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Vocative Introduction Sonnenhauser and N
Vocative Introduction Sonnenhauser and N
Abstract
The vocative has long been neglected in the linguistic literature. There still
is no systematic approach to capturing the diverse language-specific ways
of addressing others. The lack of morphological vocative marking in many
European languages is one of the reasons for this neglect, in addition to the
dual status of vocatives between system and performance. This volume
intends to fill this gap by dealing with the various facets of the vocative
from an onomasiological perspective, with special emphasis on the position
of this phenomenon between system and performance.
In this introduction, the intricate nature of the vocative and the problems
it poses for current linguistic analyses will be outlined. To this end, the
main characteristics of the vocative will be distinguished and an overview
of the main theoretical approaches and lines of argument will be given. In
order to avoid any commitment to a specific theoretical framework, ‘voca-
tives’ will be defined functionally as ‘forms and structures used for direct
address’. This will also allow us to consider ways of marking the vocative
structurally.
1. The ‘vocative’
What these and other definitions (cf. Fink 1972) show is the non-distinct
nature of vocative categorisation – it is alternatively regarded as a formal
category, a functional structure, a semantic component or as a mere element
of usage.
The vagueness of the term also accounts for the fact that, contrary to
their importance in communication, and even though they are amongst the
most basic and earliest acquired structures of language, vocatives have
hardly ever been discussed in all their facets from a linguistic point of view.
This is pointed out, e.g., by Levinson (1983: 71), who notes that
“[v]ocatives in general are […] underexplored”, and Floricic (2002: 151),
who states that “force est de reconnaître que les études consacrées
spécifiquement au vocative sont assez rares; à quelques exceptions près,
tout au plus dispose-t-on à ce sujet d’observations fragmentaires et
éparses”. Hock (2006) stresses the neglect of vocatives in the linguistic
discussion and particularly of their functional aspects. He ascribes this to
the focus of traditional grammar on the status of the vocative within the
case system, which means that the function of directly addressing an
interlocutor is not duly taken into account.
The lack of interest in the syntactic and semantic aspects of vocatives in
“traditional and generative grammar” is also noted by Lambrecht (1996:
267). He sees the reason for this in “the inherently deictic nature of voca-
tives and […] their grammatical status as non-arguments”. Due to their
non-argument status, vocatives “can be omitted from a sentence without
4 Barbara Sonnenhauser & Patrizia Noel Aziz Hanna
2.1. Morphology
With respect to the discussion of the vocative as a case, two main positions
can be distinguished: 1) the vocative is regarded as case in languages that
have morphological marking (for Georgian cf. Abuladze and Ludden, this
volume), and 2) the vocative is not analysed as part of the case system al-
though there is morphological marking. Both approaches differ mainly in
the hierarchisation of form and (syntactic and semantic/pragmatic) func-
tion. In the latter approach, the vocative is excluded from the case in-
ventory, because its function is not that of prototypical case; cf. Isačenko
(1962: 83):
Introduction: Vocative! 5
Der Vokativ ist eigentlich gar kein ‘Kasus’, wenn man unter der Kasusform
den Ausdruck einer syntaktischen Beziehung zu anderen Wörtern versteht.
Der Vokativ drückt nämlich keinerlei syntaktische Beziehung aus, er ist
eine in die Rede eingeschobene ‘Anredeform’ mit deutlicher Appellfunk-
tion.
[The vocative is not a case if one regards as a case form the expression of a
syntactic relation to other words. The vocative does not convey any syntac-
tic relation, it is a parenthetical ‘form of address’ with a clearly appellative
function.]
2.2. Prosody
Qvonje (1986) assumes two general types of vocatives: the purely intona-
tional type and the type with additional marking by inflection or external
features such as word order. In the case of nominative-vocative syncretism,
it is intonation that distinguishes vocatives from nominatives; thus intona-
tion is represented as a categorical feature of vocatives:
Unserer Meinung nach handelt es sich bei den Formen von vokativisch ge-
brauchten Substantiven (wie auch von Adjektiven und Pronomina), die im
Schriftbild mit dem Nominativ zusammenfallen, um ebenso echte Erschei-
nungen des Vokativs, wie beispielsweise bei den Formen mit speziellen En-
8 Barbara Sonnenhauser & Patrizia Noel Aziz Hanna
dungen. Was nämlich den Vokativ vom Nominativ unterscheidet, ist immer
die spezielle exklamatorisch-appellative Intonation, sowie eine Pause vor
dem eventuell folgenden Satz. (Qvonje 1986: 86)
[In our opinion, forms of nouns (as well as adjectives and pronouns) in
vocative usage which coincide in writing with the nominative are real in-
stances of the vocative, just as e.g. forms with special endings. What distin-
guishes the vocative from the nominative is always a special exclamatory-
appellative intonation, as well as a pause preceding any following sentence.]
