English Language Institute; Herbert H . Paper, professor of linguistics and chairman of Michigan's Department of Linguistics; Kenneth L . Pike, professor of linguistics; Donald E . P . Smith, associate professor of education and chief of the University of Michigan Reading Improvement Service; Ronald S. Tikofsky, chairman of the newly-organized psycholinguistics programme at the University of Michigan; Richard E . Y o u n g , Loren S. Barritt, George L . Geis, John F . Hendal, Frank M . Koen , G u y C . Capelle, David McNeill, Strange Ross, Melvyn I. Semmel , Allen R . Keiler, E m m a n u e l Companys , Harlan L . Lane, w h o is a University of Michigan associate professor of psychology and heads the ad­ministrative staff as director, assisted by D r . Robert D . Tarte, associate director for administration, and Dr . Eric M . Zale, associate director for dissemination.

The Inter-University Case Program, Inc.

607 University A v e n u e , Syracuse, N e w Y o r k , 13210

Organized in 1951 and incorporated in 1963 as a non-profit corporation, the Inter-University Case Program (ICP) seeks to stimulate the preparation and use of case studies and similar research publications that describe the actual operations of government at all levels in the United States and abroad. T h e ICP's broad aims are: (a) to enlarge the existing basis for realistic generalizations about the govern­mental process; (b) to m a k e generally available a body of accurate and insightful clinical materials useful for teaching purposes, for scholarly inquiry, and for analysis by officials at policy levels in government; (c) to contribute to broader and more helpful understandings between scholars and officials w h o are concerned with government administration and policy formulation.

T h e I C P furthers case writing and teaching in universities and research institutions by publishing selected studies of high quality prepared by faculty members , graduate students, or government officials; by furnishing advisory and editorial services; by acting as a clearing house for information on case development and use; and by allocating funds to assist in the preparation of research studies.

T h e I C P is supported by annual subscription fees from more than seventy participating universities and research institutions in the United States and abroad. Its publication programme is aided by a grant from the Ford Foundation. T h e Maxwell Graduate School of Syracuse University contributes its central office.

T h e I C P is governed by a twenty-one-man Board of Trustees, usually selected

n6 T h e world of the social sciences

from a m o n g faculty members of participating universities or research organizations. Over one hundred ICP case studies have been published since 1951. All are

available in monograph form from T h e Bobbs-Merrill C o m p a n y , Inc., 4300 West 62nd Street, Indianapolis, Indiana. A Catalog and Summary of all I C P publications is available from T h e Bobbs-Merrill C o m p a n y , Inc., on request. T h e I C P has also published five collections of case studies in book form as well as a collection of essays on methodology: Public Administration and Policy Development. Harold Stein (ed.). N e w York, Harcourt

Brace, 1951. Essays on the Case Method. Edwin A . Bock (ed.). Brussels, International Institute of

Administrative Sciences, 1962. French and English editions available. In U . S . A . copies m a y also be ordered from the University of Alabama Press and the Public Administration Service, Chicago.

Case Studies in American Government. Edwin A . Bock and Alan Campbell (eds). N e w Jersey, Prentice-Hall, 1962.

State and Local Government: a Casebook. Edwin A . Bock (ed.). Alabama, University of Alabama Press, 1963.

American Civil-Military Decisions. Harold Stein (ed.). Alabama, Twentieth Century Fund Study, University of Alabama Press, 1963.

Government Regulation of Business: A Casebook. Edwin A Bock (ed.). N e w Jersey, Prentice-Hall, 1965.

Although the I C P encourages the preparation of studies of governmental decision­making and action in all aspects of the governmental process, its current programme includes collections in the following fields: Administrative reorganization, compa­rative government, executive leadership, congressional policy-making, foreign policy and overseas operations, regulatory process, urban planning and develop­ment, science and government.

In its work abroad the I C P often co-operates with universities, national research institutes, or regional agencies concerned with the study or improvement of govern­ment. Studies prepared by these overseas organizations are circulated by the I C P to all its participating institutions. In recent years such studies have described aspects of the governmental process in France, India, the Philippines, the United Kingdom, Viet -Nam and Yugoslavia.

Queries concerning publications, research proposals, or institutional participations are welcome and should be addressed to Professor Edwin A . Bock, President, Inter-University Case Program, 607 University Avenue, Syracuse, N . Y . 13210.

Approaching international conferences in the social sciences

'967

Berlin

Canada

Sweden (?)

Manila

Poland

March 27-1 April N e w Delhi

April 2-8 Namur

10-15 San José (Costa Rica)

24-27 Luxembourg and Mondorf-les-Bains Bangkok

International Federation for Housing and Planning: International Congress. International Union of Family Orga­nizations: International Conference on the Family. International Union of Local Auth­orities: Conference on Small Towns. Ministerial Conference on Economic Development of South-East Asia. United Nations, Commission on H u m a n Rights: Seminar on the Realization of Economic and Social Rights contained in the Universal Declaration of H u m a n Rights.

International Social Science Council: International Conference on Compa­rative Social Research.

International Bureau for Research on Leisure: International Symposium. (2nd). Theme: Leisure and modern world: social and cultural equipment Inter-American Bar Association: Conference (15th).

International Association for Social Progress: International Congress (22nd). Theme: Problems of youth and mobility of labour. United Nations, Economic Commis­sion for Asia and the Far East: Seminar on Methods of Inducing Social Change for Over-All devel­opment.

Wassenaarseweg 43, The Hague (Netherlands) 28 place Saint-Georges, 75 Paris-9e (France)

Paleistraat 5, The Hague (Netherlands) Foreign Ministry of Japan, Tokyo (Japan) United Nations, New York (U.S.A.)

6 rue Franklin, 75 Paris-16e (France)

Emile Dave, 9 rue Delvaux, Namur (Belgium)

W . R . Vallance, Secretary-General, 704 Federal Bar Building, 1815 H St. N . W . , Washington, D . C . 20006 (U.S.A.) Modeste Heuseux, 47 rue Louvrex, Liège (Belgium)

Sala Santitham Rajadamnern Av. Bangkok (Thailand)

Int. Soc. Set. J., Vol. X I X , No. 1,1967

II8 The world of the social sciences

June 7-11 Milan

14-17 Rome

June Istanbul

July 9-15 Geneva

Strasbourg (France)

Saumur (France)

August

13-19 Ann Arbor, Michigan

21-30 Sydney

23-25 Grenoble

30-Sept. 7 Salzburg

Aug. (late) or Sept. (early) Rome

Society for International Develop­ment: Conference (9th).

International Federation for Docu­mentation/International Federation for Information Processing: Confer­ence on Mechanized Information Storage, Retrieval and Dissemi­nation. International Political Science Asso­ciation: Round Table on Religion and Politics.

World Peace through Law Center: World Conference on World Peace Through Law (3rd).

National Scientific Research Centre (France): International Colloquium on Problems of Regional Planning applied to Developing Countries. International Bureau for Research on Leisure: International Sessions on Leisure (ist).

International Union of Orientalists: International Congress of Orienta­lists (27th).

International Association of Agricul­tural Economists: Conference (13th). General theme: Economists and farm people in a rapidly changing world. International Association of Lin­guistics: International Conference on Machine Translation and Computa­tional Linguistics. International Conference of Social Work: European Symposium on Social Work (4th).

Pugwash Continuing Committee: World Conference of University Representatives for International Understanding and Peace.

Secretariat, 1346 Connecticut Av. N . W . , Washington, D . C . 20036 (U.S.A.) 7 Hofweg, The Hague (Netherlands)

27 rue Saint-Guillaume, 75 Paris-7e (France)

Horace Henderson, Director-General, 75 rue de Lyon, 1203 Geneva (Switzerland) 15 quai Anatole France, 75 Parish (France)

Emile Dave, 9 rue Delvaux, Namur (Belgium)

Professor R . H . Fifield, 48 Lane Hall, c/o University of Mich­igan, Ann Arbor, Michigan (U.S.A.) Joseph Ackerman, Secretary Treasurer, 600 South Michigan Av. , Chicago, Illinois 60605 B. Vauquois, C E T A , B.P. 8, 38 St Martin d'Hères (France) M m e d'Autheville, Office Régional Europe et Moyen Orient, Conférence Internationale de Service Social, 5 rue Las Cases, 75 Paris-7e (France)

Professor J. Roblat, Secretary-General, 8 Asmara Road, London, N . W . 2 (United Kingdom)

Approaching international conferences in the social sciences 119

September 2nd week Stockholm

12-20 Montpellier (France) 18-23 Brussels 27-Oct. 4 Teheran

December 11-20 Dakar

Pugwash Conference on Science and World Affairs (17th).

International Association for the Scientific Study of Mental Deficiency: Congress (ist). International Political Science Asso­ciation: World Congress (7th). Inter-Parliamentary Union: Con­ference (56th).

Society of African Culture: Interna­tional Congress of Africanists (2nd). Theme: Scientific research in aid to Africa.

Professor J. Roblat, Secretary-General, Pugwash Continuing Committee,

8 Asmara Road, London, N . W . 2 (United Kingdom) Professor R . Lafon, 2 rue Ancien Courrier, 34 Montpellier (France) 27 rue Saint-Guillaume, 75 Paris-7e (France) Place du Petit-Saconnex, 1211 Geneva 19 (Switzerland)

Professor Alassane N ' D a w , Secretary-General, University of Dakar, Dakar (Senegal)

1968

Mexico

Amsterdam

Otaniemi (Finland)

Bloomington Indiana

Paris

R o m e (?)

April (late)-M a y (early) Geneva

Inter-American Indian Congress (6th).

International Association of Applied Psychology: International Congress of Applied Psychology (16th).

International Association of Schools of Social Work: International Congress of Schools of Social Work.

International Economic History Association: International Congress of Economic History (4th).

Unesco: International Conference on Educational Planning.

World Congress on H u m a n Rights.

United Nations: International Con­ference on H u m a n Rights.

Dr. Miguel Léon Portilla, Director, Inter-American Indian Institute, Niños Héroes 139, Mexico, D . F . (Mexico) Gunnar Westerlund, Secretary-General, Sveavagen 65, Stockholm (Sweden) Dr. K . A . Kendall, 345 E. 46th Street, Room 615, New York, N . Y . 10017 (U.S.A.) Professor Frederic C . Lane, c/o Department of History, Johns Hopkins University, Baltimore, M d . 21218 (U.S.A.) Unesco, place de Fontenoy, 75 Paris-7e (France) Miss E . Bevilacqua Somal-vico, Via G . Rossino 49, Pesaro (Italy)

United Nations, N e w York (U.S.A.)

