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A functional study*
Charles N. Li
1. Introduction
Direct speech and indirect speech are similar, yet different. Consider
two examples, one illustrating direct speech, the other indirect speech:
(1) John said, "I'm tired."
(2) John said (that) he was tired.
Let us first observe the similarities between (1) and (2). Both have the
same verb, "said" with the same subject, "John". Each contains a clause
signalling the content of a speech act. Although the two clauses are
different in form, they both convey the same message. Thus, at first
sight, the similarities between (1) and (2) appear so striking that early
transformationalists were motivated to propose that (2) should be derived
from (1) via an optional transformation called the "Indirect Discourse
Formation". 1
The differences between (1) and (2), on the other hand, are manifold.
The most readily observable ones are syntactic: first, the pronouns in (1)
and (2) are different; second, the tenses in (1) and (2) are different;
third, (2) but not (1) may have the complimentizer "that". Finally,
Longacre (1976) noted that the immediate constituent grouping in terms
of phonological pause and intonation pattern is different between (1)
and (2). But the phonologic grouping of the subject and the verb of
saying holds true only in verb-medial languages. In verb-final languages,
for example, a direct quote is often placed between the subject and the
verb of saying.
On the semantic level, Partee (1971) noticed that the surface form of
the direct quote, i.e. the exact wording of the quotation, is part of the
meaning of the whole sentence. Thus, even if we accept the synonymity
of (3) and (4),
* Preparation of this article was supported by National Science Foundation Grant
BNS 83-08220.
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Charles . Li
The first and second person pronoun in a direct quote are respectively co-referential with the reported speaker and the reported
addressee in the clause immediately outside of the quotation.
(7)
(8)
John told Mary that Peter said to Ellen, "I love you."
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Sentences (7) and (8) demonstrate that the references of the first and
second pronouns in a quotation are conditioned by the reported speaker
and the reported addressee in the clause immediately outside the quotation.
B:
(10)
(11)
In sentence (9), the third person pronoun in the quote cannot be coreferential with either "John" or "Peter", the reported speaker and the
reported addressee respectively, in the clause immediately outside the
quotation. Sentence (10) contains an indirect quote embedded in a direct
quote. Again, the third person pronouns in (10) cannot be co-referential
with either "John" or "Mary", the reported speaker and the reported
addressee respectively, in the clause immediately outside the quote. In
sentence (11), the third person pronoun in the quote is co-referential
with "Peter", an NP which is neither the reported speaker nor the
reported addressee.
Let us now examine pronominalization strategies in indirect speech.
C:
r Pr eeSPeaker}- 00
{ d s
re
Prted {
SeJL
(13)
(14)
In (12), the first and second person pronouns in the indirect quote refer
respectively to the reporter-speaker and the addressee. In (13), the first
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Charles . Li
In other words, there is no constraint peculiar to indirect speech governing the reference of a third person pronoun in an indirect quote. If a
language allows a pronoun to refer only to an antecedent noun phrase,
then a third person pronoun in an indirect quote may be co-referential
with any antecedent noun phrase in the discourse. For example, in the
Mandarin Chinese sentence (15), the third person pronoun in the
indirect quote may be co-referential with any preceding NP in the
sentence or in the preceding discourse.
(15)
*
~t
Zhangsan to Lisi say Wanger feel
s/he very strange.
Zhangsan said to Lisi that Wanger felt s/he was very strange.
(17)
Zhangsan shuo wo
Zhangsan say I
Zhangsan says I'm
33
lei
le
tire Perfective
tired.
a neh
kwuli bu
to reported thank third person
speaker
pronoun
Alhaji said to the rabbit that he thanked him.
Similarly, (20) shows that neh occurs in an indirect quote (on the basis
of C (i)) since the second person pronoun chi "your" is co-referential
with the second person pronoun in the matrix clause, which, in turn, is
co-referential with the reporter-speaker.
(20)
The evidence cited by Perrin (1974) indicates that neh occurs only in
indirect quotes, contrary to her claim that neh is used only in direct
quotes. 3
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Charles . Li
2.2. Deictics
Besides pronouns, deictics such as 'this/that', 'here/there', 'now/then'
and 'come/go' constitute another domain in which systematic differences
exist between direct and indirect speech. Let me illustrate with an
example. First, consider the speech context in which, at school, John
said to Paul in the presence of Peter, "Come here and take care of this
mess!". Secondly consider a different speech context in which Peter was
telling some people at home several days later what transpired between
John and Paul. If Peter were to give a direct quote of what John said, he
would say:
(21)
John told Paul, "Come here and take care of this mess!"