Zwicky (1974) points out that nominative NPs are distinguished from
vocatively-used NPs by means of intonational marking; intonation dif-
ferentiates the referential use of NPs from their non-referential use. Mor-
phological and intonational marking of vocatives may both be present in a
language. This is emphasized by Vairel (1981) for Latin with the example
of pater / advenit ‘father, he has arrived’ vs. pater advenit ‘my father has
arrived’. Judging from the present state in modern languages, she assumes
the two sentences to have differed in intonation. Vairel proposes that, as a
consequence, morphological marking became redundant, and “since a noun
in the vocative was always melodically marked, an inflectional mark was
superfluous, and could easily disappear” (1981: 446). This sketch of de-
velopment is not uncontroversial, as the argumentation in Hock (2007)
shows. The inconsistencies of the marking of suprasegmental features in
Greek documents and their Church Slavonic translations pointed out by
Hock also seem to suggest the possibility of the opposite direction.
However, intonational marking indeed plays an important role. It is a
feature that manifests itself at the utterance level and thus applies to both
morphologically marked and morphologically non-marked vocatives. Noel
and Sonnenhauser (forthc.) argue that in written language this specific
function of prosodic marking is rendered by means of punctuation. In Ger-
man Was hast du Peter gesagt? ‘What did you say to Peter?’ vs. Was hast
du, Peter, gesagt? ‘What did you, Peter, say?’ it is the commas that distin-
guish the use of Peter as indirect object from its vocative use.
If intonation is a systematic and inherent feature of vocative marking,
vocatives can be considered part of an intonational paradigm and thus be
anchored within a traditional conception of language system (cf. Göksel
and Pöchtrager, this volume, for an intonational analysis of Turkish and
German calls). In addition, empirical analyses of a direct relation between
one-word intonational vocative marking and sentential intonation (with or
without emphatic or emotional enrichment) are a desideratum (Noel Aziz
Hanna 2011).
Introduction: Vocative! 9
ture of the vocative, add to the argumentation of the effect vocatives have
on syntax.
Regarding vocatives as structures, similarities to other syntactic struc-
tures can be established as well. Espinal (this volume) investigates potential
similarities to structures such as copular sentences and indirect objects. She
thereby puts the vocative into a broader syntactic perspective and distin-
guishes it on both structural and functional grounds from allegedly similar
phenomena (such as subjects of infinites, calls, pseudo-vocatives). More-
over, the syntactic position of vocatives matters. This can be taken as
another argument against them being completely outside the clause.
Lambrecht (1996: 267) calls vocatives “a kind of sentence constituent”,
whose position “correlates with the activation status of the representation”
of the topic-NP’s or the vocative’s referent “in the mind of the hearer at the
time of utterance” (1996: 278): Preclausal position signals the announce-
ment, postclausal position the continuation of the relation between this
referent – the addressee in case of the vocative – and the proposition. The
correlation of the position of vocatives and their contribution to interpreta-
tion is also pointed out by Stetter (this volume).iv
The close link between pragmatic function and syntactic status of voca-
tives is also emphasized by Stavrou (ms; cf. also Hill, this volume). She
argues that, in order to properly account for the vocative, the pragmatic
factors that trigger its usage have to be considered, as well as “the syntactic
environment and constraints that determine its integration into the clause”
(ms: 1). The pragmatic aspects of vocatives relevant for syntax consist of
their speech act character, which Stavrou (ms: 10) captures by embedding
the vocative into a pragmatically oriented category ‘Speech Act Phrase
[+addressee]’ (ms: 30; cf. also Hill 2007). The speech act character is also
emphasised by Janson (this volume), who argues that ‘vocatives’ are ways
of marking the utterance type ‘call’. If marked within the NP, this marking
may interfere with morphological case marking in the relevant language. If
there is no specific marking within the noun phrase, calls are signalled by
intonation.
Because of their addressing function, vocatives are put in close relation
to imperatives (cf. also the discussion on Georgian in Abduladze and
Ludden, this volume). Referring to this function, Jakobson (1971: 10) re-
gards both the vocative and the imperative as being positioned outside the
‘grammatical sentence’ and the ‘other verbal categories’. Both are to be
classified as ‘vocative sentences’ which also share the same intonation:
12 Barbara Sonnenhauser & Patrizia Noel Aziz Hanna
Die Sprachwissenschaft hat eingesehen, dass der Vokativ sich nicht auf der-
selben Ebene befindet, wie die übrigen Kasus, und dass die vokativische
Anrede ausserhalb des grammatischen Satzes steht; ebenso ist der echte Im-
perativ von den übrigen verbalen Kategorien abzusondern, da er durch die-
selbe Funktion wie der Vokativ gekennzeichnet ist. Der Imperativ darf nicht
syntaktisch als prädikative Form behandelt werden: die imperativen Sätze
sind, gleich der Anrede, volle und zugleich unzerlegbare ‘vokativische ein-
teilige Sätze’, und auch ihre Intonation ist ähnlich.