120 The world of the social sciences

M a y Athens

June or July Philadelphia 5-10 August, Drienerlo-Enschede (Netherl.)

18-24 August Helsinki

3-10 Sept.

International Centre of Research and Information on Public and Go-operative Economy: International Congress (8th). Theme: Organiza­tion and financing of public and co­operative enterprises. International Federation for Housing and Planning: World Congress (29th). International Committee for Coope­ration in Rural Sociology/European Society for Rural Sociology: World Congress (2nd). Theme: Develop­ment and rural social structure International Conference of Social Work (14th).

International Union of Anthropolo­gical and Ethnological Sciences: International Congress of Anthro­pological and Ethnological Sciences (8th).

M . Stratis D . Someritis, 62 A rue Sina, Athens (Greece)

Wassenaarseweg 43, The Hague (Netherlands) Dr. K . A . Constandes, Landbouwhogeschool, Herenstraat 25, Wageningen (Netherlands)

Joe R . Hoffer, Secretary-General, 345 E . 46th Street, N e w York, N . Y . 10017 (U.S.A.)

Professor Masao Oka, Scientific Council of Japan Ueno Park, Tokyo (Japan)

1969

Europe (?)

N e w Delhi

International Association of Penal L a w : Congress of Criminal L a w (10th). World Peace Conference.

12 place du Panthéon 75 Paris-5e (France)

M r . R . R . Diwakar, Gandhi Peace Foundation, 2 Residency Road, Bangalore 25 (India)

1970

Leningrad International Economic History Association: Congress.

Professor J. F. Bergier, Faculté des Sciences Économiques et Sociales, Université de Genève, Geneva (Switzerland)

Announcements

' L ' H o m m e et la Société'

Editions Anthropos is putting out a n e w review, the first number of which appeared in time for the World Congress of Sociology, held in Evian last September.

T h e sub-title of L'Homme et la société—'An international journal of sociological research and synthesis'—and its contents, clearly show the purposes of this new publication in the field of the sciences of m a n . T h e quarterly will carry articles and features by French and other sociologists, with the c o m m o n aim of approaching critically the principal schools of thought of modern sociology and the directions of theoretical, epistemological and methodological research, tending, in collabora­tion with psychological and historical research, towards partial syntheses in these fields.

Apart from an important article by Karl M a r x , as yet unpublished in French, on 'Forms which preceded capitalist production', the first number contains a series of timely articles.

T h e quarterly proposes in its coming numbers—the second appears in January 1967—to cover the current debate on the following issues: ideology and sociology, Marxism and science of m a n , Marxism and structuralism, the sociology of the Third World, the sociology of Eastern European countries, etc.

T h e review is edited by Serge Jonas and Jean Pronteau and published by Anthropos, 15, rue Racine, Paris-6e. T h e price is 10 F ; a yearly subscription costs 36 F.

Xllth International Course on Criminology

T h e seventeenth International Course on Criminology, organized by the Department of Criminology of the University of Montreal and sponsored by the International Society of Criminology, will be held from ao August to 4 September, 1967, in Montreal (Canada). It will be devoted to an 'Inventory of contemporary crimi­nology: its principal fields of application'.

T h e course will consist of three-hour lectures every morning and will focus on three main themes indicated below. W o r k groups (seminars and discussions) dealing with topics treated in the morning lectures will take place in the afternoons. In addition, several conferences pertaining to broad criminological problems will

Int. Soc. Sei. J., Vol. X I X , No. 1, 1967

122 T h e world of the social sciences

be held on certain evenings. Visits to penal institutions and other points of profes­sional interest (police, agencies, juvenile courts, etc.) will be organized on Saturdays. Several tours are also planned; the first one will probably take place on the week-end preceding the official opening in order to give the participants an opportunity to meet one another. At least one day will be devoted to a visit to Expo '67.

T h e programme of morning lectures will be as follows: (a) T h e criminal personality and rehabilitation:

1. Biological aspects (Professor Ellenberger, 3 lessons). 2. Psychological aspects (R. P . Mailloux, 3 lessons). 3. Sociological aspects (Professor Wolfang, 3 lessons). 4 . Criminological s u m m a r y ( M r . Pinatel, 3 lessons).

(b) T h e administration of justice: 1. L a w enforcement and pre-trial detention (Professor L o h m a n , 3 lessons). 2. Judicial procedures: trial and sentencing (Professor Edwards, 3 lessons). 3. Legal control and security measures (Mr. Alexander, 3 lessons).

(c) T h e prevention of criminality: 1. Detection of criminality (Professor Morris, 3 lessons). 2. Measures of social prevention (Professor Szabo, 3 lessons]. 3. Integration of preventive measures in the administration of justice

(Professor Lejins, 3 lessons). Languages to be used will be French and English. Simultaneous translation will be available to all participants.

Persons possessing a university diploma or wide professional experience are eligible for the course. Applicants must be approved by the course director.

There are two forms of registration: regular registration and partial registration. T h e cost of a regular registration is $100. A certificate will be granted to all

regular participants. T h e cost of a partial registration is $15 per day. T h e deadline for registration is 1 June 1967. Persons w h o have not yet received

a registration form must apply to the Director of the Course; Professor Denis Szabo, Director, Department of Criminology, University of Montreal, P . O . Box 6128, Montreal (Canada).

Participants will be lodged in the university campus. Expenses (lodging, meals, miscellaneous are expected to run to $15 per day.

Documents and publications of the United Nations

and Specialized Agencies1

General, population, health, food, housing

UNITED NATIONS ACTIVITIES

Work programme of the United Nations in the economic, social and human rights fields and its budgetary requirements. 1966. 50 p . (uN/E/4.179.)

A n overall review of this work p r o g r a m m e , each part of which is also dealt with in detail in an a d d e n d u m .

G E N E R A L STATISTICS

United Nations statistical yearbook: ig6<;. 1966, 747 p . $11. (United Nations.) [St.] W o r l d population. M a n p o w e r . Agriculture. Industrial production in various fields. Trade and transport. Communications. Consumption. Balance of payments. W a g e s and prices. National accounts. Social statistics. Housing. Education and culture. T h e appendix contains conversion factors.

SAMPLING SURVEYS CONCERNING POPULATION, H E A L T H A N D HOUSING

Sampling methods in Morbidity Surveys and Public Health Investigations. 1966. 29 p . $0.60. ( W H O . )

Report of a committee of experts on health statistics. Organization of sample surveys in the field of public health. Sampling plan. Analysis, evaluation and publication of results. Use of automatic information processing systems. T h e use of sampling methods in this type of survey.

Problems of designing and conducting multi-subject surveys with special reference to household enquiries. July 1965. 24 p . ( U N / E / C N . I I / A S T A T / S M / L . 4 . )

T h e Economic Commission for Asia and the Far East held a seminar in T o k y o on statistical sampling methods (30 August to 11 September 1965). This document is one of the reports presented to the seminar. It deals with the purpose of multi-

1. As a general rule, no mention is made of publications and documents which are issued more or less automatically—regular administrative reports, minutes of meetings, etc. Free trans­lations have been given of the titles of some publications and documents which we were unable to obtain u\ time in English. The following conventional abbreviations have been used: Bl. = Contains a particularly interesting bibliography. St. = Specially important or rare statistics.

Int. Soc. Sei. J., Vol. X I X , No. I, 1967

124 T h e world of the social sciences

subject surveys, the co-ordination of the subjects of each survey, sampling, the datum period, the collection of data, abstracting, information particularly necessary for the developing countries.

Use of sampling in a population census. July 1965, 37 p. ( U N / E / C N . I I / A S T A T / S M / L . 5 . ) Another working document presented to the Tokyo seminar. Deals with the interdependence of sampling and census during the organizing and execution stage of the census, as well as during the stage of the abstracting of the data obtained.

Developments in the use of sampling in census and survey work on the ECAFE region. July 1965, 17 p. ( U N / E / C N . I I / A S T A T / S M / L . 7 . )

This document was also presented to the Tokyo seminar. It deals with sampling institutions in Asia and the Far East, methods, staff training, the present situation with regard to research, the co-ordination of work.

Application of sampling methods to demographic statistics. July 1965, 14 p. ( U N / E / C N . 1 I / A S T A T / S M / L . 8 . )

Another document presented to the Tokyo seminar. Deals with population census problems in use of sampling as their solution.

Application of sampling to housing statistics. July 1965, 19 p. ( U N / E / C N . I I / A S T A T / S M / L-9-)

Another report presented to the Tokyo seminar. It deals with the purpose of housing statistics, observation units, datum period, collection of data, applications of sampling.

POPULATION, BIRTH-RATE

World population: challenge to development. 1966, 48 p., $0.75. (UN/coNF/41/1.) [St.] S u m m a r y of the work of the World Population Conference held in Belgrade from 30 August to 10 September 1965. World population in the past, present and future. Food resources. Demographic aspects of development. Internal and inter­national migrations. Town-planning and housing. Family planning.

The demographic situation in Eastern Africa. July 1965, 33 p. ( U N / E / C N . I 4 / L U / E C O P / 2 . ) [St.] Demographic structures of East African countries. Future prospects.

Report on the family planning programme in India. February 1966, 123 p. ( U N / T A O / iND/48.)

[St.] Results of the present programmes. M e a n s of strengthening them. Family planning techniques. Training of staff. Education of the public. Research. Interna­tional assistance. Birth-rate prospects for 1965-90.

H E A L T H

Auxiliary personnel in nursing. 1966, 38 p., $0.60. ( W H O . ) [Bl.] A comparative study of the laws of the following countries: Australia, Belgium, Brazil, Canada, France, Japan, N e w Zealand, Peru, Poland, Sierra Leone, Republic of South Africa, Switzerland, United Kingdom.

Aspects of family mental health in Europe. 1965, 123 p., $1.75. (Public health papers, no. 28.) ( W H O . )

General view of the problem. Methods applied in various European countries. T h e family role of mothers. T h e child and family relations. W o m e n ' s work. Matrimonial problems. Aged persons.

Documents and publications •25

Mass campaigns and general health services. 1966, 87 p., $1.25. (Public health papers, no. 29.) ( W H O . )

[St.] The role of general health services in mass campaigns against diseases. Annexed are recommendations (anti-tuberculosis campaign at the district level in India, campaign against trachoma in Taiwan, preliminary measures for the eradication of malaria in Tobo, campaign against framboesia in Thailand).