The difference between (21) and (22) lies in the use of opposite members
of such deictic pairs as 'come/go', 'here/there', and 'this/that'. The
reason behind the choice of opposite members of these deictic pairs is
the different points of reference. In an indirect quote, the speaker
normally uses himself/herself as a spatial point of reference and the time
of utterance as a temporal point of reference. In a direct quote, the
speaker must suspend the normal practice and use the points of reference of the quoted speaker.
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* .
(25)
SWE she n/
wu limmi k 1
m beni mwum kirn
ant say to him that you know not that I caught man with force-Q
The ant said to him, "Don't you know that I caught a man by force?"
(26)
she kpulu
Kpulu
wu yib m ndem
he say to turtle that Turtle, you stole me field
He said to the turtle, "Turtle, you stole my field!"
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Charles . Li
(27)
N, n nywael ime
hje
he he escapes
starvation
He (said/thought) he's escaped starvation.
(28)
Foro
n, n
ywime Bs
Hyena he he
F U T arrive
The hyena, he (says) he will come.
The use of the third person pronoun in (27) and (28) referring to the
reported speaker demonstrates that both contain indirect quotes.
The English and Tikar examples suggest that the differences between
direct and indirect speech can vary dramatically from language to
language and that their differences cannot be accounted for by the claim
that the indirect quote is a complement of the verb of saying, whereas
the direct quote is not a syntactic or semantic part of the sentence
containing it.
Haiman and Thompson (1984) reject the contention that indirect
quote is "subordinate" in a variety of ways that the direct quote is not.
To the extent that Haiman and Thompson (1984) are correct in showing
that the traditional notion of "subordination" is merely a cover term for
a number of independent properties describing clausal relations, it is best
not to subsume the syntactic and semantic differences between direct
and indirect quote under "subordination". Instead, it might be profitable to consider those differences along a dimension of "fusion" between
clauses. Givon (1980) proposed a similiar notion, "binding", which
refers to the influence of the main clause agent over the complement
clause agent. "Fusion" can be interpreted as referring to the degree of
syntactic-semantic influence or control of one clause over another in
interclausal relationships. The following examples show an increasing
degree of syntactic-semantic influence of the first clause over the second
and therefore, display a higher degree of fusion between the two clauses
from sentence to sentence:
(29)
(30)
(31)
(32)
(33)
In (29), the two clauses are independent syntactically and semantically. The only clausal relationship conveyed by (29) is that according to
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the view of the speaker, there is a vague pragmatic bond between the
events denoted by the two clauses. (30) demonstrates a higher degree of
the fusion between its two clauses than (29) because the subject of the
second clause must be interpreted as co-referential with the subject of
the first clause. In (31), the second clause is incorporated into the first
clause as a constituent, indicating greater fusion than either (29) or (30).
In (32) and (33), the second clauses are not only incorporated into their
respective first clauses, but they have also lost their independent clause
structure. For instance, the verb of the second clauses of (32) and (33) is
non-finite, and its tense and aspect must be interpreted according to that
of the verb of the first clause. Finally, (33) shows a greater degree of
fusion than (32) because the truth value of the second clause in (33), but
not in (32), is determined by the truth value of the first clause. Thus
"John remembered to go to school" implies "John went to school",
whereas "John didn't remember to go to school" implies that "John
didn't go to school". 5
Both the direct quote and the indirect quote are on the weak end of
the fusion scale in terms of their respective relationships with the verb of
saying. One reason for this is that the verb of saying tends to take on the
features of a hearsay evidential. However, the direct quote is even more
weakly fused with the verb of saying than the indirect quote. Thus, only
the direct quote has the full latitude of an independent sentence. For
instance, only the direct quote, but not the indirect quote, may take the
form of a performative speech act such as a command or a question:
(34)
(35)
In most languages, the indirect quote has some feature which signals
that it is more fused with the clause containing the verb of saying than
the direct quote. Examples of such features were cited by Munro (1982)
as evidence that the indirect quote, but not the direct quote, behaves as
the object of the verb of saying.