[Linguistic research has accepted that the vocative is not located on the
same level as the other cases and that the vocative address is situated out-
side the grammatical sentence; furthermore, the true imperative has to be
separated from the other verbal categories, because it is characterised by the
same function as the vocative. The imperative is not to be treated as a predi-
cative complement form: imperative sentences are, just like addresses,
complete and, at the same time, indecomposable ‘vocativic unitary sen-
tences’; in addition, vocatives and imperatives have similar intonational
properties.]
(e.g. Daniėl 2008: 443). Another example is güey (originally buey ‘ox’) in
Mexican Spanish, which developed from an imprecation to a form of ad-
dress among adolescents and is now used as a discourse marker (Klein-
knecht, this volume).
As has become evident from the discussion in this section, even in ap-
proaches that focus mainly on vocative forms, vocative functions are in-
timately connected to the analyses. Just like the form of vocatives, the
question of vocative functions is approached from various perspectives.
3. Vocative function
3.2. Expressivity
As the previous discussion on the status of the vocative has revealed, there
are a number of classification problems associated with the vocative. These
problems are attributed here mainly to the underlying assumption of ‘para-
digm’. Usually, the vocative is categorized within a specific paradigm, be it
morphological (case), prosodic (intonation), or pragmatic (speech act). The
importance of paradigms for the classification of vocatives can partly be
attributed to the still prevailing tradition of classical, i.e. Greek and Latin,
grammar (on this tradition cf. also Donati, this volume). This becomes evi-
dent, e.g., with Kiparsky’s (1967: 39-40) statement that even though the
vocative might not be a case ‘in the traditional sense’, it nonetheless be-
longs to the morphological system. He justifies this assumption by pointing
out the – alleged – pedagogical advantage by remaining within the para-
digm of classical grammar: “Schon pädagogische Rücksichten […] verlan-
gen die Behandlung des Vokativs an seiner in der traditionellen Grammatik
üblichen Stelle.“ (1967: 39-40) [Even pedagogical considerations […] call
for treating the vocative in its usual place in traditional grammars.]
The preference for paradigmatic approaches might also have be related
to the alleged alternative: Paradigmaticity is a feature of the language sys-
tem. Hence, if the vocative is not part of some paradigm, it is not always
considered part of the language system, but as a phenomenon of language
use. When the vocative is regarded as a phenomenon that manifests itself in
language usage only, it can be excluded from grammatical reasoning, de-
pending on the theoretical framework. This seems to be substantiated by
the ‘exceptional’ nature of vocatives: They do not fit into the syntactic or
prosodic patterns expected – they are non-integrated. However, even
though vocatives contradict the traditional assumption of ‘system’ by being
instantiated in language use only and by their non-integrated status, they
are not just performance phenomena. This is indicated by two observations:
First, they are morphologically and/or prosodically marked; this signals
their non-integration, which again is functionally interpreted. Second, they
show specific patterns in usage and interpretation (cf., e.g., the correlation
between position and interpretation) that contradict assumptions of voca-
tives as mere ad hoc devices.
Vocatives, thus, seem to occupy a position between ‘language system’
and ‘language use’. Therefore, the complexity of the issues involved in
vocative studies is directly linked to the central concepts of ‘language sys-
tem’ vs. ‘performance’. The issue relates not only to the classification of
vocatives as such, but also to the way they are approached from a language
theoretical perspective. It is for this reason that a usage-based analysis of
Introduction: Vocative! 17
5. To sum up
Notes
* We would like to thank the anonymous reviewers for their comments as well
as William Tayler for his assistance in improving the English text.
i. The argumentation in Daniėl’ (2008: 445-446) seems to point into the same
direction. Daniėl’ observes that in Russian, proper names, kinship terms and
specific common nouns (of the type doctor) hardly combine with vocative
particles such as ėj ‘hey’ or ėj ty ‘hey you’. When used together, the address
receives some very specific interpretation, ‘close to citation or imitation of
some other’s point of view’. He ascribes these effects to an inherent ‘appel-
lative potential’ which precludes these lexemes from being used with further
explicit appellative markers.
ii. Delbrück (1883: § 62), for instance, who refers to Pāṇini, states that the nomi-
native was not understood as subject case, but as a stem in Sanskrit grammar.
The difference between nominative and vocative is that the latter is used for
calls.
iii. One example of the fusion of case form and case function is Lewis’ (2000:
33-34) treatment of the vocative as one of the functions of the absolute case.
The absolute case is “[t]he simplest form of a noun, with no suffixes”, which
“is used not only for the nominative and vocative, but also for the indefinite
accusative” (2000: 26).
iv. The same correlation between position and interpretation can be observed for
parentheticals (cf. Noel Aziz Hanna 2009, Noel Aziz Hanna and Sonnenhau-
ser forthc.). This can be taken as an argument for subsuming detached topic-
NPs, vocatives and parentheticals – as well as further structures, such as cita-
tions – under one functional category. Noel Aziz Hanna and Sonnenhauser
Introduction: Vocative! 19
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