Epidemiological and vital statistics report. Vol. 19, no. 4, 31 p. , $1 ; vol. 19, no. 5, 85 p. , $2.25; vol. 19, no. 6, 77 p . , $1.75. 1966. ( W H O . )

[St.] Parts of a continuing digest of world-wide statistics on population m o v e m e n t and the incidence of various diseases and causes of death. In addition to the regular basic tables, the different parts contain studies of specific cases. For instance, no. 4 contains a study of tuberculosis (1947-64), no. 5 an analysis of the mortality and mordibidity of cholera (1957-65) and of infectious hepatitis (1955-64), and no. 6 tables on foetal mortality (1945-63).

FOOD AID

Multilateral food aid. Programme of studies called for by General Assembly resolution sog6 (XX). June 1966, 49 p. , including annex. (uN/E/4210.)

Plan of an inter-institutional study on multilateral food aid. T h e problem and its context. Forecasts of food aid needs. T h e various possible sources of additional supply. Incidence of the distribution of food aid on the national agriculture of the recipient countries and on the international trade in products. Analysis of past and present proposals with a view to multilateral action. Recommendations to governments.

Social structures, economy, social service

SOCIAL EVOLUTION

Social reconstruction in the newly-independent countries of East Africa. 1965. 101 p. , $1.50. (UN/E/CN.14/SWSA/4.)

Action undertaken, with the help of the United Nations, in Tanzania, U g a n d a , Kenya , Malawi and Zambia .

Sedentarization of the nomads of Central Asia, including Kazakstán, under the Soviet regime. June, 1966, 25 p. (Offprint from the International labour review, vol 93, no. 6.) (ILO.)

T h e n o m a d peoples of Central Asia before 1917. Measures taken by the Soviet State. L a n d reform. Collectivization. Sedentarization. Agriculture and industrial­ization in these regions.

SOCIAL ASPECTS OF D E V E L O P M E N T

Aspects of social and economic growth. A pilot statistical study. 1965, ix, 64 p. , including tables, ( U N / U N R I S D / I . )

This study by the United Nations Research Institute for Social Development is devoted to an analysis of the interaction of economic development and social progress according to their respective levels. It is based on data for the years 1950 and i960 and takes account of the developments that have taken place over this period in various national and social contexts.

126 T h e world of the social sciences

A meeting of experts on cost-benefit analysis applied to social investments was held at Rennes from 27 September to 2 October 1965. It had been organized by the United Nations Research Institute for Social Development. T h e following documents served as a basis for its work: Some problems of cost-benefit analysis of social investments. 35 p. ( U N / U N R I S D / Ö 5 / E X / 2 . ) Cost-benefit analysis in the light of some work of the United Nations Research Institute for

Social Development ( U N R I S D ) on the role of social factors in development. 7 p. ( U N / UNRISD/65/EX/3.)

Cost-benefit analysis of improved housing. A case study. 24 p. (UN/UNRISD/65/EX/4.) Analysis of the economic effects of housing investment. 9 p. (UN/UNRISD/65/EX/5.) Costs and efficiency of health and social welfare institutions. 10 p. ( U N / U N R I S D / 6 5 / E X / 6 . ) Cost-benefit analysis, education and health. 9 p. (UN/UNRBD/65/EX/7. ) A study of the costs and benefits of measures for substitute permanent employment for persons

not competitive in the labour market. 6 p . ( U N / U N R I S D / 6 5 / E X / 8 . ) Cost-benefit analysis of social projects. 16 p . (UN/UNRISD/65/EX/9.) Methods to induce change at the local level. Geneva, 1966, x + 2 4 5 p. ( U N / U N R I S D / I O . ) Study of the United Nations Research Institute for Social Development. Sociological and psychological factors which have an influence on the success of the development programmes, according to the results of a special survey. Survey methods. Sample. Questions asked. Analysis of the data collected.

PARTICIPATION OF THE MASSES IN D E V E L O P M E N T P R O G R A M M E S

Manpower mobilization and economic growth: an assessment of Moroccan and Tunisian experience, by J. P . Aries. July 1966, 21 p . (Offprint from the International labour review, vol. 94, no. 1.) (ILO.)

A report on the effect of the mobilization of the masses on under-employment and economic growth. T h e case of Morocco and Tunisia. T h e economic and financial profitability of the operations. Problems of staffing, training and promotion. Remuneration and cost of a day's work. Methods of financing the systems adopted.

N A T U R A L RESOURCES

Regional co-operation in the field of industry and natural resources. January 1964, 33 p . ( U N / E / C N . I 1/1&NR/L.42.)

Document of the Economic Commission for Asia and the Far East. Background, General remarks. Directive to be given to the Commission.

M A N P O W E R , INCOME, W O R K I N G CONDITIONS

Trained manpower requirements for accelerated economic growth in the East African sub-region. October 1965, viii+65 p . ( U N / E / C N . I 4 / L U / E C O P / 9 . )

M a n p o w e r problems in East Africa. M e a n s of training. Need for planning. Orders of priority. Recommendations. Annexed are particulars concerning the categories of specialists required for accelerated economic development. Length of the training necessary for some of them.

Urban employment in Brazil, by Manue l Diéguès. June 1966, 15 p . (Offprint from the International labour review, vol. 93, no. 6.) (ILO.)

T h e spectacular growth of Brazilian towns. S lum towns. Lag behind industrializa­tion. Distribution of industrial workers by sectors and levels of specialization. General evolution of professional training and of the employment market in urban centres.

Documents and publications 127

Prices, wages and income policies in industrialized market economies, by H . A . Turner and H . Zosteweij. Geneva, 1966, 17a p. , $2.

Methods n o w employed for fixing prices and wages. Inflation and wages. Problems raised by the establishment of directives to guide the fixing of wages at the national level. Stabilization policy for income other than wages. Means of establishing a true income policy.

Examination of grievances and communications within undertakings. 1966, 50 p . , $0.50. (International Labour Conference, fifty-first session, Geneva, 1967.) (ILO.)

W o r k accomplished in this connexion by the fiftieth session of the conference. Conclusions presented with a view to the adoption of a recommendation concerning grievances and communications within undertakings. Texts proposed.

T h e Eighth Conference of American M e m b e r States of I L D (Ottawa, September 1966) led to publication of several working papers, the most important of which are these:

Report of the Director-General. Social development in the Americas. 1966, 127 p. , S 1.25. (ILO.)

Economic and social development in the Americas since i960. Participation of population in development. Professional organizations and working relations as means of ensuring social participation. Participation of professional organizations in planning.

The role of social security and improved living and working standards in social and economic development. 1966, part 1, 150 p . , part 2, 62 p . (ILO.)

T h e first volume is devoted to social security (American social security laws; practical application of social insurance systems; economic aspects). T h e second volume deals with remuneration and working conditions (wage policy in American countries, working hours, leave with pay, relations with development).

Manpower planning and employment policy in economic development. Geneva, 1966, 211 p . , annex 49 p . (ILO.)

M a i n problems encountered in American countries with regard to manpower planning and employment policy. Steps taken to resolve these problems. Other possible measures. ILO's practical efforts in the field of manpower planning.

REORGANIZATION OF SOVIET UNDERTAKINGS

Evolution of the incentives system in U.S.S.R. industry. July 1966,17 p . (Offprint from the International labour review, vol. 94, no. 1.) (ILO.)

T h e author explains certain radical changes m a d e in the U . S . S . R . in respect of planning and material incentives, at the level of undertaking: main opinions expressed with regard to the choice of new criteria; the role to be played by profit­ability in the fixing of financial incentives; description of the experimental applica­tion of n e w principles in certain undertakings in 1964 and 1965.

AGRICULTURE, RURAL POPULATIONS

Progress in land reform. 1966, 178 p . , $2. ( F A O . ) This fourth report on progress in this field in the various countries is presented jointly by F A O , I L O and the United Nations. It deals with occurrences since the last report, with the financing of land reforms, the payment of compensation, and the influence of land reform on the development of agricultural techniques, employment, economic growth and social development.

128 T h e world of the social sciences

Principles of land tenancy legislation. 1966, 122 p., $2.50 ( F A O . ) This comparative study of legislation covers some thirty countries of Western Europe, Latin America and Asia, as well as the United Arab Republic. It emphasizes the economic and social aspects of this legislation.

Improvement of conditions of life and work of tenants, share-croppers and similar categories of agricultural workers. 1966, 92 p. , Si. (International Labour Conference, fifty-first session, Geneva, 1967.) (ILO.)

W o r k done in this field by I L O . Legislation and practices in the various States. Text of a questionnaire addressed to governments. Occupier's security. Counterpart for the use of land. Arbitration of disputes. Living conditions.

African agricultural development. 1966, vi + 345 p., $3.50. ( U N / E / C N . 14/342.) Study presented by M r . R . K . A . Gardiner. Need for agricultural development in Africa. Difficulties to be overcome. Role of state intervention. Different types of planning. Methods to be used for the modernization of agriculture.

FAO commodity review ig66. R o m e , 1966, 251 p. ( F A O . ) [St.] Development of international markets in 1965 and during the first months of 1966: general development and development by commodities. Future prospects. Systems of regional economic integration. International consultations and agree­ments concerning the main agricultural commodities (including wood) and fish.

The world price economy in figures, /poo-ioójj. 1965, 134 p., $1.50. ( F A O . ) [St.] A comprehensive picture of long-term national and international statistics concerning rice. Production and trade by countries and by quality of rice.

Report of a mission for the study of problems and prospects in rural development of Mali, Niger and Upper Volta. February 1966, v + 250 p. , including tables, ( U N / E / C N . 14/SWCD/29.)

[St.] Geographical, sociological and demographic data concerning problems of rural development in these countries. General economic conditions. Energy, agricultural production. Structure of agrarian groups. Likely development of rural communities. Recommendations.

DEVELOPMENT OF THE ECONOMIC SITUATION

Economic survey of Asia and the Far East, 1965. 1966, 320 p. , $3.50. ( U N / E / C N . I I / L . 146.) •

[St.] General outline, analyses by economic sectors and by countries.

Economic survey of Europe in ig6¡. 1966, 177 p . , $3. ( U N / E / E C E / 6 I 3 . ) [St.] First part of a general survey of European economy in 1965. Comparative economic development of Eastern Europe, U . S . S . R . and Western Europe.

ECONOMIC CÓ-OPERATION

Report of the Sub-regional Meeting on Economic Co-operation in East Africa. December 1965, 89 p. , including annexes, ( U N / E / C N . 14/346.)