(2)
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Charles . Li
the
the
the
the
) speaker
acts as reported
=> speaker -
[form]
[content]
" non-verbal
.messages .
direct
reported
speech
In indirect speech, the reporter-speaker does not play the role of the
reported speaker.6 The form and the non-verbal messages of the reported speech belong to the reporter-speaker. The reporter-speaker intends
for the hearer to believe that only the content of the reported speech
originates from the reported speaker. Thus, the communicative situation
involving a sentence such as (2) may be depicted in (37).
(37i)
ii)
[content]
indirect
reported
speech
Given (37), we can understand how the reporter-speaker may communicate his own feelings through the form (e.g. intonation) and non-verbal
messages of the reported speech as a comment on the content of the
reported speech. Sentence (2), for example, may be uttered with a great
deal of disgust, anger, or sarcasm. Such emotional overtones would be
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(6)
The analysis in (36) and (37) should also make it clear why a direct quote
should have the full latitude of an independent sentence: the form (not
only the substance) the direct quote also originates from the reported
speaker.
4. Corroborative evidence
In this section I will cite four pieces of evidence which corroborate the
preceding functional analysis of direct and indirect speech.
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Charles . Li
41
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Charles . Li
(38)
The co-reference between the reported speaker and the first person
pronoun in (38) indicates direct speech. But the presence of "Dolly"
instead of a second person pronoun "you" points to indirect speech.
Free indirect speech, then, is a device which simultaneously presents the
third person perspective of the reporter-speaker and the first person
perspective of the reported speaker. Such a device sacrifices the distinction between direct and indirect speech in terms of evidentiality.13
6. Conclusion
I have presented a functional analysis of direct and indirect speech in this
study. The analysis corroborartes a number of phenomena observed in a
wide variety of languages. Problems such as "What is the underlying
representation?" or more specifically, "Does direct speech underly
indirect speech?" might have motivated earlier investigators to examine
the relation between meaning and structure. However, they do not lead
us to a better understanding of either the structure or the function of
language. In addition, looking at grammar in terms of problems of that
sort may lead to pvseudo-problems. For example, Wierzbicka's insightful
study (1974) incorporated into her notion of underlying representation
pragmatic information describing the communicative functions of direct
and indirect speech; but she also created some pseudo-problems, because her study was carried out within the theoretical framework of
generative linguistics. Thus, after postulating elaborate underlying representations which capture most of the features of direct and indirect
speech, she conceded that those underlying representations could not
account for such utterances as
(39)
reporter-speaker
[form]
non-verbal
.messages
reported-speaker >
[content]
43
indirect
reported
speech
Acknowledgement
I wish to thank Sandra S. Thompson for bringing to my attention various items of literature
on the subject of direct and indirect speech. I also wish to thank Arthur Schwartz for
discussing with me the nature of direct and indirect speech. Finally, I am grateful to Talmy
Givn, Ellen Jackson, Petr Sgall and Sandra Thompson for their important comments,
suggestions and criticism of an earlier version of this paper.
Notes
1. See Kuno (1972) in which the direct speech sentence is postulated not only as the
underlying representation of indirect speech sentences with such matrix verbs as
"expect", "claim", "worry", "believe", etc. . . .
2. Wierzbicka (1974) considers the theatrical nature of direct speech as part of the
meaning of direct speech. Clearly, she uses the term 'meaning' in a broad sense to
include not only the lexical and grammatical meanings, but also the communicative
function of the utterance.
3. Perrin claims that neh is used in direct quote because (i) it only refers to the reported
speaker in the matrix clause, and (ii) only direct speech takes its pronoun orientation
from the clause in which it is immediately embedded. Since (ii) is clearly false (see
und D above), Perrin's claim is vacuous unless sentences such as the following [(a)] are
acceptable in Mambila:
(a)
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Charles . Li
7.
8.
9.
10.
11.
12.
13.
This type of Tikar example posses a challenge to the traditional dichotomy of direct
speech vs. indirect speech seen as two distinct categories where pronominalization
serves as the diagnostic signal for category classification.
Paez is a member of the Macro-Chibchan linguistic family of South America.