A report of the meeting held at Lusaka from 26 October to 2 November 1965. Deals with the following subjects: possibility of undertaking work bearing on economic co-operation at the sub-regional level pending the drafting and entry into force of a treaty; deadlines to be fixed for the notification by the governments of East African countries of their acceptance of the recommendation relating to the creation of a community; organization of an interim council; harmonization of development programmes.

Documents and publications 129

ECONOMIC CONSEQUENCES OF DISARMAMENT

Conversion to peaceful needs of the resources released by disarmament. M a y 1966, 43 p. (UN/E/4169.)

Replies from twenty-eight countries to a note by the Secretary-General informing governments of the studies and activities carried out by the various organizations belonging to the United Nations system with a view to promoting the conversion of economic resources to peaceful needs. A n addendum (E/416/Add.i) contains further replies.

DEVELOPMENT, PLANNING

Report of Ad Hoc Committee on the United Nations Organization for Industrial Development. M a y 1966, 46 p. (uN/A/6229.)

Functions and organs of the United Nations Organization for Industrial Development.

Report of the Symposium on Industrial Development in Africa. M a r c h 1966. iii + 189 p. ( U N / E / C N . 14/347.)

This symposium, which took place in Cairo from 27 January to 9 February 1966, dealt with die following subjects from the African standpoint: industrial development problems; studies by sectors (mechanical and electrical industries, metallurgy, aluminium, chemical products, forest industries and by-products, building materials, textiles); agricultural industrialization; small-scale industries; industrial p r o g r a m m ­ing; training of technical staff; financing of industrial development; exports; industrial statistics; foreign resources for industrial development.

East Africa: development trends and problems. September 1965, iii + 74 p . , tables. (UN/E/CN. I4/LU/ECOP/5.)

[St.] Population resources and natural resources. Utilization of the soil. Living standards and levels of social development. Prospects of economic co-operation in East Africa.

Economic and social development plans. Centrally planned economies; developed market economies. 1966, v + 59 p. , $1. ( U N / S T / L I B / S E R . B / I I . )

[BI.] Bibliography relating to the fundamental aims and main characteristics of the planning methods adopted by the different countries to the two groups in question.

A manual for programme and performance budgeting. 1966, ix-103 p. , $2. (uN/sT/ECA/89.) Advantages of the modernization of budgetary systems in the developing countries. Appropriate systems. Evaluation of die financial yield of planning procedures.

Progress of the Regional Centre (Asia and the Far East) for Economic Projections and Pro­gramming. February 1966, u p . ( U N / E / C N . I I / L . I 5 I . )

Problem of die regional harmonization of development plans. Long-term projec­tions. Exploitation of resources projections. Co-ordination of plans.

Regional harmonization of national industrial development plans. November 1964, 130 p. ( U N / E / C N . 11/1&NR/L.47.)

Need for the harmonization at regional level of national development plans. Methods to be employed. Mutually agreed specialization. Various forms of co­operation. Role of integration and of partial co-ordination. Concrete possibilities in the various economic sectors. Cast iron and steel. Fertilizers. Aluminium. Paper pulp. Natural rubber. Jute and related fibres. Rice.

130 T h e world of the social sciences

INTERNATIONAL F L O W OF CAPITAL AND RESOURCES

International flow of long-term capital and official donations: ig6i-ig6¿. M a y 1966, vii + 46 p. , $0.75. (uN/E/4170.)

T h e first part of this report deals ¡with the flow of capital from developed countries with a market economy to the developing countries: bilateral and multilateral flow; flow of capital from countries with a planned economy; entry of capital into the developing countries; analysis of the role played by this flow in the context of the general development of international economic relations.

The measurement of the flow of resources from the developed market economies to the developing countries. M a y 1966, 75 p., including annexes. (uN/E/4171.)

Basic data concerning the flow of resources. Need for additional information. Interpretation of available data.

SAMPLING

Application of sampling to statistics of distribution. July 1965, 23 p. ( U N / E / C N . I I / A S T A T / S M / L . 6 . )

Mention has already been m a d e of various documents prepared on the occasion of the seminar on statistical sampling methods, held in Tokyo from 30 August to 11 September. They were general reports or studies bearing on demographic facts, housing problems, etc. T h e present document, which is of a definitely economic nature, belongs to the same series. It deals with the methods to be employed in the application of sampling to trade, with the difficulties encountered and with the special case of retail trading.

Application of sampling to labour statistics. August 1965, ii + 33 p. ( U N / E / C N . I I / A S T A T / S M / L . I O . )

Another document presented to the Tokyo seminar. Surveys on establishments. Utilization of administrative files. Sampling applied to the fixing of consumer prices. Surveys on family expenditure. International recommendations.

TRADE

Commodity trade statistics . . . , 1965. April 1966, 236 p. , $0.50. ( U N / S T / S T A T / S E R . D /

57-I4-) [St.] Tables established according to the Standard International Trade Classifica­tion. This issue is devoted to Italy, Ireland, Libya, Senegal and Singapore.

Foreign trade statistics of Asia and the Far East, 1962. August 1965, 877 p. ( U N / E / C N . 11/683.)

[St.] Statistics relating to the following countries and territories: Afghanistan, Brunei, Burma,*Cambodia , Ceylon, China (Mainland) and Taiwan, H o n g K o n g , India, Indonesia, Iran, North Korea and Republic of Korea, Laos, Malaysia, Nepal, Pakistan, Philippines, Thailand, Mongolia, North Viet -Nam and Republic of Viet-Nam, Japan, Australia and N e w Zealand. Traditional trade exchanges. State Foreign trade. Military transactions. Foreign aid. Sea and air navigation. Exportation of electric power and gas. Transit. (Only purely monetary transactions are excluded from these statistics.)

AFRICAN INDUSTRIAL DEVELOPMENT

T h e following documents were included a m o n g the reports presented to the Symposium on Industrial Development in Africa (Cairo, 27 January to 10 February 1966):

Documents and publications 131

Industrial development in the United Arab Republic. September 1965, 40 p. ( U N / E / C N . 14/As/l/i/i.)

The industrial development of the Republic of Niger. N o v e m b e r 1965, 20 p. ( U N / E / C N . 14/AS/1/1/2.)

Prospects of development in the United Arab Republic cotton textile industries. September 1965, 13 p. , including tables. (uN/E/cN.i4/As/n/b/i.)

Fertilizers industry in the United Arab Republic. September 1965, 9 p . ( U N / E / C N . 14/As/ 11/a/c/i.)

Food processing industries in the United Arab Republic. September 1965, 29 p . ( U N / E / CN.i4/As/n/2/e/i.)

Engineering products in the United Arab Republic. October 1965, 29 p . ( U N / E / C N . 14/ AS/ll/2/j.)

Policy aspects of industrial development in Africa: problems and prospects. D e c e m b e r 1965, iii + 80 p . (UN/E/CN. I4/AS/ll/2/k/l.)

Report on small and medium industries operating in Bechuanaland. September 1965, 6 p. ( U N / E / C N . 14/As/m/i/i .)

Priority criteria in project evaluation. September 1965, 11 p. (UN/E/CN.14/AS/111/2/1 . ) Some aspects of project implementation. September 1965, 23 p . (UN/E/CN.14/AS/111/2/2.) Manpower requirements and the training of technical and managerial personnel in the United

Arab Republic. October 1965, 25 p . (uN/E/cN.i4/As/ni/6/i.) Design in industry for a developing nation. September 1965, 26 p . ( U N / E / C N . I 4 / A S / I I I /

15/1-) Standardization in the United Arab Republic. September 1965, 11 p . ( U N / E / C N . 14/As/

in/16/1.) Prospects for the development of the chemical industry in Africa. 70 p. ( U N / E / C N . 14/As/m/22. ) The iron and steel industry in Africa. D e c e m b e r 1965, 29 p. , including annex, ( U N / E /

CN.14/AS/111/23.) Textiles industries in Africa January 1966, 33 p . ( U N / E / C N . 14/AS/111/24.) Aspects of planning to meet manpower requirements in connexion with industrialization.

D e c e m b e r 1965, 13 p . ( U N / E / C N . 14/AS/IV/8.) Some aspects of manpower requirements and the training of technical and managerial personnel

for industrial development. December 1965, 43 p. ( U N / E / C N . 14/AS/IV/9.)

AFRICAN FINANCIAL PROBLEMS

Report on Utepossibilities of establishing a clearing andpayments union in Africa. February 1964, 26 p . ( U N / E / C N . 14/APu/1.)

Possible measures for implementing projects for a clearing and payments union proposed by the African countries. Outline of a charter of African monetary co­operation. Links with die principal foreign currencies.

Progress report on balance of payments problems of African countries. July 1965, iii + 17 p . , tables, ( U N / E / C N . I 4 / L U / E C O P / 3 . )

[St.] Recent a m e n d s of current foreign operations of African countries. Current account, visible exchanges, invisible exchanges, capital account.

SOCIAL SERVICES, C H I L D R E N A N D Y O U T H

Activities ofECAFE in the field of social affairs. February 1966, 10 p . ( U N / E / C N . 11/720.) Population problems, communi ty development and social welfare. Status and prospects of children and youth in the ECAFE region. February 1966, 44 p .

(uN/E/cN.n /L .148 . ) Definition problems. Analysis of the various questions: public health, nutrition, housing, social welfare services, education, employment; incidences of family poverty; inequalities of development; scarcity of services. Recommendat ions for a better child and youth policy in this part of the world.

132 T h e world of the social sciences

TECHNICAL CO-OPERATION

Evaluation of programmes of technical co-operation. M a y 1966, 16 p. (uN/E/4151.) M a i n observations contained in the three evaluation reports (Thailand, Chile and Tunisia).

An evaluation of the impact of the technical co-operation programme of the United Nations family of organizations in Tunisia. April 1966, 74 p., including annex. (uN/E/4151/ Add .3 . )

[St.] A n assessment and critical analysis of the United Nations Technical co-operation programme in Tunisia. Basic problem of the economic development of Tunisia. United Nations technical assistance for agriculture, industry, tourism, transport, building planning and statistics. Social and cultural assistance. Results achieved Recommendations.

Education, science

EDUCATIONAL PLANNING

Estimating future school enrolments in developing countries. M a y 1966, 156 p. , $2 ( U N / S T / soA/series A/40.)

A manual of methodology. Factors in the development of school enrolments. Characteristics of short-term and long-term estimates. T h e exact meaning of the concepts to be used. Necessary basic data. Methods of estimation. Examples (Colombia, Philippines, Sudan, United States of America, N e w Zealand and France).

Conference of Ministers of Education and Ministers Responsible for Economic Planning of Member States in Asia (Bangkok, 2S-sg November 1965). Final Report. 1966, 74 p . ( U N E S C O / E D / 2 2 2 . )

T h e conference was organized by Unesco in collaboration with the Economic Commission for Asia and the Far East and the Government of Thailand. It was attended by representatives of some twenty countries. It s u m m e d up the progress achieved in educational planning in Asia since the meetings in Karachi (i960) and in Tokyo (1962) and formulated detailed recommendations on the educational policy to be followed during the coming years. T h e report deals with the following questions: perspectives of educational development in Asia as a conceptual frame­work and guideline; relationship of school output and m a n p o w e r needs; problem of educational wastage; recruitment of teachers; adult education; literacy; general, vocational and technical education. The conference's recommendations and analyses in respect of these various subjects are followed by national progress reports. T h e report also contains a list of the working papers and a list of the participants.

Conference of Ministers of Education and Ministers Responsible for Economic Planning in the Arab States {Tripoli, Libya, 9-14 April 1966). Final report. 1966, 51 p. ( U N E S C O / ED/223.)

Similar to the previous report. T h e conference was organized by Unesco in colla­boration with the League of Arab States and the Libyan Government. It had been preceded by meetings in Beirut (i960), Tunis (1962), Tlemcen (1964) and Alexandria (1964). It was attended by representatives of some twenty countries.

T h e International Social Science Journal publishes regular communications from the following international organizations:

International Association of Legal Science International Committee for Social Sciences Documentation International Economic Association International Political Science Association International Sociological Association International Social Science Council World Association for Public Opinion Research ( W A P O R )

Recent issues:

Vol. XVIII, No. 2 Modern methods in criminology Vol. XVIII, No. 3 Science and technology as development factors Vol. XVIII, No . 4 Social science in physical planning

Forthcoming topics:

T h e social science press Education and the social order T h e sociology of literary creativity

Selected articles from this Journal are also appearing in Spanish in América Latina, the quarterly review of the Latin American Centre for Research in the Social Sciences (Rio de Janeiro)

Editor: Peter Lengyel.

Opinions expressed in signed articles are those of the authors and do not necessarily reflect the views of Unesco. Permission for the free reproduction of articles appearing in this n u m b e r can be obtained from the Editor. Correspondence arising from this Journal should be addressed to: T h e Editor, International Social Science Journal, Unesco, place de Fontenoy, Paris-7e.

© Unesco 1967 SS.66/I.77/A Printed in France by I m p . Créti, Paris

Documents and publications 133

SPECIAL TRAINING COURSES

The training and preparation of teachers for medical schools with special regard to the needs of developing countries. 1966, 26 p. $0.60 (Technical reports series, no. 337.) ( W H O . )

M e a n s of increasing the n u m b e r of students. Fundamental requirements for the training of medical teachers. Observations on the recruitment and selection of teachers. Preparation of teachers for the developing countries.

Regional seminar on technical education [Tripoli, Libya, 16-24 April ig66). Final report. August 1966 ( U N E S C O / N S / 2 O 6 . )

This seminar was organized by the Unesco Middle East Science Co-operation Office in collaboration with the Unesco Secretariat and with the support of the Libyan Government. T h e seminar was attended by thirty-five directors of technical education, nationals of Arab countries and by international experts. T h e report deals with the following subjects: exchange of views on the improvement of the training of technical personnel; s u m m a r y of the experience already acquired; conclusions submitted to the Director-General of Unesco for his attention. T h e report also contains a list of participants.

MASS COMMUNICATION

Meeting on broadcasting in the service of education and development in Asia (Bangkok, 12-23 May ig66). Final report. August 1966, 21 p. , including annex. (uNESCo/Mc/53.)

This meeting, organized by Unesco in co-operation with the Government of Thailand, was attended by approximately fifty specialists from eighteen countries and by twenty international experts. T h e report deals with the following questions: role of radio and television in relation to economic development and education; detailed resolutions; mass media and development; contribution to school and out-of-school education; structure of radio and television organizations; sociological study of audiences; evaluation of the results of programmes; training of personnel. T h e report also contains a list of participants.

Legal and political questions, human rights

INTERNATIONAL L A W

Consideration of principles of international law concerning friendly relations and co-operation among States in accordance with the Charter of the United Nations. Methods of fact-finding with respect to the execution of international agreements. April 1966, 60 p. (uN/A/6228.)

Methods used by certain international organizations to determine h o w far States fulfil the obligations they have accepted in accordance with international agreements and treaties. Agencies belonging to the United Nations system. International Committee of the R e d Cross. Other international institutions.

CRIMINOLOGY

Report of the Inter-regional Meeting on Research in Criminology ( 18 July to 7 August 1965). 1966, 66 p. , including annexes, ( U N / S T / T A O / S E R . C / 8 7 . )

Criminological research strategy. Priorities in the choice of subjects. Research methods. Statistical methods. Study of the results of the different types of treatment. International collaboration.

'34 T h e world of the social sciences

PUBLIC ADMINISTRATION

A general survey of public administration in the ECAFE region. September 1965, 38 p. ( U N / E / C N . I i / P A / M A P / L . I .)

Organization. Personnel and its training. Financial administration. Local adminis­tration. Technical assistance.

DECOLONIZATION

Special Committee on Implementation of Declaration on Indépendance of Colonial Countries and Peoples: Oman. April, 1966, 41 p. , including annexes. ( U N / A / A C . I O 9 / L . 2 6 8 . )

Discussions and decisions of the General Assembly. Information concerning the Sultanate of Muscat and O m a n and the Trucial Emirates of O m a n . Annexed are the treaty and exchange of letters of 1961, the exchange of letters of 1958 and the agreements between the said Emirates and the United Kingdom.

Special Committee on Implementation of Declaration on Independence of Colonial Countries and Peoples. Question of Southern Rhodesia. M a r c h 1966, 91 p. , including annexes. ( U N / A / A C . 109/L.264.)

Decisions taken by the Security Council and the General Assembly in 1965. Infor-smation on the development of the situation with regard to Southern Rhodesia«

SLAVERY

A series of documents : Slavery. Report of the Special Rapporteur on Slavery. M a r c h 1966, 1 p . (uN/E/4168.) Replies from some fifty governments to a special questionnaire. 363 p. (UN/E/4168/

A d d . 1.) Measures which could be taken by U N in the matter of slavery. 41 p. (uN/E/4168/

Add.2-4.)

DISCRIMINATION

Measures taken in implementation of the United Nations Declaration on the elimination of all forms of racial discrimination. Further report on action taken by Member States, the United Nations, the Specialized Agencies and intergovernmental regional organizations.Match 1966. 41 p. (UN/E/4174.)

Measures taken by Afghanistan, Argentina, Bolivia, Brazil, B u r m a , Dominican Republic, France, Kuweit, Laos, Libya, Malta, Peru, Portugal, R w a n d a , Saudi Arabia, Singapore, Somalia, Syria, Ukrainian Soviet Socialist Republic, Union of Soviet Socialist Republics, United Arab Republic. Action by institutions belonging to the United Nations system by the Organization of African Unity and by the Organization of American States. Several addenda contain information received from other countries after the publication of this report and particulars concerning the measures taken by international organizations.

Books received

G E N E R A L OR M E T H O D O L O G I C A L W O R K S

B Ö H L E R , Eugen. Die Zu^unß "h Problem des modernen Menschen. Freiburg i. Br., Verlag R o m b a c h , 1966. 21 c m . , 152 p . (Sammlung R o m b a c h . )

C E N T R E D E R E C H E R C H E D ' U R B A N I S M E [Paris]. Conférence de photogrammitrie urbaine. Séparation des paramètres des phases opérationnelles et sensibilité à leur influence, so, si, ss octobre 1965. Paris, Centre de Recherche d'Urbanisme [1965]. 29 c m . , v + i39P->fig-. tabl.

J A M E S , Preston E . ; K L I N E , Hibberd V . B . Jr. A geography of man. Third edition [by] Preston E . James , with the collaboration of Hibberd V . B . Kline, Jr. W a l t h a m , Mass . , Toronto, London, Blaisdell, 1966. 24 c m . , xviii + 585 p., fig., maps , tabl., bibliogr., index. (A Blaisdell book in geography.)

J O H N S O N , E . L . ; S M I T H , R . E . F . Russian social science reader. Oxford, Pergamon Press, 1966, 20 c m . , xii + 206 p . , 27s.6d. (Commonweal th and International Library. Pergamon Oxford Russian series.) (Text in English and in Russian.)

L A V E , Lester B . Technological change: its conception and measurement. Englewood Cliffs, N . J . , Prentice-Hall, 1966. 23 c m . , xxii + 228 p . , fig., tabl., bibliogr., index. (Prentice-Hall series in mathematical analysis of social behaviour.)

L A Z A R S F E L D , Paul F . ; H E N R Y , Neil W . (ed.). Readings in mathematical social science. Chicago, 111. Science Research Associates Inc., 1966. 23 c m . , [vi] + 371 p., fig., bibliogr.

U N E S C O . Qu'est-ce que V Unesco? 5e éd. Paris, 1966. 27 c m . , 79 p. , fig. (Organisation des Nations Unies pour l'éducation, la science et la culture. Documentation sur l'Unesco.)

U N E S C O . What is Unesco? 5th ed. Paris, 1966. 27 c m . , 74 p. , fig. (United Nations Educational Scientific and Cultural Organization. Unesco information manuals.)

Y O U N G , Pauline V . ; S C H M I D , Calvin F . Scientific social surveys and research. An introduc­tion to the background, content, methods, principles, and analysis of social studies. 4th ed. Englewood Cliffs, N . J . , Prentice-Hall, 1966. 21 c m . , xvi + 576 p. , fig., maps , tabl., bibliogr., index. (Prentice-Hall sociology series.)

L A W

P É T E R I , Zoltán (ed.). Études en droit comparé. Essays in comparative law. Published on the occasion of the seventh International Congress of Comparative L a w . Budapest, Akadémiai Kiadó, 1966. 24 c m . , 284 p.

S K O L N I C K , Jerome H . Justice without trial. Law enforcement in democratic society. N e w

Int. Soc. Sei. J., Vol. X I X , No . I, 1967

136 T h e world of the social sciences

York, London, Sydney, J. Wiley, 1966. 23 c m . , xii + 279 p. , tabl., index. (Center for the Study of L a w and Society. Research programme.)