Guajiro belongs to the Arawakan family. Its speakers live in the border region between
Colombia and Venezuela.
Guanano is a member of the Tucanoan family. Its speakers number fewer than 1000 in
Colombia and Brazil.
Cofan has about 600 speakers along the Ecuador-Colombia border in the eastern
foothills of the Andes Mountains. It has been claimed to be a language isolate or a
member of the Chibchan family. Borman (1977) remarked that Cofan exhibits Chibchan features as well as features of Western Tocanoan.
The Andoke language is an isolate according to Witte (1977). It has less than one
hundred speakers all living near the Caquet River of Colombia.
Cuiva is a Guahiban language of Colombia and Venezuela.
Polanyi (1982) cites several other forms of reported speech. I will not delve into them
here since they are beyond the scope of this study.
References
Borman, . B. 1977. Cofan Paragraph Structure and Function, in Discourse Grammar,
Part 3, ed. by R. E. Longacre. pp. 289-338.
Chafe, Wallace L. 1982. Integration and Involvement in Speaking, Writing and Oral
Literature, in Spoken and Written Language, ed. by D. Tannen, pp. 35-44.
Gerdel, Florence L. and M. C. Slocum. 1976. Paez Discourse, Paragraph and Sentence
Structure, in Discourse Grammar, Part 1, ed. by R. E. Longacre. pp. 259-443.
Givn, Talmy. 1980. The Binding Hierarchy and the Typology of Complements. Studies in
Language, 4.3, pp. 333-377.
Haiman, John and Sandra A. Thompson. 1984. 'Subordination' in Universal Grammar, in
Proceedings from the 10th Annual Meeting of the Berkeley Linguistics Society.
Hopper, Paul and Sandra A. Thompson, (ed.) 1982. Studies in Transitivity. New York:
Academic Press.
Karttunen, Lauri. 1971. Implicative Verbs. Language, 47, pp. 340-58.
Kerr, Isabel. 1977. The Centrality of Dialogue in Cuiva Discourse Structure, in Discourse
Grammar, Part 3, ed. by R. E. Longacre. pp. 133-174.
45
Kuno, Susumu. 1972. Pronominalization, Reflexivization, and Direct Discourse. Linguistic Inquiry, III.2, 161-196.
Longacre, Robert E. 1976a. An Anatomy of Speech Notions. Lisse, Belgium: Peter de
Ridder Press.
Longacre Robert E., ed., 1976b. Discourse Grammar: Studies in Indigenous Languages of
Colombia, Panama, and Ecuador, Part 1. Published by the Summer Institute of
Linguistics and the University of Texas at Arlington.
Longacre, Robert E., ed., 1977. Discourse Grammar: Studies in Indigenous Languages of
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Linguistics and the University of Texas at Arlington.
Mansen, Richard and Karie. 1976. The Structure of Sentence and Paragraph in Guajiro
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Munro, Pamela. 1982. On the Transitivity of 'say' Verbs, in Studies in Transitivity, ed. by
P. Hopper and S. A. Thompson, 1982.
Partee, Barbara H. 1973. The Syntax and Semantics of Quotation, in A Festschrift for
Morris Halle, ed. by P. Kiparsky and S. Anderson. New York: Holt, 410-18.
Perrin, Mona. 1974. Direct and Indirect Speech in Mambila. Journal of Linguistics 10:
27-37.
Polanyi, Livia. 1982. Literary Complexity in Everyday Storytelling, in Spoken and Written
Language, ed. by D. Tannen, pp. 155-170.
Thurgood, Graham. 1981. The Historical Development of the Akha Evidentials System, in
Proceedings from the Seventh Annual Meeting of the Berkeley Linguistics Society,
pp. 295-302.
Waltz, Nathan E. 1976. Discourse Functions of Guanano Sentence and Paragraph, in
Discourse Grammar, Part 1, ed. by R. E. Longacre. pp. 21-146.
Wierzbicka, Anna. 1974. The Semantics of Direct and Indirect Discourse. Papers in
Linguistics, 7:3/4, 267-307.
Witte, Paul. 1977. Functions of the Andoke Copulative in Discourse and Sentence
Structure, in Discourse Grammar, Part 3, ed. by R. E. Longacre. pp. 253-288.