S T R Ö M H O L M , Stig. Le droit moral de l'auteur en droit allemand, français et Scandinave. Avec un aperçu de l'évolution internationale. Étude de droit comparé. 3 vols. Stockholm, P . A . Norstedt. 25 c m . I: Première partie: L'évolution historique et le mouvement international, 1966, xxvi + 498 p. ; / / : Deuxième partie: Le Droit moderne, 1. Introduction. Le régime de la création intellectuelle en droit privé, 1966, xx -f- 411 p. , bibliogr.

ECONOMICS

A K Z I N , Benjamin; D R O R , Yehezkel. Israel. High-pressure planning. Syracuse, N . Y . , Syracuse University Press, 1966. 23 c m . , xxxii + 90 p . , tabl., bibliogr., index. $2.95. (National planning series, 5.)

B E N J A M I N , B . Social and economic factors affecting mortality. T h e H a g u e , Paris, M o u t o n , 1965. 23 c m . , x + 88 p., bibliogr. (Confluence. Surveys of research in the social sciences/États des recherches en sciences sociales, 5.)

C O A L E , Ansley J.; D E M E N Y , Paul. Regional model life tables and stable populations. Princeton, N . J . , Princeton University Press, 1966. 28 c m . , oblong, xiv + 871 p. , tabl.

C o c K C R O F T , Sir John. Technology for developing countries. A lecture delivered in London under the auspices of the Overseas Development Institute on 26 January 1966. London, Overseas Development Institute, 1966. 22 c m . , 24 p. 3s.6d.

C o u R T H É o u x , Jean-Paul. Essai sur la répartition des activités économiques. Critique expérimentale de la théorie des trois secteurs d'après l'économie française. Preface by Jean Fourastié. Paris, Centre de Recherche d'Urbanisme, 1966. 21 c m . , xii + 276 p. , flg., tabl.

F A R O O Q , , Ghazi M u m t a z . The people of Karachi. Economie characteristics. Karachi, Pakistan Institute of Development Economies, 1966. 23 c m . , xvi + 1 7 9 p. , fig., folding maps , folding tables. Rs.5. (Monographs in the economics of development,

I5-) H A G E N , Everett E . ; W H I T E , Stephanie F . T . Great Britain. Quiet revolution in planning.

Preface by Bertram M . Gross. Syracuse, N . Y . , Syracuse University Press, 1966. 23 c m . , xxvi + 180 p. , bibliogr., index. $3.95. (National planning series, 6.)

H A Y T E R , Teresa. French aid. London, Overseas Development Institute, ig66. 22 c m . , 230 p. , tabl., index. 20s.

L A N C A S T E R , H . O . Bibliography of vital statistics in Australia and New Zealand. Sydney, Australasian Medical Publishing C o . , 1964. 24 c m . , 67 p. (Reprint from: Australian journal of statistics, vol. 6, no. 2 , 1964, p. 33-99.)

L A P A L O M B A R A , Joseph. Italy. The politics of planning. Preface by Bertram M . Gross. Syracuse, N . Y . , Syracuse University Press, 1966. 23 c m . , xviii + 184 p. , bibliogr., index. $3.95. (National planning series, 7.)

MiKESEix, R a y m o n d F . Public international lending for development. N e w York, R a n d o m House, 1966. 19 c m . , x + 244 p. , bibliogr., index. (Studies in economics.).

M Ü L L E R - A R M A C K , Alfred. Wirtschaftsordnung und Wirtschaftspolitik, Studien und Konzepte zur sozialen Marktwirschaft und zur europäischen Integration. Freiburg im Breisgau, R o m b a c h , 1966. 22 c m . , 472 p. , bibliogr. (Beiträge zur Wirtschafts­politik, 4.)

M U N B Y , Denys (ed.). Economic growth in world perspective. N e w York, Association Press, London, S C M Press, 1966. 21 c m . , 380 p. $5.50. (The Church and society, 3.)

O C D E . L'évolution démographique de 1965 à 1980 en Europe occidentale et en Amérique du nord¡Demographic trends 1965-1980 in Western Europe and North America. Paris, 1966. 27 c m . , 116 p. , fig., tabl. (Organisation de Coopération et de Développe­ment économiques.)

O V E R S E A S D E V E L O P M E N T I N S T I T U T E . British development policies 1966. London, 1966. 22 c m . , 86 p . , tabl. ( O D I review, 1.)

Books received '37

P O O L E , Richard W . et al. An évaluation of alternative techniques for estimating county population in a six-state area. B y Richard W . Poole, James D . Tarver, David White, William R . Gurley. Stillwater, Okla., O k l a h o m a State University, 1966. 23 c m . , xx + 115 p. , folding table. ( O S U College of Business. Economic research series,

3-) R o B O C K , Stefan H . ; S O L O M O N , Leo M . (ed.). International development 196g. Dobbs

Ferry, N . Y . , Oceana Publications, 1966. 23 c m . , viii + 197 p. , index. R O O S A , Robert V . ; H I R S C H , Fred. Reserves, reserve currencies, and vehicle currencies: an

argument. Princeton, N . J . , Princeton University, 1966. 23 c m . , 38 p. (Princeton University, Department of Economics, International Finance Section. Essays in international finance, 54.)

S A C K , Fritz. Integration und Anpassung des Handwerks in der industriellen Gesellschaft. Dargestellt am Schreinerhandwerk in Deutschland. Köln, Westdeutscher Verlag, 1966. 24 c m . , viii + 276 p., tabl., bibliogr. D M . 3 4 . 4 0 . (Abhandlungen zur Mittel­standsforschung, 16.)

W A R I N , Charles. Un étalon monétaire contre la faim. Or? Devises?. . . ou marchandises? Paris, Éditions Universitaires, 1966. 25 c m . , 169 p., fig., tabl. (Encyclopédie Universitaire. Section Lettres et Sociologie.)

POLITICAL SCIENCE

A B A D A N , Nermin. Anayasa hukuku ve siyasî hilimler açisindan 1565 secimlerinin tahlili. Ankara, Sevinç Matbaasi, 1966. 24 c m . , xvi + 426 p. , fig., tabl., bibliogr., index. (Ankara Universitesi. Siyasal bilgiler fakültesi yayinlari, 202-184.)

Burocrazia (La) centrale in Italia, Analisi sociológica. Milano, Giuffre, 1965. 25 c m . , viii + 364 p. , fig., dépl. (Istituto per la Scienza delPAmministrazione Pubblica. Dipartimento di Sociología. Archivio, 3.)

B U R O N , Robert. Conditions et processus de formation de la décision dans le domaine du développement. Paris, O C D E , 1966. 22 c m . , 23 p. (Organisation de Coopération et Développement Économiques. Centre de développement.)

C O N S E I L N O R D I Q U E . La coopération internordique. Conférence organisée par le Conseil nordique à l'intention des organisations internationales à vocation européenne, Hässelby 2-4 juin 1965. Stockholm, 1965. 25 c m . , 137 p.

E A S T O N , David (ed.). Varieties of political theory. Englewood Cliffs, N . J . , Prentice-Hall, ig66. 23 c m . , vi + 154 p. (Prentice-Hall contemporary political theory series.)

F I N E R , Samuel Edward. Anonymous empire. A study of the lobby in Great Britain. Rev. ed. London, Pall Mall Press, 1966. 22 c m . , xiv + 173 p., tabl., bibliogr., index.

G A U D E M E T , Paul Marie. Le pouvoir exécutif dans les pays occidentaux. Paris, Éditions Montchréstien, 1966. 25 c m . , 120 p., bibliogr.

G O L A Y , Frank H . (ed.). The United States and the Philippines. Englewood Cliffs, N . J . , Prentice-Hall, 1966. 21 c m . , x + 179 p. , maps , tabl. (Columbia University. T h e American Assembly.)

H A L Á S Z , József (ed.). Socialist concept of human rights. [By] Imre Szabó, István Kovács, Zoltán Péteri, H a n n a h Bokor. . . . Translated by József Decsényi and Gábor Pulay. Budapest, Akadémiai Kiadó, 1966. 24 c m . , 309 p. $9.80.

H A R R I S , David. Socialist origins in the United States. American forerunners of Marx, 1817-1832. Assen, V a n G o r c u m , 1966. 24 c m . , [viii + ] 146 p. , index. (Interna-tionaal Instituut voor Sociale Geschiedenis. Publications on social history, IV.)

H A Y , Peter. Federalism and supranational organizations. Patterns for new legal structures. Urbana, 111. University of Illinois Press, 1966. 23 c m . , 335 p. , bibliogr., index. $7-50.

JosHi, B h u w a n Lai; R O S E , L e o E . Democratic innovations in Nepal. A case study of political acculturation. Berkeley, Calif., University of California Press, 1966. 24 c m . , x v ' + 551 P-> bibliogr., index. $10.75.

L E D E R M A N N , L . Les relations internationales, une science de second rang? Contribution à

138 T h e world of the social sciences

l'examen du développement de l'étude universitaire des sciences politiques en Suisse. Lausanne 1966. 24 c m . , p. 219-29. (Reprint from La revue économique et sociale, July 1966, no. 3.)

M I K S C H , H a n s . Die soziale Nützlichkeit und die herrschenden Schichten, Ein Beitrag zur Lehre von den Eliten. Graz , Leykam-Verlag 1966. 24 c m . , 86 p . , bibliogr. (Grazer rechts- und staatswissenschaftliche Studien, 17.)

T H O M A S , Louis-Vincent. Le socialisme et l'Afrique. Paris, L e Livre Africain. 19 c m . 1. Essai sur le socialisme africain, 1966, 208 p .

V E R K A D E , Willem. Democratic parties in the Low Countries and Germany. Origins and historical developments. Leiden, Universitaire Pers., 1965. 24 c m . , 331 p. , tabl., 3 folding insets, index.

W I L S O N , Clifton E . Cold war diplomacy. The impact of international conflicts on diplomatic communications and travels. Tucson, Ariz., University of Arizona Press, 1966. 24 c m . , [viii] + 67 p . (University of Arizona. Institute of Government Research. International studies, 1.)

SOCIOLOGY

A R G E N T I N A , C O N S E J O F E D E R A L D E I N V E R S I O N E S . Desarrollo comunitario y cambio social. Investigación sobre los factores favorables y las resistencias al cambio social en una zona rural de la Argentina. Buenos Aires, Edición del C F I , 1965. 28 c m . , [viii] + 249 p.

B E R G E R , Joseph; Z E L D I T C H , Morris, Jr.; A N D E R S O N , Bo. Sociological theories in progress. Boston, Mass . , Houghton Mifflin, 1966. 24 c m . , xii + 306 p . , fig., tabl., bibliogr., index.

B E R N A R D , Madeleine. Le service social dans l'entreprise. Paris, Editions d u Centurion, 1966. 22 c m . , 205 p. (Socioguides.)

B I D D L E , Bruce J.; T H O M A S , Edwin J. (ed.). Role theory: concepts and research. N e w York, J. Wiley, 1966. 26 c m . , xiv + 453 p . , fig., tabl., bibliogr., index. 68s.

B R É E S E , Gerald. Urbanization in newly developing countries. Englewood Cliffs, N . J . , Prentice-Hall, 1966. 23 c m . , viii -+• 151 P-> fig.) m a p s , tabl., index. 20s. (Moder­nization of traditional societies series.)

B R O C K I N G T O N , Fraser; L E M P E R T , Suzanne M . The social needs of the over-80's. The Stockport survey. Manchester, Manchester University Press, 1966. 22 c m . , xii + 147 p . , tabl., bibliogr., index. 35s.

C L A R K , F . L e Gros. Work, age and leisure. Causes and consequences of the shortened working life. L o n d o n , M . Joseph, 1966. 22 c m . , 152 p . , index. 30s. (Michael Joseph books on live issues.)

C L A R K , Samuel Delbert. The suburban society. Toronto, University of Toronto Press, 1966. 23 c m . , x + 233 p . , m a p s , tabl., index. $6.50.

F Ä R B E R , Bernard (ed.). Kinship and family organization. N e w York, J. Wiley, 1966. 26 c m . , xii + 459 p . , tabl., index.

F A R N E T I , Paolo. Theodor Geiger e la coscienza délia società industríale. Torino, Giappi-chelli, 1966. 23 c m . , 251 p . , index. (Pubblicazioni dellTstituto di Scienze Politiche delTUniversità di Torino, 15.)

F R A N K E N B E R G , Ronald. Communities in Britain. Social life in town and country. H a r m o n d s -worth, Penguin Books. 1966. 18 c m . , 313 p . , fig., bibliogr., index. (A Pelican original, A 798.)

GiBERTi, Horacio et al. Sociedad, economía y reforma agraria. [By] Horacio Giberti, Aldo Solan, Gino Germani , Jorge A . O c h o a de Eguileor. Buenos Aires, Ediciones Libera, 1965. 18 c m . , 128 p . , fig.

GoHiER, Jean. L'évolution de l'urbanisme en France. Suivi d'un répertoire chronologique des faits les plus marquants. Essai. Paris, Centre de Recherche et d'Urbanisme, 1965. 21 c m . , multiple pagination, fig., bibliogr. (Études et essais.)

H A U M O N T , Nicole. Les pavillonnaires. Étude psycho-sociologique d'un mode d'habitat. Paris, Centre de Recherche d'Urbanisme, 1966. 21 c m . , 248 p. , tabl. (Institut de socio­logie urbaine.)

Books received '39

I M A Z , José Luis de, et al. Del sociólogo y su compromiso. [By] José Luis de Itnaz, Gerardo Andújar, Floréal, Forni, Francisco Suárez. . . . Buenos Aires, Ediciones Liberia, 1966. 18 c m . , 152 p.

K L A R E , H u g h J. (ed.). Changing concepts of crime and its treatment. Foreword by Kenneth Younger. Oxford, Pergamon Press, 1966. 32 c m . , x + 186 p . , tabl., bibliogr. 50s.

L A M B E R T , Pierre; L A M B E R T , Marguerite (ed.). 3000 foyers parlent. . . . U n e enquête de Clair Foyer sur la régulation des naissances, présentée par Pierre et Marguerite Lambert. Paris, C . M . R . Edition-librairie, Les Éditions Ouvrières, 1966. 21 c m . , 296 p . , m a p . F15.00.

N I E H O F F , Arthur H . (ed.). A casebook of social change. Chicago, 111., Aldine, 1966. 21 c m . , [vi] + 312 p . , index.

R A O , Y . V . Lakshmana. Communication and development. A study of two Indian milages. Minneapolis, M i n n . , University of Minnesota Press, 1966. 22 c m . , 145 p., Bibliogr., index.

R A Y M O N D , Henri el al. V Habitat pavillonnaire. [By] Henri R a y m o n d , Nicole H a u m o n t , Marie-Geneviève R a y m o n d , Antoine H a u m o n t . Preface by Henri Lefebvre. Paris, Centre de Recherche d'Urbanisme, 1966. 21 c m . , 150 p. , fig., pi., fac-sim. (Institut de Sociologie Urbaine.)

R A Y M O N D , Marie-Geneviève. La politique pavillonnaire. Paris, Centre de Recherche d'Urbanisme, 1966. 21 c m . , 362 p., fig., maps , tabl., bibliogr. (Institut de Socio­logie Urbaine.)

S C O T T , W . Richard; V O L K A R T , E d m u n d H . (eds.). Medical care. Readings in the sociology of medical institutions. Edited by W . Richard Scott and E d m u n d H . Volkart, with the assistance of Lynda Lytle Holmstrom. N e w York, J. Wiley, 1966. 2 4 c m . , xii + 595 P-» bibliogr., index.

S L A T E R , Philip E . Microcosm, Structural, psychological and religious evolution in groups. N e w York, J. Wiley, 1966. 23 c m . , xiv + 276 p. , bibliogr., index.

S M I T H , Alfred G . Communication and status. The dynamics of a research center. Eugene, Ore. , University of Oregon, 1966. 22 c m . , xiv + 58 p . , bibliogr., index. (Center for the Advanced Study of Educational Administration.)

S M I T H , Michael Garfield. Stratification in Grenada. Berkeley, Calif., University of California Press, 1965. 24 c m . , xiv + 271 p., fig., tabl., index.

S O B E L , Irwin; W I L C O C K , Richard C . Techniques de placement pour les travailleurs âgés. Paris, O C D E , 1966. 24 c m . , 92 p. , tabl., bibliogr. (Organisation de Coopération et de Développement Economiques. Emploi des travailleurs âgés, 3.)

SovANi, Nikanth Vithal. Urbanization and urban India. London, Asia Publishing House, 1966. 24 c m . , viii + 160 p. , fig., tabl., index. 45s.

S P I C E R , Edward H . (ed.). Human problems in technological change. A casebook. N e w York, J. Wiley, 1965. 22 c m . , xiv + 301 p., bibliogr., index. 81.65. (Rüssel Sage Foundation.)

S T U R M T H A L , Adolf (ed.). White-collar trade unions. Contemporary developments in indus­trialized societies. Urbana , 111., University of Illinois Press, 1966. 23 c m . , xvi + 412 p. , fig., tabl., index.

S U N L E Y , Edith (ed.). Creative adaptation to change. Report of seminars, Metropolitan critical areas project. N e w York, C a m p Fire Girls, 1965. 28 c m . , 115 p.

W I L B E R , George L . ; R O G E R S , T o m m y W . Internal migration in the United States 1958-1964: a list of references. State College, Miss.; 1965. 28 c m . , 32 p. , multigr. (Mis­sissippi State University. Agricultural experiment station. Sociology and rural life series, 15.)

PHILOSOPHY, P S Y C H O L O G Y

C O N G E R , John Janeway; M I L L E R , Wilbur C . Personality, social class and delinquency. [By] John Janeway Conger and Wilbur C . Miller, with the assistance of Robert

140 T h e world of the social sciences

V . Rainey, Charles R . Walsmith and the staff of the Behavior Research Project. N e w York, J. Wiley, 1966. aa c m . , xii + 249 p. , fig., tabl., bibliogr., index.

F R O M O N T , Jacques. La réflexologie de l'esprit. Bruxelles, Editions Labor, 1966. 19 c m . , 307 p., bibliogr. FB195.00.

G o o c H , S.; P R I N G L E , M . L . Kellmer. Four years on. Afollow-up study at school leaving age of children formerly attending a traditional and a progressive junior school. S. 1., National Bureau for Co-operation in Child Care, 1965. 26 c m . , vi + 313 p. , multigr., tabl., bibliogr. (National Bureau for Co-operation in Child Care. Research report, 1.)

H Ä R T U N G , Henri. Pour une éducation permanente. Paris, Fayard, 1966. 21 c m . , 232 p. . bibliogr. (Sciences et techniques humaines.)

M I L L E R , Dorothy; D A W S O N , William. Worlds that fail. [Sacramento, Calif.], Department of Mental Hygiene. 28 c m . , multigr., tabl., bibliogr. (California mental health research monograph, 6-7.). Part I: Retrospective analysis of mental patients' careers, 1964, 120 p.; part II: Disbanded worlds: a study of returns to the mental hospital, 1965. x + 82 p.

S C H E F F , T h o m a s J. Being mentally ill, A sociological theory. Chicago, 111., Aldine, 1966. 21 c m . , xii + 210 p., fig., index. (Observations.)

MASS COMMUNICATIONS

C O R R E , Jean. Télévision, promotion, enseignement. Paris, Editions Universitaires, 1966. 20 c m . , 151 p., fig., tabl., bibliogr. (Psychothèque, 5.)

N E W M A N , John F. Periodismo radiofónico. México, Limusa-Wiley, 1966. 19 c m . , 189 p.

S T E R N B E R G , Beno; S U L L E R O T , Evelyne. Aspects sociaux de la radio et de la télévision. Revue des recherches significatives ig^o-ig64. With a foreword by Edgar Morin. Paris, L a Haye, Mouton , 1966. 23 c m . , xii + 138 p., bibliogr. (Confluence. Surveys of research in the social sciences/États des recherches en sciences sociales, 4.)

A R E A STUDIES

B R A M E L D , Theodore. The remaking of a culture. Life and education in Puerto Rico. By Theodore Brameld, with the assistance of O n a K . Brameld and Domingo Rosado. N e w York, J. Wiley, 1966. 22 c m . , xiv + 478 p. , bibliogr., index. $2.65.

F U L B R I G H T , J. William. The two Americas. The ninth Brien McMahon lecture. Delivered at Storrs, 22 M a r c h , 1966. Storrs, Conn. , University of Connecticut, 1966. 26 c m . , 27 p.

G Ü S T E N , Rolf. Problems of economic growth and planning: The Sudan example. Some aspects and implications of the current Ten Tear Plan. Berlin, Springer Verlag, 1966. 23 c m . , xii + 62 p., fig., maps , tabl., bibliogr. (IFO-Institut für Wirtschaftsforschung. Afrika-Studien, 9.)

J A C O B S , N o r m a n . The sociology of development. Iran as an Asian case study, N e w York, F . A . Praeger, 1966. 24 c m . , viii + 541 p., bibliogr. (Praeger special studies in international economics and development.)

P A G E A R D , Robert. Littérature négro-africaine. Le mouvement littéraire contemporain dans l'Afrique noire d'expression française. Paris, Le Livre Africain, 1966. 19 c m . , 138 p., bibliogr., index.

S T Y C O S , J. M a y o n e ; A R I A S , Jorge (ed.). Population dilemma in Latin America. Washing­ton, D . C . , Potomac Books, 1966. 21 c m . , xiv + 249 p., fig., maps , tabl. $2.45. (The American Assembly.)

T U R H A N , M ü m t a z . Where are we in Westernization? ['Garblilasmanin Neresindeyiz?']. Translated from the Turkish (2nd ed., Istanbul, Türkiye Basimevi, 1959) by David Garwood. Istanbul, Research Centre, Robert College of Istanbul, 1965. 24 c m . , 71 p. (Robert College. Research Centre. Bulletin service, 601.)

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Vol. VII, n° 3, juill.-sept. 1966 Sommaire

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La société religieuse et le problème du changement. La rigidité d'une institution : structure scolaire et systèmes de valeurs. L'école conservatrice. Les inégalités devant l'école et devant la culture. Fermeture régionale et différenciation culturelle. La sociologie et ses applications. Recherche sur pro­g r a m m e et recherche sur contrat. M m e Isambert-Jamati, M M . Cépède, Chombart de L a u w e , Goguel, Lautman, Maître, Mendras, Poignant, Ripert.

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Rural Sociology Vol. 31 No . 4 December 1966

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Social structure and changing fertility of the farm population (presidential address) Peasants without plows: some Anatolians in Istanbul Residential mobility of physicians in Georgia

T h e Rural South: a region under 'confrontation' by mass society A suggested paradigm of the individual adoption process Adoption of nitrogenous fertilizers by North Indian farmers

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Social disorganization in Picturis Pueblo Laws of socio-cultural change Urbanism and the American frontiers A critique of the concepts of community organization and community development The dilemma of demonstrations The contribution of A . L. Kroeber to contemporary anthropology The sociology of sociology (i) Notes and news (ii) Book reviews

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T h e State's prospective function and the administration*

Administrative under-development*

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Syed Nawab Haider Naqvi Philip S. Thomas Edgar M . Hoover and Mark Perlman

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Noies and comments The balance of payments and external resources in Pakistan's third Five-Year Plan:

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Centroamérica: Polftica, elecciones, mercado-común y futuro.

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A journal of Asian demography

Editor: S. Chandrasekhar

Vol. 10, No. a July 1966

Professor

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Dr. K . N . Rao

Orville J. McDiarmid

Brian Heenan

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T . K . Mathen

POPULATION REVIEW

Should w e legalize abortion in India?

Medicine and society

T h e rapid economic growth of Japan and Israel

S o m e aspects of N e w Zealand's population

Contraceptive testing in India

Sterilization as a method of family limitation in Kerala

State

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Janvier 1965 : Les « Négociations Kennedy » et l'article 75 du Traité de Paris; la signification de la Conférence des Nations Unies sur le commerce et le développement; l'association et l'ébauche d'une politique communau­taire de développement, iso p., 150 FB. Mars 1965 : Évolution en 1964 de la politique des États-Unis, de la Grande-Bretagne et de l'URSS 120 p., 150 FB. Mai 1965 : Les aspects juridiques du traité conclu entre la Belgique et les Pays-Bas au sujet de la liaison entre l'Escaut et le Rhin; le différend territorial nippo-soviétique : les îles Kouriles et Sakhaline; la politique exté­rieure en 1964 du Japon et du Chili; principaux problèmes qui dominent la vie politique de la République démocratique du Congo. 120 p., 150 FB. Juillet 1965 : L'Union économique belgo-luxembourgeoise : expériences et perspectives d'avenir. 100 p., 150 FB. Septembre-novembre 1965 : Stanleyville : août-novembre 1964. 300 p., 300 FB.

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Tome XIX, n° 1

Économie appliquée Janvier-mars 1966

Xenophon Zolotas Divers systèmes de réforme du système monétaire international

J. Goudrian Vers une technique monétaire rationnelle

G . C . Zandano D e m a n d e de monnaie et politique budgétaire : l'expérience

italienne

J. Weiller Albert Aftalion et les circuits internationaux de capitaux

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L . Csikos-Nagy Les expériences hongroises de la planification des prix

Économie appliquée

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revue tiers-monde Croissance ] Développement ¡ Progrès T o m e VII, n° 28 (octobre-décembre 1966)

Emile Benoit Emile Benoit et Harold Lubell Angus Maddison Jacques Vernant

André Beaufre Arthur Barber

René Hoffherr

Gerhard Leithauser

D é s a r m e m e n t et développement

Message d'Henri Laugier

Condamnés à vivre ensemble sur une planète devenue petite. Le coût mondial de la défense nationale. Coexistence, concurrence et taux de croissance. Les projets de désarmement et les perspectives de développement écono­mique et social. Dissuasion nucléaire et industrialisation. La capacité d'adaptation des industries de guerre à la solution des pro­blèmes intérieurs.

Documentat ion

La politique japonaise d'assistance technique dans le Sud-Est asiatique par la voie des stages. A r m e m e n t et désarmement : le cas de la République fédérale allemande.

Bibliographie

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R e v i e w of the International Statistical Institute contents of vol. 35. NO. /

A . Hald

J. Cornfield

B . M . Bennett

C . E. Kevork

Communica t ions

Articles

O n the theory of single sampling inspection by attributes based on two quality levels

Bayes theorem

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The Society's membership n o w exceeds 5,000 m e n and w o m e n working in more than 1,000 organiza­tions in 108 countries. SID local chapters are located in all the continents

A n annual world confer­ence and occasional region­al conferences bring under one roof development experts from all over the world. SID's ninth world conference will be held from 7 to II June 1967 in Milan, Italy

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Information on membership rates and chapter affiliation, and sample copies of the Society's publications may be obtained by writing to:

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Sociological Review Monograph no. n

Latin A m e r i c a n sociological atadles Monograph Editor: Paul Haimos

Introduction Charles Wagley, Professor of Anthropology, Director, Latin American Institute, Columbia University

Pertinent facts concerning latin America Luis Bossano, Honorary Professor of Sociology, Universidad Central del Ecuador

Latin America and industrial capitalism—the first phase H. S. Ferns, Professor of Political Science, University of Birmingham

Social and economic change in Latin America Claudio Veliz, Director, Institute of International Studies, Chile University

Populism and political change: the case of Colombia Alan Angelí, Royal Institute of International Affairs, London

Political implications of population growth in Latin America Russell H. Fitzgibbon, Professor of Political Science, University of California

T h e politics of social and economic change in Latin America K. H. Siluert, Professor of Sociology, Darmoutk College, New Hampshire

Folk models of stratification, political ideology, and socio-cultural systems Arnold Strickon, Associate Professor of Anthropology, University of Wisconsin

Violence and politics in Latin America Merle Kling, Professor of Political Science, Washington University

Military and society in Latin America S. E. Finer, Professor of Government Department, University of Manchester

Ideology and development: 'developmental nationalism* in Brazil

Hermino Martins, Lecturer, Social Relations Department, Harvard University Genealogy of public vices in Latin America

S. L. Andreski, Professor of Sociology, Faculty of Letters, University of Reading

Copies are obtainable from: T h e Secretary to the M o n o g r a p h Forthcoming: February, 1967 Editor, Sociological Review Monographs , University of Keele, Price: 30s. + n d . postage Keele, Staffordshire, England United States: $4.60 + 20 cents postage

Chief Editor: JoUITial Of July 1966 — Volume I, N o . 3

K. hhwaran, # .

York University, Toronto, ASiail and AfrlCan

Canada

Studies A quarterly publication, edited by an international board of scholars, is devoted to the study and analysis of social structures and processes in the developing nations of Asia and Africa and draws contributions from anthro­pology, sociology, and related social sciences.

Contents

Daniel J. Crowley A Katangese territorial post in transition

Joan P. Mencher Namboodiri Brahmins: an analysis of a traditional elite in Kerala

Brian M . D u Toit Colour, class and caste in southern Africa

Stephen Fuchs Clan organization among the Korkus

J. D . N . Versluys S o m e notes on the social and economic effects of rural electrification in

Burma

(i) Notes and N e w s (ii) Book Reviews

J .A .A .S . welcomes contributions by social scientists. Manuscripts, research notes and news, and other editorial correspondence should be addressed to the editor, K . Ishwaran, Department of Sociology, York University, Toronto 12, Canada. Books for review (Africa) should be addressed to P. C . W . Gutkind, Department of Anthro­pology, McGtll University, Montreal, Canada, and (Asia) to J. O'Neill, Department of Sociology, York Uni­versity, Toronto, Canada.

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Annual subscription: U.S.$I2, or the equivalent in other currencies. Order from: E. J. Brill, Leiden, Netherlands.

IL POLITICO Rivista trimestrale di scienze politiche diretta da Bruno Leoni

F. A . Hayek C . Giglio B . Leoni

E. Noel

P. Cortney D . Villey M . Matsushita A . Kemp A . A . Shenfield P. T . Bauer

B. R . Shenoy

O . von Habsbourg G . Schmolders

J. M . Buchanan

Y . Iwasa

X X X I , N . 4, Dicembre 1966

The principles of a liberal social order Cause e fattori délia decolonizzazione dell'Africa T w o views of liberty: occidental and oriental (?)

Note e discussioni

II Comitate dei rappresentanti permanent! presso le Comunità Europe Il prezzo delPoro dopo le grandi guerre L'idée occidentale de la liberté T h e core of freedom Welfare without the welfare state Welfare without the welfare state Development planning, foreign aid and economic progress Currency over-valuation in some underdeveloped countries A policy for Africa A theory of incentive taxation in the process of economic development Monetary and fiscal policies for economic growth in a free society Practical problems in the implementation of fiscal and monetary policies for economic growth

Tavola rotonda sul positivismo giuridico: Losano, Tarello, Cattaneo, Conte, C a m m a r a t a

Attività degli islituli Recensioni e segnalazioni

Direzione, redazione, amministrazione : Istituto di Scienze Politiche dell'Università di Pavía Abbonamento (4 fascicoli) : Italia L . 4,000 ; ridotto per studenti L . 2,500 ; estero L . 5,600

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